Appendix H PRINCIPLES, STANDARDS, AND PROCEDURES FOR FACULTY APPOINTMENTS, PROMOTIONS, AND TENURE I. PRINCIPLES, STANDARDS, AND PROCEDURES FOR FACULTY APPOINTMENTS A. General terms and conditions of appointments shall be stated in writing. In addition to the letter of offer, all appointments are governed by relevant policies as stated in the Policies and Procedures Manual and any applicable sections of a faculty collective bargaining agreement. B. Evaluation of an individual with respect to appointment to the faculty is made without reference to race, sex, creed, age, or any criteria prohibited by law. C. For all appointments to the faculty, the primary standard is that the candidate to be appointed is the candidate best qualified for the position among those available for it. D. It is expected that faculty members will have, at the time of appointment or within a reasonable period thereafter, the terminal degree appropriate to their disciplines and positions, except as noted in paragraph (E). Specifically: 1. For initial appointment at the rank of assistant professor, candidates will normally possess the appropriate terminal degree and will show experience of or strong potential for excellence in teaching, productive scholarship, and professional service. 2. For initial appointment at the rank of associate professor or professor, candidates will have the appropriate terminal degree and will have substantial experience demonstrating excellent teaching, productive scholarship, and professional service. Initial appointments at the senior ranks are based on the same criteria as promotion to those ranks. E. Although in most academic disciplines and for most faculty positions the appropriate terminal degree is the doctorate, the university recognizes that in some disciplines and for some positions other degrees are customarily regarded as the highest normally appropriate to scholars in those areas. The university also recognizes that in exceptional instances there can be experience and/or training other than formal degree work that qualify a faculty member or candidate as teacher and scholar as effectively as a formal degree program. Such instances will be based on a considerable record of achievement, such as a substantial record of published research in professional journals. For those disciplines or positions where the appropriate terminal degree is normally not the doctorate, the degree requirement, if any, will be stated in established polices initiated by the department affected and agreed to by the college dean and the vice-president and provost. In the absence of any established policy to the contrary, the terminal degree for all disciplines and positions is the doctorate. TEMPORARY APPOINTMENTS A. A temporary appointment runs for a precisely stipulated short term, usually one year or less. It terminates automatically at the expiration of the stipulated term. It carries no implications of renewal or continuation beyond the stipulated term. B. A temporary appointment may be terminated during a given year only for a good cause and only in accordance with the requirements of due process as approved by the Board of Regents, June 30, 1973, and any applicable sections of the collective bargaining agreement. TERM APPOINTMENTS A. A term appointment is a multiple-year appointment, i.e., two, three, or four years, which expires as specified by the initial letter of appointment. Initial appointments may not exceed a total of four years. When positions become vacant by expiration of the term of appointment, a search must be conducted. B. A term appointment may be terminated during a given year only for just cause and only in according with any applicable sections of the master agreement. PROBATIONARY APPOINTMENTS A. A probationary appointment, like a temporary appointment, runs for a stipulated short term, usually one year. Unlike a temporary appointment, however, it carries the implication that, if the appointee's services are judged by the university to be satisfactory, the appointment will be renewed year after year until, normally, a total of six years of probationary service shall have been accumulated; however, the university may offer reappointment for a seventh probationary year. The tenure standards for the seventh year will be the same as during the sixth year. B. A probationary appointment may be terminated at the end of any term, provided that written notice of the intention to terminate has been given by the university to the probationer in good time. Specifically: if the appointment is to be terminated at the end of the first year, notice shall be given by March 1; if at the end of the second year, by December 15; if at the end of any later probationary year, twelve months in advance. C. A probationary appointment may be terminated during the term, but only for just cause and only in accordance with any applicable sections of the collective bargaining agreement. D. The probationary period provides the opportunity to meet the requirements for tenure. E. By March 1 of every year, every faculty member on a probationary appointment shall receive official written evaluation of his/her work to date. II. PRINCIPLES, STANDARDS, & PROCEDURES FOR PROMOTION AND TENURE A promotion and tenure decision is a crucial judgment that vitally affects the university, its faculty, its students, and its supporting public. Of necessity, it is a subjective judgment about potential performance based on a current evaluation. Only probationary faculty are eligible to be considered for tenure. Individuals holding adjunct, term, temporary, visiting, nonacademic, or