9.25 – [Pre-AY 18/19] Faculty Promotion and Tenure – Policies

EFFECTIVE THROUGH AUGUST 12, 2018

(fka 5.90.5)

 

PART 1: ANNUAL PERFORMANCE EVALUATION AND THE PROMOTION AND TENURE PROCESS (fka 5.90.5.1)


A. Performance Evaluation Policies (fka 5.90.5.1.1)

Performance evaluation policies in the principal units shall include the following elements:

  1. A statement that Performance Evaluations are conducted annually.
  2. A timeline consistent with the timeline for promotion and for tenure as described in Part 9 of the rule below.
  3. The requirement that a department head or comparable administrator annually meet with all faculty members regarding progress toward promotion and tenure, the recording of objectives and goals, and the department faculty evaluation format.
  4. An opportunity for the faculty member to submit a written statement in response to annual performance evaluations.
  5. A procedure for transmitting the performance evaluation, along with any supporting material, from the faculty member to the faculty member’s department head
  6. A procedure for transmitting a written copy of the department head’s or comparable administrator’s review to the individual being reviewed and to the dean or equivalent administrator.
  7. A procedure to certify in writing to the appropriate dean or comparable administrator that a meeting with each faculty member has occurred.

B. Performance Evaluation Forms (fka 5.90.5.1.2)

Performance evaluation forms in the principal units shall include the following elements:

  1. Allocation of Effort Statement
    1. The allocation percentages will be agreed upon by the faculty member and the department head, and will be approved annually by the faculty member’s department head and dean. If agreement cannot be reached, the dean or equivalent administrator may assign the allocation of effort, and the faculty member may appeal through existing university procedures.  (See also ARP 6.61 Faculty Assignments – Teaching Load)
    2. The allocation of effort statement and percentages may be altered during the year with the mutual agreement of the faculty member, department head, and dean to reflect changing circumstances, such as service on a particularly time-consuming committee or grant, time for scholarship and creative activity, emergency teaching and advising assignments, etc.
    3. At the minimum, this statement shall contain the following elements:
      1. Percentage of effort devoted to teaching and advising or its equivalent, scholarship and creative activity, service, and extension and outreach. (The total percentage shall be 100%, but any category may be zero percent.)
      2. The number of semester credit hours, student enrollment, and level of courses.
      3. A statement of what the principal unit considers a full teaching and advising load.
      4. If the principal unit utilizes a weighting, ranking, or scoring system, the value assigned to each category must be indicated. The values must be calculated proportionately to a candidate’s allocation of effort.
  2. Current Position Description
  3. Submission from Faculty Member: A written section submitted by the faculty member detailing and citing accomplishments in relation to the criteria for promotion and tenure.
  4. Written Review by Department Head or Equivalent: A written review from the department head or comparable administrator including specific commendations, concerns, and recommendations in each of the areas of performance, as well as separate comments about progress toward promotion and tenure.

 

PART 2: IMPLEMENTATION OF THE PROMOTION AND TENURE PROCESS (fka 5.90.5.2)


A. Requirement for Departmental Promotion and Tenure Committee

Each department shall have a department promotion and tenure committee except as follows: the University Library, as well as the Alamogordo, Carlsbad, and Grants community colleges, do not use department promotion and tenure committees; rather, promotion and tenure actions in these units begin with the college promotion and tenure committee.  In the Doña Ana Community College, a division promotion and tenure committee functions in the same manner as a department committee.

B. Requirement for Departmental Promotion and Tenure Policy

Each department shall have a written policy for promotion and for tenure.  This policy shall be in accordance with ARP 9.23 – [Pre- AY 18/19] Faculty Promotion and Tenure: Guiding Principles, shall include criteria and procedures for promotion and for tenure, and shall be consistent with its college’s criteria and procedures for promotion and tenure.  The department’s criteria and procedures shall be determined collaboratively by the faculty and department head subject to approval by the college dean.

C. Requirement for College Promotion and Tenure Committee

Each college shall have an elected College Promotion and Tenure Committee.

D. Requirement for College Promotion and Tenure Policy

Each college shall have a written policy for promotion and for tenure.  These shall be in accordance with ARP 9.23 – [Pre- AY 18/19] Faculty Promotion and Tenure: Guiding Principles and shall include criteria and procedures for promotion and for tenure. The college’s criteria and procedures shall be determined collaboratively by the tenure and tenure-track faculty and administration in each college and must be approved by the college dean.

 

PART 3: ROLES AND RESPONSIBILITIES DURING THE PROMOTION AND TENURE PROCESS (fka 5.90.5.3)


A. Candidate

  1. Maintains a curriculum vitae and a cumulative personal record of the activities and accomplishments affecting the application for promotion and/or tenure.
  2. Reviews the personal portfolio in relation to the criteria for promotion and/or tenure and seeks guidance from senior faculty and the department head.
  3. In accordance with college procedures, requests and provides materials required in the mid-probationary period review.
  4. Provides the department head with a written list of potential outside references from which letters of evaluation may be requested.
  5. Requests extensions of the probationary period in accordance with ARP 9.23 Part 6.
  6. In accordance with Part 6 below, requests that the review process be terminated at any time prior to review by the executive vice-president and provost.

B. Department Head

  1. Establishes and monitors a process for tenure-track faculty to mentor the candidate in developing the best case for promotion and/or tenure.
  2. Provides leadership in the collaborative writing and maintenance of department promotion and tenure policy.
  3. Provides initial information, timelines, and copies of all written guidelines regarding promotion and tenure expectations and policies to all new and continuing faculty members on a regular basis. Also informs tenure-track faculty of the rights to due process, appeal and informal processes for conflict resolution in promotion and tenure.
  4. In the annual performance reviews of tenure-track faculty, includes written details relating to assigned duties (i.e. the teaching and advising (or its equivalent), scholarship and creative activity, service, extension and outreach and apportionment). The reviews also include separate statements addressing progress toward tenure and toward promotion including steps that should be taken to strengthen the faculty member’s case.
  5. Provides leadership in establishing agreed upon department guidelines for an annual review of tenure-track faculty by the department’s promotion and tenure committee. This review is separate from, and independent of, the department head’s annual review of each faculty member.
  6. Assists tenure-track faculty who have completed five academic semesters or its part-time equivalent in preparing for an optional mid-probationary review.
  7. In mitigating circumstances, explores with the candidate the need for a time extension (See ARP 9.23 Part 6). With the approval of the candidate, seeks permission from the dean to extend the probationary period.
  8. Provides assistance and guidance to faculty who are applying for promotion/tenure. Reviews the portfolio of applicants and, where needed, makes recommendations for improvement.
  9. Sees that the department promotion and tenure committee submits recommendations for tenure and for promotion for all candidates.
  10. Writes an independent evaluation/recommendation concerning each candidate’s case for promotion and/or tenure in relation to the criteria for promotion and tenure. This recommendation may be in support of or against supporting either promotion or tenure, or both. It should address the strengths and weaknesses, and level and nature of accomplishments of the candidate.
  11. Provides candidates, written copies of the recommendation of the department promotion and tenure committee and of the recommendation of the department head. This notification must occur prior to passing the promotion and/or tenure application on to the dean and college promotion and tenure committee.
  12. Places the department head’s recommendation in the candidate’s portfolio.

C. Department Promotion and Tenure Committee

  1. Examines and reads the portfolio of each candidate.
  2. Evaluates the candidate according to department promotion and/or tenure standards.
  3. Considers the candidate’s department assignment and role apportionment as specified in the candidate’s position description and Allocation of Effort Forms.
  4. Performs an annual review of tenure-track faculty following departmental guidelines and forwards results to department head and dean or equivalent administrator. This review is separate from, and independent of, the department head’s annual review of each faculty member.
  5. Makes recommendations to the department head pertaining to faculty members who are seeking promotion and/or tenure based on the candidate’s portfolio and departmental criteria.
  6. Records in each candidate’s portfolio the committee’s vote totals. (See Part 4 below).
  7. Places the committee’s recommendation in the candidate’s portfolio.
  8. Participates in the optional mid-probationary review process, providing formative feedback to candidates.

D. College Promotion and Tenure Committee

  1. Examines and reads the portfolio of each candidate, including the department head’s letter.
  2. Evaluates the candidate according to department promotion and/or tenure standards.
  3. Considers the candidate’s department assignment and role apportionment as specified in the candidate’s position description and Allocation of Effort forms.
  4. Makes recommendations to the dean pertaining to faculty members who are seeking promotion and/or tenure.
  5. Records in each candidate’s portfolio the committee’s vote totals. (See Part 4 below).
  6. Places the committee’s recommendation in the candidate’s portfolio.
  7. Participates in the optional mid-probationary review process, providing formative feedback to candidates.

E. Dean, Community College President

  1. Ensures that a college-specific promotion and tenure policy is written and periodically revised and that the policy complies with university policy, rules and procedures.
  2. Assures that each department has:
    1. current promotion and tenure guidelines that comply with college and university policies and include date of version.
    2. a mentoring process for tenure-track faculty.
    3. a system of annual faculty performance evaluations.
  3. In consultation with college faculty establishes policy for the constitution of a College Faculty Promotion Committee.
  4. Recommends extensions of the probationary period.
  5. Provides oversight for the optional mid-probationary review program.
  6. Makes independent recommendations pertaining to promotion and tenure. To do this, consider:
    1. Candidate’s portfolio
    2. Recommendations of the department promotion and tenure committees
    3. Recommendations of the department heads
    4. Recommendations of the college promotion and tenure committees.
  7. Notifies candidates, in writing, of the recommendations of the College Promotion and Tenure Committee and of the dean. This notification must occur prior to passing the promotion and tenure applications and associated recommendations on to the executive vice-president and provost.
  8. Places the dean’s recommendation in the candidate’s portfolio.
  9. Meets with the executive vice-president and provost regarding promotion and tenure cases.

F. Executive Vice-President and Provost

  1. Ensures that each college and each department has, and periodically updates, promotion and tenure policies that comply with university policy, rules and procedures.
  2. Approves requests to extend the probationary period.
  3. Meets with deans regarding promotion and tenure cases.
  4. Makes an independent decision pertaining to promotion and tenure. To do this, consider:
    1. Candidate’s portfolio
    2. Recommendations of the department promotion and tenure committees
    3. Recommendations of the department heads
    4. Recommendations of the college promotion and tenure committees
    5. Recommendations of the dean.
  5. Passes promotion and tenure decisions on to the Chancellor.
  6. Notifies candidates in writing of the decision.
  7. Provides for annual training sessions for promotion and tenure committee members, department heads, and deans.

 

PART 4: COMMON ELEMENTS TO BE INCLUDED IN THE PRINCIPAL UNITS’ PROMOTION AND TENURE POLICIES (fka 5.90.5.4)


  1. A statement that university policies regarding promotion and tenure supersede department and college policies.
  2. Statements referencing the criteria for promotion and tenure as stated in ARP 9.24 – [Pre-AY 18/19] Faculty Promotion and Tenure – Criteria.
  3. A provision permitting a candidate to temporarily suspend the promotion and tenure time process in accordance with ARP 9.23 Part 6.
  4. A statement regarding confidentiality of records and all committee procedures, including the manner in which confidentiality is ensured. Exceptions must be clearly indicated.
  5. A method to review and update at least every three years the written promotion and tenure policies and procedures of the principal unit. A statement to the effect that if the policy should change during a faculty member’s pre-tenure or pre-promotion period, the faculty member may choose one of the policies for evaluation purposes.  A procedure for the faculty member to indicate the   preferred criteria must be clearly delineated.
  6. A procedure for the conduct of a mid-probationary review, if the college provides this option. Faculty who choose to participate in the review process must submit their portfolio to their department head by mid-January.  The portfolio shall be prepared in accordance with Part 5 below and be reviewed by the department promotion and tenure committee, the department head, and the college promotion and tenure committee.  The college committee will provide to the department head and candidate a written formative evaluation of progress.  The review is conducted in accordance with the principal unit’s promotion and tenure policy. (See ARP 9.23 Part 7.)
  7. A procedure for electing the college promotion and tenure committee: All tenure and tenure-track faculty are eligible to vote during the election.  When colleges choose to include college faculty on this committee, college faculty are eligible to vote for college faculty membership on the college committee.
  8. Procedure for selecting members of the department promotion and tenure committee.
  9. Definition of eligibility for serving on the promotion and tenure committees. Only tenured faculty members are eligible to vote for tenure and promotion. College-track faculty who serve on the college committee are eligible to vote on promotion of college-track faculty. In instances of promotion, committee members must hold a rank at least equal to the rank for which the candidate is applying.
  10. Provisions for term limits if desired for serving on the department promotion and tenure committee.
  11. Provisions for term limits for serving on the college promotion and tenure committee are required, except at the Alamogordo, Carlsbad, and Grants community colleges.
  12. The provision that in no case will a promotion and tenure committee be comprised of fewer than three eligible members.
  13. A provision for addressing cases where there are inadequate numbers of eligible faculty to constitute a committee. The department and/or the college promotion and tenure committees may have members from outside the department.
  14. The provision that the dean, department head, or comparable administrator may meet with the principal units’ promotion and tenure committees to discuss procedural matters.
  15. The provision that the deliberations and voting of promotion and tenure committees will be conducted in closed session only among committee members.
  16. A method for surveying the committees’ recommendations regarding each candidate(s) via secret written ballot. Voting must be in person.  Absentia and proxy ballots are not permitted.  All vote counts must be recorded.
  17. A method for the principal units’ promotion and tenure committees to submit a letter summarizing its recommendations and the numerical vote count on each candidate to the department head and college dean or comparable administrator.  The recommendation must:
    1. Reflect the majority view.
    2. Contain specific commendations, concerns, and recommendations addressing the department’s criteria in each of the areas required for promotion and tenure
    3. Allow for dissenting opinions containing specific commendations, concerns, and recommendations addressing the criteria in each of the areas required for promotion and tenure.
  18. A method for informing each candidate in writing of the principal units’ recommendations and numerical vote count, the department head’s letter, and/or the dean’s or comparable administrator’s letter.
  19. The provision that a candidate may withdraw from further consideration in accordance with Part 6 below.
  20. Guidelines for preparing the portfolio. (See Part 5 below.)  The parties shall refer to the individual college policies for additional guidelines.
  21. A mechanism to provide candidates with sample portfolios. If the portfolios of actual persons are used, written permission must be obtained from the owner of the portfolio.
  22. A procedure for indicating how and when a candidate may change, add, or delete materials from the portfolio after the portfolio is submitted to the committee for review.
  23. A statement regarding the location where the documentation file will be stored and accessed for review.
  24. A procedure for indicating how and when evaluators may request additional information. All requests must be made in writing and transmitted to the candidate.
  25. A procedure allowing the candidate to review all items included in the portfolio assembled prior to the review by appropriate committees, administrators, and/or external reviewers.
  26. A procedure for soliciting external letters which incorporates the following:
    1. The number of letters shall be solicited for each candidate.
    2. Specifications regarding who is responsible for obtaining the letters and how the letters will be placed into the candidate’s portfolio.
    3. Specifications regarding how much and what type of material is supplied to reviewers. The department and/or college policies and criteria for tenure and promotion must be provided to reviewers.
    4. Specifications regarding the criteria for serving as an external reviewer.
    5. Instructions to reviewers including:
      1. A request for a brief statement regarding the individual’s qualifications for serving as a reviewer.
      2. A request that the reviewer indicate the relationship between the candidate and reviewer.
      3. Notification that the candidate will have an opportunity to read the letter of assessment.
      4. Notification that third parties in the event of an EEOC or other investigation into a tenure or promotion decision may review letters.
  27. A statement addressing the role, if any, of unsolicited letters.
  28. A statement regarding post-tenure review in accordance with the university’s ARP 9.36 – [Pre- AY 18/19] Post-Tenure Review.
  29. Reference to the appeals process as outlined in ARP 3.25 – Discrimination, Harassment and Sexual Misconduct on Campus and ARP 10.60 Faculty Grievance Review and Resolution.
  30. Develop a procedure for reviewing the university’s Conflict of Interest policies, rules and procedures with the promotion and tenure review committee(s).

 

PART 5: PORTFOLIO PREPARATION (fka 5.90.5.5)


In accordance with department and college guidelines, the candidate is responsible for submitting a promotion and tenure portfolio comprised of a core document and documentation file.  The college guidelines shall specify the inclusion of the following core document elements in this order.  The combination of items listed at D. through F. shall not exceed 50 pages:

  1. A routing form developed by the college with spaces for the required signatures.
  2. A cover sheet indicating the candidate’s name, current rank, department and college.
  3. Any written documentation generated throughout the promotion and tenure process, including the numerical vote counts of the promotion and tenure committee(s).
  4. A table of contents.
  5. Candidate’s executive summary.
  6. A curriculum vitae.
  7. Annual performance evaluations for the period under review, including the allocation of effort statements, the goals and objectives forms, written statements submitted by the faculty member as a part of the annual performance evaluations, the supervisor’s written comments, and any response made by the candidate to the supervisor’s written comments. Numerical rankings, ratings, or vote counts should be removed. (See also ARP 9.23 Part 3 and Part 1 of this rule.)
  8. The most recent complete conflict of interest form.
  9. Principal units’ mission statements.
  10. External reviews.
  11. Documentation File (fka 5.90.5.5.1)
    Supplementary materials provided by the candidate related to the areas of faculty activity.  This material is not routed beyond the College Promotion and Tenure Committee, but is available for review.
    If this is an application for tenure, the candidate is to include evidence of contributions since starting at NMSU, plus evidence from other institutions if credit for prior service is applicable.  If this is an application for promotion, then the candidate is to include evidence of contributions since the last promotion or tenure review.

 

PART 6: WITHDRAWAL (fka 5.90.5.6)


A. Voluntary Withdrawal from Consideration

A candidate may withdraw from consideration at any time prior to the final signature of the executive vice-president and provost.  A candidate shall prepare a letter requesting withdrawal from further consideration.  The letter shall be transmitted to the dean or comparable administrator. All documents shall be returned to the candidate and nothing relating to the application for promotion and/or tenure shall be placed in the candidate’s personnel file.

B. Withdrawal in Fifth Year of Service

If the candidate is in the fifth year of service, withdrawal from consideration for tenure must be accompanied by a letter of resignation submitted to the dean or comparable administrator no later than the end of the fifth-year contract period.  The resignation shall be effective no later than the end of the sixth-year contract period.

 

PART 7: OUTCOMES (fka 5.90.5.7)


A. For full-time tenure-track candidates

  1. If tenure is recommended, the executive vice-president and provost will send a Contract of Employment (Continuous Appointment) Form through the dean or comparable administrator and the department head to the candidate.
  2. If tenure is not recommended, the department head will give a signed Contract Status Form to the candidate for signature acknowledging notification of non-renewal.

B. For part-time tenure-track candidates, in addition to the provisions for full-time tenure-track candidates

  1. If tenure is recommended, it is for the FTE as stated in the initial contract or as negotiated.
  2. If tenure is not recommended, a faculty member has only one year of continued part-time employment beyond the denial.

C. For all candidates

  1. If promotion is recommended, the effective date is at the beginning of the ensuing contract year.
  2. If promotion is recommended, it shall be the policy of the university that all promotions shall include a salary increase, irrespective of other salary increases.
  3. In the case of a negative promotion decision, the executive vice-president and provost will inform the candidate in writing.
  4. The executive vice-president and provost is responsible for informing the Chancellor of the recommendations of the department head, college dean, or comparable administrator and the decision of the executive vice-president and provost.
  5. The executive vice-president and provost will prepare an official list of promotion and tenure decisions for distribution to relevant deans, comparable administrators, the vice-president for administration and finance, and the assistant director of human resource services.
  6. Tenure-track faculty members whose probationary contract is not renewed and who have another year before the termination of that contract do not submit a promotion and tenure portfolio during their final year.  If the non-renewal is being appealed on the basis of failure to follow procedure or discrimination, then the appellant may complete a packet and have it held in suspension until the grievance is resolved.  If the individual is successful in the appeal, the portfolio will be considered by the parties involved in the promotion and tenure process.

 

PART 8: APPEALS (fka 5.90.5.8)


(See ARP 3.25 Discrimination, Harassment and Sexual Misconduct on Campus (for complaints of discrimination); ARP 10.60 Faculty Grievance Review and Resolution (for faculty grievances, including violation of policies or procedures); and ARP 10.50 Faculty Alleged Misconduct Investigation, Discipline and Appeals Processes (for appeals from disciplinary action, including involuntary termination).

 

PART 9: UNIVERSITY TIMELINE FOR PROMOTION AND TENURE (fka 5.90.5.9)


Each college shall determine a timeline for conducting promotion and tenure reviews. The dates indicated here are suggested guidelines as 12-month appointments may require a different time schedule.

  1. Spring: The department head notifies potential candidate of eligibility for promotion and/or tenure review. Department promotion and tenure committee reviews the portfolio of each faculty member and in accordance with college policies reports to the department head indicating the progress towards promotion and/or tenure as well as the strengths and weaknesses in each of the areas required for promotion and tenure.
    Department head informs the candidate in writing of the department promotion and/or tenure committee recommendations.
  2. June, July, August: The candidate with support from the department and college prepares the candidate’s portfolio. (See also Part 5, Portfolio Preparation, above.)
  3. September: The candidate provides the completed portfolio to the department head.
    The department head makes the completed portfolio available to the Department Promotion and Tenure Committee. The portfolio can only be amended hereafter in accordance with department and college guidelines.
  4. October: The Department Promotion and Tenure Committee considers the completed portfolio of the   candidate.
  5. October – December: The college dean or comparable administrator transmits the Department Promotion and Tenure Committee and department head reports and numerical ballot results to the College Promotion and Tenure Committee.
    The College Promotion and Tenure Committee reviews the department head’s and the Department Promotion and Tenure Committee’s recommendations.
    The College Promotion and Tenure Committee informs the dean or comparable administrator if a department fails to follow department and/or college procedures.
    The College Promotion and Tenure Committee reviews the portfolios of all tenure-track faculty members no later than their sixth year of service unless ARP 9.23 Part 6 applies.
    The College Promotion and Tenure Committee submits a written recommendation on the candidate to the department head, candidate, and dean or comparable administrator in accordance with the college’s promotion and tenure policy.
  6. January – February: The college dean or comparable administrator reviews the candidate’s portfolio, makes a recommendation, and informs the candidate in writing of the recommendations of the College Promotion and Tenure Committee and the dean or comparable administrator.
    The college dean or comparable administrator transmits to the executive vice-president and provost all recommendations including numerical votes.
  7. March – April: The college dean or comparable administrator meets with the executive vice-president and provost to review each candidate. The executive vice-president and provost’s decision is indicated in writing.
    The executive vice-president and provost informs the Chancellor of the recommendations of the department head, college dean, or comparable administrator and the decision of the executive vice-president and provost.
  8. April – May: Final notifications of decisions are sent through the executive vice-president and provost, dean or comparable administrator, and department head to the candidate.
    The executive vice-president and provost prepares an official list of promotion and tenure decisions for distribution to relevant deans, comparable administrators, the vice-president for administration and finance, and the assistant vice president for human resource services.
    The dean or comparable administrator notifies the department head, who in turn notifies the faculty member.
  9. July: Promotion and tenure decisions become effective.