.

TENURE AND PROMOTION POLICIES AND PROCESSES

College of Business
Stephen F. Austin State University

Originated: March 9, 1998

OVERVIEW

The official policies and procedures at Stephen F. Austin State University concerning tenure and promotion are described in the following documents from the Policies and Procedures Manual: Tenure (E-50A), Tenure Awards (E-51A), Academic Appointment Titles (E-1A), Academic Promotion (E-3A), Faculty Evaluation, Merit Pay, Promotion and Tenure (E-20A), Performance Evaluation of Tenured Faculty (A-48), and Grievance and Appeals (E-25N). This document consolidates many key provisions of the above documents and clarifies their implementation in the College of Business. Policies specific to the College of Business are also added via the indicated sections. "Appointments" are discussed in conjunction with "promotion" from the perspective that criteria for appointment to a given rank are generally the same as for promotion to that rank. Should there be any conflict between this document and the university policies and procedures listed above, the university policies and procedures will take precedence.

PART ONE: TENURE

I. Definition and Purpose

Academic tenure is a status that is granted to college faculty members after a probationary period in the profession. It protects them against involuntary suspension or termination of employment except upon stipulated grounds and in accordance with specified procedures. Such protection is intended to safeguard the faculty=s freedom to pursue truth and to enunciate that truth as they deem correct and proper. Accordingly, this freedom enables the university to develop and maintain a faculty of the highest possible quality for the purposes of enlarging, refining, preserving, applying, and transmitting knowledge. Thus, tenure is essential to fulfilling the university=s responsibility to conduct itself for the common good as an instrument of a democratic society. A decision to accord tenure to an individual means that the appropriate tenured faculty members have determined that the candidate has a high probability of making long-term contributions to the goals of the university and the profession, as indicated by explicit evidence accumulated during the probationary period.

Awarding of tenure to faculty of the College of Business must take into account the overall mission and objectives of the college and university. Each faculty member is expected to achieve a high level of performance in teaching and classroom skills. An individual faculty member is also expected to be productive in the areas of scholarly activity and service. With respect to granting tenure, each faculty member will be evaluated on the basis of overall performance, past contributions, and expectations for continuing performance in the future. Breadth of contribution as well as quality and depth, will be considered important.

Long-term success in fulfillment of the missions and priorities of the college is dependent on the individual and collective quality of its faculty. Assessment of the quality of the faculty will take into account:

* Educational preparation and significant practical experience;

* Effective teaching and classroom skills;

* Scholarly activities that expand, apply, and disseminate knowledge and theory;

* Continuing service to the students, the university, the business community, and one=s profession.

II. Educational Preparation

The granting of tenure normally requires completion of the highest level course of academic study available in the discipline of the candidate's primary responsibility (a "terminal degree").

Beyond academic preparation, significant relevant experience is considered to be important. Prior experience and continuing efforts to obtain, update, and expand that experience will be taken into account in evaluating the candidate for tenure. Faculty members are encouraged to continue to gain relevant experience through faculty internships, fellowships, or exchanges with business and government organizations and through consulting activities and professional practice within the faculty member=s field. It is expected that these experiences will be transformed effectively into useful applications in the classroom, contributing to the teaching effectiveness of the candidate. Where new concepts or applications result from these experiences, published documents or articles addressed to students or some other relevant audience are encouraged. Thus, significant relevant experience will be considered in conjunction with academic preparation for faculty in the College of Business. The effects of this experience are assumed to be reflected in the following performance criteria.

III. Performance Criteria

Sustained quality performance is expected in the three university missions of teaching, research, and service with the expectation that the candidate will achieve a high level of performance in teaching and an adequate level of performance in both research and service (publication of refereed articles in scholarly journals is expected). In no case will outstanding performance in research or service compensate for poor performance in teaching. Documentation of performance is the responsibility of the candidate and should begin with the annual report and curriculum vitae.

