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Promotion and Tenure Guidelines and Criteria - YGCLA

Yale Gordon College of Liberal Arts

Approved by YGCLA Faculty Senate April 20, 1994
Approved by Attorney General's Office November 14, 1994
Approved by YGCLA Faculty Senate April 30, 1997
Revised and approved by AG’s Office September 30, 2003
AY 05-06 revisions pending final external approvals

I. Personnel

  1. The College will adhere to all University System of Maryland guidelines or regulations relating to appointment, tenure, and promotion.
  2. Appointment. All regular faculty members shall be appointed to an appropriate rank as described in the USM system guidelines. These include instructor, assistant professor, associate professor, and full professor.
  3. Appointment with tenure. All appointments with tenure shall be reviewed through the divisional P&T committee, the College P&T committee, and the dean as described below, section 4.
  4. Allocation of appointments. Whenever new faculty lines are created or existing lines are redeployed, the dean shall notify the College steering committee regarding such changes and seek their advice.
  5. Senior faculty. Senior faculty, who shall constitute each division's executive committee as described in I.9 above, are the tenured associate and full professors of the College.
  6. Faculty responsibilities. The general responsibilities of faculty within the Yale Gordon College of Liberal Arts include teaching, scholarship, service, and University governance. The character of faculty work assignments may differ, however, among the various divisions within the College. The distribution of each faculty member's responsibilities regarding teaching, scholarship, and service is determined by the faculty member in consultation with the chair of the division and the dean of the College. This distribution shall be addressed each year in the faculty member's workload portfolio.

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II. Criteria for Appointment and Promotion

The following policies and procedures supplement and are affixed to the Policy on "Appointment, Rank, and Tenure of the Faculty" approved by the University System of Maryland Board of Regents. These guidelines are meant to inform faculty of the standards of the College and are to be used by the appropriate departmental and College committees in considering appointment, promotion, and tenure. They reflect minimum requirements.

Instructors, assistant professors, associate professors and professors.

  1. Position definition

    Instructors, assistant professors, associate professors, and professors are responsible for teaching, scholarly activity and professional service. They shall also, among other things, be responsible for committee and departmental assignments. They shall perform those administrative, supervisory and other functions as may be assigned by the appropriate College or university authorities. Faculty shall have the responsibility for maintaining the academic vitality of their departments. One of the principal means of exercising this responsibility is to support on-going peer evaluations, with special attention to the teaching and professional growth of all faculty. Senior faculty shall be available for such consultation and assistance in problems of both scholarship and teaching as the junior faculty may require.

    Qualifications:

    1. Instructor. For appointment as instructor, the candidate ordinarily shall hold, at a minimum, the master's degree in the field of instruction, preferably with evidence of pursuit of the doctorate or other terminal degree. He/she must also have a willingness to teach well, interest in productive scholarship or creative achievement, and willingness to cooperate with others for the good of the institution. Except in exceptional situations, instructors will hold temporary, one-year appointments.

    2. Assistant Professor. For appointment or promotion to assistant professor, the candidate must have earned the doctorate, or an equivalent terminal degree in the field of specialization, from an accredited institution. He/she must also present evidence of success as a teacher or, if this appointment is a faculty member's first teaching appointment, must demonstrate a potential to teach well and to be productive in scholarship or creative achievement. He/she must also demonstrate a willingness to cooperate with others for the good of the institution.

    3. Associate Professor. For promotion or appointment to the rank of associate professor, the candidate must possess the qualifications for an assistant professor, and in addition he/she must possess a record of significant achievement in his/her field or profession. There shall be clear evidence that his/her scholarly activities are respected both inside and outside his/her immediate academic community. There shall be clear evidence of his/her continued professional growth and of continued effectiveness in teaching. There shall also be clear evidence of ability to provide leadership.

    4. Professor. For promotion or appointment to the rank of professor, the candidate must possess the qualifications for an associate professor, and in addition he/she must possess a record of exceptional intellectual, educational, or artistic achievement and a demonstrable record for excellence in teaching. There shall be evidence of his/her continued professional growth, and the judgment on promotion shall primarily consider evidence of achievement in teaching and scholarship since the most recent promotion or appointment. There shall also be continued clear evidence of ability to provide leadership.

  2. Promotion and Tenure Criteria

    1. The criteria for the rank of the candidate shall be used in making recommendations for promotion and tenure. In all cases, the criteria shall include the following:

      1. Teaching Effectiveness - Tenure appointments and promotions shall be made only when there is clear evidence of the individual's ability and commitment as a teacher. Evaluation of teaching effectiveness, ability and commitment shall be based on all relevant materials and evidence, including instructional materials and techniques that incorporate new ideas or scholarly research and including student advising.

