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Faculty Evaluation

Promotion and Tenure

Standards and Procedures


DATE OF LAST REVIEW:

February 2010



PURPOSE

Ensure an understanding of both TTU and College standards and procedures concerning promotion and tenure.



REVIEW

College of Human Sciences Standards and Procedures for Promotion and Tenure will be formally reviewed by the faculty and administration every five years unless significant change is made to the university policy. The next formal review will be scheduled for 2015.



POLICY/PROCEDURE

The policies and procedures of the College of Human Sciences function within the context of the larger institution and are designed to advance the overall mission of the university. Should conflict occur between the policies of the college and those of the institution, the operating policies and procedures of the university shall take precedent.

  1. University Overview

    Texas Tech University is a comprehensive University with academic programs at both the undergraduate and the graduate levels. It is essential that its faculty be dedicated to achieving excellence in teaching, scholarship, and professional service/community engagement in order to preserve and strengthen the vitality of the University. Academic promotion and tenure are awarded to faculty members making continuing contributions in these areas. While promotion and tenure determinations are separate and distinct, similar standards and procedures apply to both. The preservation of quality requires that all persons recommended clearly satisfy the general criteria presented herein. Fairness requires that these criteria be applied as uniformly as possible.

    The process of considering a faculty member for tenure must commence no later than the beginning of the sixth year of tenure-eligible employment and be completed before the end of the six-year probationary period. Determination of the maximum probationary period begins upon a faculty member's initial appointment to a tenure-eligible rank, calculated from September of the calendar year in which the appointment was made

  2. General Criteria
    a. Teaching

    The first step is an evaluation of teaching effectiveness. Only after an affirmative judgment as to teaching effectiveness has been made can serious consideration be given to an evaluation of scholarship and professional service/community engagement. Unless determination is made that the candidate is an effective teacher – whether at the departmental or interdisciplinary level – promotion and tenure will not be granted. Please see this site for additional information regarding teaching.

    b. Scholarship

    Scholarship is a function that serves to advance the discipline or the state of the art. Scholarship productivity is measured by the scope, depth, relevance, and overall contribution of the individual’s scholarship program. The candidate may provide evidence of scholarly activities in a variety of mechanisms appropriate to the discipline and based on the initial appointment letter. Scholarship may take the form of traditional research or creative activities. Please follow the links for more information.

    c. Professional Service and Community Engagement

    Faculty members are expected to make professional contributions through service to the department, college, university, the discipline at large, and the community. Additional information regarding professional service and community engagement is provided at this site.

  3. Standards for Academic Ranks

    Each basic academic unit and college or school may have requirements defined for each rank that exceed those of the University. The minimum University requirements for each academic rank are as follows.

    a. Assistant Professor

    Appointment as assistant professor or promotion from the rank of instructor to assistant professor requires an ability to teach effectively and the terminal academic degree (or its equivalent) defined by the academic unit as appropriate for the position to be held by the candidate. Promise of growth in teaching, scholarship, and service is also necessary.

    b. Associate Professor

    Promotion from the rank of assistant professor to associate professor and a tenure decision at this level requires a demonstrated record of effectiveness as a teacher; a record of peer-reviewed publication and/or peer-reviewed creative activity which has contributed to the discipline or field of study, to the candidate’s intellectual and artistic development, and to the quality of the academic unit; a record of professional service/community engagement appropriate to the discipline, the academic unit and, where possible, the department, college, and/or university; and promise of growth in teaching and scholarship.

    c. Professor

    For promotion to the highest academic rank, or a tenure decision at this level, the candidate’s academic achievement and professional reputation should be superior and should have resulted in national recognition. This rank can be earned only by the faculty member who has demonstrated continued growth in, and has a cumulative record of, teaching effectiveness, substantial peer-reviewed publication and/or peer-reviewed creative activity, and professional contributions, service, and engagement.

    d. Appointment with tenure.

    The initial appointment of a professor or an associate professor with tenure must receive the recommendation of the Provost, received through designated university procedures for consideration of a faculty member for tenure. The president reviews the recommendation and, if he/she agrees, recommends the appointment with tenure to the Board of Regents. Only the Board of Regents may grant tenure (OP 32.17).

    e. Special Appointments
    (1). Faculty Members with Joint Appointments

    Faculty members holding a joint appointment in the College of Human Sciences at Texas Tech University are entitled to the privileges and responsibilities as specified in their letter of hire or other formal agreement between the faculty member and institution that details the nature of their appointment. Faculty in both tenure and non-tenure line positions shall fall under the promotion and tenure policies and procedures of the institution in which the majority appointment is maintained.

