Policy Details


Date of Last Update
7/14/2017

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  • Board of Trustees

Responsible Office
Legal, Compliance & Risk Management

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Procedures for Regular Faculty Appointment Renewal, Promotion, Tenure, Periodic Performance Review, and Dismissal for Adequate Cause.

BOT 4.2.10

  1. Policy Statement

Policy Statement

4.2.10 Procedures for Regular Faculty Appointment Renewal, Promotion, Tenure, Periodic Performance Review, and Dismissal for Adequate Cause.
 

4.2.10.1 College/Library Personnel Committee. Each College and Library will establish a Personnel Committee to recommend action concerning regular faculty appointment renewals, promotion, tenure, and periodic performance reviews within the separate College or Library. The Committees recommend to their respective Deans and shall not adopt policies or procedures contrary to the procedures contained in Section 4.2.1 of the Board Policies. Pursuant to Section 4.2.13, the Dean can initiate review of a case by the Personnel Committee regarding Dismissal for Adequate Cause.
 

4.2.10.2 College/Library Personnel Committees Composition. All regular faculty members (Section 4.2.1) will be eligible to vote for members to serve on their respective College/Library Personnel Committee. Each fall semester, each College or the Library shall decide if the Dean or, in the alternative as designated by the Dean, the Associate Dean, will attend as an ex-officio, non-voting member of the Personnel Committee and the results of the decision shall be reported to the Chair of the University Academic Senate.

The Personnel Committee of the Colleges and Library will be composed of a minimum of five tenured faculty members with not more than two (2) voting faculty members being from the same school/department/program in the College/Library as the candidate.

A. Composition.

Within Colleges/Library. The Personnel Committees of the Colleges and the Library shall be composed as follows:

College of Liberal Arts and Sciences: The Personnel Committee shall be composed of twelve (12) elected members of the College. There may be no more than one (1) elected Committee member from any one (1) unit in the College. One third of the membership will be elected at the end of each academic year for a term of three (3) years.

Seidman College of Business: The Personnel Committee shall be composed of five (5) faculty members elected by the faculty, one from each department, excluding chairpersons. Personnel Committee members are elected for staggered two-year terms.

College of Community and Public Service: The Personnel Committee shall have at least five (5) members. There shall be no more than two (2) members from each unit within the College and there should be at least one member from each unit. If no tenured member is elected from a unit, an at-large, tenured member will be elected. The Committee shall not exceed seven (7) persons. The standard term on Personnel Committee is three (3) years, which will be staggered among the members.

College of Education: The Personnel Committee shall be composed of five (5) tenured faculty to be elected by Faculty Council, which consists of all the regular faculty. One (1) member shall be elected from each of the four (4) units in the College of Education. One (1) member shall be elected at large from the College of Education faculty. Members will serve in staggered, three-year terms.

Padnos College of Engineering and Computing: The Personnel Committee shall be composed of six (6) tenured faculty members elected by the regular faculty, two (2) from the School of Engineering, two (2) from the School of Computing and Information Systems and two at large. There can be a maximum of three members from one academic unit. The voting members for any personnel action are as follows:

i. Candidate is from School of Engineering: The two members from the School of Engineering, the two members from the School of Computing and Information Systems, and all at large members not from the School of Engineering.

ii. Candidate is from the School of Computing and Information Systems: The two members from the School of Engineering, the two members from the School of Computing and Information Systems, and all at large members not from the School of Computing and Information Systems.

iii. Candidate is from the Occupational Safety and Health Department: All committee members.

College of Health Professions: The Personnel Committee shall be composed of one (1) tenured faculty member from each department. The faculty members from the College will be elected by the College of Health Profession's faculty from a slate provided by the Dean of the College from appropriate departments. Faculty Council of the College, in consultation with the Dean, may select an additional faculty member to serve as a diversity advocate, who serves ex-officio and without the right to vote. The voting members for any personnel action are the members who are not from the department of the faculty member being considered. If a department does not have a faculty member meeting the qualifications for the College Personnel Committee, eligible faculty will be determined by the provost in consultation with the Dean of the College and then elected by a College vote. No member shall serve more than two (2) consecutive three-year terms (6 years).

