Promotion and Tenure UNIT Policy Check list for Initial Reviews

Does the document:

FSRR

YES/NO/COMMENTS

1. Include a statement that recommendations concerning promotion and tenure shall be made solely in accordance with the standards and procedures in Faculty Senate Rules and Regulations Article VI and the written criteria, procedures, and guidelines adopted pursuant to it?

6.1.1

2. Include, where appropriate, an indication that the unit’s promotion policies apply to unclassified academic staff who hold faculty equivalent rank (with due regard for their distinctive roles and professional responsibilities)?

6.1.1.4

3. State that consideration and evaluation of a candidate’s record is a confidential personnel matter and ensure this confidentiality?

6.1.3

4.  Specify candidates shall have access to written summary evaluations of their records, as described in section 6.3.4.2 and access to any request for information from the intermediate review committee or UCPT?

6.1.3.1

and

6.1.4.2

5. Indicate that these written procedures and criteria have been adopted by vote of eligible faculty or faculty body?

6.3.2 and 6.3.3

CRITERIA (as applicable in the unit)

6. Define “professional performance,” if applicable, for non-teaching faculty/unclassified academic staff, and include the expectations of the discipline? [Each administrative unit with non-teaching faculty/unclassified academic staff shall establish standards of professional performance, commensurate with the standards for the equivalent areas of teaching, scholarship and/or service established in FSRR Article VI to evaluate for promotion to equivalent ranks.]

6.2.2.4

7. Establish written criteria consistent with the standard, stating that the record for the award of tenure and/or promotion to associate professor must demonstrate effective teaching and describe multiple sources of information used for evaluation of teaching?

6.2.2 and 
6.2.2.2

8. Establish written criteria consistent with the standard that the record for promotion to the rank of professor must demonstrate continued effectiveness and growth as a teacher and describe multiple sources of information used for evaluation of teaching?

6.2.2.3

9. Establish written criteria consistent with the standard that for the award of tenure and/or promotion to the rank of associate professor the record must demonstrate a successfully developing scholarly career?

6.2.3.2

10. Establish written criteria consistent with the standard that for promotion to the rank of professor, the record must demonstrate an established scholarly career?

6.2.3.3

11. Establish written criteria consistent with the standard that for the award of tenure and/or promotion to associate professor, the record must demonstrate a pattern of service to the University at one or more levels, to the discipline or profession, and/or to the local, state, national, or international communities?

6.2.4.2

12. Establish written criteria consistent with the standard that for promotion to the rank of professor, the record must demonstrate an ongoing pattern of service reflecting substantial contributions to the University at one or more levels, to the discipline or profession, and/or to the local, state, national, or international communities?

6.2.4.3

COMMITTEE COMPOSITION

13. Establish a committee or committees (which may be a committee of all faculty holding the necessary rank) to evaluate candidates for recommendation of award of tenure or promotion in rank?

6.3.3.1

14. Include provisions that prevent participation of persons with a clear conflict of interest or persons who would compromise the impartiality (including a spouse or partner of an individual being considered for tenure) of an evaluation or recommendation?

6.1.4

6.1.4.3

15. Include provisions for a candidate to petition, at all levels of review, for the recusal of a committee member and if a committee member does not recuse himself/herself, a decision about whether that person has a conflict of interest shall be made by a majority of the other committee members?

6.1.4.4

16.  Specify no person shall serve simultaneously on more than one committee (department, college or school, or university) considering promotion and tenure, except when serving as a member of a committee of the whole?

6.1.4.1

17.  Indicate, where applicable, that department chairs and others having an independent responsibility to evaluate a candidate shall not serve as members of the college or school committee conducting intermediate review or of the University Committee on Promotion and Tenure (UCPT)?

6.1.4.2

18. Assure that only members of the promotion and tenure committee and its chair participate in or observe its deliberations and that no students or untenured faculty members, except unclassified academic staff with rank equivalent to or higher than associate professor, shall serve, participate, or observe on any promotion and tenure committee or vote on any recommendation concerning promotion and tenure?

6.3.3.3

Pre-Tenure Matters

19.  Provide a plan for mentoring faculty prior to tenure. Such plans should provide appropriate information and guidance to assist faculty members in the development of successful careers in teaching (or professional performance), scholarship, and service, and in documenting a record of their careers for purposes of the tenure process?

6.4.1

20.  Indicate that the unit shall provide faculty members with information concerning the standards and procedures for award of tenure and promotion in rank, including copies of the written criteria and procedures approved by the department, college or school, or other administrative unit, and of the Provost’s guidelines and forms?

