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FACULTY SENATE

4.13 / Tenure Policy


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4.13 / Tenure Policy
The Kansas Board of Regents has adopted the following policy regarding tenure and academic freedom of faculty at Regents institutions.
1.  After the expiration of a probationary period, teachers or instructors should have permanent or continuous tenure, and their services should be terminated only for adequate cause, except in the case of program or unit discontinuance or under extraordinary circumstances because of financial exigency.

2.  In the interpretation of the principles contained in section 1 of this policy, the following is applicable:

The precise terms and conditions of every appointment should be stated in writing and be in the possession of both institution and teacher before the appointment is consummated.


Beginning with appointment to the rank of full-time instructor or a higher rank, the probationary period should not exceed seven years, including within this period full-time service in all institutions of higher education; but subject to the proviso that when, after a term of probationary service of more than three years in one or more institutions, a teacher is called to another institution it may be agreed in writing that his new appointment is for a probationary period of not more than four years, even though thereby the person's total probationary period in the academic profession is extended beyond the normal maximum of seven years; except when the interests of both parties may best be served by mutual agreement at the time of initial employment, institutions may agree to allow for more than four years of probationary service at the employing institution provided the probationary period at that institution does not exceed seven years.  Notices should be given at least one year prior to the expiration of the probationary period if the teacher is not to be continued in service after the expiration of that period. 


If an untenured faculty member becomes a parent through birth, adoptive placement, or adoption of a child under the age of 5 prior to May 1st of the fifth year of the probationary period, that faculty member, upon notification to the institution's chief academic officer, shall be granted a one-year delay of the tenure review.  Notification must occur within 90 days of the birth, adoptive placement or adoption.  Faculty members retain the right to opt out of this interruption policy. 


Under unexpected special and extenuating circumstances, prior to the sixth year of service, and at the request of the faculty member and the appropriate dean, the chief academic officer of the university may grant an extension of the tenure clock for a maximum of one year.


No more than two extensions of the tenure clock may be granted to a faculty member for any reason.  Nothing in this provision shall be construed to guarantee reappointment of an untenured faculty member.   

3.  Within this general policy, each Regents institution may make such operating regulations as it deems necessary, subject to the approval of the board.
4.  Any tenure approved by the institution shall be limited to tenure for the recommended individual at the institution consistent with the tenure policies of that institution.

5.  In exceptional cases, the chief executive officer at a Regents institution may hire a faculty member with tenure without their having completed a probationary period.

6.  Decisions of the chief executive officer shall be final and are not subject to further administrative review by any officer or committee of the institution or by the Board of Regents.

Kansas Board of Regents, Policy Manual (1995 edition), Chapter II, Section F, Item 8 

Revision Date:
September 29, 1998
February 1, 2013

4.14 / Probationary Period
Time Limit:
The Regents tenure policy defines the time limit for the probationary period in Section 4.13 of this manual.  The following University regulations apply to the probationary period as defined in Kansas Board of Regents policy:
At the time of initial probationary appointment, agreement between the appointee and the institution must be reached on the prior service, if any, to be applied against the probationary period.  This agreement shall be contained in the initial letter offering the position and in the initial appointment letter.  
When a probationary period is interrupted by a leave of absence other than a scholarly leave, such leave will not be counted toward eligibility for tenure.  A scholarly leave will count toward tenure unless the faculty member and the university agree in writing to the contrary at the time the leave is granted.  If a faculty member takes a part-time administrative or other nonacademic appointment during the probationary period, that time is counted toward eligibility for tenure if he/she maintains at least a half-time (.5 FTE) academic appointment and is not counted if the academic appointment is less than half-time.  
If a faculty member terminates and subsequently returns to the university, rules for tenure consideration will apply as they do for previous service at other institutions of higher education.

During the probationary period a teacher will have the academic freedom that all other members of the faculty have. 

Annual Evaluation of Nontenured Faculty:
All faculty members holding half-time or more appointments who have not attained tenure will be evaluated at least once a year.  Faculty members will have the opportunity to present documentation of performance for the purpose of this evaluation.  The evaluation will be recorded by the department chair on official University forms provided by the Office of the Provost and Senior Vice President to department chairs.  In addition to reviewing the faculty member's performance during the preceding year, these annual reviews will also contain a section on "progress toward tenure" in which the faculty member's overall performance at WSU will be evaluated in the context of the tenure review which will occur at the end of the probationary period.  All annual reviews should be submitted for tenure and promotion consideration: however, these annual reviews do not constitute a definitive review for tenure.  The chair will review with the faculty member the results of the evaluation and transmit them to the dean.  Copies will be retained by the faculty member, the department, the college/school/University Libraries dean's office, and the Office of the Provost and Senior Vice President..
In order to ensure as consistent a review process as possible prior to tenure decision, the annual review of probationary members of a department is to be conducted exclusively by the tenured members of the department or the elected tenure committee of the department.  The chair of the department will be present.  Abstentions will not be registered except when a faculty member declares he/she has a conflict of interest concerning a case.  The chair of the committee of tenured members records the evaluation and the vote of the group.  The department chair shall provide a separate evaluation and recommendation.  The vote count, evaluations, and recommendation will be shared with the person being reviewed, who shall be afforded the opportunity to submit a written rebuttal to the evaluations.  In departments in which two or fewer members are tenured, an ad hoc review committee, consisting of tenured faculty members who might be involved in the ultimate tenure decision, shall be appointed by the dean of the appropriate college/school/University Libraries.  Untenured chairs shall not participate in their own reviews.

