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Post-tenure Review Criteria and Procedures for the Mathematics Department

Policy
Procedure
Purpose: 

To articulate the criteria and procedures for post-tenure review for the Mathematics Department.

Applies to: 

Tenured faculty in the Mathematics Department.

Campus: 
Lawrence
Policy Statement: 

General Principles: In accordance with Board of Regents requirements (II.C.8), Article 7 Section 4 of the Faculty Senate Rules and Regulations, and the University Policy on Post-tenure Review, the Department of Mathematics, hereafter referred to as the Department, has adopted these expectations and procedures for conducting post-tenure review. Post-tenure review is a process for periodic peer evaluation of faculty performance that provides an opportunity for a long-term assessment of a faculty member’s accomplishments and future directions in the areas of teaching/advising, scholarship, and service.

Post-tenure review must be conducted in a manner that respects the rights of faculty members involved, including academic freedom, tenure, and due process. In addition, all those involved in the evaluation process must recognize that it is a confidential personnel matter and take appropriate steps to protect confidentiality.

Period for Review: Faculty members will be reviewed once every seven years following the receipt of tenure with the review occurring in the unit(s) that conducts their annual evaluation. Post-tenure review covers the seven-year period leading up to the review, including the six prior annual evaluation letters and activities since the last annual evaluation. The cycle is restarted if a faculty member is evaluated for promotion or is awarded a distinguished professorship.  The time period when a faculty member is on medical or familial leave or that would otherwise be excluded when computing time in rank does not count toward this period. In addition, time serving as department chair, program director, dean or associate dean, or other administrative position subject to administrative review is excluded. The review may be postponed if it falls in a year when the faculty member is on leave. Faculty members on phased retirement or whose retirement date has been approved by the university will be exempt from review under this policy. The dean of the College will notify faculty members scheduled for post-tenure review no later than March 15th in the spring semester preceding the academic year of review. 

Unit Expectations: All tenured faculty members must meet academic responsibilities in the areas of teaching/advising, scholarship, and service. Unless otherwise specified by the job description or differential allocation of effort, the ordinary allocation of effort is 40% teaching/advising, 40% scholarship, and 20% service.

The Department has defined its standards and expectations for teaching/advising, scholarship, and service in its annual evaluation procedures. The expectations for post-tenure review are consistent with these standards, with overall productivity commensurate to the seven-year period under review. The following specific criteria shall apply for purposes of post-tenure review.

Criteria for Meeting Expectations in Teaching/Advising:

Tenured faculty members are expected to teach three courses per academic year. They are also expected to advise and/or mentor undergraduate and graduate students. Faculty members should have a consistent record of satisfactory student evaluations. Further evidence of successful teaching can be supplied by peer evaluations. Serving on or chairing M.A. and PhD committees, offering reading courses, and participating in the development of new courses are other ways to demonstrate active involvement with teaching and advising.

Criteria for Meeting Expectations in Research and Creative Activity:

Tenured faculty members should demonstrate a consistent record of scholarly activity during the previous seven-year period that is commensurate with the expectations of their rank. Examples of scholarly activity include regular publication of scholarly articles, books or other reports; attendance at regional, national or international professional meetings; active participation in local seminars, workshops and conferences. Hosting short-term visitors and mentoring postdocs are also other forms of scholarly activity that contribute to a faculty member’s research profile. Faculty members should also have an articulate plan of research and scholarly activities that will carry them forward during the next seven year evaluation period.

Criteria for Meeting Expectations in Service:

Tenured faculty members are expected to provide service to the Department by working effectively on departmental committees. Faculty should also serve the profession in various ways that include refereeing and/or reviewing journal articles, refereeing grant proposals, participating in activities of professional societies, serving on editorial boards, and organizing meeting, conferences or workshops. Service on College and University committees contributes substantially to a faculty member’s service record.

Relation to the Annual Evaluation. The Department’s post-tenure review (PTR) of each faculty member will be done by a PTR committee and is separate from the annual evaluations.

The Chair will discuss the post-tenure review with the faculty member in conjunction with the annual review. This discussion should concentrate on the future professional development of the faculty member with an aim toward enhancing meritorious work and improving less satisfactory performance, including adoption of a performance improvement plan, if necessary. Any action on the review that is within the scope of the Faculty Evaluation Policy must be taken under that policy.

Joint Appointments. The faculty member will provide both units with copies of the Faculty Member’s Statement section of the Post-Tenure Review File (reflecting the representative effort in each unit) and a current curriculum vitae. The review goes forward with each unit preparing a separate committee evaluation summary and considerations by each chair and/or director to the dean. Each unit will submit their review materials directly to the College Dean’s Office. In the case of a jointly appointed faculty and unclassified academic staff member outside of the College, the primary unit is responsible for the administrative protocols of engaging the secondary unit in the solicitation and collection of feedback relative to the evaluation of performance expectations in the secondary unit.

Review Committee: A Post-tenure Review (PTR) Committee, which shall consist of three tenured faculty members, will be formed for each faculty member under review. The members of the PTR committee shall be chosen by the department chair in consultation with the faculty member under review. The PTR committee will contain at least one person in or closely related to the faculty member’s research area. If appropriate, there may be some overlap between the different PTR committees. The department chair will serve as an additional (non-voting) member of each PTR committee.

No person may serve on any PTR committee during the year he or she or his or her spouse or partner is scheduled for review. If the chair/director is the spouse or partner of the faculty member under review, the “Chair or Director Evaluation Summary” shall be conducted by the Divisional Associate Dean. A committee member who believes that there may be a conflict of interest should withdraw from the committee. If a faculty member who is undergoing review believes that there is a conflict of interest, he or she may object to the inclusion of a member. If the member declines to withdraw, the remaining committee members (including the Chair, who will have a vote in this particular instance) shall consider the basis for the alleged conflict and decide the matter. A full professor may elect to be evaluated by a PTR committee of full professors. If a committee member withdraws or is removed based on a conflict of interest, the Chair will name a replacement.

