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The University of Tennessee

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Chapter 1: Governance and Organization

1.1 Nature and Purpose

This handbook contains material that applies to all faculty in The University of Tennessee, Knoxville, faculty in the University of Tennessee Institute of Agriculture, and faculty at the University of Tennessee Space Institute.

As the state’s leading comprehensive research and land-grant institution, UT’s primary purpose is to move forward the frontiers of human knowledge and enrich and elevate society, as further elaborated in its Mission Statement. The university does not discriminate on the basis of race, gender, color, religion, national origin, age, handicap, or veteran status in provision of educational opportunities or employment opportunities or benefits. The institution welcomes and honors people of all races, creeds, cultures, and sexual orientations, and values intellectual curiosity, pursuit of knowledge, and academic freedom and integrity. Faculty prepare students to lead lives of personal integrity and civic responsibility.

1.2 Board of Trustees

The governing body of The University of Tennessee is the Board of Trustees. The board has delegated administrative authority to the president, who exercises this authority through delegation to, and in consultation with, a staff of vice presidents and chancellors. The board has delegated to UT Faculty Senates the authority, subject to the approval of the chancellor, the vice president, the president (1), and the board itself, to determine general educational objectives and policies at UT and regulations related to those objectives, such as requirements for admission, retention, readmission, graduation, and honors for all degree and certificate programs. For a more complete description of the organization, duties, and powers of the board, please consult The University of Tennessee Charter & Bylaws.

(1) In this handbook, the term “vice president” without additional indication as to which vice president, means the vice president for agriculture, who is the chief academic officer for the Institute of Agriculture, unless the context demands otherwise. The term “chancellor” means the chancellor of the Knoxville campus. The president's duties are set forth in section 1.3.

1.3 The University of Tennessee Administration

The system administration, headed by the president, enunciates the general mission of the university, and coordinates comprehensive, long-range plans, growth, and development of the campuses and statewide operating divisions.

1.4 College and Departmental Administration

Academic units of The University of Tennessee are varied and diverse both in their role and scope and in their mode of organization. In most colleges, an academic dean serves as the chief officer and department heads administer the work of academic departments within the college. Other college administrators include assistant deans, associate deans, and/or directors. In some smaller colleges, the dean also has responsibilities assigned to department heads. All administrators are expected to act on principles of shared governance and hence seek the advice and recommendations of faculty.

1.4.1 Academic Deans

Generally, the dean has these administrative concerns:

  1. the academic program in its college-wide aspects, in the special relationships among its departments, and its relation to the larger university and public
  2. the faculty of the college and the leadership of the college (directors and department heads, college committees and task forces), their well-being, development, review, assessment, and renewal
  3. the encouragement and support of teaching, research, creative activity, and public service
  4. the support services for the conduct of college business (staff, facilities, equipment)
  5. the strategic planning
  6. the budget preparation, review, and analysis for the college
  7. the fund-raising and developing relationships with outside constituents

The university looks to the dean for definitive recommendations about the curriculum; staffing; faculty promotion, tenure, and review; development needs; and all financial aspects of college operation. These recommendations are made after consultation with appropriate faculty and/or college or department level committees, as well as department heads.

Deans are appointed after an internal or external search conducted according to guidelines published by the Office for Diversity Affairs. The chancellor or vice president selects the chair of the search committee from outside the college and appoints members of the committee from persons nominated by tenured and tenure-track faculty members of the college. A majority of the search committee is composed of tenured faculty members of the college, chosen to represent a balance among the academic areas of the college. The committee may include representation from tenure-track faculty members, non-tenure-track faculty members, students, and where appropriate faculty members from outside of the college, as covered by collegiate bylaws. According to university requirements for upper-level searches (department head and above), they must include a representative of black or African-American faculty.

The dean is expected to take an active role in decision making that may or may not be in agreement with faculty and/or department heads and that may involve identification of needs that have not been made explicit in department reports, or that recommend the orchestration of joint programs and ventures, and the development and execution of alternative means for doing the work of the college. The Office of the Dean, like all other administrative offices, carries no tenure. The dean serves at the will of the chancellor or vice president normally for a five-year term that may be renewed. The chief academic officer shall conduct annual reviews of the dean, including surveys of tenured, tenure-track, and non-tenure-track faculty as well as staff. Written feedback from annual reviews shall be provided to the dean and to members of the college participating in the surveys. The decision to reappoint a dean to a new term shall be made after a reappointment review, based on annual reviews and written evaluations by the chancellor or vice president. In no case should a judgment on retention or non-retention be made without consultation with the faculty, who are involved to a degree at least co-extensive with their role in the selection process.

