4.18 / Review for Tenure or Promotion: Procedures

Nomination for Review for Tenure and Promotion:
 

Department Review for Promotion and Tenure: ¹
The candidate will present a primary dossier and may prepare a secondary 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 chairperson's nonevaluative role statement, statements of evaluation by the committee and administrator at each level of review and rebuttals (if any are filed), letters of external review and any rebuttals to those letters, 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 chairperson 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 chairperson will make copies of the primary dossier available for all voting faculty.

Secondary Dossier: A secondary dossier may be submitted to the chairperson 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, letters of external reviewers (if any were obtained) and rebuttals (if any were filed), 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).  The secondary dossier will not be duplicated but will be available to committee members.

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 may be added 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 included in the primary dossier.

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 faculty will develop appropriate procedures for the review, subject to the approval of the college dean.  Each eligible person except the department chairperson 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 or University level.  In departments having fewer than three faculty members with appropriate rank, the college faculty will develop appropriate review procedures subject to approval of the college dean.  Each eligible person, excluding the department chairperson, 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.

Chairpersons 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 chairperson's separate recommendation will be sent to the dean by the department chairperson.  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 chairperson 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 chairperson'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 chairperson 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 chairperson'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 chairperson and/or the chair of the departmental tenure and promotion committee, at the candidate's option, to discuss the decision.

College 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 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 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 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 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 deliberations and the dean's separate recommendations will be sent by the dean to the Provost and Vice President for Academic Affairs and Research.  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 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 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 chairperson of the college committee, at the candidate's option, to discuss the recommendation.

Nomination and Review of Academic Services Faculty:
Faculty eligible for tenure or promotion review and not assigned to an academic college or department will be nominated and reviewed for tenure and promotion within their administrative units according to procedures consistent with those used in academic colleges.

University Review of Nominees for Tenure or Promotion:
The Provost and Vice President for Academic Affairs and Research 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 Vice President for Academic Affairs and Research 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 Vice President for Academic Affairs and Research to acquire the information, which will be placed in the primary dossier.  Consistent with college procedures the Provost and Vice President for Academic Affairs and Research 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 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 Vice President for Academic Affairs and Research 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 Vice President for Academic Affairs and Research in writing of its final ballot on each case.  Any person not recommended by the University committee may request meetings with the Provost and Vice President for Academic Affairs and Research and/or the chairperson 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 Vice President for Academic Affairs and Research's separate recommendations will be sent by the Provost and Vice President for Academic Affairs and Research 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 Vice President for Academic Affairs and Research 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 Vice President for Academic Affairs and Research 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 chairperson, 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 Vice President for Academic Affairs and Research 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 use of external peer reviews is optional.  In deciding whether or not to seek external peer reviews, candidates should assess how they can best make an effective case that they have met college and University criteria for tenure and/or promotion.  For those candidates who elect to employ external review, a standard procedure should be followed.  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 secondary 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 if external reviews are to be obtained:
 

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.

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 Vice President for Academic Affairs and Research 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 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 faculty will develop appropriate procedures for the review subject to the approval of the college dean.

The review committee at the college level is the College 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.  Members are elected or appointed for either two- or three-year terms (depending upon the college 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 chairperson 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 chairperson.  The dean is the administrator at the college level, and the Provost and Vice President for Academic Affairs and Research is the administrator at the University level.

Calendar - A Tenure and Promotion Calendar will be developed and publicized each year by the Provost and Vice President for Academic Affairs and Research or the Vice President's delegee.

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, a standard the required cover sheet, copies of annual reviews and any rebuttals for untenured faculty, the chair’s nonevaluative role statement, statements of evaluation by the committee and administrator at each level of review and any rebuttals, a role statement from the department chairperson, the annual reviews for untenured faculty, letters of external review and any rebuttals, and items added during the review process. and such other statements as may be developed 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, letters of external reviewers (if any were obtained), 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.

Academic Services Faculty - Persons holding unclassified appointments carrying faculty rank who serve in units other than degree-granting colleges are academic services faculty.

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.

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 faculty and as incorporated in the college 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 Vice President for Academic Affairs and Research.

Revision Date:
September 29, 1998
April 16, 1999

November ___, 2008