The annual evaluation is an important activity for which faculty members should be well prepared.  It is a cumulative record of performance that in the case of probationary faculty shows progress toward consideration for continuous tenure.

Early Consideration for Tenure:
Within the usual probationary period, a faculty member who believes he/she demonstrates exceptional merit may be afforded one opportunity to stand for tenure prior to mandatory review.  In such cases, the faculty member, in consultation with the chair and the dean, shall determine the advisability of early nomination according to the following criteria of eligibility:

The faculty member shall hold the rank of assistant professor or above.
The faculty member without prior higher education service shall have completed two years of full-time service at Wichita State University before early review may be undertaken at the departmental level.
Should the faculty member decide to stand for early tenure review, the following conditions shall apply:
The tenure review shall be conducted under the standard deadlines, policies, and procedures governing tenure considerations at that time.
A faculty member who is unsuccessful in the early application for tenure shall have the right to continue on probationary status and stand for mandatory tenure review without prejudice.
Initial Appointment with Tenure:
In exceptional circumstances an individual may be awarded tenure at the time of initial appointment.  Individuals being considered for appointment to an administrative position can be granted tenure at the time of appointment only on the basis of their scholarly and academic credentials.  Review for the award of tenure with initial appointment shall be initiated by the tenured faculty of the relevant academic department in accord with college/school/University Libraries and University guidelines in force at the time.
Department faculty recommendations for award of tenure with initial appointment shall be forwarded for action through the chair to the dean and the Provost and Senior Vice President.  In such cases where additional consultation is deemed desirable, the dean or Provost and Senior Vice President may convene the college/school/University Libraries or University-level committees to effect an ad hoc tenure review panel.

The Provost and Senior Vice President shall convey the recommendations to the President who shall review the recommendations and make the final decision.  The President shall notify the individual in writing of the final decision.

Revision Date:
September 29, 1998
October 13, 2009
February 1, 2013

 

4.15 / Tenure and Promotion - Guidelines and Criteria
Guidelines and criteria related to tenure and promotion are developed by the college/school/University Libraries faculty and in some instances the department faculty. They are approved by all the constituencies involved in the review process, including initiating faculty, the college/school/University Libraries faculty, the college/school/University Libraries dean, the University Tenure and Promotion Committee, and the Provost and Senior Vice President.  The subsections that follow identify the guidelines and criteria that are operative at the University level. Reference is also made to college/school/University Libraries guidelines and criteria.
General Policies for the Awarding of Tenure:
The judgments of all faculty committees in tenure decisions are to be based on the academic credentials, qualifications, and merits of the candidate. These judgments will always be made primarily at the departmental and college/school/University Libraries levels. Ranking of candidates for tenure is neither necessary nor appropriate.

College Guidelines and Criteria:
Detailed guidelines and statements of criteria for tenure and promotion have been adopted by all the colleges/schools/University Libraries, and in some instances at the departmental level. Each statement should include explicit statements of expectation for teaching, librarianship, research, scholarship, or creative activities, and academic and professional service. These statements should define the relative significance of different activities within each area and the nature of documentation which candidates must provide to establish their accomplishments in each area. The statements may specify guidelines for faculty with unusual appointments, consistent with the University guidelines for tenure or promotion contained below. It is acceptable to establish differential criteria for tenure or promotion for faculty with different assignments, so long as the differential criteria and the nature of the faculty assignments are clearly identified and recorded on the annual evaluation form.

Guidelines and statements of criteria for college/school/University Libraries and in some cases departments shall be submitted in the spring for review by the University Tenure and Promotion Committee on a three-year cycle. The purpose of this review is to ensure that the guidelines and statements are consistent with University guidelines and provide an adequate degree of clarity and specificity so that candidates for tenure and promotion will understand the criteria which will be utilized to evaluate their cases.

