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Faculty Evaluation

Third-Year Review Policies

(adapted from policies in the College of Arts and Sciences)



SUBJECT

Third -Year Review of Faculty in Tenure-Acquiring Positions
adapted from policies in the College of Arts and Sciences)



DATE OF LAST REVIEW:

April 2014



PURPOSE

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 Human Sciences.



REVIEW

This policy will be reviewed in the spring of even numbered years by the COHS Faculty Council.



POLICY

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 period.

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 chair 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.




PROCEDURE

Specific procedures for Third-Year Reviews are presented in a flowchart and are detailed in the remainder of this document.

  1. Each department or independent program in the college follows their own third-year review policy that is complemented by the College policies.  More information on those policies can be found at the following sites.

    Community, Family and Addiction Services
    Department of Design
    Family and Consumer Sciences Education
    Human Development and Family Studies
    Nutrition, Hospitality, and Retailing
    Personal Financial Planning

  2. The third-year review will be conducted by all tenured faculty members in the department with one faculty member serving as chair of the group. The chair 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.
  3. 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.
  4. 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 for tenure.
  5. 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.
  6. 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.
  7. A report will be developed by the review chair 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 chair summary document. Sample chair 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.
  8. 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.
  9. 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.
  10. 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 chair 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.
  11. 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.


Dossier Preparation

The tenure-track faculty member will make available the following materials in the dossier.

  1. Basic information in the same format required in dossiers for tenure and promotion consideration (OP 32.01B).
  2. 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 to include.
  3. The faculty member's brief self-statement on teaching, not to exceed one single-spaced page.
  4. Statistical summaries of all teaching evaluations done by students and representative subjective student evaluations.
  5. Copies of at least two teaching evaluations conducted by peers over the course of the faculty member's employment at Texas Tech University.
  6. Copies of syllabi and other teaching materials (such as exams or assignment sheets) the faculty member or department may wish the reviewers to see.
  7. The faculty member's brief self-statement on research/creative activity, not to exceed one single-spaced page.
  8. 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.
  9. The faculty member's brief self-statement on service, not to exceed one single-spaced page.
  10. Copies of all annual reports to date including chair's evaluations.
  11. 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 see.


FORMS USED

TTU OP 32.02 Faculty Non-reappointment, Dismissal, and Tenure Revocation

Flowchart

Departmental Policies

Faculty ballot

Committee Chairperson summary report site

Department Chairperson summary report site

Faculty ballot

Department Chairperson summary report site – post employment vote

Timeline

TTU OP 32.01B  Promotion and Tenure Standards and Procedures