      2. Scholarship and Professional Growth - Evidence of scholarship and professional growth shall be sought in the candidate's publications or creative work, supported by all relevant material. Works should be evaluated as well as listed, and work in progress should be assessed. When work is a product of a joint effort, it is the responsibility of the candidate to establish as clearly as possible his or her role in the joint effort. It is also the responsibility of the candidate to indicate those works that are re-publications and to describe the differences between similar publications.

      3. Service to the Institution - The faculty plays an important role in the formulation and implementation of university and College policy, and in the administration of the university and College. Faculty members should, therefore, be judged on the degree and quality of their participation in College and university government. Similarly, faculty contributions to student welfare, through service on committees or advising student organizations, should be recognized.

      4. Service to the Public - Service to the community, state and nation, both in the faculty member's special capacity as a scholar and in areas beyond this when the work is pertinent and significant, should be recognized.

    2. The weight accorded to each of the above elements will vary from case to case. However in all cases, demonstrated teaching ability must be a critical consideration.

    3. In all cases involving tenure decisions, the programmatic impact of these decisions shall be considered.

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III. Periodic Review of Faculty

  1. In addition to any annual performance reviews as required by the University and/or the University System of Maryland, every tenure-track faculty at any level must have an annual review of his or her progress toward tenure and promotion. This review is to be conducted by the divisional chair and members of the divisional executive committee.
  2. Tenured associate professors shall have the option of having a similar review in advance of applying for promotion to full professor. This review shall be carried out by the divisional chair and those divisional faculty at the rank of tenured full professor. Where there are fewer than three tenured full professors in a division, this review committee shall be assembled as described in the procedures for promotion below, 4.B.i.c.

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IV. Procedures for Promotion and Tenure

  1. Overview
    The structure of this plan provides for successively broader levels of consideration in the review of candidates for tenure or promotion.

    1. All reviews begin at the divisional level. There, a division through its divisional Promotion and Tenure (P&T) Committee(s) evaluates both the candidate's record and the role the candidate can be expected to play in the future evolution of the division's curriculum and mission. The role of the division is primary. Its recommendations carry the weight of informed professionals considering their colleagues and, more importantly, the future strength and vitality of their curriculum and identity.

    2. The College Promotion and Tenure (CP&T) Committee provides the faculty with a broader forum to consider the standards applied in a promotion and tenure decision. This committee considers the candidate's record and the relationship of the candidate to the division's mission and curriculum. At the same time, it considers the way in which faculty standards and the balance among the criteria of teaching, creative work or scholarship, and service are applied. The CP&T Committee shall submit an independent review and recommendation to the dean.
      The CP&T Committee also serves as the first-level forum for appeal of a negative recommendation by a divisional P&T Committee. The role of the CP&T Committee is crucial to the on-going development of the College as a collegial community. It brings faculty from different disciplines together to develop the identity of the total faculty and, through its recommendations, articulates the agreed upon values and standards of the faculty.

    3. The dean's role is the broadest within the College. He or she has the responsibility to consider the record of the candidate and its relationship to the division's mission and curriculum and the application of consistent standards to faculty selection, retention, and development. At the same time, the dean's responsibility extends to the broad range of institutional consideration--both in the College and in the university--that shape the on-going growth and direction of the College as a whole. The dean serves as the second level of appeal from a negative divisional P&T recommendation.

    4. The criteria to be followed in all decisions shall conform to those adopted by the YGCLA Faculty Senate and agreed to and approved by the Dean, Provost, President, and the Chancellor of the University System of Maryland. It is the responsibility of the division chairs to insure that all new faculty members are provided with written copies of these criteria, plus any changes that may be adopted during the probationary period.

  2. Structure

    1. Divisional Level. Each division shall have a promotion and tenure committee (P&T) comprised as follows:

      1. When a candidate applies for tenure without promotion, the divisional P&T shall consist of all tenured members of the division and shall be chaired by the division chair or, if necessary, by a senior faculty member designated by the division chair.

      2. When a candidate applies for tenure and promotion to the rank of Associate Professor, the divisional P&T shall consist of the senior faculty within the division and shall be chaired by the division chair or, if necessary, by a senior faculty member designated by the division chair.
        Under USM system rules, promotion to Associate or Full Professor automatically carries tenure. Only one divisional P&T committee and only one report, therefore, shall be necessary in such cases. The divisional P&T may opt to recommend tenure without promotion, provided the candidate has completed the probationary period, in which case its rationale for doing so must be addressed in its report.

