February 2008

 

I.          Retention, Promotion, and Tenure Reviews

 

A. Purpose / Definitions

 

i.    Probation / Retention: A probationary period is required for all individuals appointed to regular faculty ranks prior to the granting of tenure. Reviews shall be scheduled during this probationary period to evaluate the academic performance of non-tenured individuals, to provide constructive feedback on their academic progress, and to terminate the appointment of those who do not meet the standards of the department and the expectations of the institution after their initial appointments.

 

ii.   Promotion: Promotion in rank is the acknowledgment by the institution of excellence in performance in teaching and service, professional competence and responsibility, and scholarly, research and creative work.

 

iii. Tenure: Granting of tenure implies a substantial commitment by the institution. Faculty members are expected to exhibit an equally strong commitment to serve students, colleagues, the department, the institution, and the greater community. Granting tenure verifies that faculty members are especially valued by the institution, are competent in their disciplines, and are capable of continued teaching, service, and scholarly, research, or creative contributions as appropriate to their job description and role. It is, therefore, imperative that a thorough, responsible screening process be followed in the tenure-granting process.

 

B. Criteria

 

i.    Content and approval.  The College shall formulate and distribute to all faculty members a statement of criteria to be used in retention, promotion, and tenure reviews. These criteria shall address the qualifications of candidates with respect to the areas of teaching and service, as well as scholarship, research, and creative accomplishments, and who, in addition, demonstrate excellence in at least one of these three areas as defined by the goals established between the faculty member and department chair. The statement shall be consistent with applicable provisions of college regulations, faculty regulations, and faculty responsibility as well as professional codes if appropriate, and with the purpose of the College as stated in the State Higher Education System Regulations.

 

ii.   Standard for the criteria. The criteria shall emphasize the institution’s commitment to superior intellectual attainment and responsible faculty conduct. In carrying out their duties in teaching, service, and research/other creative activity, faculty members are expected to demonstrate the ability and willingness to perform as responsible members of the faculty, as defined in the Faculty Rights and Responsibilities policies. These criteria are not weighted equally. Dixie State College of Utah highly values teaching and service activities. The examples listed are not comprehensive, and a faculty member’s criteria may be based on individual employment terms. 

 

a.   Academic Preparation: In order to be eligible to receive tenure, a faculty member must hold a terminal degree as defined by college criteria for each discipline. 

 

b. Teaching: Typically includes effective instruction and classroom activities, evaluation of student work, program planning, curriculum development; course development, pedagogical technique, etc.   All candidates for retention, tenure, and promotion must show evidence of effective teaching. 

 

c.   Service: There are two kinds of activities that comprise faculty service: those that serve the institution and those that serve outside organizations, particularly professional associations. Activities designed to govern and improve the institution, including student advising, academic planning and administration, and faculty governance are often typified by active committee work. All candidates for retention, tenure, and promotion must show evidence of significant service to the institution. 

 

d.   Scholarship, research, creative accomplishments: applied and theoretical research; creative activities which produce new works of art, music, or literature; publication of peer-reviewed work; serving as an editor for a scholarly publication are a few of the activities that can be considered in this category, all of which, if used as evidence by a candidate for retention, tenure, and promotion should be complementary to the individual’s disciplinary assignment. 

 

e.   Assessments of teaching and service, as well as scholarship, research, and creative accomplishments as appropriate. Reviews may include the candidate’s conduct as a responsible member of the faculty.

 

iii. Previous accomplishments. Prior accomplishments, such as research publications or teaching experience, shall not substitute for a continuing record of accomplishments during the period under review.

 

iv. Retention. The probationary period will be six (6) years of full-time, tenure-track service at Dixie State College.

a.   The institution is permitted, within the limits of academic freedom, statutory law, and constitutional law, the utmost discretion in determining who will be retained for tenure appointments. Appointments for probationary faculty are made on an annual basis according to the following schedule:

 

1. During the first year of tenure-track service, notice of 

2. During the second and subsequent years of tenure-track service

 

b.   For mid-year appointments faculty probation period will start at the beginning of the next academic year.

 

c.   Pausing probationary period. Certain situations such as family medical leave or military duty may pause the probationary period, and the faculty member must make a written request for approval of such action.

 

d.   Reduced probationary period. At the time of hire, a candidate who has exceptional qualifications based on previous tenured experience may negotiate to have up to two years of prior equivalent professional service accepted towards completion of probationary period. This allows an experienced, exemplary faculty member to undergo tenure review in the fourth rather than the sixth year. Approval must be given in writing by the dean, vice president, and president.

 

v.   Promotion. The period for promotion to next rank is six (6) years of full-time employment. However, length of service alone should not create an expectation of promotion.

 

vi. Tenure. Tenure-track faculty members continue on tenure track while holding administrative positions.