1.4.2 Deparment Head

In discipline-specific colleges not organized into schools or departments, the dean serves as both dean and department head. In this handbook, the term “department head” includes administrators with other titles, such as director, who performs the duties of a unit administrator, where the basic administrative units are typically departments, but not always (e.g. schools). The head is a member of the faculty who is assigned the special duty of administering the department. The head is appointed in consultation with the faculty of the unit that he or she will administer.

The head’s responsibilities include

  1. providing leadership for the departmental academic program in relation to the comprehensive academic program of the university
    • a. recruiting faculty and staff
    • b. working with faculty to plan, execute, and review curriculum
    • c. encouraging and supporting faculty teaching, research and creative activity, and public service
    • d. counseling and advising students majoring in the discipline
    • e. representing the department to the public, the other faculty and administration, colleagues at other universities and institutions, and the constituency supporting the university
  2. providing leadership for the infrastructure necessary for support of the academic programs through
    • a. employment and supervision of clerical and supporting personnel
    • b. management of departmental physical facilities and planning for space and equipment needs
    • c. resource enhancement
    • d. preparation, presentation, and management of the departmental budget
    • e. authorization of all expenditures from the department budget
  3. planning annual performance and review faculty and staff

1.4.3 Effective Deparmental Governance

Successful governance of a department is critical to achieving the teaching, research, and service missions of the unit. The collaboration of the department head and the departmental faculty is an essential cornerstone of this success. This collaboration is best implemented through departmental bylaws that define the policies and procedures of the department, and a departmental strategic plan that articulates the vision for the future of the department. Ideally, the head is but one voice in the construction of such documents with the added responsibility of guiding the faculty toward a clear articulation of their policies and vision. Faculty members are responsible for participating constructively in the creation of these documents, which should represent a strong departmental consensus. Departmental bylaws must be congruent with college and university rules, and the Faculty Handbook. The bylaws address issues, such as the governance structure of the department; search process for new tenure-track faculty; departmental voting protocols; criteria for promotion, retention and evaluation of tenure-track and tenured faculty members; selection, evaluation and roles of non-tenure-track faculty members in the department; input into criteria for evaluation of department heads; application of faculty evaluations to salary adjustments; and the role of the faculty in setting departmental budget priorities. A departmental strategic plan discusses the needs, goals, and aspirations of the department, providing guidance to both the head and the faculty members about achieving departmental objectives in teaching, research and service. Such plans should be constructed and revised as necessary in the context of college and university goals.

Departmental bylaws and the strategic plan provide the head with guidance for day-to-day decisions about conducting personnel evaluations, handling budgetary responsibilities, dealing with facilities issues, improving the student experience, achieving appropriate diversity goals, and representing the department to the college and university. The head conducts regular faculty meetings (at least two per semester), and facilitates the work of departmental faculty committees as outlined in the bylaws. After approval by the dean, the head conducts searches for new faculty and staff members in accordance with departmental bylaws and university policies. The head meets annually with each faculty member to conduct a performance review and write an evaluation, in accordance with departmental bylaws, the Faculty Handbook and the Manual for Faculty Evaluation.

1.4.4 Selection of Department Heads

The head is appointed to a five-year term, serving at the will of the dean, and can be reappointed by the college dean. Prior to initiating a search for a new department head, the departmental faculty meets and drafts a statement, using input from all departmental constituencies including minority opinions, that is sent to the dean, containing their expectations for the position in the context of the departmental vision and their recommendation for an internal or external search. This communication is followed by a meeting of the dean with all departmental faculty members. Typically, the dean’s decision to conduct an external or internal search is a function of departmental, college, and institutional priorities and budget. The dean will communicate a decision to the departmental faculty about the search with allowance for response and discussion, particularly where the decision of the dean disagrees with the departmental expectations. However, the dean's decision is final and must be consistent with the university's diversity and equity policies.