      3. Applications for promotion to full professor shall be considered by a divisional P&T comprised of the full professors in that division, plus the divisional chair. In cases where there are fewer than three full professors in the division, the divisional chair, the chair of the CP&T committee, and the dean shall together select additional faculty, drawn from the College as a whole, who do meet this criterion.

      4. In cases where the divisional chair is not of a rank equal or higher to that for which a candidate has applied, the chair will serve as ex officio member of the promotional committee and shall have no vote.

      5. Every candidate may request a personal appearance before the divisional P&T committee to present his or her case. The P&T may also request that the candidate appear personally. Either request must be in writing.

    2. College Level. There shall be established a College Promotion and Tenure (CP&T) Committee.

      1. This committee shall make recommendations to the dean of the College on matters of tenure, including initial appointments which carry tenure and promotion.

      2. The CP&T Committee shall consist of the chairs of each division, two tenured faculty members elected at-large by the faculty, and the dean of the college, who shall chair the committee and have voice but have no vote.

      3. At-Large members shall be elected for two-year staggered terms.
        Initially, elections of the at-large members shall be held within 14 days of the beginning of the Fall semester. The president of the College Faculty Senate shall then arrange by lot staggered terms: one for two years, one for one year. In subsequent years, election of an at-large member will be held before the end of the Spring semester.

      4. The Executive Committee of the College Faculty Senate, within 21 days of the beginning of the Fall semester, shall appoint from the members of the CP&T Committee a secretary for a one-year term. This secretary shall be responsible for the writing of a report and recommendation that summarizes the vote and addresses specifically and in reasonable detail the rationale for the recommendation.

      5. All vacancies will be filled by a manner consistent with the structure outlined above. Members of the CP&T Committee may not serve during the year in which they are candidates for any of the matters outlined in a) and will be temporarily replaced during that year. In the case of a division chair, a replacement member will be elected by and from the members of the particular chair’s division; in the case of the faculty at-large, a replacement member will be elected by the College Faculty Senate. The selection of a replacement member shall be limited to tenured faculty at the rank the applicant(s) is applying for or higher.

  3. Process

    1. Stage One: Application. In the academic year prior to the eligibility of the candidate for promotion or tenure, the dean of the College of Liberal Arts and the chair of the division shall notify the candidate of his or her eligibility and shall request a written application from the candidate of promotion or tenure. The candidate shall forward to the chair such written request no later than May 1.
      By May 15, the chairs of the divisions shall inform the dean of the College of Liberal Arts of the names of those faculty to be considered for tenure or promotion in the next academic year.

    2. Stage Two: Schedule. By the end of each academic year, the dean of the College of Liberal Arts shall formulate a schedule for tenure and promotion to be used in the next academic year. At the same time, the dean shall provide to the division chair, the chair of the CP&T Committee, and the candidate a candid, written statement of any administrative, programmatic and fiscal concerns which, in the dean's view, would negatively affect the promotion or tenure application of the candidate.

    3. Stage Three: Submission of materials. At the beginning of the academic year in which the actual consideration of the candidate is to take place, the chair of the division shall convene a Divisional Committee to review the candidate's application for promotion or tenure.
      By September 15 (or the Monday following, should this date fall on a weekend) documentation of the candidate's readiness or promotion and/or tenure must be organized into a dossier and forwarded to the chair of the P&T Committee. The contents of the dossier should include a cover letter, a vita, a summarization of student evaluations, copies of scholarly works and other creative activities (books, journal articles, monographs, convention papers, grant/contract proposals, book reviews, poetry, juried exhibits), annual faculty evaluations, annual promotion and/or tenure reviews, and any other supporting materials which the candidate may feel are relevant to conducting a thorough evaluation.
      In the cover letter, the candidate should describe his/her workload assignments since appointment or promotion to the presently held rank. The candidate should specify the proportions of time allocated for instruction, scholarship or other creative activities, and service. In addition, the candidate should describe his/her professional activities and attainments in relation to the criteria (teaching, scholarship or other creative activities, and service) for promotion/tenure specified in the College's Guidelines.
      Upon receipt of the candidate's dossier, the divisional chair may seek letters of evaluation from professionals outside the University in relations to any of the criteria for promotion and or tenure. It shall be the division chair's responsibility to establish the qualifications of these reviewers in the report and recommendation.