 

C. Division Promotion and Tenure Committee [division is associate dean level]

 

i.    Committee membership.

 

a.   Promotion. In each division all regular faculty members of equal or higher rank than that proposed for the candidate for promotion are eligible to participate in the consideration of and to vote on recommendations in individual cases on matters of promotion. Other faculty members may participate in the consideration of candidates for promotion but may not vote.

 

1.   Promotion to Full Professor. Only regular faculty members within the school [dean level] with the rank of full professor are eligible to participate in the consideration of and to vote on recommendations in individual cases on matters of promotion to full professor. Other faculty members may participate in the consideration of candidates for promotion but may not vote.

 

b.   Tenure. In each division, all tenured faculty members, regardless of rank, are eligible to participate in the consideration of and to vote on recommendations in individual cases on matters of tenure. Other faculty members may participate in the consideration of candidates for tenure but may not vote.

 

 

 

ii.   Chairperson. The chairperson of the Division Promotion and Tenure Committee shall be elected annually from the tenured members of the division. In this election all regular faculty members of the rank of professor, associate professor, assistant professor, and instructor shall be entitled to vote. The associate dean and department chairs are not eligible to chair this committee.

 

II.          Reviews. 

 

A. Portfolio. All faculty members will compile in a portfolio documentation of teaching excellence, service, and scholarship, research, or creative endeavors while at DSC. The portfolio will also contain all evaluations, reports of annual reviews, and intermediate or tenure reviews. The portfolio will be used in making rank and tenure decisions as well as post-tenure reviews.

 

B. Probationary Faculty. During the first two years of the probationary period, a supervisor evaluation, peer evaluation, and student opinion surveys will be completed each semester and a self-evaluation will be completed near the end of each year. The third through sixth year of the probationary period, a supervisor evaluation, peer evaluation, student opinion surveys, and self-evaluation will be completed once per academic year.

 

C. Intermediate Review. An intermediate review will be held in the fall semester of the third year of the probationary period unless previous years of service have been accepted when the review will take place at the mid-point of the probationary period. The Division Promotion and Tenure Committee will render a decision regarding the retention of the tenure-track status of the faculty member, which will be forwarded to the appropriate associate dean and dean. 

 

 

D. Promotion Review. For those seeking promotion, the Division Promotion and Tenure Committee can hold a promotion review no sooner than the fall semester of the sixth year after the previous rank advancement. The committee will render a decision regarding the candidate’s advancement, which will be forwarded to the appropriate associate dean and dean. After tenure is awarded, subsequent promotion reviews will be done only at the request of the faculty member.

 

E. Tenure Review. A tenure review will be held in the fall semester of the last year of the probationary period. Based on the faculty member’s portfolio, which shall include recommendations from the department chair, the Division Promotion and Tenure Committee will render a decision regarding whether to grant tenure to the faculty member. This decision will be forwarded to the appropriate associate dean and dean. 

III.         Notice to involved individuals

 

A. Faculty Request. To initiate the process for intermediate or tenure review or consideration for promotion, the faculty member will submit a written request to the chair of the Division Promotion and Tenure Committee by September 1 of the academic year in which he/she is to be reviewed, according to the eligibility requirements listed in this policy.

 

B. Notice to candidate. Each candidate for retention, promotion, or tenure shall be given at least 15 days advance notice of the Division Promotion and Tenure Committee vote and an opportunity to submit any information the candidate desires the committee to consider.

 

C. Notice to division faculty. At least 15 days prior to the Division Promotion and Tenure Committee vote, the committee chairperson shall invite any interested faculty member in the department to submit written recommendations for the file of each candidate to be considered, stating as specifically as possible the reasons for each recommendation.

 

IV         Candidate’s File

 

Proper preparation and completeness of each candidate’s file are essential for the uninterrupted progress through all the stages of the review process. Required components are identified below.

 

A. Structure of the file. The file is envisioned as a notebook which is growing throughout a faculty member’s probationary period at the College. However, a physical notebook is not the only method allowable; for example, an electronic file or other format may be used alone or as a supplement. The file shall be cumulative and kept current as described below.

 

B. Curriculum vitae. The candidate’s file is expected to provide a current and complete curriculum vitae, which is organized in a clear and coherent manner, with appropriate dates of various items and logical groupings of categories related to the college’s retention, tenure and promotion criteria. 

 

C. Reviews and recommendations. The candidate shall include the recommendations from all previous reports submitted by all voting levels in formal reviews, i.e., department and college retention, tenure, and promotion advisory committees; letters from chairs, deans, vice presidents, and the president. Teaching, supervisor, peer, and student evaluations and letters or reports from all informal reviews should also be included. The past reviews and recommendations in a file for promotion to Professor shall include the candidate’s vita at the time of the previous promotion (or at appointment if hired as Associate Professor), all reports and recommendations from tenured faculty reviews, and teaching evaluation summaries since the previous promotion (or appointment). If that promotion or appointment was more than five years earlier, teaching evaluation summaries should be included for at least the most recent five years.

