Faculty and Academic Staff Handbook
19th Edition, 2008
Chapter IV: Faculty Personnel Rules and Procedures of UW-River Falls
4.3 Renewal and Nonrenewal of Probationary
Appointments-Faculty Personnel Rules
The provisions of this section, except as they are modified by the provisions of section 4,
shall not apply to the appointment of a faculty member to an eighth year of service to this
institution.
4.3.1 Recommendation from an Academic Unit
4.3.1.1 Time Strictures
Renewal of appointments may be granted only upon affirmative recommendation of the
appropriate academic unit. The proportion of time provided for the appointment may not
be diminished or increased without the mutual consent of the faculty member and the
institution, unless the faculty member is dismissed for just cause, pursuant to 36.13 (5),
Wisconsin Statutes, or is terminated or laid off pursuant to 36.21, Wisconsin Statutes.
4.3.1.2 Voting Eligibility
Only tenured faculty members in the academic unit or its functional equivalent shall be
eligible to vote on renewal and nonrenewal of probationary appointments except for those
who have resigned for reasons other than retirement and those excluded by other UWS
regulations, e.g., s. UWS 8.03 (3), the rule governing nepotism.
4.3.2 Criteria for Recommendation
4.3.2.1 Core Criteria
The recommendation shall be based on the following factors:
- The personnel needs as determined by the specific mission and programs of the
academic unit within the overall mission and programs as defined and set forth for the
respective College and University of Wisconsin-River Falls.
- Professional preparation and experience
- Performance criteria
(c1) Effectiveness in teaching. This section is to apply to any academic unit
(department) faculty member whose appointment normally involves a teaching
component. Each academic unit (department) will draw up in writing a set of
teaching expectations to be used as a guideline for all of its teaching staff in
carrying out their teaching duties.
Teaching expectations shall include, but not be
limited to, classroom teaching and its ancillary activities such as advising, testing,
professional consultations with students on class progress and with colleagues on
curriculum revision and development, class preparation and syllabus writing, and
maintaining familiarity with technology.These activities and their relative
importance are to be clearly defined in departmental guidelines.
The teaching
effectiveness criteria for faculty also shall be used to evaluate academic staff with
teaching appointments.
The most important performance criterion will be effectiveness in teaching.
Effectiveness in teaching will be assessed through peer evaluations, student
evaluations, the faculty member's teaching portfolio, and any other appropriate
means of evaluation as approved by a majority of the academic unit's
(department's) teaching staff.
(c2) Professional involvement and accomplishments. Professional involvement
and accomplishments in research/scholarly/creative activity may include, but are
not limited to, student-faculty or faculty research/scholarly/creative activity
involving traditional discipline-related activity or the scholarship of teaching and
learning, publications, presentations to professional organizations, grants applied
for, grants received, exhibitions of works of art, performances, video productions,
software production, participation in scholarly/scientific meetings and related
activities.
(c3) Contributions. Significant contributions at the departmental, College,
University, community, state, national, or international level in categories other
than those identified above. Such activities include, but are not limited to,
advising campus organizations; participating in faculty governance; sharing
professional expertise with government, business or private non-profit entities;
participation in non-academic local, regional, national, and international
organizations whose aims parallel the professional interests of the faculty.
4.3.2.2 Deficiency
A supportable, severe deficiency in any or all of the above criteria, (c1)-(c3), is a
reasonable cause for non-renewal.
4.3.2.3 Departmental Criteria
Each academic unit (department) will develop a written set of criteria and will determine
the relative importance of these criteria for determining renewal using the basic core of
the above criteria, including the integration of technology, in Section 4.3.2.1 as a model
and have it approved by the respective College Dean, the Provost and Vice Chancellor
for Academic Affairs, and the Chancellor. These criteria are to be provided in writing to
and discussed with new faculty members by each academic unit chair.
