Third-Year Review Policies
(adapted from policies in the College of Arts and Sciences)
Third -Year Review of Faculty in Tenure-Acquiring Positions
adapted from policies in the College of Arts and Sciences)
DATE OF LAST REVIEW:
The purpose of this Operating Policy/Procedure is to establish the basis for and the
procedures used for the third-year review of pre-tenure faculty in the College of
This policy will be reviewed in the spring of even numbered years by the CoHS Faculty
When the College of Human Sciences employs a tenure-track faculty member, it is with
the expectation that the individual will become tenured and serve the university in
a long and productive career. The departmental tenured faculty will assist in determining
whether or not the criteria for tenure are met prior to its award. Thus, it is to
the advantage of both the tenure-track faculty member and the department to see that
timely evaluation is made of a tenure-track faculty member’s performance beyond the
annual faculty review and that deficiencies identified be made known to the untenured
faculty member in time for correction prior to the expiration of the probationary
In the tenure-track faculty member's sixth long semester, a comprehensive evaluation
of his/her performance will be undertaken (the third-year review). This evaluation
is to be considered an opportunity to advise the tenure-track faculty member whether
it is felt that satisfactory progress is or is not being made toward tenure. If progress
is deemed to be satisfactory at this time, there is, nevertheless, no guarantee of
ultimate tenure. If progress is deemed to be unsatisfactory in the third-year review
and the tenure-track faculty member has been given an opportunity to respond to the
unsatisfactory performance rating, then there are two alternatives available to the
department: (a) a determination will be made to give the tenure-track faculty member
a terminal contract, or (b) the department chairperson will provide, in writing, comments
from the faculty and, if deemed appropriate by the Chairperson and dean, specific
requirements setting forth the conditions for continued employment and deadlines for
completing the conditions.
The results of the third-year review, including the tally of ballots and written comments,
will be included in the faculty member’s electronic file maintained by the Dean’s
Office. The department should also retain the material until the tenure process is
complete as a part of the tenure-track faculty member's file. The College of Human
Sciences Promotion and Tenure Committee may later request copies of these materials
to aid in its deliberations at the time of tenure review. The third-year review committee
report and the chairperson summary report will be included in the faculty member’s
subsequent tenure dossier.
During any year of a tenure-acquiring appointment, a faculty member may be judged
to be making unsatisfactory progress toward tenure on the basis of the annual reports
or other sources of information. In any year, a terminal contract or notice of non-reappointment
may be issued to an untenured faculty member by the department chairperson in conformity
with deadlines stated in OP 32.02. The university is not required to give a non-tenured faculty member a reason for
a decision of non-reappointment.
Specific procedures for Third-Year Reviews are presented in a flowchart and are detailed in the remainder of this document.
The third-year review will be conducted by all tenured faculty members in the department
with one faculty member serving as Chairperson of the group. The chairperson will
be selected in accordance with the departmental policy. If the department faculty
numbers are insufficient to provide a suitable review panel, the chairperson, in conjunction
with the Dean or designee, will appoint additional tenured faculty members from within
the college for the purposes of this review.
The tenure-track faculty member will make available to tenured departmental faculty
his/her materials as described below in the section on Dossier Requirements. These
materials will be due February 1.
Tenured faculty members will carefully review the tenure-track faculty member's teaching,
scholarship (research/creative activity), and service to evaluate whether satisfactory
progress is being made toward meeting the department, college, and university expectations
On or before March 15, and subsequent to the customary third year review procedure
as specified in the department's policy statements, the tenured faculty will vote
by written ballot
as to whether or not the tenure-track faculty member is making satisfactory progress
toward tenure. Comments regarding the third-year faculty member's progress may also
be included, and such comments should be provided on a separate page enclosed with
the ballot. Ballots and comments are to be unsigned. Results of the third-year review
including the ballot tally and comments should be retained by the department. In addition,
a copy of the third-year review dossier and all evaluation documents and reports shall
be included in the faculty member’s electronic file maintained by the Dean’s Office.
The vote at this stage is not a vote on tenure and should not be construed as promise
of approval or rejection at the time of consideration of tenure.