The college/school/University Libraries guidelines and statements of criteria developed for tenure and promotion shall be distributed annually to all untenured faculty at the time of their annual evaluation. The evaluation of individual candidates at the University level should take into account the degree to which the individual has met the guidelines as well as his/her role statement and annual performance criteria identified in the annual evaluation of untenured faculty. Consideration, in context of the candidate's entire career, will be given to teaching, librarianship, research, scholarship, creative activities, and the service conducted while the candidate has been employed at the University. If the guidelines in effect at the time of initial appointment differ from those in place at the time a tenure case comes forward for consideration, the current guidelines can be used in place of the earlier guidelines only if both the candidate and the department agree.

In cases where department and/or college/school/University Libraries policy contradicts University Policy, the appropriate department administrator, the dean of the college/school/University Libraries, the college/school/University Libraries Tenure and Promotion Committee and the Provost and Senior Vice President will be notified by the University Tenure and Promotion Committee that the contradiction needs to be corrected, and that the University policy will take precedence until the correction is in place.

University Guidelines and Criteria:
Promotion:
1. A terminal degree in a field appropriate to the discipline in which the candidate teaches or conducts research, scholarship, or creative activities is normally required for appointment or promotion to the rank of assistant professor, associate professor or professor. Exceptions to this guideline will require careful documentation based upon an adequate rationale.

2. Under normal circumstances, a faculty member should not expect to be considered for promotion with less than six years in rank.

3. The standards for teaching, librarianship, scholarship, and service for each rank are indicated below. The relative significance of teaching; librarianship; research, scholarship, or creative activities; and service may vary from case to case. Consideration, in context of the candidate's entire career, will be given to teaching, librarianship, research, scholarship, creative activities, and the service conducted while the candidate has been employed at the University.

Assistant Professor: Evidence is normally expected of the following: (1) demonstrated adequacy in teaching/librarianship; (2) potential for achievement in research, scholarship, or creative activity; and (3) some University service appropriate to the mission of the department and college/school/University Libraries.

Associate Professor: Evidence is normally expected of the following: (1) documented effectiveness of teaching/librarianship; (2) a record of research, scholarship, or creative activities which has earned recognition in professional circles at the regional or national level; and (3) some professional or University service.

Professor: Evidence is normally expected of the following: (1) sustained effectiveness in teaching/librarianship; (2) a record of substantial accomplishment in research, scholarship, or creative activities which has led to recognition in professional circles at the national level; and (3) demonstrated academic leadership in the form of service to the University and the profession.

Tenure:
All full-time faculty with 50 percent (.5 FTE) or more responsibility for teaching, librarianship, research, scholarship, and/or creative activities with the rank of instructor or higher must undergo review for tenure during their sixth year of employment at Wichita State University unless their employment at the University is to be terminated at the end of their seventh year of service. Those individuals given credit for prior experience in higher education at the time of initial appointment shall undergo review for tenure according to the policies stated.

Expectations of performance in and the relative importance of (1) teaching; (2) librarianship, research, scholarship, or creative activities; and (3) service will be defined at the time of the initial appointment. Specific performance goals will be established each year during the annual evaluation of untenured faculty. These expectations and goals form the foundation for evaluation for tenure in the context of the tenure criteria established by the faculty of the college/school/University Libraries, but do not constitute a definitive review for tenure. The terminal degree is preferred for the granting of tenure except in exceptional and well documented cases. The award of tenure normally requires documented evidence of effective teaching/librarianship and a record of research, scholarship, or creative activities which has earned recognition in professional circles at the regional or national level.

University Committee Procedures:
In the process of reviewing tenure and promotion cases according to its charge, the University Tenure and Promotion Committee applies the respective college guidelines as approved by the college/school/University Libraries and university tenure and promotion committees. It is important to emphasize that these guidelines are not rigid rules.

Tenure and Promotion Review Process:
The tenure and promotion review process is governed by the "Tenure, Promotion, and Appeals Procedures" document, which was adopted by the University faculty, May 1994. The text of this policy follows at Section 4.17 and Section 4.18 of this manual. Individual units may adopt by vote of the faculty of the college additional procedures, policies, and interpretive statements to govern their internal review of tenure and promotion cases, so long as those procedures, policies, and interpretive statements are consistent with all higher level procedures, policies, and interpretive statements, as determined in the triennial review of policies and procedures conducted by the University committee. These additional statements should be provided in writing to all candidates for tenure and promotion and to all probationary faculty at the time of their initial appointment and at each annual review.

Presidential Review of Nominees for Tenure or Promotion:
The laws of the State of Kansas provide that, subject to policies approved by the Board of Regents, the President shall appoint employees and administer the affairs of Wichita State University. In matters of tenure and promotion, the President has delegated the authority to make recommendations to certain faculty committees and administrators. However, the President retains the authority to make the final decision on the tenure and promotion of faculty members.

A person dissatisfied with committee or administrator recommendations concerning his/her tenure or promotion may, after exhausting the procedures and appeals in the tenure and promotion review process, petition the President of Wichita State University for a favorable decision on tenure or promotion.