Brooks College of Interdisciplinary Studies: The Personnel Committee shall be composed of three (3) internal and two (2) external tenured faculty elected by the eligible voters. External members are elected from a slate approved by the Provost and developed in consultation with the Dean of Brooks College and the Brooks College Faculty Council. Faculty Council of the College, in consultation with the Dean, may elect an additional faculty member to serve as a diversity advocate, who serves ex officio and without the right to vote.

Kirkhof College of Nursing: The Personnel Committee shall be composed of a minimum of five (5) faculty members with a majority of members elected by the faculty from a slate provided by the Provost from appropriate disciplines outside the College to be determined by the Provost in consultation with the Dean of the College and less than a majority of the Personnel Committee elected from the faculty in the College. Members shall be elected for a term of three years and can serve on the Committee for a maximum of two consecutive terms (6 years).

Library: The Personnel Committee shall be composed of a minimum of five (5) faculty members a majority of members elected by the Library faculty from a slate provided by the Provost from appropriate disciplines to be determined by the Provost in consultation with the Dean of that College and less than a majority of the Personnel Committee elected from the faculty in the College.

Conflict of Interest. A Committee member may be excused from a particular decision making process should there be a conflict of interest. The Chair of the College Personnel Committee, in consultation with the Dean, shall determine if a conflict of interest exists. If it is asserted that the Chair of the College Personnel Committee has a conflict of interest, the Chair of the Executive Committee of the Senate, in consultation with the Chair of the College Personnel Committee and the Dean, shall determine if a conflict of interest exists. However, the fact that a Committee member is from the same unit as the regular faculty member being reviewed is not per se a conflict of interest.

Committee Chair and Other Issues. Other issues pertaining to the committee membership and the selection of a chair will be determined by the respective Colleges.

B. Personnel Committee Meetings.

Electronic or Mechanical recording is not permitted at any time during Personnel Committee meetings. However, minutes shall be taken and include: any vote taken, the numerical results of all votes, date, time, place of the meeting, and names of who were in attendance. The following must be present and vote on the personnel action in order to constitute a recommendation of the Personnel Committee: four when there are five members, four when there are six members, and five when there are seven members, or if more than seven members, then two-thirds (2/3rds) of the size of the Personnel Committee rounded up to the nearest whole number. (See Section 4.2.10.2A for composition of a Personnel Committee.) The Dean or Associate Dean shall not be present during a public vote of the Personnel Committee. While proxy and absentee votes are not allowed, absent committee members may send their evaluations to all committee members. If the Personnel Committee is unable to carry out its responsibilities due to the absence of one committee member who misses three consecutive meetings, the Dean will be notified for the purpose of facilitating the designation of an appropriate replacement.

4.2.10.3 Initiation of Reviews. The Dean normally initiates actions to be considered by the College Personnel Committee based on review of their regular faculty members' status. For promotion and tenure, faculty members will ordinarily follow the timelines outlined in Sections 4.2.5 and 4.2.7. However, faculty members may request, in writing to the Dean, to be considered by their unit for promotion at any time or for early tenure (see Section 4.2.8.4 for early tenure/promotion criteria). This notification must take place at least two weeks before the Dean is scheduled to notify the unit of personnel actions for that semester (See Section 4.2.10.4 for the personnel schedule). A person being considered for early tenure and/or promotion may withdraw the request(s) for consideration at any time.

A. Reappointment. The Dean informs the unit head of the regular faculty in the unit requiring reappointment decisions and the options available.

B. Promotion. The unit head, Dean or any other member of the unit may initiate proceedings for consideration of promotion.

C. Tenure. The Dean is responsible for insuring that tenure is considered in the next to last possible year of the probationary period, but tenure consideration may be initiated by the unit head or any other member of a unit at other times.

D. Dismissal for Adequate Cause. Before making the decision to dismiss for adequate cause, the Dean is responsible for initiating proceedings to consider the case. (Section 4.2.13.1)

 

4.2.10.4 Schedule for Personnel Actions.

A. Initiation of Reviews. The following are dates by which the review process must begin.

  1. For All Reviews except Promotion to Professor

    Materials shall be submitted by the candidate to the unit by the first day of class in the Winter Semester for renewals, tenure, or promotion.

