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4.10 / Interpretative Statements on Tenure

Acting under the provisions of the Kansas Board of Regents Tenure Policy and Promotions in Academic Rank Policy, the University may award tenure or promotion to faculty members based on demonstrated excellence in scholarship, teaching/librarianship, and community and professional service.  The granting of tenure or promotion is at the initiative of the University and is based on sustained achievements demonstrating that the faculty member meets the qualitative and quantitative standards of the appropriate discipline and the requirements of the University.  Tenure or promotion is not acquired simply by meeting assigned duties with a record free of deficiencies.

Tenure or promotion is conferred on the basis of (a) the qualifications of the individual, (b) the objectives and needs of the University's academic programs, and (c) the resources of the University as these are determined by faculty committees and administrator's reviews at departmental, college/school/University Libraries, and University levels.

Revision Date:
April 16, 1999

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4.12 / Nontenurable Positions

Only those in probationary positions are eligible for tenure.  Positions at Wichita State University that are not eligible for tenure are those which are part-time, carry the rank of assistant instructor, have less than a 50 percent assigned responsibility for teaching, librarianship, research, scholarship, and/or creative activities, or are designated as temporary.

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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:

1. 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. contract.  
2. 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 academic appointment and is not counted if their academic appointment is less than half-time (.5EFT).  
3. 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.
    

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 Vice President for Academic Affairs and Research to department chairpersons.  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 chairperson 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 Vice President for Academic Affairs and Research.

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 chairperson 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 chairperson of the committee of tenured members records the evaluation and the vote of the group.  The department chairperson 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 chairpersons 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 feels 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 chairperson and the dean,  shall determine the advisability of early nomination according to the following criteria of eligibility:

1. The faculty member shall hold the rank of assistant professor or above.
2. 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:

1. The tenure review shall be conducted under the standard deadlines, policies, and procedures governing tenure considerations at that time.
2. 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 chairperson to the dean and the Provost and Vice President for Academic Affairs and Research.  In such cases where additional consultation is deemed desirable, the dean or Provost and Vice President for Academic Affairs and Research may convene the college/school/University Libraries or University-level committees to effect an ad hoc tenure review panel.

The Provost and Vice President for Academic Affairs and Research 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. award of tenure.

Revision Date:
September 29, 1998

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, the Provost and Vice President for Academic Affairs and Research and the President., the University Tenure and Promotion Committee, the college, and in some instances the departments.  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/School/University Libraries Guidelines and Criteria:
Detailed guidelines and statements of criteria for tenure and promotion have been adopted by all the colleges/school/University Libraries and academic services, 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.

The college and academic services 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 and academic services 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 service conducted while the candidate has been employed at Wichita State 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 Vice President for Academic Affairs and Research will be notified by the University Tenure and Promotion committee that the contradiction needs to be corrected, and that 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 service conducted while the candidate has been employed at Wichita State 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/UniversityLibraries.

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 (.5EFT) 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; librarianship; (2) 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/UniversityLibraries, 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 the 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.

Revision Date:
September 29, 1998
April 16, 199

4.16 / Tenure and Promotion Calendar

A Tenure and Promotion Calendar, giving actual dates, will be developed and publicized each year by the Provost and Vice President for Academic Affairs and Research or the Vice President's designee, based on the following "generic calendar."
 

Revision Date:
September 29, 1998
April 16, 1999
October 4, 2001
April 1, 2005
April 1, 2006

4.17 / Tenure and Promotion - Outline of Process of Review

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

1. Nomination for review.
2. Departmental review of nominees by the departmental committee and by the chairperson.
3. 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.
4. In favorable or appealed cases, University review of college/school/University Libraries nominations by the Tenure and Promotion Committee.
5. In favorable or appealed cases, review of recommendations by the University President for final decision.

Revision Date:
September 29, 1998

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.  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.

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 any are filed), letters of external reviewers (if any were obtained) and 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 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 candidates case arrive after the deadline for adding materials to the secondary dossier, the candidates 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.

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/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 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/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.