 

D. Faculty responsibility. Letters of administrative reprimand and any findings, decisions, or recommendations from college committees or officials arising from relevant concerns about the faculty member must be included in the candidate’s file. Similarly, candidates will want to include positive evidence of accomplishment. 

 

E. Evidence of service and research/scholarship/creative activity. The candidate is expected to provide evidence of service as well as research, scholarship, and creative accomplishments. 

 

F.   Other written statements. Any other written statements from the candidate, faculty members in the department, department chairperson, the associate dean, dean or interested individuals, which are intended to provide information or data of consequence for the formal review of the candidate, must be placed in the file before the Division Promotion and Tenure Committee considers the case.

 

G. Review of file. The candidate’s file shall be made available to those eligible to participate in Division Promotion and Tenure Committee voting for a reasonable time period before the vote will take place.

 

V.        Action by the Division Promotion and Tenure Committee

 

A. Portfolio review. The Division Promotion and Tenure Committee chairperson shall make available candidates’ portfolios for review and invite relevant written comments.

 

B. Quorum. A quorum of a Division Promotion and Tenure Committee for any given case shall consist of two-thirds of its members who are eligible to vote, except that any member unable to vote because of formal leave of absence or physical disability shall not be counted in determining the number required for a quorum.

 

D. Absentee voting. Whenever practicable, the committee chairperson shall advise all members on leave or otherwise absent of the proposed action and shall request their written opinions and votes. Absent votes will be counted the same as other votes.

 

E. Limitations on participating and voting. Associate deans, deans, and other administrative officials who are required by regulations to make their own recommendations in an administrative capacity may submit evidence, judgments and opinions or participate in discussion. By majority vote the committee may hold an executive session, from which nonvoting participants may be excluded. Associate deans, deans, and other administrative officials who cast votes or give recommendations in their administrative capacities shall not vote at the division level.

 

F.   Committee report. After due consideration, a vote shall be taken on each candidate for retention, promotion, or tenure, with a separate vote taken on each proposed action for each candidate. The chairperson shall make a record of the vote and also the findings and recommendations of the Division Promotion and Tenure Committee. 

 

G. Notice to candidate. Prior to forwarding the file, the Division Promotion and Tenure Committee chairperson shall send an exact copy of the committee recommendation to that candidate.

 

H. Forwarding files. The chairperson shall forward the entire portfolio for each individual candidate to the appropriate associate dean and dean.

 

I. Candidate’s right to respond. The candidate shall have the opportunity at this time, but not the obligation, to add a written statement to his/her formal review file in response to the recommendation of the Division Promotion and Tenure Committee. Written notice of this option shall be included with the copy of the committee recommendation that is sent to the candidate. If the candidate chooses to add such a statement to the file, that statement must be submitted to the dean within seven (7) days of the date upon which the committee’s report was sent to the candidate. If the candidate submits a written statement to the dean within this time limit, the candidate’s statement shall be added to the review file.

 

J.   Confidentiality. All committee votes and deliberations are personnel actions and should be treated with confidentiality in accordance with policy and law.

 

VI.        Action by associate dean and dean

 

A. Recommendations. After studying the entire portfolio including Division Promotion and Tenure Committee report relating to each candidate, the associate dean and dean shall each prepare written recommendations to be included in the file on the retention, promotion, or tenure of each candidate, including specific reasons for the recommendation.

 

B. Notice to candidate. Prior to forwarding the file, the associate dean and dean shall send an exact copy of their evaluation of each candidate to that candidate.

 

C. Candidate’s right to respond. The candidate shall have the opportunity at this time, but not the obligation, to add a written statement to his/her formal review file in response to the evaluations of the associate dean and/or dean. Written notice of this option shall be included with the copy of the associate dean’s and/or dean’s evaluation, which is sent to the candidate. If the candidate chooses to add such a statement to the file, that statement must be submitted to the associate dean and/or dean within seven (7) days of the date upon which the associate dean’s and dean’s evaluation is sent to the candidate. If the candidate submits a written statement to the chair of the College Promotion and Tenure Committee within this time limit, the candidate’s statement shall be added to the review file without comment by the associate dean or dean.

 

D. Forwarding files. The dean shall forward the entire portfolio for each individual candidate to the College Promotion and Tenure Committee.