4.16 / Tenure, Promotion, Professor Incentive Review and Post-Tenure Review Calendar
Any faculty member may nominate himself or herself for review for tenure or promotion.  Nominations may also be made by the chairperson.  For faculty members with probationary appointments, review for tenure must occur during or before the year prior to the last year of the probationary period.  No review for tenure will occur during the last year of a faculty member's probationary period. last year of a faculty member's probationary period.

January 1st Friday Office of Planning and Analysis notifies deans that information on faculty eligibility for tenure and post-tenure review is available in Reporting Services in a folder labeled "OPA - Faculty Teaching History Tenure and Rank
April 1st Friday Deadline for dean of college/school/university libraries to notify faculty sceduled for mandatory tenure review and post-tenure review with copi9es to the Provost and Senior Vice President
  3rd Friday Deadline for faculty applying for promotion, professor incentive review and/or early tenure review to notify chair
  3rd Friday Deadline for candidates requestion external review to notify chair and dean
May 1st Friday Deadline for chair to notify dean of faculty applying for tenure and/or pomotion or professor incentive review
  3rd Friday Deadline for sending initial request for external reviews, if any are tro be solicited.
  3rd Friday Deadline for dean of college/school/university libraries to notify the Provost and Senior Vice President of faculty schedules for early tenure review and/or promotion or professor incentive review
September 2nd Friday Deadline for completion of basic documents and secondary dossiers
  2nd Friday Deadline for chair to notify eligible faculty tenure and/or promotion files are available for review
October 1st. Friday Deadline for departmental reviews and votes on tenure and/or promotion and professor incentive reivew
  2nd Friday

Deadline for department to notify dean of recommendations, and with in two (2) working days after the department's notificiation, the dean will notify nominees of the department's recommendation, the chair's independent recommendation, and the candidate;s right to appeal a negative decision.
Deadline for department chair/academic supervisor to complete post-tenure review with faculty member

  3rd Friday Deadline for candidates to sign departmental cover sheet in dean's office indicating they have reviewed all documents being forwarded by the department
  4th Friday Deadlilne for submission of appeals of or rebuttals to department level recommendations to the dean
  4th Friday Deadline for inclusion of letters of external review
November 3rd Friday Deadlilne for college/school/university libraries  cinnuttee ti transmit recommendations to dean.
Deadline for department chair/academic supervisor to communicate with the dean about any post-tenure outcomes resulting with faculty member(s) not meeting expectations
December 1st Friday Deadline for dean to notify candidates and department chairs of committee's and dean's independent recommendatins and the candidate's right to appeal a negative decision or to rebut an evaluation statement
  2nd Friday Deadline for candidates to sign college cover sheet in the dean's office indicating that they have reviewed all documents being forwarded by the college and within two (2) working days after signing, the dean will transmit materials to the Provost and Senior Vice President
  Thursday (Prior to the 3rd Friday) Deadline for appeal of or rebuttal to college/school/university libraries level recommendations to the Provost and Senior Vice President
  3rd Friday Deadline for adding material to the secondary dossier
January 2nd week Regular meeting of the University Tenure and Promotion Committee
  4th Friday Deadline for University Tenure and Promotion Committee tor eport recommendations to the Provost and Senior Vice President and to notify candidates and department chairs of the committee's recommendatiosn and the candidate's right to rebut the committee's evaluation
February 1st Friday Deadline for submission of rebuttal statement by candidates to the Provost and Senior Vice President of the University committee's evaluation
  3rd Friday Deadline for notification of candidates of recommendations to be made by the Provost and Senior Vice President to the President
  4th Friday Deadline for University committee to identify problems in tenure policies and tenure and promotion guidelines to the Faculty Affairs Committee

March

1st Friday Deadline for appeals, rebuttals, and/or petitions to the President of nagative recommendations
April 1st Friday Final transmittal of Wichita State University decisions to the candidates
     
     


The process of review for tenure and promotion involves these steps:

Nomination for review.
Departmental review of nominees by the departmental committee and by the chair.
In favorable or appealed cases, college/school/University Libraries review of department nominations by the college/school/University Libraries tenure and promotion committee, and by the college/school/University Libraries dean.
In favorable or appealed cases, University review of college/school/University Libraries nominations by the Tenure and Promotion Committee and by the Provost.
In favorable or appealed cases, review of recommendations by the University President for final decision.
Procedures have been established for appeal in the case of an adverse tenure or promotion recommendation at the department and at the college level.  

