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Promotion and Tenure Policies and Procedures - YGCLA

Yale Gordon College of Liberal Arts 1.1.3.
YALE GORDON COLLEGE OF LIBERAL ARTS
POLICY AND PROCEDURES FOR PROMOTION AND TENURE
 
Approved by YGCLA faculty:  November 7, 2009
Approved by UFS: December 9, 2009
Approved by Provost:  January 21, 2010
Approved by AG’s Office: March 3, 2010
Approved by President: March 5, 2010
Approved by Chancellor: April 1, 2010
 
 
I.        APPOINTMENTS
 
The Yale Gordon College of Liberal Arts (hereafter referred to as YGCLA), will adhere to all University System of Maryland (USM) guidelines or regulations relating to appointment, tenure, 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 and the respective committees of the standards to be used in considering appointment, promotion, and tenure. All faculty members shall be appointed to an appropriate rank as described in the USM and University of Baltimore (UB) guidelines.
 
A.           Tenure Track Appointments. In general, to be considered for a tenure-track appointment the candidate must possess at a minimum the qualifications listed for that rank. Faculty of all ranks are responsible for teaching, scholarship, and service to their department/division, the college, and the university. The weight accorded to each of the elements of faculty achievement may vary. However, in all cases, clear evidence of potential for excellence in teaching must be a primary consideration. Within the criteria articulated, the following standards should be applied fairly and consistently to all candidates for promotion and tenure.
 
B.            Appointment With Tenure. When authorized by the dean to hire at the senior rank, all appointments with tenure shall be reviewed by the Department/Division Promotion & Tenure Committee, College/School Promotion & Tenure Committee, the respective dean, the provost and the president.
 
II.           QUALIFICATIONS BY RANK
 
Faculty of all ranks are responsible for teaching, scholarship, and service to their department/division, the college/school, and the university. Faculty members are expected to perform those administrative, supervisory, and other duties as may be assigned to them by the appropriate college/school or university authorities. Faculty shall have the responsibility for maintaining the academic vitality of the academic programs in which they teach. One of the principal means of exercising this responsibility shall be to support on-going program and peer evaluation, with special attention to the professional growth of all faculty. Senior faculty shall make themselves available for such consultation and assistance in the areas of teaching, scholarship, and professional development as the junior faculty may reasonably request. 
 
The only faculty ranks which may involve a tenure commitment at the University of Baltimore are: Professor, Associate Professor, and such other ranks as the Board of Regents may approve and the University of Baltimore adopts. Effective April 5, 1989, appointments to all other ranks, including any qualified rank, other than an honorific qualification, in which an additional adjective is introduced, are for a definite term and do not involve a tenure commitment. Those granted tenure in such a rank before April 5, 1989, shall continue to hold tenure in that rank.
 
The following shall be the minimum qualifications for appointment or promotion to the academic ranks in use by the University of Baltimore. Exceptions to the following criteria may be recommended by the provost and approved by the president of the University. 
 
A.     Instructor
The appointee shall hold the master’s degree in his or her field of instruction. If the master’s degree is not the terminal degree, evidence of pursuit of the doctoral degree or comparable professional achievement or recognition by a professional peer group is preferred. There shall be evidence also of potential for excellence in teaching. The rank of Instructor does not carry tenure.
 
B.     Assistant Professor
The appointee shall hold the doctorate or recognized terminal degree in the field of specialization. The appointee should also show potential for a high level of teaching ability, and shall provide evidence of potential for superior research, scholarship, or artistic creativity in the field. He or she must also demonstrate a willingness to cooperate with others for the good of the institution. Although the rank normally leads to review for tenure and promotion, persons appointed to the rank of Assistant Professor after the effective date of this policy shall not be granted tenure in this rank.
 
C.            Associate Professor
In addition to having the qualifications of an Assistant Professor, the appointee shall have a record of effective teaching and shall have demonstrated academic leadership, significant research, scholarship, or creative performance in the field, recognized by his or her peers outside the college/school, and shall have shown promise of continued productivity. Six years of full-time college teaching experience are required, exclusive of summer or part-time teaching, at least five years of which must be in the Assistant Professor rank. 
 
D.           Professor
In addition to having the qualifications of an Associate Professor, the appointee shall have established reputation for outstanding research, scholarship or artistic creativity, and a distinguished record of teaching and a record of leadership in service. Ten years of full-time college teaching experience are required, exclusive of summer or part-time teaching, at least six years of which must be in the Associate Professor rank.
 
