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Faculty and Academic Staff Handbook
19th Edition, 2008
Chapter IV: Faculty Personnel Rules and Procedures of UW-River Falls
4.4 Tenure and Promotions - Faculty Personnel Rules
4.4.1 General
The usual probationary period shall be seven years in a full-time or at least half-time
position. Provisions shall be made at the time of hire for the appropriate counting of prior
service at other institutions and at the institution. Tenure is not acquired solely because of
years of service.
4.4.1.1 Timing of Tenure Recommendation
A tenure recommendation shall ordinarily be made during a probationary faculty
member's sixth year of full-time or at least half-time employment. The notice of
employment for the eighth year shall be given during the sixth year in accordance with
the schedule set forth in Table 4.3.6.4 Except as provided in UWS 3.10 and Section 4.4.1.5, notice of appointment for the eighth year shall constitute the granting of tenure to
the probationary faculty member.
4.4.1.2 Criteria for Early Tenure Decision
A faculty member may be considered for tenure prior to the completion of the usual
probationary period provided that at least one of the following criteria is met:
- For extraordinary reasons, the faculty member has taught seven years at this
institution without receiving tenure.
- The faculty member possesses teaching, administrative, and/or research expertise that
makes possible an extraordinary contribution to the fulfillment of the goals of the
institution.
4.4.1.3 Criteria for Delayed Tenure Decision
A faculty member may be considered for tenure with a longer maximum probationary
period (greater than 7 years as defined in 4.4.1) in a full-time or part-time position of at
least half-time (see Sections 4.4.1.4 and 4.4.1.5).
4.4.1.4 Leave of Absence or Sabbatical
A leave of absence, sabbatical or a teacher improvement assignment does not constitute a
break in continuous service and shall not be included in the 7-year period under Section 4.4.1
4.4.1.5 Other Circumstances That May Delay Tenure Decision
Circumstances in addition to those identified under Section 4.4.1.4 that do not constitute
a break in continuous service and that shall not be included in the 7-year period include
responsibilities with respect to childbirth and adoption, significant responsibilities with
respect to elder or dependent care obligations, disability or chronic illness, or
circumstances beyond the control of the faculty member, when those circumstances
significantly impede the faculty member's progress toward achieving tenure. The request
shall be made in writing. It shall be presumed that a request made under this section
because of responsibilities with respect to childbirth or adoption shall be approved. A
request for additional time should be made prior to the beginning of the sixth year.
- A request for additional time because of responsibilities with respect to childbirth or
adoption shall be initiated in writing by the probationary faculty member concerned and
shall be submitted to the chair or academic unit head, who will forward it with a
recommendation to the Dean, who will forward it with a recommendation to the Provost
and Vice Chancellor for Academic Affairs for approval. The Provost and Vice
Chancellor for Academic Affairs shall specify the length of time for which the request is
granted. The request should state the reason for the exception, and state the beginning
date and the ending date of the leave. Final approval and notification shall be made by the
Chancellor.
- Except for a request because of responsibilities with respect to childbirth or adoption,
a written request made because of other circumstances under this section shall be
submitted to the chair or academic unit head, who will forward it with a recommendation
to the Dean, who shall forward it with a recommendation to the Provost and Vice
Chancellor for Academic Affairs for approval. The Provost and Vice Chancellor for
Academic Affairs shall specify the length of time for which the request is granted. The request should state the reason for the exception and state the beginning date and the
ending date of the leave. Final approval and notification shall be made by the Chancellor.
A denial of a request shall be in writing by the Chancellor and shall be based on clear and
convincing reasons.
- More than one request may be granted because of responsibilities with respect to
childbirth or adoption. More than one request may be granted to a probationary faculty
member but the total, aggregated length of time of all requests, except for a request
because of responsibilities with respect to childbirth or adoption, granted to one
probationary faculty member ordinarily shall be no more than one year.
- If additional time is needed, the approval process must be reinstituted.
- The department chair shall notify the tenured faculty members that the leave has been
approved and does not constitute a break in service. The chair does not need to notify the
tenured faculty members as to the reason for the request.