In evaluating candidates for tenure, a wide range of activities and contributions are relevant. Included below are examples of what will be considered and assessed for each performance category. These examples should be construed only as suggestions and should not be construed as applicable in all cases. The activities listed are not intended to be all-inclusive, in any order of ranking, or specific in terms of what constitutes sufficiency. Evaluation of specific activities and cumulative assessment of overall past performance as well as the prospect for future performance must be made on a case-by-case basis by those tenured faculty members charged with making the recommendation. Note that this document partitions the traditional "research" category into "intellectual contributions" and "intellectual development" to facilitate correlation with accreditation standards.

A. Example Teaching Activities

The successful candidate for tenure will demonstrate a high level of performance in teaching and conducting classroom activities, continually striving for excellence and giving evidence of continuing development as a teacher. In evaluating teaching effectiveness, the recommending body may accept evidence related to the following areas.

Examples are:

* Courses taught and/or release time;

* Internships and special problems courses;

* Course development and innovations;

* Classroom effectiveness as indicated by student assessment of teaching;

* Other evidence of teaching effectiveness, such as written comments, letters from students, etc.;

* Course requirements including syllabi and readings, term paper assignments;

* Indications of course workload and rigor;

* Time spent with students outside of class in such activities as tutoring, test reviews, and field trips;

* Authorship of student guides, instructor=s manuals, test banks, practice sets, and other similar course-related materials;

* Development of new academic programs and major revisions of existing programs;

* Introduction of innovations both in teaching-learning methods and in conceptual or applied materials focused on enhancing student learning;

* Recognitions or awards for distinguished teaching;

* Integrative and cross-functional experiences and examples used in class presentations and assignments; e.g., students in business communication write about topics in legal and social environment.

B. Example Intellectual Contributions

Contributions to one=s own knowledge and to the knowledge of one=s academic field through scholarly activities are considered a significant part of the role of faculty members in the college. Whenever possible, scholarly efforts (research) should result in dissemination of results through publication or in a form otherwise accessible to academic colleagues and/or practitioners. These activities may include (1) basic scholarship, (2) applied scholarship; or (3) instructional development (these terms are defined precisely in the current annual report directions, which are available from the Dean's Office). While particular consideration in this area is given to refereed journal articles, other research contributions will be considered.

Examples are:

* Accepted or published proceedings of regional academic meetings;

* Faculty research presentations/workshops;

* Publicly available course materials;

* Accepted or published software programs and instructional software;

* Accepted or published business cases and cases with instructional materials;

* Accepted or published working papers;

* Accepted or published proceedings of national/international academic meetings;

* Paper presentations at regional meetings;

* Accepted or published articles in non-refereed journals;

* Accepted or published book reviews;

* Accepted or published articles in refereed pedagogical journals;

* Paper presentations at national/international meetings;

* Reprints and citations of the candidate's work in other professional literature;

* Accepted or published abstracts;

* Edited books;

* Accepted or published articles in refereed practitioner journals;

* Accepted or published articles in refereed academic journals;

* Reprints in books of readings;

* Accepted or published scholarly books, chapters, textbooks, and monographs.

C. Example Intellectual Development

As distinguished from intellectual contributions above, these are activities that either have not (yet) produced contributions of verifiable quality or are activities that primarily serve to develop teaching or research abilities.

Examples are:

* Submissions;

* Work in progress;

* Publications and presentations other than those defined in section B above;

* Editorial assignments such as journal editorships, meeting or journal referee work, editorial board service, unpublished book reviews (done for a book editor), etc.;

* Practitioner involvement including business consulting, field research, and other periodic professional practice that results in extending the candidate=s knowledge and understanding of problems of practical applications;

* Continuing education courses taught;

* Research projects funded internally or externally;

* Panel and discussant assignments;

* Self-study programs;

* Additional courses taken for credit to expand or increase the depth of expertise of the candidate;

* Participation in workshops, seminars, training programs, or conferences relevant to the candidate=s field or area of expertise;

* Participation in faculty internships, fellowships, or exchanges with business or government organizations;

D. Example Service Activities

Faculty members have frequent opportunities to provide service to students, the university, their academic or professional fields, the business community, and the civic community. Through service to such groups and organizations, faculty members make available their professional knowledge and expertise beyond that provided through teaching and scholarly activities.