 
III.    PROMOTION AND TENURE CRITERIA
 
The criteria to be followed in all promotion and tenure decisions include teaching effectiveness, scholarship, and service. The initial hiring contract of each Assistant Professor, Associate Professor, and Professor shall state the year for tenure consideration and the number of years’ credit for prior experience given toward promotion and tenure, if any. Upon appointment, each new tenure track faculty shall be provided the applicable criteria for tenure and promotion.     
 
A.           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.   Evidence of effectiveness may include information from:
 
1)             classroom performance, as evidenced by:
a)             course materials and course content
b)             student evaluations and
c)             a systematic process of peer review of teaching as prescribed by the college/school.
2)      academic advisement;
3)      curriculum development and student learning outcomes assessment;
4)      program management and assessment;
5)      supervision of independent study, capstone projects, and honors projects;
6)      supervision of internships; and
7)      supervision of master’s and doctoral theses.
 
B.            Scholarship – Research, Publications, and Creative Activity.   Evidence of scholarship and professional growth shall be sought in the work submitted by the candidate. When work is a product of a joint effort, it is the responsibility of the candidate to establish his or her role in the joint effort as clearly as possible. It is also the responsibility of the candidate to indicate the extent to which published work is original, overlapping, or closely related to other work and to provide a candid assessment of the contribution of each listed work to the relevant academic or creative field. In its review of a candidate’s work, the department/division committee shall evaluate quality as well as quantity and shall obtain evaluations of the work from peers and professionals outside the university.  The department/division must provide evaluation of journals, publishers and other outlets for creative and scholarly work.  Outside scholarly reviews are required. The procedures for obtaining outside scholarly reviews is detailed in the “YGCLA/RGMSB Format for Promotion and Tenure Dossier.”
 
The following distinctions shall ordinarily be recognized in classifying a candidate’s scholarly contributions so as to assess its relevance to the candidate’s role in the department/division and in YGCLA. 
 
1)             Basic Research - directed by the faculty member toward expanding the knowledge base or creative parameters of an academic discipline or of his or her area of individual expertise.
 
2)             Applied/Professional Research - directed by the faculty member toward applying the existing knowledge base in a discipline or creative field to solving practical or business problems, influencing policy or business debates, or furthering the public interest.
 
3)             Pedagogical Research –Designed by the faculty member to enhance the teaching and learning activities of the university. Preparation of original instructional materials for use in courses such as textbooks, chapters in textbooks, teaching aids, and instructional cases, and research on teaching innovation and pedagogy all qualify as pedagogical research and scholarship.
 
4)             Creative Work - designed by the faculty member toward expanding the knowledge base or creative parameters of an academic discipline or creative field.
 
5)             Applied Creative Work - directed by a faculty member toward applying the existing knowledge base in a discipline or creative field to solving practical problems, influencing policy debates, or furthering the public interest.
 
C.            Service. To count toward merit, or tenure and promotion consideration, service should be directly related to a candidate’s professional activity or academic/creative expertise. 
 
Internal service may include academic and other professional contributions to the mission and effectiveness of the department/division, the RGMSB or the YGCLA, the University of Baltimore, or the University System of Maryland. 
 
External service may include service to the community; to professional organizations, businesses, non-profit organizations, government agencies; or to the profession.
 
IV.    PERIODIC REVIEW OF FACULTY
 
A.           In addition to any annual performance reviews required by the University of Baltimore and/or the University System of Maryland, the Department/Division Promotion and Tenure (DP&T) Committee shall conduct annual progress-toward-tenure reviews including a substantive three-year review of progress-toward-tenure of all untenured tenure-track faculty.
 
B.            Tenured Associate Professors shall have the option of requesting a similar progress toward promotion review in advance of applying for promotion to Professor. This review shall be carried out by the department/division chair and the departmental/ divisional faculty who hold the rank of tenured Professor. Where there are fewer than three tenured Professors in a department/division, the dean, in consultation with the department/division chair, shall appoint necessary additional Professors drawn from the college or school as a whole. This committee shall be assembled as described in the procedures for promotion below.
 
C.            Tenured faculty shall have a post tenure review every five years as defined in the USM, UB, and college/school Policies on Comprehensive Review of Tenured Faculty, which can be found online UB Policy Guide/Faculty Affairs/Review of Tenured Faculty.
 
V.     PROCEDURES FOR PROMOTION AND TENURE: OVERVIEW
 
A.           All reviews begin at the departmental/divisional level. Each college/school shall have a Departmental/Divisional Promotion & Tenure (DP&T) Committee, consisting of eligible senior faculty (tenured Associate Professors and Professors), that performs the promotion and tenure functions described in this policy.  Candidates are to be evaluated by their department/division on the basis of both their professional accomplishments and their potential contributions to the future evolution of the department’s/division's curriculum and mission. Departmental/divisional recommendations are to be treated beyond the department/division as the product of careful assessment by informed professional peers.  
 