    At Texas Tech University it is not possible to hold different academic ranks in different units. Therefore, for faculty members who hold budgeted equal joint appointments in two academic units, the recommendation for promotion and/or tenure must be a joint submission of both units concerned, and the promotion and tenure recommendation shall be considered to be positive only if both units make positive recommendations. Recommendations must be processed according to the regular procedures of both units. It is incumbent upon the department chairpersons of both academic units to ensure initiations of the review process.

    If a faculty member holds less than a half-time appointment in one academic unit and more than a half in another academic unit, the recommendation will be made by the academic unit where the major responsibility lies. It is the primary academic unit’s responsibility to originate consideration and to inform the secondary unit of its intent. For these unequal joint appointments, recommendations must be processed according to the regular procedures of both academic units. However, while the secondary area must process the candidate according to its normal procedures, the outcome of its deliberation will be provided to the primary academic unit for information only. The primary unit shall take into consideration the secondary unit’s opinion and shall include it as part of the dossier. These specifications apply to all joint appointments whether or not the salary is divided by source.

    (2). Department Chairperson

    If the applicant is a chairperson, the Dean, or the Dean’s designee, will assume the responsibilities normally assigned to the chairperson.

    (3). Faculty in Non-Tenure Lines

    Faculty members holding full-time appointments which do not acquire tenure are:

    • instructor
    • visiting faculty of all ranks
    • adjunct assistant professor, adjunct associate professor, adjunct professor; and
    • all research titles: assistant research professor, associate research professor, and research professor.

    Although these special full‐time appointments do not acquire tenure, persons holding these appointments do have academic freedom and after six years can only be dismissed for adequate cause. Appointment to the above special ranks appointed under Regents Rules Section 04.02.4.c can be continued beyond six years only by majority vote of the tenured faculty of the academic unit (department, college, or school) in which the position is placed, and subject to the approval of the responsible dean and the provost. Once the process is successfully completed, these faculty members are deemed to hold Continuing Appointment status. Faculty members whose duties are appropriate to tenured and probationary faculty shall not be given the non‐tenured ranks listed in Section 04.02.4.c. Please refer to this section for information on procedures for continuing appointment status.

  4. Decision-Making Procedure
    a. Review by the Basic Academic Unit

    Recommendations for promotion and tenure originate with the department. Each department will develop written procedures to be utilized in promotion and tenure considerations. Each department will also develop specific written standards for promotion to each professorial rank which reflect its mission and at the same time meet college and university criteria. These procedures and standards must have the approval of the Dean and the Provost. Subsequent changes in approved standards or procedures must similarly be approved. After written standards have been ratified by the department and appropriate others, the primary responsibility for evaluating individual promotion and tenure requests in terms of those standards will be assigned to the faculty members in the academic unit in which the request is made. Department promotion and tenure policies can be viewed at the following sites:

    • Community, Family, and Addiction Services
    • Department of Design
    • Human Development and Family Studies
    • Nutrition, Hospitality, and Retailing
    b. Promotion and Tenure Overview

    (1) A basic format to be followed in the development of promotion and tenure dossiers is available at OP 32.01 Attachment A. This common format for presenting the supporting information will help assure fairness in the decision-making process. As promotion and tenure require that a person’s entire professional record and contributions be reviewed, the format calls for information on educational background, previous academic and professional experience, teaching and advising responsibilities, scholarly contributions, and service activities. Some academic units may wish to add other categories.

    (2) Review Schedule

    Upon request, a faculty member will be evaluated for promotion and tenure at any time, but no later than the beginning of the sixth year of tenure-track appointment, unless an extension has been granted. Also, all faculty members submit their professional records for review by the basic academic unit on an annual basis.

    (3) Voting Qualifications

    The procedures used to determine promotions follow closely the outline used for the granting or denial of tenure, with the only significant difference being the qualifications of department faculty members voting. For tenure, only those faculty members holding tenure may vote, regardless of rank. For promotions, only those faculty members with rank equal to or higher than that of the contemplated promotion may vote, regardless of their tenure status.