    For the renewal of an initial 1 year contract, the Dean shall determine the date of submission and notify the candidate.

    In the event of a mid-year appointment, the regular faculty member to be reviewed shall be placed on the next evaluation schedule as though his or her appointment had begun at the next fall semester.

    Any exceptions to these dates must be approved in advance by the Dean.
     
  2. Promotion to Full Professor

    All reviews for promotion to Professor shall take place in the fall semester. Materials shall be submitted by the candidate to the unit by the first day of class in the fall semester. The candidate shall notify the Dean of his/her intent to apply for promotion to Professor in writing by March 30. When a candidate for tenure is also requesting a promotion to full professor, the materials for both actions shall be submitted by the first day of class in the Fall semester and both reviews shall occur during the Fall semester. A decision is required by January 31. In the case of a favorable decision the promotion is effective with the start of the subsequent academic year.

B. Notification of Personnel Actions. The following are the dates by which the Deans, or Provost in matters of renewal/non-renewal, promotion or tenure, must notify regular faculty in writing of appointment decisions.

1. Renewal/Non-Renewal. A decision is required as follows: by June 1 in the case of an appointee in the third year of an initial four (4) year appointment; by April 1 in the case of an appointee in an initial one-year probationary appointment; by June 1 of the calendar year preceding the expiration of his/her appointment for appointees with more than two (2) years of probationary service.
 

2. Promotion. A decision is required by June 1 for all but promotion to Professor, which is required by January 31. In the case of favorable decisions, the promotion is effective with the start of the subsequent academic year.
 

3. Tenure. A decision is required by June 1. A favorable decision is effective with the start of the subsequent academic year.
 

4. Dismissal for Adequate Cause. In the event that the conference specified in Section 4.2.13.1 does not result in mutual agreement, the College Personnel Committee shall be convened within ten (10) days. A written recommendation of the Committee shall be forwarded to the appointee and the Dean only after a complete review of the case and within 60 days.

4.2.10.5 Unit Notification and Candidate Materials.

The Dean will notify regular faculty of the unit of all pending personnel actions at the same time the candidate is notified. While no limit is placed on the material submitted by a candidate, the amount of materials should be tailored to the action under consideration. The Unit Head or Designate will make available to the unit regular faculty, including the candidate, copies of the candidate's teaching evaluations and any relevant information other than that supplied by the candidate. 

The candidate shall prepare materials containing relevant information for the action under consideration for review by the unit regular faculty. This information includes, but is not limited to, the following.

A) A current vita of the candidate.

B) A personal statement that contains a self-assessment of the candidate's performance as a unit regular faculty member at the university in each of the evaluation criteria.

C) Examples of the relevant work of the candidate that supports B).

D) Faculty Activity Reports (FARs), Faculty Activity Plans (FAPs), and written performance summaries from the Faculty Annual Salary Adjustment Program for the period relevant to the action under consideration. For probationary faculty, the relevant period shall be the time served as a tenure track faculty member. For tenured faculty, the relevant period shall be the previous six (6) years at the University or the length of service as a tenured and tenure track faculty member normally not to exceed a total of six (6) years. 

4.2.10.6 Individual Unit Procedures. Each individual unit shall conduct its personnel actions according to the procedures in Section 4.2.10.7. Units shall, by majority vote of the unit, elect a Designate to carry out the Unit Head's responsibilities in cases where the Unit Head is either under consideration for a personnel action or the Unit Head is unable to serve. A unit can, in circumstances where it is impractical to carry out the procedure described, create a Unit Personnel Committee to act on personnel matters but the Unit Personnel Committee must comply with the procedures outlined in Section 4.2.10.7 and the recommendation of the Unit Personnel Committee must be voted on by the unit in accordance to the procedures of Section 4.2.10.7.B. A unit proposing a Unit Personnel Committee shall make a proposal to its College Personnel Committee for its review, which then forwards its recommendation to the Dean and to the university Academic Senate. The Dean and the University Academic Senate shall each make a recommendation to the Provost/Vice President who will make the decision and communicate it to the Dean, the Chair of the University Academic Senate, the Chair of the College Library Personnel Committee and Unit Head of the unit requesting the creation of a Unit Personnel Committee. In the event a unit is restructured, it shall not convene a Unit Personnel Committee unless the unit has submitted a new proposal for a Unit Personnel Committee and the proposal has been approved according to the above procedures.