- If any faculty member has been in probationary status for more than 7 years because
of one or more of the reasons set forth in Section 4.4.1.4 or 4.4.1.5, the faculty member
shall be evaluated as if he or she had been on probationary status for 7 years.
4.4.2 Procedure
The procedure for granting tenure shall be the same as the procedure for the renewal or
nonrenewal of a probationary appointment in Section 4.3.1 through Section 4.3.6, except
for the following:
- Voting members of the academic unit shall consist of all tenured faculty members of
the unit.
- A motion to grant tenure shall carry only if favored by at least two-thirds of those
voting. Abstention votes of any form should be counted as no vote cast. They should not
be considered in any personnel decision.
- When tenure is to be granted to a faculty member prior to the expiration of the normal
probationary period, the decision may be made independently of the calendar dates in
Section 4.3.5.1 (f) and Section 4.3.6 Nevertheless, the time periods and sequences
associated with giving notice, scheduling meetings, and providing information shall be
honored. When the Dean forwards his or her recommendation to the Provost and Vice
Chancellor for Academic Affairs, he or she shall, at the same time, inform all academic
unit heads and each other Dean about the recommendation. The purpose of providing this
information is to give the various parts of the University an opportunity to express to the
Provost and Vice Chancellor for Academic Affairs and/or Chancellor any concerns they
have regarding the proposed action prior to a decision.
- When tenure is to be granted simultaneously with initial appointment, the tenured
faculty of the academic unit, upon two-thirds majority vote, shall initiate the
recommendation for granting tenure. This recommendation shall accompany the
recommendation for initial appointment in the process of administrative review provided
in Section 4.2.2.5 and 4.2.2.6 When the Dean forwards his or her recommendation to the
Provost and Vice Chancellor for Academic Affairs, he or she shall, at the same time,
inform all academic unit heads and each other Dean about the recommendation. The
purpose of providing this information is to give the various parts of the University an
opportunity to express to the Provost and Vice Chancellor for Academic Affairs and/or
Chancellor any concerns they have regarding the proposed action prior to a decision. A
denial of tenure under these circumstances does not require written reasons, a
reconsideration, nor opportunity for an appeal under UWS 3.07 and UWS 3.08
- As noted in Section 4.1.5, a tenure appointment is granted by the Board upon the
affirmative recommendation of the appropriate academic unit and the Chancellor or the
University via the President of the System, unless a denial of tenure is found to be based
on impermissible factors, in which case the provisions of Section 4.4.3 will apply.
4.4.3 Review and Rectification of Denial of Tenure For Impermissible
Factors
4.4.3.1 Procedures for the Review and Rectification of Denial of Tenure on Basis of
Impermissible Factors
Recommendations for tenure shall be based on the criteria established in Section 4.3.2.1 and on such extension of those criteria as are enacted by each academic unit and filed
with the Provost and Vice Chancellor for Academic Affairs. Tenure shall not be denied
on the basis of impermissible factors as defined in Section 4.6.4 of the Faculty/Academic
Staff Handbook. Faculty who appeal their denial of tenure on the basis of impermissible
factors may follow the process and procedure of the appeal process described below. No
member of the academic unit in which the appeal originated shall serve on any body
involved in the appeal.
- The faculty member denied tenure may appeal to the Faculty Hearing, Grievance and
Appeals Committee to determine if impermissible factors were used in denying tenure.
This committee will review the tenure documents and supporting materials and hold
interviews and hearings as needed to establish the basis on which the decision was made.
Academic staff members of the Hearing, Grievance and Appeals Committee shall not
participate in appeals of denial of tenure for impermissible factors.
- Should the Hearing, Grievance and Appeals Committee find that the decision was not
based on impermissible factors, the denial shall stand.
- Should the Hearing, Grievance and Appeals Committee find that the decision was
based on impermissible factors, an Ad Hoc Committee shall be established to conduct an
independent review of the grievant's credentials in relation to established criteria (Section 4.3.2.1).
- The Faculty Senate shall be responsible for establishing the Ad Hoc Committee.
(1) The Chair of the Faculty Senate in consultation with the tenured members of
the Executive Committee shall draft a list of potential Ad Hoc Committee
members to be approved by the entire Faculty Senate. The Faculty Senate Chair
shall be responsible for contacting nominees to the Ad Hoc Committee and
obtaining their consent to serve.