The department may adjust its criteria, within the boundaries of core criteria (c1)-(c3) above; the respective College Dean, the Provost and Vice Chancellor for Academic
Affairs, and the Chancellor must approve those changes. With the approval of the majority of the tenured members of the department, the department chair, the respective College Dean, the Provost and Vice Chancellor for Academic Affairs, and the Chancellor, individuals within departments may develop different workload expectations within the boundaries set by departments in 4.3.2.3 and will be reviewed based on these revised expectations. A written copy of the alternative workload expectation must be included in all files prepared for promotion and reviews. [FS 07/08 #68] Departments and administrators
must follow a principle of fairness in applying changed criteria to decisions involving
faculty who have been working under the conditions of the prior criteria. Faculty within
three years of the department’s decision for tenure, promotion, or post-tenure review
decisions will be given the option to have the criteria operative prior to the change used
in these decisions.
Other faculty subject to a retention, promotion or post-tenure review decision when
criteria have changed since time of hire, last promotion or post-tenure review should
confer with the department and department chair to negotiate and clarify the criteria to be
used. Consideration must be given to length of service under the prior criteria, the terms
and expectations under which the initial hire was made, the decision process used to
change the criteria, and the extent of prior consultation with the faculty member with
respect to the changed criteria. These clarifications will be summarized in writing,
approved by the respective College Dean, the Provost and Vice Chancellor for Academic
Affairs, and the Chancellor, and entered into the faculty member’s professional record.
These clarifications will also be mentioned in the Chair’s recommendation and the
individual’s Reflective Statement in the decision file. Decision makers will use these
clarified criteria in making their recommendations. [FS 03/04 #7]
4.3.2.4 Professional Record
The head of the academic unit concerned shall maintain the professional record indicating
the performance of each probationary faculty member with respect to the criteria set forth
in Section 4.3.2.1 Such records shall be limited to official University documents relevant
to reaching an evaluation.
4.3.2.5 Personal Statement
As part of the official record, faculty members under review shall prepare two- to threepage
statements reflecting on their progress in meeting the department’s performance
criteria noted in Section 4.3.2.1c. This statement should summarize the candidates’
portfolios and elaborate on activities such as their teaching, collaborations with students
and colleagues, accomplishments in research/scholarly/creative activity, and service to
the campus and larger community. This statement shall be prepared and updated for the
professional record as appropriate for decisions involving retention, tenure, promotion,
and post-tenure review.
4.3.3 Procedures for Recommendation
4.3.3.1 Names of Probationary Faculty Forwarded to Department by Dean
The names of the probationary faculty members to be evaluated shall be forwarded to the
heads of the appropriate academic units by the Dean in accordance with the schedules set
forth in Section 4.3.6, Table 4.3.6.4 Probationary faculty hired at mid year will be evaluated (first review) with first year
probationary faculty hired in the next academic year.
4.3.3.2 Notification of Probationary Faculty and Department
At least 30 calendar days prior to the vote on the question of renewal of a probationary
appointment, the head of the academic unit shall notify, in writing, the faculty member in
question and all faculty members eligible to vote thereon. These individuals shall be
allowed access to the professional record and given the opportunity to update that record
as identified in Section 4.3.2.4 This material must be placed in the record within 20 days
after the notification. For at least a five-workday [FS 06/07 #82] period before the vote is
taken, the faculty member in question and every faculty member eligible to vote shall be
allowed access to the professional record for review purposes only. (See time schedule in
Section 4.3.6.4)
4.3.3.3 Meeting for Discussion Prior to Vote
Before a vote is taken, the recommendation in question shall be discussed at a meeting of
the faculty members eligible to vote thereon. The meeting shall be called under the
provisions of s. 19.85, Wisconsin Statutes, the Open Meeting Law, and Section 4.3.1.2 The meeting shall be called and conducted by the chair so as to afford reasonable
opportunities to ask questions, to offer additional information, and to discuss the
recommendation in question. This discussion shall be based on documents in the
probationary faculty member's personnel file. This file should contain and the chair shall
introduce for discussion: official recommendations from departmental personnel
committee where such exist; and non-binding advisory reports from other sources who
are engaged in a working relationship with the faculty under review.