The balanced nature of the mission of the College of Business, with its encouragement of theoretical and practical application of knowledge to specific business practices, makes faculty activities in this area more significant than is typical across the university. National service activities may be weighted more heavily than similar regional activities, which may be weighted more heavily than similar local service activities. Also, university service activities may be weighted more heavily than similar college activities, which may be weighted more heavily than similar service activities at the academic unit level.

Examples are:

* Academic advising;

* Graduate student committee work;

* Student group advising;

* Placement activities;

* Student recruiting;

* Committee and administrative assignments;

* Academic/professional organization membership, officer, or director;

* Business consulting and practitioner involvement other than that reported as Intellectual Development;

* Session chair at professional meetings;

* Presentations to civic clubs, professional organizations, etc., other than that reported as Intellectual Development;

* Community service.

E. Other

Any other activities listed in the current annual report directions.

IV. Procedures

A. Length of Probationary Period

1. According to Tenure Policy (E-50A), the probationary period, commencing with full-time appointment to the rank of instructor or higher, "will not exceed seven years at this institution, including within this period credit granted for appropriate full-time service in all institutions of higher education."
   
   
2. At SFA, tenure recommendations will normally be made during the candidate=s sixth year of full-time contractual service at this institution, to take effect at the beginning of the next contract year.
   
   
3. The probationary period must be continuous except for scholarly leave of absence or approved long-term medical leave of absence. In the case of scholarly leave of absence, the absence may be counted as continuous full-time contractual service if it is for one year or less and the purpose is professional enhancement. In the case of formal medical leave of absence, the absence may temporarily suspend accumulation of full-time contractual service. When the employee is re-instated, accumulation of full-time contractual service will resume.
   
   
4. In certain cases, faculty appointments may include credit for prior professional experiences in one or institutions of higher education. In those circumstances, the precise conditions will be stated in writing at the time of appointment at Stephen F. Austin State University. These at the conditions must be approved by the President of Stephen F. Austin State University, upon the the recommendation of the chair of the academic department, the dean, and the Vice President for Academic Affairs. Such credit will not be awarded routinely and should be recommended only when the candidate can demonstrate performance that is consistent with the tenure requirements of the university. In such cases, credit for prior experience will not normally exceed three years.

B. Review Sequence

1. The candidate will compile a dossier of relevant information and support documents to be submitted with his or her request for consideration for tenure. A similar dossier is required for promotion, described in Part Two of this document, and only one dossier need be prepared for a candidate simultaneously pursuing tenure and promotion. Current content specifications for the dossier are listed in Appendix A. The method of presentation of this material is left to the discretion of the candidate, but care should be taken to ensure that it can be handled relatively easily by persons involved in the evaluation process. The candidate's department chair will inspect the dossier for completeness before beginning the review process.
   
   
2. The dossier will be made available to all tenured faculty from the candidate=s department. Each tenured faculty member will submit a written recommendation to the department chair that the candidate be granted or not granted tenure, with supporting comments. If there are no tenured members in the candidate=s department, this step is skipped.
   
   
3. The chair of the candidate=s department will review the dossier and the recommendations from the tenured faculty in the candidate's department. The chair will prepare a recommendation with supporting comments and send it to the College of Business Dean along with the dossier and the recommendations of the tenured faculty of the department.
   
   
4. A college tenure panel will evaluate the candidate=s credentials and performance as a faculty member. The dean of the college will constitute the review panel and this panel will make independent recommendations. The panel will consist of one tenured member from each department in the college. The panel member from a given department should not be the department chair unless there are no other tenured faculty in the department. Each panel member will review the supporting materials prepared by the candidate and will submit a recommendation to the dean of the college that the candidate be granted or not granted tenure, with supporting comments.
   