For internal and external searches, the dean appoints the chair of the search committee from outside the department. Departmental tenure-track and tenured faculty members collectively recommend a slate of departmental faculty for the search committee, from which the dean selects all departmental representatives on the search committee. A majority of the search committee is composed of tenured faculty members of the department, representing the academic constituencies of the unit, but the committee may include representation from tenure-track faculty members, non-tenure-track faculty members, students, and where appropriate, faculty members from outside the department, as covered by departmental bylaws. According to UT’s requirements for upper-level searches, committee members must include a representative of black or African-American faculty. The dean has responsibility to assure appropriate representation in search committee membership. The search committee follows the institutional procedures for an upper-level search as published by the Office of Equity and Diversity. After all candidates for the headship are interviewed, the departmental personnel meet to discuss their preferences. While all departmental constituencies have input into the discussion, only the tenure-track and tenured faculty members conduct an anonymous vote for their choice, unless non-tenure-track faculty are otherwise permitted by departmental bylaws to vote in department head selections. A summary of the faculty discussion and a record of the vote become part of the narrative that the search committee submits to the dean with the recommendation of the committee about candidates for the headship. Normally, the vote of the faculty guides the decision of the search committee. Similarly, the vote of the faculty and the recommendation of the search committee guide the decision of the dean. If the dean’s choice of candidate for the headship disagrees with the vote of the faculty, he or she will provide reasons in writing to the departmental faculty and offer the tenure-track and tenured faculty members as a group the opportunity to discuss the decision. The faculty has a right to meet with the chancellor or vice president about the dean’s decision.

1.4.5 Annual Evaluation of Department Headss

Departmental faculty members provide annual objective and systematic evaluation of the head to the dean of the college, following procedures stated in departmental bylaws that are consistent with university policy(2). The dean meets with the head annually to discuss job performance. This discussion is based on the review of the departmental faculty and the evaluation of the dean. The dean provides a summary assessment, including goals established for the coming year, which is available for inspection by departmental faculty.

(2) In cases where a department head reports to more than one dean, unit bylaws determine inclusion of additional supervisors.

1.4.6 Reappointment of Department Heads

Reappointment decisions involve a five-year review based on annual reviews by the departmental faculty and written annual evaluations by the dean. The reappointment review is written by the dean, including a recommendation for or against reappointment. The departmental personnel meet to discuss reappointment of the head, and are given the dean’s review to consider. While all departmental groups, including faculty, staff, and students, have input into the discussion, only the tenure-track and tenured faculty members conduct an anonymous vote about reappointment. This vote guides the reappointment decision of the dean. If a dean’s decision is the opposite of the departmental faculty, he or she provides reasons in writing to the department and offers the tenure-track and tenured faculty members as a group the opportunity to discuss the decision. The faculty as a whole has the right to request a meeting with the chancellor or vice president should they continue to disagree with the dean. Once the decision is made, the dean either reappoints the head or begins the process of selecting a new head when reappointment does not occur.

1.5 Shared Governance

The responsibilities of the faculty in the governance of the university are important and varied. They are discharged in two basic ways: (1) through the work of the Faculty Senate (regarding the general policies of the campus as a whole), and (2) through the work of faculty and faculty committees within departments, colleges, and the university as a whole. Faculty members should be active participants in deliberations and decisions on all policy and procedure committees. At the same time, the perspectives of administrators, students, and professional and support staff are essential to shared governance. It is the responsibility of the faculty to work collaboratively with these and other university constituencies.

The university practices shared governance. It acts on principles derived from in-depth conversation among faculty representatives and academic administrators that are in accordance with the following principles:

  1. communication—regular and timely sharing of information among faculty, staff, students, administration, and trustees
  2. faculty responsibility—primary role in determining curriculum, educational policy, standards for evaluating teaching and scholarship, selection of new faculty, and promotion and tenure
  3. faculty representation in university decision-making that directly or indirectly affects faculty ability to function effectively
  4. timely consultation between faculty and administrators on academic matters
  5. peer nomination of faculty to serve on university committees

The process of shared governance depends upon

  1. transparency—of information and responses of others, so that constituents are able to fully understand policy and related issues
  2. accessibility—to information and the responses of others, so that constituents are able to consider various perspectives adequate time—to reflect on information and the responses of others as well as share one’s own response, so that constituents can fully participate
  3. adequate time—to reflect on information and the responses of others as well as share one’s own response, so that constituents can fully participate
  4. opportunity—to communicate collaboratively, so that constituents can reach decisions that serve the common good
  5. consistency—in the process of shared governance, so that an atmosphere of openness and trust prevails

Dissemination of information is only one part of the process. Responses from constituents need to be shared as appropriate, where a record of these responses is available to everyone who chooses to review this information. The open sharing of constituent responses requires that gathered information be put in a useful form accessible to the community. In many cases, face-to-face dialogue provides the best opportunity to communicate collaboratively. While the senate and other university committees provide a major source of faculty representation in shared governance, faculty should have the opportunity to share their input prior to the establishment of policy related to academic matters and the welfare of the university community. All faculty members are expected to accept the responsibility of shared governance and act as good university citizens through service on committees, task forces, and the senate.