A. Conflict of Interest. For purposes of Section 4.2.10.6 and 4.2.10.7, unit regular faculty members who have a Conflict of Interest with a candidate under consideration for a personnel action shall be completely excused from all aspects of involvement and participation in the unit procedures as it relates to the candidate for which there is a Conflict of Interest. Should a question arise as to whether there is a Conflict of Interest, the Dean of the College/Library shall make the final determination. A Conflict of Interest includes, but is not limited to, one or more of the following:

  1.  A familial relationship, including Household Member and their dependents, with the candidate;
     
  2. A financial or business relationship exists with the candidate outside of the University; or
     
  3. Unit regular faculty members who are in their terminal year of employment due to non-renewal of a contract or denial of tenure.

4.2.10.7 Unit Personnel Actions.

A. Review of Candidate Materials and Preparation of Unit Discussion Agenda. All unit regular faculty will be notified of the access to the materials pertaining to the candidate for the personnel action under consideration. The Unit Head or Designate will prepare an agenda before the unit meeting identifying the matters for discussion at the unit meeting concerning the candidate's achievements as well as questions, issues, and concerns under the criteria identified in Section 4.2.9. In advance of the meeting, this agenda shall be made available for review by the candidate and the unit regular faculty who may then comment and propose revisions to the agenda before the discussion begins. The Unit Head or Designate may amend the agenda based upon input from the candidate and unit regular faculty and must provide any amended agenda to the candidate for review before the unit discussion begins. If an agenda is revised, the original form(s) of the agenda shall be maintained in the Unit Head's or Designate's files.

B. Unit Meeting and Unit Vote. The Unit Head or Designate will call a unit meeting for the purpose of addressing the personnel actions under consideration. Only unit regular faculty may attend and participate in the meeting. When the candidate is a joint appointee as defined by section 4.2.4.1, a representative from the secondary department or program is strongly encouraged to attend and participate in the discussion part of the unit meeting. The candidate being reviewed shall participate in the discussion part of the meeting unless the candidate waives the opportunity to participate by signing a waiver. Audio or videotape or other type of mechanical or electronic recording is not permitted during this meeting. However minutes shall be taken and shall include the date, time, place of the unit discussion, names of those who were in attendance, and the results of the unit vote. The minutes will also have the candidate's waiver attached if the candidate has waived participation in the meeting.

This meeting will begin with a unit discussion on the personnel action under consideration. This discussion will provide an opportunity for questions, exchanges of opinions, and discussion. At the conclusion of the unit discussion the candidate will leave the meeting room. The Unit Head or Designate will then summarize the discussion that has taken place. The unit regular faculty members may comment on the candidate's performance. This discussion should be limited to information and issues raised previously. If new information or issues are raised, the Unit Head or Designate, in his or her sole discretion, shall determine whether the new information or issues raised warrants the recalling of the candidate to the unit discussion to allow the candidate to respond.

Once the unit discussion has been completed, the unit will take a vote by secret ballot on the personnel action under consideration. In the case of promotion or tenure, the vote will be on a motion to recommend the action. In the case of contract renewal, the unit vote will be on a motion for renewal for either two (2) years or (1) year consistent with the time limits outlined in Section 4.2.7 (Probationary Appointments). Only unit regular faculty in attendance may vote, except those tenure track, unit regular faculty who have not completed two (2) years of full-time, uninterrupted service as a unit regular faculty member (except as provided by Section 4.2.7.2). No proxy or absentee ballots will be accepted. A vote means a yea or nay vote with abstentions counted as non-votes.