(2) This Ad Hoc Committee shall be composed of five members who teach in the
same academic field as the individual under review or in a substantially similar
academic field, and a non-voting chair selected by the tenured members of the
Executive Committee of the UWRF Faculty Senate.
(3) Members of the Ad Hoc Committee may be UWRF faculty or faculty from
other campuses, but they must be tenured at an accredited four-year institution of
higher learning. In selecting off-campus members of the Ad Hoc Committee, the
Faculty Senate shall try to choose faculty from institutions whose philosophy and
mission are similar to those on this campus. Members of this Ad Hoc Committee
are expected to give a fair and impartial review and to be free of conflicts of
interest which might bias them in favor of one of the parties to the appeal.
- The Ad Hoc Committee shall function as follows:
(1) The administration shall provide a recording secretary who, in the event of an
open meeting, will prepare a verbatim report.
(2) The Ad Hoc Committee shall review documents on which the decision was
based including, but not limited to, the grievant's personnel file, minutes of
meetings at which the grievant's tenure was discussed, the chair's recommendation
regarding tenure, and other supporting documents;
(3) hold a meeting to conduct an independent review of the grievant's credentials
in relation to established criteria (Section 4.3.2.1). In accordance with s.
19.85(1)(b) Wisconsin Statutes and other statutory provisions, appropriate notice
shall be given of this meeting and the grievant shall have the option to request that
it be open;
(4) after due discussion and deliberation, vote by signed ballot to recommend
granting or denying tenure; and
(5) convey to the Chancellor their conclusions, providing a report stating the
rationale for their decision and indicating any substantive minority views which may have been expressed.
- The Chancellor shall review the recommendation of the Ad Hoc Committee and make
a recommendation following the criteria in Section 4.3.2.1 and any such extension of
those criteria established by the academic unit and filed with the Provost and Vice
Chancellor for Academic Affairs.
- The following time limits shall govern this procedure:
(1) Within 15 days after being notified in writing of the departmental vote
denying tenure, the faculty member must forward an appeal to the Hearing,
Grievance and Appeals Committee.
(2) The Hearing, Grievance and Appeals Committee shall operate under the
provisions of Section 10 except that in the event impermissible factors are found
to operate, the Hearing, Grievance and Appeals Committee chair shall
immediately notify the faculty member and the Chair of the Faculty Senate.
(3) Faculty Senate action on establishing the Ad Hoc Committee shall proceed in
a timely fashion, but no more than one month shall elapse between notification
and the approval of the Ad Hoc Committee.
(4) The Ad Hoc Committee shall have one month in which to conduct its review
and to notify the Chancellor of its decision.
(5) The Chancellor will act on the report within two weeks after its receipt and
will immediately give written notice of the final decision to all parties involved.
4.4.4 General Criteria for Promotion
Reflecting the spirit and intent of Chapter 3.06 of the UWS Administrative Code
"Renewal of Appointments and Granting of Tenure," this handbook includes the general
criteria for promotion.
4.4.4.1 Specific Criteria for Promotion to Associate Professor
Each department or functional equivalent develops specific criteria for retention and
promotion, including technology integration, in accordance with Section 4.3.2.1c and
determines the relative importance of these criteria. The appropriate Dean, the Provost
and Vice Chancellor for Academic Affairs and the Chancellor review and approve the
criteria. The department chair shall present these department criteria to faculty members
and shall discuss with them the ways in which the criteria can be fulfilled so that such
faculty can successfully attain tenure and the automatic promotion to Associate Professor
it carries. Copies of the criteria will be on file in the offices of the Dean, the Provost and
Vice Chancellor for Academic Affairs and the Chancellor.
4.4.4.2 Procedure for Promotion to Associate Professor
Faculty appointed at the Assistant Professor level are promoted to Associate Professor
simultaneously with the granting of tenure. For additional information on promotion to
Associate Professor see Section 4.4.1 on Granting Tenure.