B.            Each college/school shall have a college/school-wide Promotion & Tenure Committee (CP&T) consisting of eligible senior faculty.  The CP&T Committee shall make recommendations to the dean on matters of tenure, including initial appointments that carry tenure, and promotion. The role of the CP&T Committee is primarily to evaluate the qualifications of their colleagues for tenure and /or promotion. The CP&T Committee can also review the reports of divisional committees for thoroughness, consistency, and conformity with the guidelines provided in this policy. The principle to be followed in all reviews is one of in-depth evaluation of strengths and weaknesses, so that a decision on a positive or negative recommendation can be made that takes into account all aspects of the candidate’s abilities and accomplishments
 
C.            A faculty member whose relationship with any candidate presents a conflict of interest is obliged to recuse himself/herself from the review of that candidate’s application.
 
D.       The role of the dean is to consider not only the record of the candidate and its relationship to the department’s/division's mission and curriculum, but also 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 that shapes the ongoing growth and direction of the college/school as a whole.
 
E.        The candidate has the right to respond in writing to the recommendations at each level in the process. The candidate will be given seven calendar days from the date of the recommendation at each level to submit a written response. These written responses will become part of the package as it moves to the next level of consideration. Final appeal procedures may be found in the online UB Policy Guide/Faculty Affairs/Appointment, Rank, Tenure, Promotion, and Retention.
 
F.        This document has been adopted through the required approval process. It is the responsibility of the department/division chairs to ensure that all new tenure-track faculty members are provided with written copies of these criteria, plus any changes that may be adopted during the probationary period.
 
VI.    STRUCTURE OF THE PROMOTION AND TENURE REVIEW SYSTEM
 
A.           Department/Division Level. This is the first level of the promotion and tenure process. The DP&T Committee membership is restricted to faculty who have the sought after rank or higher. The chair of the committee shall be selected by its members and cannot be the chair of the department/division.
 
In cases where there are fewer than three eligible senior faculty members (tenured Associate Professors or Professors) in the department/division, the dean, in consultation with the department/division chair, shall appoint qualified additional faculty members drawn from the college/school as a whole.
 
B.      College/School Level.  This is the second level of the review process. The CP&T Committee shall consist of one senior faculty member from each department/division.  Members shall be elected by majority vote of the tenured faculty in their department/division.  A vacancy will be created if a department/division fails to elect a member. Vacancies shall be filled by the faculty senate of that college/school. The committee shall elect a chair and a secretary. Members of the CP&T Committee shall serve three-year staggered terms. Members shall be elected at least 30 days before the end of the spring semester for a three-year term in a manner consistent with the above provisions. Members from the division/department of a candidate for tenure and/or promotion may present the case and participate in the CP&T Committee deliberations but they may not vote. Members may not serve during the year in which they are candidates for promotion and will be replaced during that year.
 
An application for promotion to Professor shall be considered only by those members of the CP&T Committee holding the rank of Professor.  If a department’s/division’s representative does not hold the rank of Professor, the chair of that department/division, the CP&T Committee chair, and the dean shall together select a representative from the faculty who is a Professor and who will replace the department’s/division’s representative for the purpose of considering that application to Professor.  In the event that the CP&T Committee chair does not hold the rank of Professor, an acting chair shall be selected by the CP&T Committee as constituted for considering that application for promotion to Professor.
 
VII. THE PROCESS FOR PROMOTION AND TENURE REVIEW
 
A.           Stage One: Application. By April 15 of the academic year prior to a candidate’s scheduled tenure review year, the dean shall notify eligible candidates, shall request a written application, and shall distribute the procedures for tenure and promotion review. Any candidate for tenure and/or promotion shall forward a written application to the department/division chair no later than May 1. By May 15, the division chairs shall inform the dean of the names of those faculty to be considered for tenure and/or promotion in the next academic year. By June 1, the dean will confirm the candidates to be reviewed for tenure and/or promotion in the upcoming academic year and will send written notice to those candidates, including dossier guidelines, to the candidate’s department/division chair, and the CP&T Committee. 
 
Early Review. A faculty member may request an early review for tenure. A request for an early review must be submitted in writing through the candidate’s department/division chair and dean and approved by the provost. This request must be approved prior to May 1. An agreement to allow a candidate to be considered early is not an endorsement by the provost of the candidate’s success in attainment of tenure or/and promotion.
 