Preparation of the File: Review will be conducted on the basis of a file that summarizes a faculty member’s teaching/advising, scholarship, and service. In contrast to evaluation for promotion and tenure, copies of publications and original student evaluations are not required. Also, outside reviews of scholarship should not be submitted.

Using the Faculty Member Statement, the faculty member under review shall provide a brief narrative statement of his or her accomplishments in teaching/advising, scholarship, and service during the review period as they relate to his or her long-term career path and goals. In addition, the faculty member shall submit a current curriculum vitae and a list of additional activities not covered on the curriculum vitae. The Chair will furnish copies of the faculty member’s annual evaluation letters for the six years during the review period.

Evaluation and Report: The committee will review the file and evaluate the faculty member’s overall performance and his or her contributions in the areas of teaching, scholarship, and service. Applying the expectations defined above, the committee will determine whether the faculty member’s performance in each area, as well as whether his or her overall performance meets expectations, exceeds expectations, or fails to meet expectations. In making its evaluations, the committee must bear in mind that (1) faculty members have differing responsibilities and make different kinds of contributions to the mission of the Department, the College, and the University; (2) a faculty member’s activities vary over time according to his or her strengths, interests, and career path; and (3) innovative work may take time to reach fruition and may sometimes fail.

Using the Unit Committee Report, the committee will prepare a written report summarizing its evaluation. The report should provide a narrative description of the faculty member’s activities, an explanation of the committee’s ratings, and recommendations or suggestions for acknowledgement of contributions and future development of the faculty member. The committee will provide a copy of the report to the faculty member, who may submit a written response for inclusion in the post-tenure review file before it is forwarded to the Chair.

Consideration by the Chair: The committee’s report (along with any faculty response) will be provided to the Chair. Using the Chair/Director Evaluation Summary, if the Chair agrees with the report, he or she will indicate that agreement in writing to the faculty member and place a copy in the post-tenure review file. If the chair or director disagrees with the committee’s evaluation, he or she shall explain the reasons for any disagreement in writing, with a copy to the faculty member and the committee. The Chair may ask the committee to provide additional information or reconsider the review. If the Chair disagrees with a positive evaluation by the committee, the faculty member may submit a written response. The Chair will forward the file to the dean of the College. Post-tenure review files are due in the College Dean’s Office by no later than noon, on the second Friday of March.

Consideration by the Dean: The faculty member’s post-tenure review file, including the unit committee’s report (along with any faculty response) and the Chair’s agreement or disagreement, is forwarded to the dean. Post-tenure review files are due in the College Dean’s Office by no later than noon, on the second Friday in March. The dean will consider the report and using the Dean’s Evaluation Summary, express his or her agreement or disagreement in the same manner as the Chair. Following the completion of review by the dean, if the dean agrees with the report, he or she will indicate that agreement in writing to the faculty member and place a copy in the file. If dean disagrees with the committee’s evaluation, he or she shall explain the reasons for any disagreement in writing, with a copy to the faculty member and the PTR committee. The dean may ask the committee to provide additional information or reconsider the review. If the dean disagrees with a positive evaluation by the unit committee, the faculty member may submit a written response. The dean will forward a summary of post-tenure review outcomes and copies of the post-tenure review files to the Provost, to ultimately be placed in the faculty member’s personnel file.

Appeals: Following the completion of the review by the dean, if a disagreement between the committee and the Chair or dean cannot be resolved or if the faculty member wishes to appeal an evaluation of “fails to meet expectations” in the overall evaluation or any category of responsibility, the matter will be handled as an appeal under the Department’s annual Faculty Evaluation Policy.

Report to the Provost: The dean will provide a summary of the results in the College and copies of the post-tenure review file to the Provost. The post-tenure review file will be placed in the faculty member’s personnel file.

Contact: 

Department of Mathematics
University of Kansas
405 Snow Hall
1460 Jayhawk Blvd
Lawrence, Kansas 66045-7594
kumath@ku.edu

Mathematics Chairperson:
785-864-3651

Approved by: 
The Faculty of the Mathematics Department
Approved on: 
Monday, April 28, 2014
Effective on: 
Monday, April 28, 2014
Review Cycle: 
Annual (As Needed)
Keywords: 
Post-tenure Review, Seven-year review, faculty review, Mathematics, MATH
Review, Approval & Change History: 

10/12/2015: Per the Interim Dean of the College of Liberal Arts & Sciences, the following was added to the template under Committee Review: If the chair/director is the spouse or partner of the faculty member under review, the “Chair or Director Evaluation Summary” shall be conducted by the Divisional Associate Dean.  Also added Dean’s review/acceptance under “Rank/Status/Change/History.”

08/28/2015: Added new template language to “Period for Review.”

08/18/2015: Updated links to CLAS PtR Forms

04/24/2015: Updated CLAS PtR forms and added links to each form within the policy statement.

04/03/2015: Fixed broken link to Board of Regents Policy Manual.

02/18/2015: Updated joint appointment section to include new boilerplate language.

12/18/2014: Updated to provide the current link to the Board of Regents Policy Manual.

11/20/2014: Updated to provide the current link to the Board of Regents Policy Manual.

04/30/2014: Reviewed and accepted by the College of Liberal Arts & Sciences Dean’s Office

04/28/2014: Approved by Mathematics Department faculty vote.

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