4.4.4.3 Specific Criteria for Promotion to Professor
Performance expectations for promotion to Professor will be beyond those expectations
for promotion to Associate Professor. Similar to promotion to Associate Professor, each
department or functional equivalent develops the specific criteria, including technology
integration, and determines the relative importance of these criteria. The appropriate
Dean, the Provost and Vice Chancellor for Academic Affairs and the Chancellor review
and approve the criteria. The department chair shall present these department criteria to
faculty members and shall discuss with them the ways in which the criteria can be
fulfilled. Copies of the criteria will be on file in the offices of the Dean, the Provost and
Vice Chancellor for Academic Affairs and the Chancellor. A supportable, severe
deficiency in any or all of the criteria is reasonable cause for denial of promotion.
4.4.4.4 Procedure for Promotion to Professor
Promotion to Professor involves review and recommendations at the department,
College/unit, University and UW Regents levels as described later in this section. A
positive recommendation for promotion at a lower level does not guarantee a positive
recommendation at a subsequent higher level.
4.4.4.5 Qualifications for Promotion
4.4.4.5.1 Appropriate Educational Preparation
In promotion of faculty members, the following criteria will be considered: appropriate
educational preparation, appropriate experience, and contributions to the University.
The educational preparation code assignment shall be based on the following minimal
academic experience pertinent to the teaching assignment:
Code 1 Any of the following categories qualify for this rating:
- Ph.D.
- Ed.D.
- Earned doctor's degree equivalent to the Ph.D. and Ed.D. requiring the
minimum equivalent of three full years of graduate study beyond the
baccalaureate
- M.F.A. in performing arts (dance and theatre) or in studio arts
- M.S.W./M.S.S.W. with ACSW eligibility (limited to promotions to
Associate Professor only)
- M.A./M.S. in Journalism and minimum three years relevant professional
experience (limited to promotions to Associate Professor only) [FS 03/04 #6]
- M.A. in SCTA/Mass Communication with appropriate professional
experience (limited to promotions to Associate Professor only) [FS 04/05 #1]
Code 2
- Earned degrees requiring a minimum of three years of work beyond the
baccalaureate degree
- All requirements met for the doctorate except for the completion of the
dissertation
Code 3
- Master's degree plus one full year of graduate study as measured by the
institution where graduate work is applicable in a degree program
- A specialist degree or its equivalent
- Two-year master's degree
Code 4 Master's Degree
Code 5 Bachelor's Degree
Code 6 No bachelor's Degree
NOTE: In those academic areas where the terminal degree traditionally accepted in the
discipline is other than code 1 or code 2 or in fields where faculty members with code 1
or code 2 credentials are not available, the faculty member may receive consideration for
promotion upon recommendation of the academic department. Less than full-time faculty
may be considered for promotion in rank when their actual teaching experience adds up
to the number of years required for promotion to the rank in question. The Chancellor
may waive the criteria and must provide the justification for the waiver.
4.4.4.5.2 Appropriate Axperience
Having met the standard for minimal academic preparation as outlined in assignment of
code, the faculty member who seeks advancement in rank must meet the following
criteria:
- Associate Professor: To be eligible for consideration for promotion to the rank
of Associate Professor, the faculty member must meet minimal educational
preparation code 1 A minimum of six years of teaching or equivalency with a
minimum of three academic years as an Assistant Professor at this University
will be required.* An Assistant Professor who is granted tenure shall
automatically be promoted to Associate Professor if minimal educational
preparation code 1 is met and the rank of Assistant Professor has been held for
at least three years. There shall be no promotion to Associate Professor prior
to the granting of tenure.**
*Neither the current year nor summer sessions will be considered in meeting this
requirement
**Applies to tenure-track faculty hired after October 9, 1996
- Professor: There shall be no promotion to Professor prior to the granting of
tenure.** To be eligible for promotion to the rank of Professor, the faculty
member must meet minimal educational preparation code 1 Ten years of fulltime
college/university teaching or equivalency is required.* A minimum of
three of those years must be at the rank of Associate Professor at this
University.
*Neither the current year nor summer sessions will be considered in meeting this
requirement
**Applies to tenure-track faculty hired after October 9, 1996
4.4.4.5.3 Contribution to the University
The faculty member who has met criteria Appropriate Educational Preparation and
Appropriate Experience (above) may be considered for promotion using the criteria
found under Section 4.3.2.1 (c1)-(c3).