 

VII. College Promotion and Tenure Committee

 

A. Responsibility. The College Promotion and Tenure Committee will act on promotion, intermediate, and tenure reviews and will provide written recommendations regarding reappointment at the intermediate review, advancement in rank at a promotion review, and award of tenure at the tenure review. The committee also has the responsibility to recommend the nonreappointment of a probationary faculty member who is not, in the judgment of the committee, progressing satisfactorily toward tenure.

 

B. Membership. The College Promotion and Tenure Committee will consist of nine tenured, elected faculty members. Deans, associate deans, and department chairs may not serve on the College Promotion and Tenure Committee during their appointment to administrative office.

 

C. Chairperson. The vice president for academic services and the Faculty Senate president shall designate a tenured, full professor to act as ex officio chairperson. 

 

D. Election to the committee. The faculty members of College Promotion and Tenure Committee shall be elected by the regular faculty for three year terms. One-third of the faculty terms shall expire each year. Committee members may be reelected and succeed themselves as representatives. 

 

VII.       Action by College Promotion and Tenure Committee

 

A. Recommendations of the College Promotion and Tenure Committee. The College Promotion and Tenure Committee shall review the file of each case referred to it and shall determine if the Division Promotion and Tenure Committee reasonably applied the college criteria for retention, promotion, and tenure and the written substantive and procedural guidelines to each case. The College Promotion and Tenure Committee shall make its recommendations on an individual’s retention, promotion, or tenure based upon its assessment whether the Division Promotion and Tenure Committee recommendation is supported by evidence presented. The College Promotion and Tenure Committee shall use the college criteria in making its assessment. 

 

B. Attendance and participation at meetings. Neither the dean nor the associate dean concerned shall attend meetings of or participate in the deliberations of the College Promotion and Tenure Committee except by invitation of the committee.

 

C. Notice to candidate. Prior to forwarding the file, the College Promotion and Tenure Committee shall send an exact copy of its report of each candidate to that candidate and to the respective dean and associate dean.

 

D. Candidate’s right to respond. The candidate shall have the opportunity at this time, but not the obligation, to add a written statement to his/her formal review file in response to the report of the College Promotion and Tenure Committee evaluation. Written notice of this option shall be included with the copy of the report that is sent to the candidate. If the candidate chooses to add such a statement to the file, that statement must be submitted to the vice president within seven (7) days of the date upon which the College Promotion and Tenure Committee report is sent to the candidate. If the candidate submits a written statement to the vice president within this time limit, the candidate’s statement shall be added to the review file.

 

E. Forwarding files. The entire file for each individual will be forwarded to the VP Academics.

 

VIII.      Action by Vice President

 

A. Vice President’s decision. In all cases of retention, promotion and tenure, the Vice President shall prepare a final recommendation to the President with respect to the candidate’s retention, promotion, and/or tenure, stating reasons therefore.

 

 

C. Intermediate and tenure reviews are mandatory. Faculty members who are

 

IX.        Appeals

 

A. Appeal by faculty member. A faculty member may appeal a negative tenure and/or promotion decision to the Promotion and Tenure Appeal Committee within 20 days of the notification being sent.

 

i.   Probationary faculty do not have the right to appeal nonreappointment.

 

B. Other appeals. Appeals of the vice president’s recommendation on promotion and/or tenure may also be initiated by a majority of either the Division Promotion and Tenure Committee or the College Promotion and Tenure Committee, or by the associate dean or the dean, when the vice president’s recommendation opposes their own recommendation. The appeal must be made to the Promotion and Tenure Appeal Committee within 20 days. Authorized parties initiating an appeal may have access to the entire file.

 

C. Appeals can be made on one or more of the following bases.

 

 

 

 

D. The Promotion and Tenure Appeal Committee shall consist of five (5) tenured full professors elected annually from those who do not concurrently serve on the College Promotion and Tenure Committee or as department chair, associate dean, or dean. 

 

 

E, The Promotion and Tenure Appeal Committee shall review the file, conduct hearings as it deems appropriate, and make a recommendation to the College president either to uphold the previous decision or request reconsideration beginning at the level of the Division Promotion and Tenure Committee, the College Promotion and Tenure Committee, the associate dean, the dean, or the vice president. 

 

F. If the appeal is denied and the previous decision upheld, the original decision not to recommend tenure or promotion shall stand. 

 

X.        Action by President

 

A. If no appeals have been filed, the recommendation of the vice president with respect to retention, promotion, and/or tenure of a faculty member shall be transmitted to the president for action. After reviewing the recommendation, giving such consideration to the documents in the candidate’s file as the president deems necessary under the circumstances, the president shall make a decision about retention, promotion, and/or tenure. The president shall present recommendations granting or denying promotion and/or tenure to the Board of Trustees.

 

B. Confirmation by Board of Trustees. The Board of Trustees will confirm or deny the president’s recommendations regarding promotion and tenure. The president shall advise the candidate, the vice president, the dean and the associate dean of that decision.