4.18 / Review for Tenure or Promotion: Procedures
Nomination for Review for Tenure and Promotion:
1. The department chair will write to all full-time faculty members of the department to tell them that nominations of persons to be reviewed that year for tenure or for promotion must be given to the chair by a specified date. The chair must nominate all faculty whose tenure review is mandatory for that year. All others may be nominated by the chair or by the faculty member himself or herself.
2. The department chair will send copies of the list resulting from step 1 to all full-time departmental faculty and specify a second date by which any additional nominations must be provided in writing to the chair.
3. The department chair will confer individually with all nominated faculty members and provide information about departmental, college/school/University Libraries, and University criteria for tenure or promotion.
4. Except for those whose review for tenure is mandatory, faculty who have been nominated must inform the department chair in writing by a date specified by the department chair (which will be no sooner than two days after their conference) of the faculty member's decision to remain in nomination or to withdraw.
5. The final, typed list of those nominated will be sent to the dean and to all members of the department electorate. Each person on the list will be notified in writing by the dean that he or she is officially a candidate for promotion or tenure. In addition, the dean will inform the candidate of the criteria for tenure or promotion and will instruct the candidate to give his/her supporting materials to the department chair by a specified date.

 

Preparation of the Primary and Secondary Dossier:
The candidate will present a primary dossier and may prepare a secondary dossier. Only material contained in the primary and secondary dossiers and additional materials appropriately obtained and added to the dossiers may be used by the Tenure and Promotion Committee at each level.

The candidate is responsible for assembling the materials and reviewing the entire dossier to determine that it is complete and accurate. Adherence to established deadlines should ensure that the final dossier is complete at the time of submission. The candidate then submits the copy of the primary dossier and supplemental materials to the chair of her/his department. Once they have been submitted to the chair, these original materials cannot be changed or rewritten.

As the review proceeds through the various levels, the primary dossier and the secondary dossier will be in the custody of the administrator at each level. Items are added as attachments to the primary dossier by the administrator as called for in these procedures, but the administrator must give the candidate a copy of the additions and provide the candidate an opportunity to write a rebuttal that will also be added to the primary dossier.

Primary Dossier: The primary dossier consists of the basic document, the required cover sheet which records each step of the review process, copies of the annual reviews (and rebuttals if filed) for untenured faculty, the chair's nonevaluative role statement, statements of evaluation by the committee and administrator at each level of review (and rebuttals if filed), letters of external review (and rebuttals if filed), and items added during the review process. The basic document will follow the standard format recommended by the University Tenure and Promotion Committee and approved by the Faculty Senate. Deviations from the established format should be clearly explained. The basic document may be no more than 25 pages. The chair will provide a statement of the role of the candidate in the department which is purely descriptive and not evaluative. If the candidate's role involves a weighted distribution of responsibility among the three categories of professional activity, that should be indicated in the role statement. The chair will make copies of the primary dossier available for all voting faculty.

Secondary Dossier: A secondary dossier may be submitted to the chair by the candidate. It consists of such additional materials as the candidate wishes to submit. Examples might include, but are not limited to, copies of publications or other evidence of scholarship, copies of student evaluations or course materials, etc. The candidate may add items to the secondary dossier during the review process (see calendar in Section 4.16 of this manual). Should documentation significant to the candidate's case arrive after the deadline for adding materials to the secondary dossier, the candidate should notify the dean and the chair of his/her college/school/University Libraries committee who will add the material to the dossier. The chair of the committee will bring it to the attention of the next higher committee. The secondary dossier will not be duplicated but will be available to committee members.

Department Review for Promotion and Tenure: 1
The complete files of all faculty members under review in the department must be available for a reasonable time (at least five working days) to all voting faculty.

Tenure cases will be reviewed at a meeting of the tenured faculty of the department or a committee of tenured faculty chosen by these faculty members. In departments having fewer than three voting tenured faculty members, the college/school/University Libraries faculty will develop appropriate procedures for the review, subject to the approval of the college/school/University Libraries dean. Each eligible person except the department chair will vote on each case under consideration and will sign the tally sheet. The tally sheet will not identify individual voters with their votes but must account for all eligible voters. If a committee wishes, straw ballots may precede the final ballot. Only the votes on the final ballot are binding and recorded. Abstentions will not be registered except when a faculty member on a committee declares he/she has a conflict of interest concerning a case. A positive recommendation by the committee results when more than 50 percent of those casting ballots other than abstention have voted to recommend tenure. A copy of the tally sheet will be kept in the departmental office for three years.

Promotion cases will be reviewed at a meeting of the departmental faculty who hold rank equal to or higher than that for which the candidate is being considered or of a committee of those with appropriate rank chosen by these faculty members. The limitation of voting to persons of equal or higher rank need not apply to votes at the college/school/University Libraries or University level. In departments having fewer than three faculty members with appropriate rank, the college/school/University Libraries faculty will develop appropriate review procedures subject to approval of the college/school/University Libraries dean. Each eligible person, excluding the department chair, will vote on each case under consideration and will sign the tally. The tally will not identify individual voters with their votes but must account for all eligible votes. Straw ballots may precede the final ballot. Abstentions may occur only in cases involving declared conflict of interest. A positive recommendation will result when more than 50 percent of those casting ballots (i.e., other than abstentions) have voted to recommend promotion. Copies of the tally sheets will be kept in the departmental office for three years.