At least two thirds of the members of the unit regular faculty must be present for a valid vote on a motion regarding a personnel action to be taken. For the purpose of determining the required quorum or majority, the count of the number of the members of the unit regular faculty will not include the candidate or those absent because they are on sabbatical or approved leave of absence, those tenure track, unit regular faculty who have not completed two (2) years of full-time, uninterrupted service as a unit regular faculty member, or those with a Conflict of Interest. To pass, the personnel vote must be carried by a majority of the members of the unit regular faculty eligible to vote unless they are on sabbatical or approved leave of absence, or those with a Conflict of Interest. If a vote does not obtain the required majority for any reason, this will be reflected in the minutes of the meeting, and the process will continue on to the College Personnel Committee.

C. Unit Recommendation. Following the unit discussion meeting, the unit regular faculty will be provided the opportunity to submit comments to Unit Head or Designate, using a form that is provided which sets forth the evaluation criteria contained in Section 4.2.9 providing reasons supporting or not supporting the unit vote under these criteria. Each member may also indicate on these post meeting comments whether the questions, issues, and concerns that they raised under the evaluation criteria with the Unit Head or Designate concerning the initial agenda were adequately reflected in the agenda used at the unit discussion meeting and whether the items on the agenda were adequately addressed at the unit discussion meeting. Forms that are unsigned will be destroyed and not used in this process.

The Unit Head or Designate will use the unit discussion and any such comments to prepare a draft unit recommendation report or, if necessary, call for further discussion. This draft report will comment on the candidate's performance in each of the evaluation areas. After the Unit Head or Designate has prepared the draft unit recommendation report, he/she will provide a copy to the candidate and make a copy available for review for the unit regular faculty. Suggestions for changes must be submitted to the Unit Head or Designate within three (3) business days of the issuance of the draft report. Thereafter, the Unit Head or Designate shall issue the final unit recommendation report with a copy to the candidate and make a copy available for review by the unit regular faculty.

The Unit Head or Designate will then forward the final unit recommendation report to the Dean. The Unit Head or Designate will also forward to the Dean the unit discussion meeting agenda, minutes of the unit discussion meeting, copies of any post-meeting comments, the candidate's materials, and any other material provided by the Unit Head or Designate to the unit regular faculty for their review. The Dean will then forward the final unit recommendation report and the supporting material to the College Personnel Committee.

4.2.10.8 College's Personnel Committee Action.

A. Action in Cases of Reappointment, Tenure, or Promotion. The Committee uses all relevant information as the basis for its recommendation.

  1. Committee Accepts Unit Recommendation. If a unit has recommended a personnel action pursuant to a valid vote of the unit, whether in favor or against a candidate, the Committee will normally be expected to accept the recommendation of the unit. In the event the Committee accepts the recommendation of the unit that is in favor of the candidate, a recommendation shall be made in writing to the Dean with a copy to the candidate and the Unit Head or Designate. If a candidate does not have the support of the members of the unit pursuant to a valid vote of the unit, the candidate in question will be given the opportunity to request information from the Committee about any materials used in the process. Regarding written comments, the Committee will ensure that these are provided without names attached and in such a way as to promote confidentiality. After this information is provided to the candidate, the candidate can choose to either stop the evaluation in the case of early tenure or promotion or the candidate may choose to submit a rebuttal in writing. If a candidate does not have the support of the Committee, the opportunity for a personal appearance before the Committee by the candidate shall be given. Only after such an opportunity is provided to the candidate, can such a negative recommendation become official and be sent to the Dean with a copy to the candidate and the Unit Head or Designate. In the event a unit regular faculty member being reviewed appears before the Committee, the candidate shall address the Committee on her or his own behalf and without an outside advocate or observer.
     
  2. Committee Does Not Accept Unit Recommendation. If the Committee does not accept the unit recommendation and the Committee recommends a personnel action in favor of the candidate, the recommendation will be made in writing to the Dean with a copy to the candidate and the Unit Head or Designate. The written recommendation must include the rationale for not accepting the unit recommendation. If the Committee does not accept the unit recommendation and if the candidate does not have the support of the Committee, the opportunity for a personal appearance before the Committee by the candidate shall be given. Only after such an opportunity is given to the candidate, can such a negative recommendation become official. If the candidate appears before the Committee, the candidate shall address the Committee on her or his own behalf and without an outside advocate or observer. The recommendation of the Committee will be made in writing to the Dean with a copy to the candidate and the Unit Head or Designate. The written recommendation must include the rationale for not accepting the unit recommendation.
     