Evaluation of the criteria in Section 4.3.2.1 c shall be based on the faculty member's
professional record. Faculty members (tenured and tenure track) are expected to develop
and maintain a faculty record for use in merit, retention, tenure, promotion, and posttenure
decisions. A copy of the record should be kept by both the faculty member and his
or her department chair and updated annually. This professional record should include a
Vita, a self-reflective statement, and the following position information: Letters of
appointment, position announcement, University rank and years of service. The record
shall document the faculty member's activities in four categories 1) teaching, 2)
research/scholarly activity/creative activity, 3) university service and outreach, and 4)
other professional contributions, and may include the following documentation and
activities:
- Teaching: must include student, peer, and department evaluations, and may
include a list of courses taught, enrollment, student advising, reassigned/release
time, curriculum revision/innovation, renewal and retraining, and other
professional teaching development.
- Research/Scholarly/Creative Activity: may include, but is 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, participation in
scholarly/scientific meetings, and related activities. [FS 02/03 #11]
- University Service and Outreach: may include committee participation and
leadership (department, college, University), student club advising, and extension
and outreach responsibilities.
- Other Professional Contributions: may include active involvement in
professional organizations, professional consulting, professional service to
community organizations, and similar activities.
The items within the categories above are suggestions of appropriate activities to
document in the record and may not include every appropriate activity. Specific
performance expectations for promotion are established by the department and kept on
file with the Dean of the College, the Provost and Vice Chancellor for Academic Affairs,
and the Chancellor.
4.4.4.6 Promotion Procedures
4.4.4.6.1 Department Procedures
Recommendations for promotions shall be initiated during Fall semester at the
departmental level. The departmental procedures shall provide a review of a promotion
professional record containing such information and summary of data as described above.
At the departmental level, the professional records of those candidates recommended by
the department shall be forwarded to the College Promotions Committee for review and
action. Every faculty member who meets the minimum requirements for promotion but is
not recommended for promotion by the department can request that his or her
professional record be forwarded to the Dean of the College.
A meeting will be conducted by the department chair, except in instances where the chair
does not hold a rank equivalent to that being decided on, in which case the Dean will
designate a committee chair from the department members eligible to vote.
The vote will be taken at the meeting by signed ballots of those department members who
hold the same or higher rank for which the candidate is being considered. Members
unavoidably absent from the meeting because of illness, professional commitment, or
emergency may vote by absentee ballot submitted to the committee chair prior to the
meeting. There shall be no voting by proxy.
The recommendation for promotion shall pass if a majority of those voting concur. If the
votes are equally divided, no department recommendation will be forwarded to the
College Promotions Committee. Abstention votes of any form should be counted as no
vote cast. They should not be considered in any personnel decision.
The Department committee chair shall prepare and submit the unit's recommendation for
administrative review. The recommendation shall be accompanied by a copy of the
record which was presented to the faculty, and a statement of the number of faculty
members who favored and the number who opposed the recommendation.
Copies of the academic unit's recommendation, including all documents referred to
above, and a copy of the department's promotion criteria shall be reviewed by the College
Promotion Committee. That material and the individual signed ballots shall be retained
by the Dean.
At the same time that the recommendation is forwarded for review to the College
Promotions Committee, the department committee chair shall give written notice to the
faculty member of the recommendation adopted by the unit.
NOTES:
The Dean shall augment any department with fewer than three eligible voting members
with additional members who shall participate in the promotion decisions. See Section
4.1.1 for information on
how the augmented committee shall be formed and who shall serve on it.
Recommendations for promotion of department chairs may be made by the Dean in
consultation with the tenured members of the department.
4.4.4.6.2 College Promotions Committees
The Dean of each College shall establish a College Promotions Committee to evaluate
the professional record of each candidate. This committee shall consist of at least seven
members. Voting in the College Promotions Committee shall be governed by the
principle that nominations to a given rank shall be voted upon only by members of the
committee who hold rank equivalent to or higher than that under consideration. A
member's service on this committee shall be limited to three consecutive years and no
more than two members of the same department shall serve on the committee at the same
time. The College Promotions Committee shall consider the professional records of the
following groups: (a) candidates recommended by the department, (b) persons who
request consideration by appeal to the Dean of the College, and (c) any others whom the
committee believes deserve consideration because of special circumstances.