A report will be developed by the review chairperson that summarizes and evaluates
the result of the faculty vote. Sample summary reports are available at this site
. The report will be submitted to the chairperson who will then write a chairperson
summary document. Sample chairperson summary documents are available at this site
. The faculty member under review will receive a copy of both the committee report
and the chairperson summary. The faculty member will sign the chairperson summary,
which will then be submitted to the dean’s office for the dean’s signature.
Should the faculty member receive a vote indicating satisfactory progress toward tenure,
he/she should be informed promptly of that fact by the chairperson and should be encouraged
to continue his/her satisfactory performance. Within the next month (by April 15),
the department chairperson should convey to the faculty member comments both positive
and negative expressed by the tenured faculty.
Should the faculty member receive a vote indicating that, in the opinion of the tenured
faculty, the candidate is not progressing satisfactorily toward a favorable tenure
decision, he/she must be informed promptly of that fact by the chairperson. If the
third year faculty member so requests, the chairperson is to show him or her any written
comments that were provided with the ballots.
At this point a decision must be made whether or not to terminate the appointment.
The faculty member involved should be invited to submit to the tenured faculty any
additional written evidence or statement as desired and/or to appear before a meeting
of the tenured faculty if he or she so wishes. Any additional materials from the third
year faculty member must be provided and/or the meeting with the tenured faculty must
be requested no later than March 30. In reaching a decision to recommend to the dean
termination of a tenure-track appointment as a result of the third year review, the
chairperson will consult with tenured members of the department by conducting a written ballot
vote on or before April 15. Comments may also be included, and such comments should
be provided on a separate page enclosed with the ballot. Ballots and comments are
to be unsigned.
The results of this vote by the tenured faculty will constitute a faculty recommendation
that will be conveyed promptly by the chairperson to the dean, who in consultation
with the chairperson will make the decision regarding termination or continuation.
a. If a decision is made to terminate the faculty member's employment, a letter of
non-reappointment will be issued by the chairperson before the end of the semester
(to be defined as the day all final grades are due). This finding will be reflected
in the chairperson’s summary report. See sample report at this site
b. Alternatively, if progress is deemed unsatisfactory but a decision to terminate
employment is not made, the chairperson will by the end of the semester (to be defined
as the day all final grades are due) convey to the faculty member a written account
of comments both positive and negative expressed by the tenured faculty and, if deemed
appropriate by the chairperson and the dean, specific, written requirements setting
forth the conditions for continued employment and the deadlines for completing the
conditions. This finding will be reflected in the chairperson’s summary report. See
sample report at this site
Notices of non-reappointment, if any, will be made in conformity with deadlines stated
in OP 32.02
A timeline summarizing the third-year review process is available.
The tenure-track faculty member will make available the following materials in the
- Basic information in the same format required in dossiers for tenure and promotion
consideration (OP 32.01B).
- A vita that includes information on education, professional appointments, teaching,
research, and service. The vita may include whatever additional information the department
may specify in its policy statements and whatever additional information about honors
and awards or other professional contributions the tenure-track faculty member wishes
- The faculty member's brief self-statement on teaching, not to exceed one single-spaced
- Statistical summaries of all teaching evaluations done by students and representative
subjective student evaluations.
- Copies of at least two teaching evaluations conducted by peers over the course of
the faculty member's employment at Texas Tech University.
- Copies of syllabi and other teaching materials (such as exams or assignment sheets)
the faculty member or department may wish the reviewers to see.
- The faculty member's brief self-statement on research/creative activity, not to exceed
one single-spaced page.
- Copies of publications, grant applications, creative projects, or other materials
that document the faculty member's scholarship. Departments may specify if they wish
to see all such materials or only selected examples.
- The faculty member's brief self-statement on service, not to exceed one single-spaced
- Copies of all annual reports to date including chairperson's evaluations.
- Any other materials specified in the department's handbook or policy statement plus
other pertinent materials, if any, the candidate may wish the review committee to
TTU OP 32.02 Faculty Non-reappointment, Dismissal, and Tenure Revocation
Committee Chairperson summary report site
Department Chairperson summary report site
Department Chairperson summary report site – post employment vote
TTU OP 32.01B Promotion and Tenure Standards and Procedures