B.            Stage Two: Convening of Promotion and Tenure Committee.  At the beginning of the academic year, the department/division in which review will take place shall convene the DP&T Committee.
 
C.            Stage Three: Submission of Materials. By the last day of the previous academic year contract, the candidate shall submit to the DP&T Committee chair his/her list of potential external reviewers and his/her scholarly and creative materials for external review. If scholarly or creative materials have been accepted for publication or exhibition but have not yet been published (or exhibited), candidates may include the works in pre-publication form for use by external reviewers and may include the published (exhibited) version if it becomes available by the time the completed dossier must be submitted. By September 15 (or the Monday following, should the date fall on a weekend), a candidate for tenure and/or promotion will submit his/her complete dossier for evaluation to the DP&T Committee chair. The documentation must adhere to the format and criteria set out in the Dossier Guidelines. No new information or material may be added to the dossier by the candidate after September 15, except at the discretion of the DP&T chair.
 
D.           Stage Four: External Reviews. Each dossier of a candidate’s application for tenure or promotion shall be accompanied by a minimum of three external reviews evaluating the scholarship. External reviews should be received by October 1. The DP&T Committee chair shall request the external reviews. Fifty percent of the solicited reviewers shall be selected from a list provided by the candidate. The DP&T Committee chair in consultation with the other members of the Committee shall select the remaining reviewers. The DP&T Committee chair shall confirm the list of external reviewers and the initiate the reviews. The division/department chair will oversee the duplication and dissemination of each candidate’s materials to the chosen external reviewers by July 1.
 
The candidate will be provided with a list of all members of the review pool and will write a brief account of his/her connections, if any, with each potential reviewer. The candidate will not be privy to the names of the members of the pool from whom reviews are being solicited.
 
Reviewers will be provided with the candidate’s CV, personal statement, a list of dossier materials relating to scholarship, and publications as appropriate. The DP&T Committee chair shall assist external reviewers in obtaining any additional materials they may request. External reviewers will also be asked to supply a professional “bio” or CV along with their letter of review, which shall be kept separately with the external review letters. If more than three solicited external reviews are received, all of them must be included in the DP&T Committee’s review.
 
The identities of the reviewers are highly confidential and should not be shared with the candidate or others who will not be voting on or evaluating the candidate’s case for tenure or promotion. The reviews, however, shall be shared with the candidate after all references and indicators of the reviewer’s identity have been redacted by the DP&T Committee chair. The reviews should not be shared with those who will not be voting on or evaluating the candidate’s case for tenure or promotion.
 
The confidential external reviews and “bios” or CVs shall be delivered separately by the DP&T Committee chair to the CP&T Committee chair along with the DP&T Committee report. All members of the CP&T Committee shall preserve the confidentiality of the external review materials in the same manner as the members of the DP&T Committee. When the CP&T Committee has completed its report, the external review materials shall be transmitted to the office of the dean, who shall retain custody thereafter except as requested by the provost, the president, or the University Appeals Committee as part of this review process.
 
Stage Five: Recommendation of the DP&T Committee.
 
1)             Every candidate may request a personal appearance before the DP&T Committee to present his/her case. The committee may also request that the candidate appear personally. Either request must be in writing.
 
2)             The DP&T Committee shall consider the merits of the candidate with respect to teaching effectiveness, scholarship, and service.
 
3)             Following a rigorous evaluation, the DP&T Committee shall vote on whether to recommend the candidate for tenure and/or promotion. It is the duty of faculty on the DP&T Committee who are eligible to vote to participate in promotion and/or tenure decisions.  The vote must be taken by secret ballot. Faculty members may vote yes (aye), no (nay), or abstain. An abstention does not count as a vote. The total number of yes and no votes and abstentions must be recorded. A recommendation for or against promotion and tenure shall be based on a simple majority. 
 
4)             The DP&T Committee chair shall write a recommendation report that summarizes the votes and addresses in detail the rationale for the recommendation. After the DP&T Committee members review and sign the report, it shall be forwarded to the CP&T Committee, the dean of the college/school, and the candidate no later than November 1.
 
5)             Any member or members of the DP&T Committee who do not support the majority report shall have the option of writing a minority report that shall detail his or her rationale for the dissent or abstention.   
 
6)             Upon receipt of the department’s/division’s recommendation report, the candidate has the option to submit written comments to the next level in the promotion and tenure process within seven calendar days from the date of the DP&T recommendation. The response shall be limited to clarification of information or factual data. These written comments become part of the promotion and tenure package.
 