A written report on the deliberations of the College Promotions Committee shall be
forwarded to the Dean. This report shall explain briefly the strengths and weaknesses of
each nominee and in cases in which the committee chooses not to recommend a candidate
for promotion; the report shall give reasons for this action. Wherever feasible, this report
shall include any information which may be of service to the faculty member who is not
granted promotion and who wishes to improve his or her performance.
4.4.4.6.3 Action of the Dean
The Dean shall review the recommendations of the College Promotions Committee, shall
provide additional information where it is appropriate and shall then forward the list of
candidates for promotion to the Provost and Vice Chancellor for Academic Affairs. Upon
timely request from an unsuccessful candidate, the Dean shall meet with the candidate to
review the professional promotion record and to advise the candidate of any actions that
may be taken to strengthen his or her qualifications for promotion.
4.4.4.6.4 Review by the Provost and Vice Chancellor for Academic Affairs
The Provost and Vice Chancellor for Academic Affairs shall review the
recommendations of the Deans and shall send his or her recommendation concerning
promotions to the Chancellor.
4.4.4.6.5 Final Action By the Chancellor
The Chancellor shall make his or her final decision regarding recommendations for
promotion, shall forward this decision to the Board of Regents, and shall notify all
candidates of the status of their nomination. Upon written request from an unsuccessful
candidate, the Chancellor shall review the candidate's professional record, including
recommendations of the various promotions committees, of the Dean, and of the Provost
and Vice Chancellor for Academic Affairs, and shall discuss with the candidate the
rationale for the action on his or her recommendation. The Chancellor may refer the
candidate to the Provost and Vice Chancellor for Academic Affairs or to the appropriate
Dean or the department chair for a review of the candidate's file and the actions thereon.
4.4.4.6.6 Appeal
A faculty member who is not recommended for promotion has the right to appeal that
decision to the Faculty Hearing, Grievance, and Appeals Committee in accordance with
the procedures of Chapter IV of this Handbook: Section 4.10 - Procedure for Handling
Grievances: Faculty Personnel Rules.
4.4.4.6.7 Promotion calendar
The Dean of the College notifies the department chair of all faculty eligible for promotion
consideration by September 15.
The chair notifies individual faculty members within five working days following
September 15 of the faculty members’ eligibility for promotion to full professor and their
requirement to submit their professional record, as specified in Section 4.4.4.5.3 of the
Faculty Handbook Contribution to the University. The completed record will be
submitted to the department chair for departmental review by October 15 [FS 03/04 #13] The departmental decision is made by November 1.
The departments send promotion recommendations to College Promotion Committees by
November 15.
The College Promotion Committees send recommendations to their respective Deans by
February 1.
The College Deans send recommendations to the Provost and Vice Chancellor for
Academic Affairs by February 15.
The Chancellor and Provost and Vice Chancellor for Academic Affairs inform the Deans
and the individual faculty of their recommendations by March 1 and send
recommendations to the Board of Regents according to System guidelines.
Upon receipt of the final decision from the Board of Regents, the Chancellor shall inform
the faculty members of their status.
4.4.4.6.8 Promotion to Full Professor Calendar
Action |
Date |
The Dean of the College notifies the department chair of all faculty eligible for promotion |
By September 15 |
Department chair notifies individual faculty members |
Within five working days following September 15 |
Completed record submitted to department chair |
By October 15 |
Departmental decision |
By November 1 |
Recommendations from departments to College promotion committees |
By November 15 |
Recommendations from promotion committees to Deans |
By February 1 |
Recommendations from Deans to the Provost and Vice Chancellor for Academic Affairs |
By February 15 |
Chancellor and Provost and Vice Chancellor for Academic Affairs inform the Deans and individual faculty and send recommendations to the Board of Regents |
By March 1 |
Chancellor informs faculty members |
After receipt of the final decision from the Board of Regents |
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