    (4) Dossier

    The faculty member has primary responsibility for preparation of their dossier with major assistance to be provided by the department chairperson. The faculty member should be encouraged to submit in an appendix volume whatever is considered relevant in addition to any information or material required by University, collegiate, or departmental policies. However, material submitted to the Provost shall be limited to the format listed at OP 32.01 and should consist of no more than 20 pages, exclusive of all letters, annual reports, and cumulative vita.

    Dossiers should include the tabbed sections as listed below. Faculty members will provide at the time of dossier submission the material for each section except the Dean’s letter, Chairperson’s letter and Solicited Letters. Those items will be inserted by either the Department Chairperson or the Dean.

    Examples of completed dossier sections have been provided by COHS faculty members. Seeing a completed dossier often makes it easier to understand how to proceed. These examples illustrate several different styles of presentation. As long as the dossier follows university instructions, the mechanism for displaying the content is up to the faculty member. Please follow the links above to see examples of each section.

    c. The Promotion and Tenure review process is detailed below:

    (1) Dossier Preparation

    The candidate shall, in cooperation with the department chairperson, prepare the formal promotion and tenure dossier. Included in the dossier should be a statement signed by the candidate that the contents of the dossier have been reviewed. Once three (3) copies of the dossier and appendices have been submitted for consideration in the academic unit, no further information should be added to the dossier other than that required by department and collegiate procedures with regard to recommendations by review committees, department chairperson, and dean. As an exception, if the results of pending grant or paper submissions are received prior to sending the dossiers to the provost’s office, the acceptance can be noted in the dossier. Upon receipt of the dossiers, the chairperson will complete the section at the end of Basic Information regarding teaching load. In addition, the chairperson will evaluate the level of each journal article published during the time in consideration based on university criteria. Rankings should be typed on each copy of the vita in the left margin by each article evaluated.

    (2) Review by the Department

    (a) Evaluation by department committee

    The department committee for tenure consideration shall be comprised of all tenured faculty members in that department. The committee for consideration of promotion shall be all faculty members of equivalent or higher rank for which the applicant is to be considered. In addition, two tenured graduate faculty members from outside the department shall be included. They should hold credentials that make them eligible for both committees (tenured and at least associate rank). Appointments of non-departmental members will be made by the department chairperson with suggestions from department members. Members of the department promotion and tenure committee will examine the submitted dossiers and cast individual ballots (separate notes for promotion and for tenure).

    An academic unit may be so constituted as to provide insufficient faculty member review. In such cases, the department chairperson, in consultation with the Dean, may appoint an appropriate advisory committee for review of a specific case. If this is done, the composition of the committee and its recommendations must be reported in the Dean’s recommendation to the Provost.

    (b) Evaluation by the department chairperson

    The department chair and a witness will count the ballots submitted by the department promotion and tenure committee. The certified count of the ballots will be recorded on the Statement of Ballot Count and the applicant's Ballot Summary Form by the department chair who then adds his/her recommendation to the form. The chairperson also develops a letter of recommendation, adds it to the dossier, and forwards three (3) copies of the complete dossier to the Dean. The recommendation of the department chairperson will be provided to the candidate at the time it is forwarded to the Dean.

    (c) Submission to the Dean

    In transmitting a recommendation to the Dean, a department chairperson must, for each candidate, indicate who has been consulted as outside reviewers, the qualifications of the outside reviewers, the Ballot Summary Form that includes the vote of the appropriate faculty promotion/tenure committee, and a copy of the academic unit’s promotion and tenure policy. Along with these materials, the Statement of Ballot Count, the unsigned committee ballot/evaluation forms and, separately, committee comments will be forwarded to the Dean.

    Faculty members may request in writing that their dossiers be withdrawn from further consideration, in which case the dossiers will not be forwarded.

    (3) Review by the College

    It is the responsibility of the Dean to recommend either positively or negatively on all promotion and tenure recommendations forwarded by department chairpersons.

    (a) Evaluation by college committee

    In the College of Human Sciences, the College Promotion and Tenure Committee (CP&T Committee) will provide input in the review of all faculty members for tenure and/or promotion. The CP&T Committee shall be comprised of two elected members from each department in the college, two at-large members, and two graduate faculty members from outside the college. Each member must be tenured and hold a rank of Associate Professor or Professor (preferred) and must not have served on the department promotion and tenure committee. The committee chairperson will be elected from among the members.