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/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 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 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 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 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 Vice President for Academic Affairs and Research and the President to discuss the recommendations.  The candidate may invite a faculty colleage to accompany him/her, in either case.

Use of External Evaluation:
The use of external peer reviews is optional.  Members of the review committee typically expect to find external reviews in the files of all candidates.  When external reviews are not employed, an explanation should be provided in the candidate’s statement.  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/school/University Libraries and University criteria for tenure and/or promotion.  The importance of external peer reviews varies among disciplines.  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 secondary dossiers.

External reviewers should be distinguished scholars 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 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/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 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 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, a standard cover sheet, a role statement from the department chair, the annual reviews for untenured faculty, 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.

Refereed:  An article counts as “refereed” when it has been carefully 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 Vice President for Academic Affairs and Research.

Revision Date:
September 29, 1998
April 16, 1999

4.19 / Tenure and Promotion Committee

Composition (12 members)

            6 Chairs of the Tenure and Promotion Committees of the degree-granting college/school

            1 Chair of the Tenure and Promotion Committee of the University Libraries

2 Faculty-at-large
1 Student (non-voting)
2 Ex officio: (non-voting) Provost and Vice President for Academic Affairs and Research, Dean of the Graduate School.  Ex-officio members shall not be present at the meeting when final votes are taken.

Selection:
Chairs of Tenure and Promotion committees in the degree-granting college/schools and for University Libraries are chosen according to procedures established in their respective college/school/University Libraries, or unit. They are elected to two-year staggered terms. Faculty at-large are selected according to standard procedures for naming members to Faculty Senate committees, except that they shall be from different Faculty Senate divisions, and shall be full-time, tenured faculty members with the rank of associate professor or higher.   Faculty at-large members serve for three years. Ex officio and faculty at-large members may not serve while a candidate for promotion or incentive review, or while on sabbatical leave.  Replacement appointments shall be made as needed, following standard procedures.

Charges:  

1.  Implement university-wide policies and procedures for awarding tenure and promotion.

2.  Coordinate the Tenure and Promotion Calendar.

3.  Specify the format for documentation in support of Tenure and Promotion Review, with a view to developing comparable standards throughout the University while recognizing essential college/school/University Libraries differences.

4.  Formulate transmittal, reporting, and appeals procedures for awarding tenure and promotion.

5.  Ensure that there are university-wide procedures for notifying the relevant administrators and those faculty members for whom tenure decisions must be made before reappointment.

6.  Review tenure and promotion cases in accordance with the University Tenure, Promotion, and Appeals Procedure.

7.  Review college/school/University Libraries guidelines for Tenure and Promotion according to the schedule below ensuring the guidelines are consistent with university guidelines.

8.  Report to the Full Senate for review issues of concern in tenure policies and tenure and promotion guidelines.

The functions of the tenure and promotion committee shall be:

1.  To implement University-wide policies and procedures for awarding tenure and promotion.  This shall include such items as:

1. Tenure and promotion calendar.
2. The format for documentation in support of tenure and promotion review with a view to developing comparable standards throughout the University while recognizing essential college differences.
3. Transmittal, reporting, and appeals procedures.
4. Consideration of information to be provided by the administration, when the committee requests it, about patterns of promotions related to time in grade; promotion projections based on current faculty rank ratios and historical precedent; patterns of promotion across comparable universities; study of changing tenure and promotion guidelines of organizations such as AAUP, NCATE, Regents, and the like; and budgetary restrictions.

2.  To ensure that there are University procedures for notifying the relevant administrators and those faculty members for whom tenure decisions must be made before reappointment.

3.  To review tenure and promotion cases in accordance with procedures defined in tenure, promotion and appeals procedure and approved by the University faculty.

4.  To review every three years the guidelines for tenure and promotion adopted by the various colleges and units from the perspective of their review of tenure and promotion cases from throughout the University.

5.  To identify to the faculty affairs committee problems in tenure policies and tenure and promotion guidelines within 30 days of submitting their final recommendations to the Provost and Vice President for Academic Affairs and Research.