4.3.3.4 Voting Procedure
The vote shall be taken at the meeting by signed ballots. Members unavoidably absent
from the meeting because of illness, professional commitment, or emergency may vote
by absentee ballot submitted to the head prior to the meeting. There shall be no voting by
proxy.
4.3.3.5 Counting of Votes
The recommendation to renew a probationary appointment shall pass if a majority of
those voting concur. If the votes are equally divided, the recommendation shall be against
reappointment. Abstention votes of any form should be counted as no vote cast. They
should not be considered in any personnel decision.
4.3.3.6 Report of Recommendation
The head of the academic unit shall prepare and submit the unit's recommendation for the
administrative review provided in Section 4.3.5. The record submitted by the head of the
academic unit shall include the unit’s recommendation, a copy of the record which was
presented to the faculty, a statement of the number of faculty members who favored and
the number who opposed the unit head’s summary of views of those disagreeing with the
recommendation, and whether the head of the academic unit concerned agrees with the
recommendation. [FS 06/07 #82]
4.3.3.7 Period for Review of Report
The recommendation, including all documents referred to in Section 4.3.3.6, shall be
available in the chair's office for inspection and comment by the voting members for a
period of not less than three weekdays prior to the date set forth in Section 4.3.6 for its
submission for administrative review. During those days, any voting member may add his
or her separate concurring or dissenting statement to the material forwarded. These
statements are added to the official record and are open to the same review as the other
material forwarded. [FS 06/07 #82]
4.3.3.8 Disposition of Documents
Copies of the academic unit's recommendation, including all documents referred to in
Section 4.3.3.6 and Section 4.3.3.7 and the individual signed ballots, shall be retained by
the Dean.
4.3.4 Disclosure of Recommendation to a Faculty Member
4.3.4.1 Written Notice from Academic Unit to Faculty Member
At the same time that the recommendation is submitted for administrative review, the
head of the academic unit shall give written notice to the faculty member of the
recommendation adopted by the unit.
4.3.4.2 Notification of Probationary Faculty at Aach Reviewing Level
The probationary faculty member shall be notified in writing within 20 days after each
decision at each reviewing level as outlined under "Dates of Implementation" Section 4.3.6.4.
4.3.5 Administrative Review of the Recommendation
4.3.5.1 Levels of Review
The recommendation of the academic unit shall be submitted to and reviewed by the
administration in accordance with this section.
- The head of the academic unit shall submit the recommendation outlined in Section 4.3.3.6 and Section 4.3.3.7 to the Dean. The Dean shall make a decision, appending any
comments, and forward the recommendation to the Provost and Vice Chancellor for
Academic Affairs.
- The Provost and Vice Chancellor for Academic Affairs shall make a decision,
appending any comments, and forward the recommendation to the Chancellor.
- The Chancellor has the responsibility and authority to make the decision for renewal
and nonrenewal based on the criteria listed in Section 4.3.2.1 and shall inform the head of
the academic unit of the decision.
- If the Chancellor disagrees with the recommendation of the academic unit and
requests that the unit reconsider the matter, he or she must submit a statement of reasons
for disagreement to the unit.
- The head of the academic unit shall call a meeting of those members of the academic
unit who are eligible to vote on the question. After discussion of the reasons given by the
Chancellor, a vote shall be taken to determine what the reconsidered recommendation
shall be. Voting shall follow procedures given in Section 4.3.3.4 and Section 4.3.3.5.
- The head of the academic unit shall submit the unit's reconsidered recommendation to
the Chancellor not less than three weekdays prior to the notification dates for
reappointment. (see Table 4.3.6.4)
- The decision of the Chancellor on the reconsidered recommendation shall be final.