Chairs do not participate in their own evaluation or in evaluations of faculty when the chair has a conflict of interest. Such cases automatically go forward without prejudice for review at the next level.

The results of the departmental deliberations and the chair's separate recommendation will be sent to the dean by the department chair. When the committee's discussion of a candidate is complete, the committee chair will summarize in writing the committee's evaluation of the candidate. The department chair will also provide a written evaluation to accompany his/her recommendation for each case. These statements will be included in the primary dossier. The candidate will be provided an opportunity to review these statements and to file a written rebuttal in the primary dossier. In cases where the chair's recommendation differs from that of the voting faculty, the case will go forward to the next higher level without prejudice, and that transmittal will not constitute an appeal. The chair will also send forward the copies of the primary dossier and the secondary dossier.

The dean will inform each candidate in writing of the department's recommendations, the chair's recommendation, the right to appeal, and the procedures for appeal. The dean will also notify the candidate that he/she may request meetings with the department chair and/or the chair of the departmental tenure and promotion committee, at the candidate's option, to discuss the decision.

College/School/University Libraries Review of Nominees for Tenure or Promotion:
The dean will give a copy of the primary dossier of each faculty member favorably recommended for promotion and/or tenure and of all appealed cases to each member of the college/school/University Libraries committee and will indicate the location of the secondary dossiers. These materials must be available to the committee for at least five working days prior to deliberation.

The committee will meet with the dean to receive information about the schedule of meetings and about administrative matters related to the cases to be reviewed. The dean may also request other meetings with the committee. Each college/school/University Libraries shall adopt procedures regarding the role of the dean in these other meetings. If the committee discovers that information is lacking in a dossier, it can ask the dean to acquire the information. Consistent with the department procedures, the dean must provide the candidate a copy of the material and allow the candidate to write a rebuttal. The college/school/University Libraries committee may, at its option, adopt a policy which prohibits a committee member from the same department as a candidate for tenure or promotion from speaking about the case during the committee's deliberations. If such a rule is adopted, it must apply to all cases before the committee. If additional information about the departmental committee's deliberations is desired, the committee may request explanatory information to be submitted in writing from the chair of the departmental committee. This statement will be added to the primary dossier, and the candidate will be provided an opportunity to place a rebuttal in the primary dossier.

The committee will then consider the cases before it, whether regular or appealed. Straw ballots may be taken, but these are neither binding nor recorded. Abstentions will not be registered except when a faculty member on a committee declares he/she has a conflict of interest concerning the case. At a meeting without the dean each case will be discussed and the committee will conduct its final vote. A positive recommendation by the committee will result when more than 50 percent of those casting ballots other than abstention vote to recommend tenure or promotion.

The committee must notify the dean in writing of its final ballot on each case. (Note: The college/school/University Libraries committee may meet with the dean as it sees fit but it must hold a discussion on each case and take its final vote in the absence of the dean.)

The results of the college/school/University Libraries deliberations and the dean's separate recommendations will be sent by the dean to the Provost and Senior Vice President.   When the committee's discussion of a candidate is complete, the committee chair will summarize in writing the committee's evaluation of the candidate. The dean will also provide a written evaluation to accompany his/her recommendation for each case. These statements will be included in the primary dossier. The candidate will be provided an opportunity to review these statements and to file a written rebuttal in the primary dossier. In cases where the college/school/University Libraries committee's recommendation differs from that of the dean, the case will go forward to the next higher level without prejudice and the transmittal will not constitute an appeal. A positive recommendation requires the affirmative vote of more than 50 percent of those voting. The dean will also send forward the primary dossier and the secondary dossier.

The dean will notify each candidate in writing of the college/school/University Libraries committee's recommendation, the dean's recommendation, the right to appeal, if any, and the procedures for appeal. The dean will also notify the candidate that he/she may request in writing meetings with the dean and/or the chair of the college/school/University Libraries committee, at the candidate's option, to discuss the recommendation.

University Review of Nominees for Tenure or Promotion:
The  Provost and Senior Vice President  will give a copy of the primary dossier of each faculty member favorably recommended for tenure or promotion and of each appealed case to each member of the University committee. In addition, the  Provost and Senior Vice President will indicate the location of the secondary dossiers. The materials must be available to the committee for at least five working days prior to deliberations.

If the committee discovers that information is lacking in a primary dossier, it can ask the Provost and Senior Vice President to acquire the information, which will be placed in the primary dossier. Consistent with college/school/University Libraries procedures the Provost and Senior Vice President must provide the candidate a copy of the material and allow the candidate to write a rebuttal, which will also be placed in the primary dossier.