   
5. The dean of the college will evaluate the dossier and will review the recommendation of the department chair, the recommendations of the tenured faculty of the candidate=s department, and the recommendations of the college tenure panel as a basis for his/her recommendation to the Vice President for Academic Affairs. The dean=s recommendation that the candidate be granted or not granted tenure and supporting comments will be submitted to the Vice President for Academic Affairs, along with the packet of materials prepared by the candidate and a summary of the recommendations generated at each preceding stage of the evaluation.
   
   
6. Recommendations for tenure will typically be processed according to the following schedule (the dean will notify each candidate of the exact dates):

1. Each candidate will submit the dossier to the chair of the academic department for subsequent consideration at the academic unit level during September or early October.
   
   
2. The chair of the academic department will transmit the dossier, Promotion/Tenure Recommendation Forms, his/her recommendation with supporting comments, and the tenured faculty recommendations and supporting comments to the dean during November.
   
   
3. The College Tenure Panel will transmit promotion/tenure materials along with individual recommendations to the dean during November.
   
   
4. The dean will transmit promotion/tenure materials, recommendation and supporting comments, and a summary of the recommendations generated at each preceding stage of the evaluation to Vice President for Academic Affairs during December.
   
   
5. Applicants will be notified of final disposition in April or May. In the case of a negative ruling, the candidate may appeal according to University Policy E-25N - Grievance and Appeals.

V. Performance Evaluation of Tenured Faculty

Tenured faculty will be evaluated in accordance with University Policy Index A-48, Performance Evaluation of Tenured Faculty.

 

PART TWO: PROMOTION AND APPOINTMENT

I. Definitions

Promotion simply means assignment to a higher faculty rank. Such advancement signifies recognition of accumulated past achievements and the high probability of continuing success. It implies an increasing measure of professional maturity, with promotion to professor representing attainment of high professional status. Promotions constitute one of the principal elements of reward and commendation in the university.

Appointment means new employment at a faculty rank, not necessarily higher than the rank previously held (if any). University policy concerning academic appointments is described in index E-2A (Academic Appointments) in the Policy and Procedure Manual. Appointments are discussed here because the criteria for appointment to a given rank are generally the same as for promotion to that rank.

II. Statement of Purpose

As with the granting of tenure, faculty appointments and promotions must be consistent with the mission and objectives of the college. Also, as indicated in Part One, assessment of faculty for appointment or promotion in rank will take into account the following elements:

* Educational preparation and significant practical experience;

* Effective teaching and classroom skills;

* Scholarly activities that expand, apply, and disseminate knowledge and theory;

* Continuing service to students, the university, the business community, and one=s profession.

In evaluating candidates for new appointments or promotion in rank, consideration will be given to performance and contributions in the full range of activities as indicated in Part One, Section III. General criteria for each rank are specified below and represent basic qualifications to be met by each candidate. However, evaluation of specific activities and cumulative assessment of overall past performance as well as the prospect for future performance must be made on a case-by-case basis by those charged with making the recommendation.

III. Educational Preparation and Performance Criteria

The following are general criteria to be used for appointment or promotion to particular faculty ranks. Where used, the term "terminal degree" means completion of the highest level course of study available in the discipline of the candidate's primary responsibility:

A. Lecturer

The rank of lecturer is not considered a tenure-track appointment and will be granted on a year-by-year basis. It is used for temporary appointments for a semester or a full academic year. Not more than three years of experience at this rank will be applied toward tenure for the faculty member who subsequently becomes eligible for a tenured appointment.

B. Instructor

Candidates for the instructor rank will have a master=s degree relevant to the subject area to be taught and show evidence of high standards for teaching and conducting classroom activities. Significant practical experience is desirable.