appointments other than probationary at the University are not eligible to be considered for tenure. No person, by time, degree, or accomplishment, acquires an automatic right to promotion and tenure. Normally an instructor serves at least three years in rank before promotion to assistant professor; an assistant professor completes at least six years of service, including at least three years as an assistant professor, before promotion to associate professor; and an associate professor completes at least six years in rank before promotion to professor. The following criteria and procedures apply to decisions concerning promotion and tenure: A. Tenure and promotion to associate professor requires that the candidate have a documented record of accomplishment in teaching, scholarship and/or creative achievement, and professional service. It is recognized that each candidate will have varied degrees of accomplishment in the three areas. Only after an affirmative judgment as to documented teaching effectiveness has been made can serious consideration be given to an evaluation of scholarship and professional service. In considering an individual for promotion, attention is given to all available information, such as: evidence of successful teaching; quality of research and professional publications; artistic productivity; the esteem in which the faculty member is held by students, colleagues, and administrative officers; professional growth; participation in university activities and contributions to the general welfare of the university. 1. The primary assessment of the candidate for promotion is made by her/his colleagues in her/his department, through established assessment procedures, in accordance with applicable sections of a collective bargaining agreement, although the decision to promote is the responsibility of academic officers. 2. The assessment will not only include a scrutiny of the candidate's record, but also calls for one or more formal assessments by the candidate's students and classroom visitation by colleagues. 3. Departments may seek assessments of a candidate from colleagues in her/his academic field in other institutions. B. The person must hold the doctorate or other terminal degree appropriate to her/his academic discipline. In unusual cases of extraordinary professional achievement, the requirement for the terminal degree may be waived. C. Evaluation for promotion and tenure is required during the sixth year of probationary service. The awarding of promotion and tenure prior to the expiration of the sixth year of probationary service will be made in cases of exceptional merit. The person must demonstrate, during the probationary period, the ability to apply the doctorate, or other comparable terminal degree-level of training to teaching, research, and public professional service. A faculty member with the rank of assistant professor who is considered for tenure will also be considered for promotion to associate professor. Faculty members who demonstrate exceptional performance in teaching, scholarship, and professional service may be considered for promotion before the completion of the years of service specified above. D. Because the qualifications for promotion to associate professor and tenure are identical, an assistant professor who possesses the qualifications for tenure generally will receive simultaneous evaluation for promotion to the rank of associate professor. Situations may occur, however, where the tenure decision is considered independently from promotion in rank, such as the case of faculty members appointed to the Malcolm Price Laboratory School or that of an associate or full professor initially hired without tenure. Faculty holding probationary appointments in the Price Laboratory School with the rank of Instructor are eligible for tenure consideration based on their teaching, service, and contributions to the teacher education program. Price Laboratory School faculty with earned doctorates or other terminal degrees appropriate to their discipline may be appointed or promoted to Assistant Professor, and will be considered for tenure under standard University tenure criteria and procedures. E. In those cases of an assistant professor who holds tenure, promotion from assistant professor to associate professor requires a documented record of accomplishment in teaching, scholarship and/or creative achievement, and professional service. F. Promotion from associate professor to full professor requires recognized and significant accomplishments in the areas of teaching, scholarship and/or artistic achievements, and professional service. G. A tenured appointment or promotion is made upon recommendation from the faculty. The final responsibility for a decision rests with the appropriate academic officers. The deans and vice president and provost have a responsibility to ensure that recommendations for promotion and tenure reflect high university standards while acknowledging diversity of missions and tasks within the various colleges and programs of the University. H. Evaluation of individuals with respect to promotion in rank is made without reference to race, sex, creed, age, or other criteria prohibited by law. I. A tenured appointment can be terminated only for just cause and only in accordance with any applicable section of the collective bargaining agreement. R. Wayne Richey Barbara S. Lounsberry Executive Director President Board of Regents United Faculty April 9, 1997 3/28/97 Charles E. Quirk Chief Negotiator United Faculty 3/24/97 Thomas Kessler Chair, United Faculty Negotiations Committee 3/24/97