    4. Stage Four: Recommendation by the Division.

      1. The Divisional Committee shall consider the merits of the candidate in respect to his or her teaching, creative work or scholarship, and service, the role of the candidate in light of the division's curriculum and mission, the division's personnel and projected needs, and all other relevant divisional concerns.

      2. Following a rigorous evaluation, P&T shall vote on whether to recommend the candidate for tenure and/or promotion. It is the duty of faculty within the division who are eligible to vote and in residence to participate in promotion and/or tenure decisions. A simple majority of the divisional P&T is required to decide whether the candidate is recommended for promotion and/or tenure. (Faculty members may vote yes (aye), no (nay), or abstain, and the vote must be by secret ballot. An abstention does not count as a vote. The total number of yes and no votes, and abstentions must be recorded.

      3. Following this review, the chair of the Committee will be responsible for the writing of a Report and Recommendation that shall summarize the votes and address in detail the rationale for the division’s recommendation. This Report and Recommendation shall be forwarded to the College Promotion and Tenure Committee, the dean of the College, and the candidate no later than November 15 of the academic year in which the candidate applies.

      4. Any member or members of the divisional P&T Committee who cannot support the majority Report and Recommendation shall have the option of writing a minority report that shall detail his/her rationale for the dissent. A faculty member who abstains does not have to provide a reason for why he/she chose to do so.

      5. Upon receipt of the Report and Recommendation, the candidate shall have one week to respond in writing to it. The candidate can either accept the recommendation, with or without written comment, or file a response with the CLA's Promotion and Tenure Committee.

    5. Stage Five: Review by College Committee. Ater receipt of the Divisional Report and Recommendation and the candidate's response, the CP&T Committee shall consider that report and recommendation, any response written by the candidate, any programmatic or fiscal statements written by the dean of the College, the candidate's record, and any and all matters it considers relevant to the candidate's application.

      1. Such considerations may include, but shall not be limited to, the merits of the candidate, and the curriculum and mission of the candidate's division, and the overall situation and direction of the College.

      2. At its option, the CP&T Committee may request the candidate or other interested party to make a presentation before it or accept the written testimony of faculty or students. The candidate may also request a personal appearance before the committee. Either request must be in writing.

      3. After discussion, the chair of the CP&T Committee shall call for a vote by secret ballot, a majority of the committee being necessary for a recommendation. The secretary shall be responsible for the writing of a report and recommendation that summarizes the vote and addresses specifically and in reasonable detail the rationale for the recommendation based upon the candidate's teaching, creative work or scholarship, and service, as well as any other matters relevant to a full and fair consideration of the application.

      4. Any member or members of the CP&T Committee who cannot support the majority report and recommendation shall have the option of writing a minority report that shall include the rationale for their dissent.

      5. The report and recommendation, along with any minority report, shall be forwarded to the dean of the College, the candidate, and the divisional chair of the candidate no later than January 15 of the academic year in which the candidate applies.

      6. Upon receipt of the CP&T Committee report and recommendation, the candidate shall have one week to respond in writing to it, such response to be submitted to the chair of the division, the chair of the College P&T Committee, and the dean of the College.

      7. Appointments with tenure: Candidates recruited outside the university for positions bearing tenure must be reviewed by the divisional P&T and CP&T Committees as outlined above with these exceptions: The deadlines are inapplicable. The division shall use application materials, letters of recommendation, and other evidence solicited as part of the recruitment process in place of the portfolio outlined in C.iii, above. It is the task of the divisional report to establish the applicability and credibility of these materials. Upon completion of the divisional recommendation, the CP&T committee shall have two weeks to review the materials and forward its evaluation to the dean, who shall respond as quickly as is practicable.

    6. Stage Six: Review by Dean. After receipt of all material submitted in the earlier stages, recommendations, responses, and reports, the dean of the College shall consider the candidate's application. At his or her option, the dean may request or consider additional material or speak with other informed parties.

      1. The dean shall be responsible for a written report and recommendation that indicates whether or not he or she supports the recommendation of the divisional P&T and CP&T Committees. In this Report and Recommendation, the dean shall set forth in reasonable detail the rationale for his or her recommendation, including but not limited to institutional considerations, the candidate's record, the division's curriculum and mission, and any other relevant matters concerning the candidate's application.

      2. The dean's Report and Recommendation, along with all material submitted in earlier stages shall be forwarded to the provost of the university, the chair of the CP&T Committee, the candidate, and the divisional chair of the candidate.

      3. Upon receipt of the dean's Report and Recommendation, the candidate shall have one week to respond in writing to it, such response to be submitted to the chair of the division, the chair of the CP&T Committee, the dean of the College, and the provost.

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