The committee will then consider the cases before it, whether regular or appealed. The committee may request a written response from the dean on matters of interpretation of evidence, the academic needs of the unit, or its current resources, but the committee will not invite the dean or other outside persons to meet with the committee. Consistent with college/school/University Libraries procedures, the candidate shall be provided a copy of any additional written material provided to the committee and shall be provided an opportunity to write a rebuttal. Both the statement and the rebuttal will be placed in the primary dossier. Straw ballots may be taken, but these are neither binding nor recorded. Abstentions will not be registered except when a faculty member on a committee declares he/she has a conflict of interest concerning a case. At a meeting without either the Provost and Senior Vice President  or the Dean of the Graduate School present, each case will be discussed and the committee will conduct its final vote. A positive recommendation will result when more than 50 percent of those casting ballots other than abstention vote to recommend tenure or promotion.

The committee must notify the  Provost and Senior Vice President in writing of its final ballot on each case. Any person not recommended by the University committee may request meetings with the Provost and Senior Vice President and/or the chair of the University committee, at the candidate's option, to discuss the recommendations. The candidate may invite a faculty colleague to accompany him/her.

The results of University committee deliberations and the Provost and Senior Vice President  separate recommendations will be sent by the Provost and Senior Vice President to the President. When the committee's decision on a candidate is complete, the committee chair will summarize in writing the committee's evaluation of the candidate. The  Provost and Senior Vice President will also provide a written evaluation to accompany his/her recommendation for each case. These statements will be included in the primary dossier. The candidate will be provided an opportunity to review these statements and to file a written rebuttal in the primary dossier. In any case where the proposed vice presidential recommendation differs from that of the University committee, the Provost and Senioir Vice President will meet with the committee to discuss the reasons for his/her position.

The President will notify the candidate, the candidate's dean, and the chair, in writing, of his/her decision by the calendar date. Any person not recommended by the President may request a meeting with the  Provost and Senior Vice President and the President to discuss the recommendations. The candidate may invite a faculty colleague to accompany him/her, in either case.

Use of External Evaluation:
The use of external reviews is required in all promotion and tenure reviews to demonstrate earned recognition in professional circles. External reviews are not part of the Professor Incentive Review process. The dean's office will assume responsibility for obtaining the reviews in accordance with the procedures described below. The same questions will be asked of all reviewers. In general, the dean may ask reviewers to comment on (1) the originality and creativity displayed in the candidate's research, scholarship, or creative work and (2) the significance of the work and its impact on the field. Reviewers will be specifically instructed not to remark on the promotability or tenurability of candidates. Candidates will receive a copy of the reviews which identifies the reviewer. If they wish to do so, candidates may provide their written rebuttal to the external reviews in the primary dossiers.

External reviewers should be distinguished scholars or recognized authorities in their fields capable of providing an unbiased professional assessment of the quality of the candidate's work.

The process for obtaining external reviews should be started at least two months before the campus review begins. The following process should be followed for external reviews:
1. The candidate will give the departmental chair the names and addresses of five potential external reviewers, six sets of reprints or copies of work that the candidate believes best represents his/her research, scholarship, or creative work, and six copies of a complete bibliography that clearly delineates the candidate's research, scholarship, or creative work. Any material that the candidate wishes to have returned should be so marked.
2. The department chair will forward to the dean information provided by the candidate along with five additional names and addresses of potential external reviewers. The department chair may wish to seek the counsel of the faculty in developing this list. For cause, the candidate may challenge to the dean the names selected by the department chair.
3. The dean will draw by lot three reviewers from each list of names supplied. Individual colleges/schools/University Libraries shall develop their own policies regarding pursuit of non-responding or late evaluators; these policies shall be applied consistently whenever external review is sought. If fewer than three responses are obtained within a reasonable time, the dean may send additional requests for reviews to other persons named on the original lists, in rotating order from both lists.
4. The dean will send to each reviewer a letter requesting a professional opinion of the quality of the candidate's work following the guidelines stated above, along with the material supplied by the candidate.
5. Copies of the reviewers' comments will be returned to the department chair and the candidate immediately upon receipt by the dean. The department chair will add the reviews to the candidate's primary dossier. The chair, in consultation with the candidate, will place in the primary dossier a brief summary of the reviewers' academic credentials. Candidates are permitted to place in the primary dossier comments on or rebuttals to the letters provided by reviewers.
6. Reviews can be added to the candidate's primary dossier up until the time that the college committee begins its deliberations on the candidate.

Appeal of Decisions Related to Tenure or Promotion:
A candidate may make only one appeal during the entire review process. The appeal is made to the next higher level. No hearing is provided, and the appeal must be written. Some typical reasons for appeal are violation of academic freedom, failure to follow procedures concerning time periods or committee operations, inadequate consideration, discrimination, etc.