F.      Stage Six: Submission of Materials and Recommendations to the CP&T Committee Chair. 
 
1)      By November 1, the DP&T Committee chair shall submit all materials to the CP&T Committee chair and that shall include:
a)   Candidate’s dossier.
b)   Confidential material related to external reviews.
c)   Recommendation letter of the DP&T Committee.
d)   Minority report of the DP&T Committee (if any).
 
 
2)      By November 8, the candidate shall submit to the CP&T Committee chair his/her written response (if any) to the recommendation of the DP&T Committee.
 
G.     Stage Seven: Recommendation of the College/School Promotion & Tenure Committee.
 
1)             The CP&T Committee shall consider the candidate’s dossier, the external reviews, the DP&T report(s), the department/division chair’s report and any response written by the candidate.
 
2)             The CP&T Committee has the option of requesting clarification from the candidate or other interested party. This may be in the form of a presentation or written testimony. The candidate may also request a personal appearance before the committee. All such requests must be in writing.
 
3)             Following a rigorous evaluation, the CP&T Committee shall vote on whether to recommend the candidate for tenure and/or promotion. The vote must be taken by secret ballot. Faculty members may vote yes (aye), no (nay), or abstain. An abstention does not count as a vote. The total number of yes and no votes and abstentions must be recorded. A recommendation for or against promotion and tenure shall be based on a simple majority. The chair shall be responsible for writing a recommendation report that summarizes the vote and addresses specifically, and in reasonable detail, the rationale for the recommendation.
 
4)             Any member or members of the CP&T Committee who do not support the majority report shall have the option of writing a minority report that shall include the rationale for their dissent and shall be signed by those members.
 
5)             The recommendation report signed by all CP&T Committee members, along with any minority report, shall be forwarded to the dean of the college/school, the candidate’s department/division chair, the DP&T Committee chair, and the candidate no later than January 15 of the academic year in which the candidate applies.
 
6)             Upon receipt of the CP&T recommendation, the candidate has the option to submit written comments to the next level in the promotion and tenure process within seven calendar days from the date of the recommendation. The response shall be limited to clarification of information or factual data. These written comments become part of the promotion and tenure package.
 
7)             A candidate for promotion only has the option of withdrawing his/her application prior to the dean issuing his/her recommendation. A request for withdrawal shall be sent in writing to the dean. In the case of withdrawal, the recommendations preceding the withdrawal shall be destroyed and shall not be considered in future promotion applications.
 
H.     Stage Eight: Recommendation of the Dean.
 
1)      After receipt of all material submitted in the earlier stages ( e.g. reports, recommendations), and responses, the dean shall consider the candidate's application. At his or her option, the dean may request clarification from the candidate or other interested party. This may be in the form of a presentation or written testimony.
 
2)      The dean shall prepare a written recommendation either for or against promotion and/or tenure. In this recommendation, the dean shall set forth in reasonable detail the rationale for his or her recommendation, including but not limited to the candidate's record, the department’s/division's curriculum and mission, institutional considerations and any other relevant matters concerning the candidate's application.
 
3)      The dean's recommendation, along with all material submitted in earlier stages, shall be forwarded to the provost. Copies of the report shall also be sent to the CP&T Committee chair, dean of the college/school, the candidate’s department/division chair, the DP&T Committee chair and the candidate no later than February 15.
 
4)      Upon receipt of the dean's report, the candidate has the option to submit a written response to the next level in the promotion and tenure process within seven calendar days from the date of the recommendation.  The response shall be limited to clarification of information or factual data. These written comments become part of the promotion and tenure package.
 
I.        Stage Nine: Recommendation of the Provost. The provost shall prepare a written recommendation for or against promotion and tenure. In this report, the provost shall set forth in reasonable detail the rationale for his or her recommendation.
 
The provost’s recommendation, along with all material submitted in earlier stages, shall be forwarded to the president. Copies of the recommendation shall also be sent to the dean, the CP&T Committee chair, dean of the college/school, the candidate’s department/division chair, the DP&T Committee chair and the candidate no later than March 7.
 
J.     Stage Ten: Decision of the President. The candidate will be notified in writing by the president of the University by April 30 of his/her decision concerning candidacy for tenure and/or promotion.
 
VIII. TIMELINE FOR PROMOTION AND TENURE REVIEW DECISIONS
In order to facilitate this process, it is understood that the decisions will be rendered by the following dates:
November 1                   Department/Division Promotion & Tenure Committee
January 15                      College/School Promotion and Tenure Committee
February 15                    Dean
March 7                          Provost
April 30                          President
 
If any of the above dates falls on a weekend, the due date will be the following Monday.