    Upon being notified that the Dean has received all the dossiers to be considered for promotion and/or tenure, the CP&T Committee will begin the review process. During an agreed upon time period, each CP&T Committee member will assess the submitted dossiers according to the College of Human Sciences and University Standards and Procedures for Promotion and Tenure. Following review and final deliberation of each dossier, the CP&T Committee chairperson will call for a vote of the committee members with the chairperson's vote to be included. The vote will be in favor of promotion and/or tenure, against promotion and/or tenure, or abstention. Note that members of the CP&T Committee are to vote at this level, not at the department level, hence voting only one time.

    Each CP&T Committee member must indicate his/her vote on a ballot/evaluation form on which he/she explains in writing the reasons for his/her vote. Faculty votes are unsigned. Voting faculty should be made aware that the ballots and written ballot comments will become part of the dossier.

    (b) Evaluation by the Dean

    The CP&T committee chairperson and the Dean tally the ballots for each candidate, and certify in writing as to the vote on the Statement of Ballot Count, recording the count on each candidate’s Ballot Summary Form. The Dean then adds his/her recommendation to the form and also develops a letter of recommendation, adds it to the Dean’s Letter section of the dossier, and forwards one copy of the dossier (not the appendices) to the Provost. In all cases, information regarding the Dean’s recommendation will be provided to the department chairperson and the candidate at the time it is forwarded to the provost.

    (c) Submission to the Provost

    In transmitting a recommendation to the Provost, the Dean adds to the dossier a summary of collegiate procedures and an updated version of the Ballot Summary Form that reflects the vote of the CP&T Committee and the Dean’s approval/disapproval.

    A faculty member may request in writing that the dossier be withdrawn from further consideration, in which case the dossier will not be forwarded.

    (d) Review by the Provost

    The responsibility of the Provost to receive dossiers and recommendations regarding promotion and tenure, to review them with respect to the academic unit, college or school, and University standards, and to approve or disapprove all recommendations received. A review by the Dean of the Graduate School will be included at this stage in the decision making process. The Provost will confer with each collegiate dean and discuss that dean’s recommendations. The Provost will subsequently transmit dossiers and recommendations to the President.

    (e) Review by the President

    The responsibility of the President is to receive all recommendations regarding promotion and tenure from the Provost, to review them, and to approve or disapprove the recommendations. After the review, the President will meet with the Provost and discuss the recommendations. The approved recommendations will thereafter be transmitted to the Board of Regents for final consideration.

    (f) Individual Responsibilities

    Within the promotion and/or tenure process, the faculty member, the department chairperson, and the dean have independent but complementary responsibilities. Detailed information regarding these responsibilities is provided at these sites.

    Faculty member responsibilities
    Department chairperson responsibilities
    Dean responsibilities


    A timeline summarizing the three roles is also available.



FORMS USED

TTU OP 32.17 Faculty Appointments and Titles

Community, Family, and Addiction Services Promotion and Tenure Policy

Department of Design Promotion and Tenure Policy

Department of Human Development and Family Studies Promotion and Tenure Policy

Department of Nutrition, Hospitality, and Retailing Promotion and Tenure Policy

Regents Rules Section 04.02.4.c.

TTU OP 32.01 Promotion and Tenure, Standards and Procedures

Candidate Statement (promotion and tenure)

Candidate Statement (continuing appointment)

Individual Ballot/Evaluation Form (promotion and tenure)

Individual Ballot/Evaluation Form (continuing appointment)

Statement of Ballot Count (promotion and tenure)

Statement of Ballot Count (continuing appointment)

Ballot Summary Form (promotion and tenure)

Ballot Summary Form (continuing appointment)

COHS Promotion and Tenure Committee

Faculty Member’s Responsibilities (continuing appointment)

Department Chairperson’s Responsibilities (continuing appointment)

Dean’s Responsibilities (continuing appointment)

Faculty Member’s Responsibilities (promotion and tenure)

Department Chairperson’s Responsibilities (promotion and tenure)

Dean’s Responsibilities (promotion and tenure)

Timeline for Promotion and Tenure

Timeline for Continuing Appointment

Journal Article Evaluation Scale

Dossier Preparation

Dossier Preparation - Basic Information

Dossier Preparation - Teaching

Dossier Preparation - Traditional Research

Dossier Preparation - Creative Activity

Dossier Preparation - Service

Dossier Preparation - Administration


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Approved by COHS faculty on February 2010


Revised April, 2010