4.3.5.2 Faculty Member Informed of Chancellor’s Decision
The Chancellor shall inform the faculty member of his or her decision for the renewal or
nonrenewal of the probationary appointment. The faculty member may, within 30 days of
a nonrenewal notice, submit a written request to the Chancellor for reasons of
nonrenewal. The Chancellor shall, within 10 working [FS 06/07 #82] days, give him or
her written reasons for nonrenewal. Such reasons shall become a part of the professional
record of the individual.
4.3.5.3 Request for Reconsideration
Within 20 days after receiving written reasons from the Chancellor, the faculty member
may submit to him or her a written request for a reconsideration of the nonrenewal
decision. The purpose of reconsideration of a nonrenewal decision shall be to provide an
opportunity for a fair and full reconsideration of the nonrenewal decision and to ensure
that all relevant material is considered.
- Such reconsideration shall be undertaken by the Chancellor and shall include, but not
be limited to, notice at least five workdays [FS 06/07 #82] in advance of the time of
reconsideration of the decision, an opportunity to respond to the written reasons and to
present any written or oral evidence or arguments relevant to the decision, and written
notification of the decision resulting from the reconsideration.
- Reconsideration is not a hearing or an appeal, and shall be non-adversarial in nature.
- In the event that a reconsideration affirms the nonrenewal decision, the procedure
outlined for appeal may be followed. (See 4.6, Nonrenewal Appeals)
4.3.6 Implementation Dates
4.3.6.1 Associate Professor/Tenure
Since the promotion to associate professor is coupled to the granting of tenure, the dates
of implementation to Table 4.3.6.4 shall apply to both.
4.3.6.2 Notice Periods
The dates used in the implementation of the procedures of Section 4.3.3 are based upon
the notice periods provided by UWS 3.09, Wisconsin Administrative Code, and are listed
in the table below.
4.3.6.3 Mid-year Appointment
In case of an appointment terminating in the middle of an academic year, the time
associated with the implementation dates shall be apportioned accordingly and precede
the notification dates as given in UWS 3.09 of the Wisconsin Administrative Code.
See the following chart:
4.3.6.4 Probationary Faculty Calendar
Action |
First Year
(for second year appointment) |
Second year
(for third and fourth year appt) |
After two or
more years |
A. Names of probationary faculty
members forwarded to heads of academic
units no later than (Section 4.3.3.1) |
December 5 |
September 15 |
November 25 |
B. Head of academic unit notifies probationary faculty members and all eligible voters no later
than (Section 4.3.3.2) |
December 10 |
September 20 |
December 5 |
C. Professional file is made available to candidate
and faculty members eligible to vote, for their
consideration and additions (Section 4.3.3.2) |
December 11- January 20 |
September 21- October 20 |
December 6 - January 5 |
D. Amended file available for review only (Section 4.3.3.2) |
Jan 21-26 |
October 21-31 |
January 6-31 |
E. Vote no later than (Section 4.3.3.2-4.3.3.5) |
Feb 2 |
November 10 |
February 6 |
F. Departmental recommendations and all
supporting documents (as outlined in Section
4.3.3.6) shall be opened to inspection and
comments for three weekdays prior to
their submission to the Dean but no later than
(Section 4.3.3.7) |
Feb 7 * |
November 15* |
February 13* |
G. Departmental recommendations with all
supporting documents (as outlined in Sections 4.3.3.6 and 4.3.3.7) forwarded to the Dean no later than
(Section 4.3.5.1) |
February 10 |
November 16 |
February 14 |
H. Dean forwards recommendations to Provost and Vice Chancellor for Academic Affairs no later than (Section 4.3.5.1) |
February 15 |
November 23 |
February 21 |
I. Provost and Vice Chancellor for Academic Affairs forwards recommendation to Chancellor no later
than (Section 4.3.5.1) |
February 20 |
November 30 |
February 28 |
J. Chancellor informs head of academic unit
of decision no later than (Section 4.3.5.1) |
February 25 |
December 8 |
March 7 |
K. Chancellor notifies faculty member of
decision no later than (Section 4.3.5.1) |
March 1 |
December 15 |
March 14 |
* 5 days allocated to allow for weekends during some terms