6.4.1.1

21.  Identify a formal process for review of a non-tenured faculty member’s progress toward tenure that is intended to provide faculty members with a meaningful appraisal of their progress toward tenure and orient them toward basic aspects of the tenure process?

6.4.2

22.  Indicate that neither the record of the review nor its results shall be included in a faculty member’s promotion and tenure record and recommendations for or against promotion and tenure should not be influenced by favorable or unfavorable results of the progress toward tenure review.

6.4.2

23.  Specify non-reappointment prior to tenure complies with requirements described in FSRR 6.4.3.

6.4.3

INITIAL PROCEDURES

24. Describe the process for initiation of review: A) notification by the Provost for mandatory review; B) Department, school, or administrative unit-initiated review; C) Candidate initiated review?

6.5.1

25.  Clarify that the candidate is responsible for completing the appropriate portions of the form and provide necessary documents and information in accordance with the Provost’s guidelines, with assistance from the department, school, or administrative unit conducting the initial review as provided in its procedure?

6.5.2

COMMITEE PROCEDURES

26. Establish that the committee responsible for the initial review shall receive the form and accompanying materials from the candidate and finish compiling the record of a candidate’s teaching, scholarship, and service in accordance with the Provost’s guidelines?

6.5.3

27. Provide for the solicitation of outside reviews to assist in the evaluation of a faculty member’s scholarship or equivalent professional performance and give the candidate the opportunity to suggest individuals to be included or excluded from the list of reviewers? 

6.5.3.1

28.  Indicate that procedures should emphasize selecting reviewers who hold academic rank or professional position equal to or greater than the rank for which the candidate is being considered and assure that prospective reviewers will be informed of the extent to which the candidate will have access to the review.

6.5.3.1

29.  Indicate that the committee and the candidate shall verify that the required components of the form have been completed, that all necessary documents have been compiled, and that the record has been organized in the proper format?

6.5.3.2

30. Establish that the committee conducting the initial review shall evaluate the candidate’s record of teaching, scholarship, and service in light of the applicable standards and criteria and make recommendations concerning the award of tenure and/or promotion in rank?

6.5.4

31. (If applicable) provide that the committee recommendation shall be forwarded for consideration to a committee of the whole consisting of all faculty holding the appropriate academic rank (if the unit has opted for this arrangement)?

6.5.4.1

CHAIR/DEAN PROCEDURES

32. Provide for the chair, dean, or head of the administrative unit to indicate separately in writing whether he or she concurs with or disagrees with the recommendations of the committee and/or faculty?

6.5.4.2

33. Include provisions for the chair, dean, or head of the unit to communicate the recommendations of the initial review to the candidate and to provide the candidate with a copy of the corresponding summary evaluation section of the promotion and tenure form?

6.3.4.2

6.5.4.3

34.  Indicate if a chair, dean or head of administrative unit provides a negative recommendation, that individual shall include a written rationale based on unit criteria that will be included with the written recommendations provided to candidates?

6.5.4.3

35. Provide that in the event of a negative recommendation that will not be forwarded automatically, the candidate will be informed that he or she may request that the record be forwarded for further review?

6.5.4.3

36. Include provisions informing the candidate to submit to the next level of review a written response to a negative recommendation at the initial review level, or to a final rating of teaching, research, or service below the level of “good”?

6.6.1.1

POST INITIAL REVIEW PROCEDURES

37. Include provisions whereby the chair of the department or head of the administrative unit immediately provides a copy of a request for information to the candidate and informs the initial review committee (if such request is sent by the intermediate review committee or UCPT)?

6.6.2.2

38. Afford the candidate an opportunity to participate in the preparation of the department’s or administrative unit’s response to the request for information and/or to submit his or her own documentation or comment to the higher committee?

6.6.2.3

39.  (if unit employs an intermediate review process) Indicate that in conducting intermediate review, the college or school, or other administrative unit undertakes an independent review of a candidate’s record and makes its own recommendations concerning the award of tenure or promotion in rank; that the intermediate review neither affirms nor reverses the recommendations of the initial review?

6.6.3

40.  (if unit employs an intermediate review process) Indicate that the intermediate review committee shall evaluate the candidate’s teaching (or professional performance), scholarship, and service in light of the applicable standards and criteria and make recommendations concerning the award of tenure and/or promotion in rank.

6.6.3.1