The committee to which the appeal is made will give full consideration without prejudice to the case in that the committee will review it in the same manner as favorably recommended cases and will apply similar standards.

If the candidate's one appeal results in an unfavorable recommendation, the candidate's dossier will be forwarded directly to the President. The President will make the final decision regarding the candidate as provided in Regents policy without further recommendations.


No Publication of Names:
Names of faculty being considered for tenure or promotion will not be published. The right of privacy of such faculty members was affirmed by vote of the faculty on March 6, 1978.

Confidentiality of Proceedings:
All deliberations are confidential. However, confidentiality cannot be guaranteed if the case goes to litigation.

Disposition of Dossiers:
The Provost and Senior Vice President in each case will keep a copy of the primary dossier for three years and return to the candidate the remaining copies of the primary dossier and the secondary dossier.

Precedence of University Procedures:
If department and college/school/University Libraries tenure or promotion procedures differ from those of the University, University procedures take precedent.

Student Members:
Students will not cast a vote regarding the award of tenure or promotion to individual faculty members.

Definition of Terms:
Committee - The tenure review committee at the departmental level will consist of all tenured members of the department or a committee of tenured faculty chosen by those faculty members and reported in writing to the dean. In departments with fewer than three tenured members, the college/school/University Libraries faculty will develop appropriate procedures for the review subject to the approval of the college/school/University Libraries dean.

The review committee at the college/school/University Libraries level is the College/School/University Libraries Tenure and Promotion Committee. Members of this committee are all tenured, full-time faculty with the rank of assistant professor or higher. The total membership of the committee is an odd number, with a minimum of five members. The majority of the committee are elected by the faculty, according to a representational formula adopted by the college/school/University Libraries. Members are elected or appointed for either two- or three-year terms (depending upon the college/school/University Libraries policies), staggered to maintain continuity. If a replacement is required due to a resignation, the replacement is selected only for the duration of the unexpired term. The committee chair is elected by the committee. No person can serve on the committee in a year in which he or she is considered for promotion or for more than two consecutive terms.

The review committee at the University level is the Faculty Senate Tenure and Promotion Committee, whose general charge is established in the Faculty Senate rules. No person may serve on the University-level review committee in a year in which he or she is considered for tenure or promotion.

Administrator - The administrator at the departmental level is the department chair. The dean is the administrator at the college/school/University Libraries level, and the  Provost and Senior Vice President  the administrator at the University level.

Calendar - A Tenure and Promotion Calendar will be developed and published each year by the Provost and Senior Vice President  or the Provost and Senior Vice President's designee.

Documents - The basic document consists of the 25-page statement prepared by the candidate in accordance with the standard format. The primary dossier consists of this basic document, the required cover sheet, copies of annual reviews (and rebuttals if filed) for untenured faculty, the chair's nonevaluative role statement, statements of evaluation by the committee and administrator at each level of review (and rebuttals if filed), letters of external review (and rebuttals if filed), and items added during the review process. Candidates must be notified of any items added to the primary dossier and be provided an opportunity to submit a written rebuttal to such items, which will be included in the primary dossier. At each level of review, each committee member has a copy of the primary dossier. The secondary dossier consists of such additional materials as the candidate wishes to submit. Examples might include, but are not limited to, copies of publications or other evidence of scholarship, and copies of student evaluations or course materials, etc. Only one copy of the secondary dossier is maintained.

Mandatory Review Year - The next to the last year of the allowable probationary period is the mandatory review year.

Straw Ballot - A non-binding vote taken for the purpose of monitoring progress toward a final decision is a straw ballot.

Favorable Case - A favorable case occurs at any level of review if either the faculty committee or the administrator makes a positive recommendation concerning the case. Such cases automatically move forward for review at the next level.

Probationary Appointment - A probationary appointment is an appointment that may, on the basis of continuing satisfactory performance, lead to review for the award of tenure. However, probationary appointments carry no expectation or promise that review for the award of tenure will be undertaken or that tenure will be awarded. Probationary appointments are reviewed on an annual basis and may or may not be renewed. Probationary appointments may not be continued for more than seven years.

Refereed - An article counts as "refereed" when it has been reviewed and evaluated before publication by scholars or experts in the research topic of the manuscript.

Temporary Appointments - A temporary appointment is for a fixed term. Such appointments carry no rights to the consideration for the award of tenure.

1By action of the college/school/University Libraries faculty and as incorporated in the college/school/University Libraries handbook, a group of departments may decide to act as a division rather than as a single department. Such a decision must be approved by the dean of the unit and by the  Provost and Senior Vice President. .

Revision Date:
September 29, 1998
April 16, 1999
January 1, 2009
October 13, 2009
January 1, 2011
May 15, 2011
July, 2013
Calendar, July 2014