  3. No Valid Vote by Unit. If there is not a valid unit vote, the Committee will evaluate all the materials provided to it by the Dean for the candidate under consideration. The Committee will then vote on a recommendation. A valid vote requires a simple majority of the Committee, calculated in the same fashion as for a unit vote. The Committee will notify the candidate and Unit Head or Designate of the result of this vote. If the candidate does not have the support of the Committee, the opportunity for a personal appearance before the Committee by the candidate shall be given. Only after such an opportunity is given to the candidate, can such a negative recommendation become official. If the candidate appears before the Committee, the candidate shall address the Committee on her or his own behalf and without an outside advocate or observer. The recommendation of the Committee will be made in writing to the Dean with a copy to the candidate and the Unit Head or Designate.
     
  4. Subsequent Information. If new information regarding a candidate is brought to the attention of the Committee that was not available to the unit during its discussion of the candidate, the Committee shall discuss the appropriateness of referring the matter back to the unit. In discussing whether to refer the matter back to the unit, the Committee shall consider whether it believes the new information is of such significance that the unit might change its recommendation and whether a referral back to the unit would delay the schedule as required by 4.2.10.4. In the event the matter is referred back to unit, the unit shall have no more than 7 calendar days from the date of the referral from the Committee to meet and take action, if any.

B. Action in Cases of Dismissal for Adequate Cause. The Committee will carefully observe that the burden of proof in all cases of dismissal for adequate cause lies with the institution. (See Section 4.2.13)

C. Reporting. The College/Library Personnel Committee shall provide the Dean with a written recommendation and rationale for each personnel action. The College/Library Personnel Committee shall hold one or more meetings with the Dean of the College/Library or his/her designee for the purpose of discussing its written recommendation and rationale regarding faculty personnel action(s). The Personnel Committee will issue an annual report to the College's or Library's regular faculty concerning its activities for the year. A copy of this report, along with any recommendations for changes or clarifications in this policy will be sent to the Chair of the Executive Committee of the Senate.

4.2.10.9 Dean's Personnel Actions.

A. Action in Cases of Reappointment, Tenure, or Promotion. In making personnel recommendations, the Dean will normally be expected to recommend in favor of the appointee if the appointee has the support of the College Personnel Committee. If, in any case, the Dean does not accept the recommendation of the College's Personnel Committee, the Dean will present the reasons in writing to the appointee, the unit, and the Committee.

B. Action in Cases of Dismissal for Adequate Cause. If the Dean's decision is to accept a recommendation of the College Personnel Committee to dismiss for adequate cause, the Dean shall submit his/her decision in writing with rationale to the appointee.

C. Appeals. Appeals of the Dean's decision in matters of cases of dismissal for adequate cause are to be made according to the applicable grievance procedure.

D. Non-Renewals. In the event that the decision about an appointee's candidacy for reappointment or tenure will result in the non-renewal of employment, the Dean shall follow the process stated in Section 4.2.13.

E. Termination during the probationary period following an annual review. See Section 4.2.7

4.2.10.10 Provost's Personnel Decisions.

A. Action in Cases of Reappointment, Tenure, or Promotion.
In making personnel decisions, the Provost will normally be expected to recommend in favor of the appointee if the appointee has the support of the Dean. If, in any case, the Provost does not accept the recommendation of the Dean, the Provost will present the reasons in writing to the appointee, the unit, College Personnel Committee, and the Dean.

B. Appeals.
Appeals of the Provost's decision in cases of reappointment, tenure or promotion are to be made according to the applicable appeal procedure, Section 4.2.13.

C. Non-Renewals
In the event that the decision about an appointee's candidacy for reappointment or tenure will result in the non-renewal of employment, the Provost shall follow the process stated in Section 4.2.13