 

1.6 The Faculty Senate

The Faculty Senate is authorized, subject to the approval of the chancellor or vice president, the president, and the Board of Trustees, to formulate policies and regulations regarding the general educational objectives of the university, including those policies and regulations related to the overall general requirements for admission, readmission, retention, graduation, and honors for the degree programs and certificate programs of The University of Tennessee. The faculty role in campus-wide governance is through the senate, the representative body specifically charged by the board (a) to formulate the university’s educational standards and degree requirements, including approval of academic programs and their curricula; and (b) to consider, advise, and recommend to the administration policies about a wide range of issues affecting the general welfare of the faculty. Among these issues are

  1. criteria for faculty appointment, dismissal, evaluation, promotion, tenure, and retirement
  2. criteria for the selection of the chancellor or vice president, and other campus administrative officers
  3. criteria for the selection of the president and other statewide executive officers of UT (in conjunction with other faculty senates or corresponding bodies of the other entities within the UT system)
  4. priorities for the university development plan
  5. changes in physical facilities
  6. policies regarding student life, rights, and responsibilities
  7. coordination with the faculty senate president to nominate faculty members for service on university committees

The senate is authorized to review curriculum, including admission and graduation requirements for programs of all academic units. The review process takes place through designated committees at the college and university level, proceeding to the senate through the Undergraduate and/or Graduate Councils and the Educational Policy Committee. Departmental proposals for the curriculum are transmitted by a departmental representative (or head) for review by divisional, college, and university committees. The head does not have veto power in curricular recommendations approved by departmental faculty, although it is important for college and university committees to have full benefit of the head’s advice and judgment about such recommendations. Each academic unit is represented on the senate by an equitable number of senators as stated in the Faculty Senate Bylaws. Other faculty members may serve on faculty senate committees and task forces to assist in this process.

The senate has no management or administrative functions either in itself or through its committees, since such functions are expressly reserved to the president (as delegated by the board of trustees) and through the president to the chancellor or vice president. But the advice and recommendation of the senate about all of the concerns listed above is considered carefully by all administrative officers. The Faculty Senate Bylaws contain detailed information about the operation of the senate, its organization, officers, meetings, committees, appointment of faculty members to senate committees and task forces and recommendation of faculty members to serve on administrative committees and task forces. Administrative committees and task forces are determined by the chancellor or vice president. Other task forces are established by the senate according to its bylaws. In an effort to act on shared governance, the chancellor or vice president works closely with the senate president in establishing joint task forces.

1.7 Faculty Role in Selection and Evaluation of University Administrators

All administrators at the department head level or higher who have responsibilities touching or affecting the academic programs of the university must understand and respect the values of the academic profession and its ethos of commitment to freedom in open and objective inquiry. That is why the university seeks always to ensure appropriate faculty participation in the appointment of its administrators. The faculty should nominate their peers who serve on search advisory committees, interview prospective candidates, and submit evaluations of those candidates for academic administrative offices.

The faculty will be involved in the annual evaluation of department heads, deans, and chancellor or vice presidents and their staffs through a process approved by the Faculty Senate. A more extensive evaluation, including a survey, is conducted during the fifth year of the five-year appointment. Input is sought from all faculty across the university, or within the college or department, as appropriate.

1.8 Faculty Role in Budget Making

Faculty judgments about the academic program have significant bearing on the shape of the budget, and budgetary decisions affect the shape of the academic programs. The faculty are asked to participate in establishing major institutional priorities in several ways. The Faculty Senate, through its Undergraduate Council, Graduate Council, and Educational Policy Committee, gives approval for establishing new programs and for terminating existing ones. Administrative judgments about the costs of these programs inform this deliberation and in turn are affected by the judgments of the faculty as to the pedagogical and intellectual soundness of such proposals. Deans, department heads, and the chancellor or vice president consult with appropriate faculty groups at their respective levels concerning the general fiscal implications of decisions about the curriculum, enrollment, class-size, and admission policies. The Faculty Senate Budget Committee participates in the presentation of budgetary needs presented to the chancellor or vice president on an annual basis. The chair of the senate budget committee serves on the Executive Budget Committee.

1.9 Other Useful University Policy Documents

Faculty should be aware of university policy guidelines related to their work: