九色堂

Nomination for Review for Promotion

1. The department chair will write to all Full-Time faculty members of the department to tell them that nominations of persons to be reviewed that year for promotion must be given to the chair by a specified date. All others may be nominated by the chair or by the faculty member himself or herself.
2. The department chair will send copies of the list resulting from step 1 to all Full-Time departmental faculty and specify a second date by which any additional nominations must be provided in writing to the chair.
3. The department chair will confer individually with all nominated faculty members and provide information about departmental, college/school/University Libraries, and University criteria for promotion.
4. Faculty who have been nominated must inform the department chair in writing by a date specified by the department chair (which will be no sooner than two days after their conference) of the faculty member's decision to remain in nomination or to withdraw.
5. The final, typed list of those nominated will be sent to the dean and to all members of the department electorate. Each person on the list will be notified in writing by the dean that he or she is officially a candidate for promotion. In addition, the dean will inform the candidate of the criteria for promotion and will instruct the candidate to give his/her supporting materials to the department chair by a specified date.

Preparation of the Primary and Secondary Dossier

The candidate will present a primary dossier and may prepare a secondary dossier. Only material contained in the primary and secondary dossiers and additional materials appropriately obtained and added to the dossiers may be used by the Committee at each level.

The candidate is responsible for assembling the materials and reviewing the entire dossier to determine that it is complete and accurate. NTT candidates are not required to have any external letters of review as part of their primary dossier. Adherence to established deadlines should ensure that the final dossier is complete at the time of submission. The candidate then submits the copy of the primary dossier and supplemental materials to the chair of her/his department. Once they have been submitted to the chair, these original materials cannot be changed or rewritten.

As the review proceeds through the various levels, the primary dossier and the secondary dossier will be in the custody of the Administrator at each level. Items are added as attachments to the primary dossier by the Administrator as called for in these procedures, but the Administrator must give the candidate a copy of the additions and provide the candidate an opportunity to write a rebuttal that will also be added to the primary dossier.

1. Primary Dossier

   The primary dossier consists of the basic Document, the required cover sheet which records each step of the review process, copies of the annual reviews (and rebuttals if filed) for NTT faculty, the chair's non-evaluative role statement, statements of evaluation by the Committee and Administrator at each level of review (and rebuttals if filed), and items added during the review process. The basic Document will follow the standard format recommended by the University Committee and approved by the Faculty Senate. Deviations from the established format should be clearly explained. The basic Document may be no more than 15 pages. The chair will provide a statement of the role of the candidate in the department which is purely descriptive and not evaluative. If the candidate's role involves a weighted distribution of responsibility among the categories of professional activity, that should be indicated in the role statement. The chair will make copies of the primary dossier available for all voting faculty.

2. Secondary Dossier

   A secondary dossier may be submitted to the chair by the candidate. It consists of such additional materials as the candidate wishes to submit. Examples might include, but are not required or limited to evidence of teaching, copies of student evaluations or course materials, evidence of service contributions, etc. The candidate may add items to the secondary dossier during the review process (see calendar in Section 4.15 of this manual). Should documentation significant to the candidate's case arrive after the deadline for adding materials to the secondary dossier, the candidate should notify the dean and the chair of his/her college/school/University Libraries Committee who will add the material to the dossier. The chair of the Committee will bring it to the attention of the next higher Committee. The secondary dossier will not be duplicated but will be available to Committee members.

Reviews for Promotion

1. Department Review for Promotion

   The complete files of all faculty members under review in the department must be available for a reasonable time (at least five working days) to all voting faculty.

2. Department Committee

   Promotion cases will be reviewed by the Committee at the departmental level at a meeting of the departmental faculty who hold level equal to or higher than that for which the candidate is being considered or of a Committee of those with appropriate level chosen by these faculty members. (The limitation of voting to persons of equal or higher level need not apply to votes at the college/school/University Libraries or University level.) In departments with fewer than the requisite members, the college/school/University Libraries faculty will develop appropriate procedures for the review subject to the approval of the college/school/University Libraries dean.

   Each eligible person, excluding the department chair, will vote on each case under consideration and will sign the tally. The tally will not identify individual voters with their votes but must account for all eligible votes. Straw Ballots may precede the final ballot. Abstentions may occur only in cases involving declared conflict of interest. A positive recommendation will result when more than 50 percent of those casting ballots (i.e., other than abstentions) have voted to recommend promotion. Copies of the tally sheets will be kept in the departmental office for three years.

   chairs do not participate in their own evaluation or in evaluations of faculty when the chair has a conflict of interest. Such cases automatically go forward without prejudice for review at the next level.

   The results of the departmental deliberations and the chair's separate recommendation will be sent to the dean by the department chair. When the Committee's discussion of a candidate is complete, the Committee chair will summarize in writing the Committee's evaluation of the candidate. The department chair will also provide a written evaluation to accompany his/her recommendation for each case. These statements will be included in the primary dossier. The candidate will be provided an opportunity to review these statements and to file a written rebuttal in the primary dossier. In cases where the chair's recommendation differs from that of the voting faculty, the case will go forward to the next higher level without prejudice, and that transmittal will not constitute an appeal. The chair will also send forward the copies of the primary dossier and the secondary dossier.

   The dean will inform each candidate in writing of the department's recommendations, the chair's recommendation, the right to appeal, and the procedures for appeal. The dean will also notify the candidate that he/she may request meetings with the department chair and/or the chair of the departmental Committee, at the candidate's option, to discuss the decision.

3. College/School/University Libraries Review of Nominees for Promotion

   The dean will give a copy of the primary dossier of each faculty member favorably recommended for promotion and of all appealed cases to each member of the college/school/University Libraries Committee and will indicate the location of the secondary dossiers. These materials must be available to the Committee for at least five working days prior to deliberation.

4. College Promotion Committee for Non-tenure track Faculty

   The Committee will meet with the dean to receive information about the schedule of meetings and about administrative matters related to the cases to be reviewed. The dean may also request other meetings with the Committee. Each college/school/University Libraries shall adopt procedures regarding the role of the dean in these other meetings. If the Committee discovers that information is lacking in a dossier, it can ask the dean to acquire the information. Consistent with the department procedures, the dean must provide the candidate a copy of the material and allow the candidate to write a rebuttal. The college/school/University Libraries Committee may, at its option, adopt a policy which prohibits a Committee member from the same department as a candidate for promotion from speaking about the case during the Committee's deliberations. If such a rule is adopted, it must apply to all cases before the Committee. If additional information about the departmental Committee's deliberations is desired, the Committee may request explanatory information to be submitted in writing from the chair of the departmental Committee. This statement will be added to the primary dossier, and the candidate will be provided an opportunity to place a rebuttal in the primary dossier. The Committee will then consider the cases before it, whether regular or appealed. Straw Ballots may be taken, but these are neither binding nor recorded. Abstentions will not be registered except when a faculty member on a Committee declares he/she has a conflict of interest concerning the case. At a meeting without the dean each case will be discussed and the Committee will conduct its final vote. A positive recommendation by the Committee will result when more than 50 percent of those casting ballots other than abstention vote to recommend promotion.

   The Committee must notify the dean in writing of its final ballot on each case. (Note: The college/school/University Libraries Committee may meet with the dean as it sees fit but it must hold a discussion on each case and take its final vote in the absence of the dean.) The results of the college/school/University Libraries deliberations and the dean's separate recommendations will be sent by the dean to the Provost. When the Committee's discussion of a candidate is complete, the Committee chair will summarize in writing the Committee's evaluation of the candidate. The dean will also provide a written evaluation to accompany his/her recommendation for each case. These statements will be included in the primary dossier. The candidate will be provided an opportunity to review these statements and to file a written rebuttal in the primary dossier. In cases where the college/school/University Libraries Committee's recommendation differs from that of the dean, the case will go forward to the next higher level without prejudice and the transmittal will not constitute an appeal. A positive recommendation requires the affirmative vote of more than 50 percent of those voting. The dean will also send forward the primary dossier and the secondary dossier.

   The dean will notify each candidate in writing of the college/school/University Libraries Committee's recommendation, the dean's recommendation, the right to appeal, if any, and the procedures for appeal. The dean will also notify the candidate that he/she may request in writing meetings with the dean and/or the chair of the college/school/University Libraries Committee, at the candidate's option, to discuss the recommendation.

5. University Review of Nominees for Promotion

   The Provost will give a copy of the primary dossier of each faculty member favorably recommended for promotion and of each appealed case to each member of the University Committee. In addition, the Provost will indicate the location of the secondary dossiers. The materials must be available to the Committee for at least five working days prior to deliberations.

   No person may serve on the University-level review Committee in a year in which he or she is considered for tenure or promotion.

   If the Committee discovers that information is lacking in a primary dossier, it can ask the Provost to acquire the information, which will be placed in the primary dossier. Consistent with college/school/University Libraries procedures the Provost must provide the candidate a copy of the material and allow the candidate to write a rebuttal, which will also be placed in the primary dossier. The Committee will then consider the cases before it, whether regular or appealed. The Committee may request a written response from the dean on matters of interpretation of evidence, the academic needs of the unit, or its current resources, but the Committee will not invite the dean or other outside persons to meet with the Committee. Consistent with college/school/University Libraries procedures, the candidate shall be provided a copy of any additional written material provided to the Committee and shall be provided an opportunity to write a rebuttal. Both the statement and the rebuttal will be placed in the primary dossier. Straw Ballots may be taken, but these are neither binding nor recorded. Abstentions will not be registered except when a faculty member on a Committee declares he/she has a conflict of interest concerning a case. At a meeting without either the Provost or the Dean of the Graduate School present, each case will be discussed and the Committee will conduct its final vote. A positive recommendation will result when more than 50 percent of those casting ballots other than abstention vote to recommend promotion. The Committee must notify the Provost in writing of its final ballot on each case. Any person not recommended by the University Committee may request meetings with the Provost and/or the chair of the University Committee, at the candidate's option, to discuss the recommendations. The candidate may invite a faculty colleague to accompany him/her.

   The results of University Committee deliberations and the Provost's separate recommendations will be sent by the Provost to the President. When the Committee's decision on a candidate is complete, the Committee chair will summarize in writing the Committee's evaluation of the candidate. The Provost will also provide a written evaluation to accompany his/her recommendation for each case. These statements will be included in the primary dossier. The candidate will be provided an opportunity to review these statements and to file a written rebuttal in the primary dossier. In any case where the proposed vice presidential recommendation differs from that of the University Committee, the Provost will meet with the Committee to discuss the reasons for his/her position.

   The President will notify the candidate, the candidate's dean, and the chair, in writing, of his/her decision by the calendar date. Any person not recommended by the President may request a meeting with the Provost and the President to discuss the recommendations. The candidate may invite a faculty colleague to accompany him/her, in either case.

Appeal of Decisions Related to Promotion

A candidate may make only one appeal during the entire review process. The appeal is made to the next higher level. No hearing is provided, and the appeal must be written. Some typical reasons for appeal are violation of academic freedom, failure to follow procedures concerning time periods or Committee operations, inadequate consideration, discrimination, etc. The Committee to which the appeal is made will give full consideration without prejudice to the case in that the committee will review it in the same manner as favorably recommended cases and will apply similar standards.

If the candidate's one appeal results in an unfavorable recommendation, the candidate's dossier will be forwarded directly to the President. The President will make the final decision regarding the candidate as provided in Regents policy without further recommendations.

No Publication of Names

Names of faculty being considered for promotion will not be published. The right of privacy of such faculty members was affirmed by vote of the faculty on March 6, 1978.

Confidentiality of Proceedings

All deliberations are confidential. However, confidentiality cannot be guaranteed if the case goes to litigation.

Disposition of Dossiers

The Provost in each case will keep a copy of the primary dossier for three years and return to the candidate the remaining copies of the primary dossier and the secondary dossier.

Precedence of University Procedures

If department and College/School/University Libraries tenure or promotion procedures differ from those of the University, University procedures take precedent.

Student Members

For the purpose of this policy only, the following definitions shall apply:

1. Administrator: The Administrator at the departmental level is the department chair. The dean is the administrator at the College/School/University Libraries level, and the Provost is the administrator at the University level.
2. Calendar: A Promotion Calendar will follow the same schedule as the Tenure and Promotion Calendar, developed and published each year by the Provost or their designee.
3. Committee:
   1. The NTT Faculty Review Committee at the departmental level should have at least three members and will consist of at least one voting NTT faculty member, and at least one voting tenured faculty member of the department.
   2. The NTT Faculty Review Committee at the College/School/University level will consist of at least one voting NTT track faculty member and at least one voting tenured faculty member from the college. The total membership of the Committee is an odd number, with a minimum of five members. The majority of the College Promotion Committee are elected by the faculty, according to a representational formula adopted by the college/school/University Libraries. Members are elected or appointed for either two- or three-year terms (depending upon the college/school/University Libraries policies), staggered to maintain continuity. If a replacement is required due to a resignation, the replacement is selected only for the duration of the unexpired term. The Committee chair is elected by the Committee. No person can serve on the Committee in a year in which he or she is considered for promotion or for more than two consecutive terms.
   3. The NTT Faculty Review Committee at the University level is the NTT Promotion Committee, whose general charge and composition is established in the Faculty Senate Rules.
4. Documents: The basic document consists of the 15-page statement prepared by the candidate in accordance with the standard format. The primary dossier consists of this basic document, the required cover sheet, copies of annual reviews (and rebuttals if filed) for faculty, the chair's non-evaluative role statement, statements of evaluation by the Committee and Administrator at each level of review (and rebuttals if filed), and items added during the review process. Candidates must be notified of any items added to the primary dossier and be provided an opportunity to submit a written rebuttal to such items, which will be included in the primary dossier. At each level of review, each Committee member has a copy of the primary dossier. The secondary dossier consists of such additional materials as the candidate wishes to submit. Examples might include, but are not required or limited to evidence of teaching, copies of student evaluations or course materials, evidence of service contributions, etc. Only one copy of the secondary dossier is maintained.
5. Full-Time: An employee who works 100% of the standard full-time workload as defined by the University. A 0.75 FTE appointment is considered full-time and includes eligibility for full benefits. This can represent 30 hours or more per week for staff or the equivalent teaching and service load for faculty.
6. Straw Ballot: A non-binding vote taken for the purpose of monitoring progress toward a final decision is a Straw Ballot.
7. University: 九色堂.