The rank of instructor is considered a tenure-track appointment and will be granted on a year-by-year basis subject to the tenure procedures described earlier in this document.

C. Assistant Professor

Appointment or promotion to the assistant professor rank generally requires a terminal degree as described above. Candidates who have completed all residence work toward a terminal degree and expect to complete that degree within a reasonable period of time may be appointed at the assistant professor rank.

Candidates should demonstrate the promise of effective performance in teaching and classroom skills and commitment to continued development of scholarly and service activities.

D. Associate Professor

Appointment or promotion to associate professor requires a terminal degree as described above. Demonstrated competence and effectiveness in teaching and classroom skills are also expected. In addition, evidence of productivity in, and continuing promise of scholarly and service contributions should be present.

E. Professor

Appointment or promotion to the rank of professor requires a terminal degree as described above, fulfillment of all of the qualifications for associate professor, and recognition for scholarly activities. There is the expectation that the candidate will be productive in teaching, scholarly activity, and service, with contributions to knowledge that are substantial and are recognized beyond the confines of the local campus to be of high quality.

IV. Procedures

A. Minimum Time in Rank

1. Promotion in rank is based upon performance and demonstrated merit, rather than on a specified number of years of service. However, since performance which merits promotion must be exhibited on a continuing basis, a reasonable period of time must elapse to enable the individual faculty member to demonstrate competency and have it confirmed by periodic evaluations. Current university time requirements are specified in index E-3A (Academic Promotion) in the university Policy and Procedure Manual. It should be clearly understood that promotion is not guaranteed upon completion of a given term of service.
   
   
2. For promotion to Associate Professor or Professor, years of prior professional experience may be counted at the discretion of the President of Stephen F. Austin State University, with the advice of the chair of the academic department, dean, and Vice President for Academic Affairs, if specified in the written conditions of employment at the time of appointment.

B. Review Sequence

1. It is the responsibility of the candidate to compile a dossier for promotion similar to that required for tenure (see Part One, Section IV B above and Appendix A). Only one dossier need be prepared for a candidate simultaneously pursuing tenure and promotion.
   
   
2. Initial recommendations for promotion are made by those full-time faculty in the candidate=s academic department who are of higher rank than the candidate. If there are no faculty of higher rank in the candidate's department, this step is skipped.
   
   
3. The timetable and other procedures for promotion will be similar to those for tenure as listed in Part One, Section IV B above, except that the dean of the college will constitute two review panels to evaluate applications for promotion. Panel A will consist of one professor to represent each department in the college and may include an additional member from professors outside the college. Panel B will consist of one professor or associate professor to represent each department in the college and may include an additional member from professors or associate professors outside the college. Panel A will consider material from applicants for promotion to professor, while Panel B will consider material for applicants for promotion to associate professor or assistant professor.

 

APPENDIX A
TENURE/PROMOTION DOSSIER PREPARATION
(1997-98)

The dossier should be organized into a standard size three-ring binder, with spine no thicker than 4 inches and materials organized into six sections separated by dividers. The applicant=s name and the action (e.g., tenure, promotion to associate professor, promotion to professor) must be indicated clearly on both the front cover and spine of the binder. (Documents in the binder must be easily removable so that copies can be made. Spiral binding should not be used.) The dossier should contain:

Section A--Promotion/Tenure Application Form. Note that two separate forms must be included when promotion and tenure are being considered simultaneously.

Section B--current vitae. If the candidate desires to preface this material with a letter that highlights certain special accomplishments, such a letter may be inserted in front of the vitae.

Section C--devoted to teaching and should contain summaries of teaching assessment from students. Other information on teaching effectiveness may also be included.

Section D--devoted to scholarly activities and should contain such items as reprints of journal articles, copy of cover pages of book chapters and successful grant applications, summary of citations, etc.

Section E--devoted to service and professional development activities.

Section F--administrative evaluations since the candidate's last promotion (or date of hire, in the case of tenure).

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