Guidelines for Annual Review of Assistant Professors English Department

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1 Guidelines for Annual Review of Assistant Professors English Department October 2013 Contents Summary of Review Process during Probationary Period 1 Overview of Annual Review. 2 Calendar for Annual Review.. 3 Status in the Probationary Period 4 Criteria for Promotion 5 Chronology of Review during Probationary Period.. 5 Review Committee.. 7 Mentor. 8 Review File. 8 Peer Observations of Classroom Teaching 9 Preparation for Promotion Review.. 9 Review of Faculty with Joint or Cluster Appointments.. 11 Faculty Policies and Procedures. 11 Summary of Review Process during Probationary Period Assistant professors are guided and evaluated throughout the probationary period, with an emphasis on providing constructive advice to maximize the chance for success. Extension of the annual contract beginning in the 2 nd year of a 3-year contract requires that the assistant professor be making progress toward tenure in research, teaching, and service in a manner appropriate to his or her stage in the probationary process. By the second Monday in February of each year, except for the first year and the tenure year, assistant professors should update their Review File and prepare a brief statement (1-2 pages) about their new work in the previous year and their future plans for research, teaching, and service. By the second Monday in March, the Review Committee will review the file and write the Review Report. Assistant professors who are in their 6 th year or who choose to be considered for tenure and promotion in a given year should update their Review File by the first Monday in October, By the first Monday in November, the Review Committee will review the file and write the Review Report according to the schedule listed below. The reviews in the 3 rd, 5 th, and 6 th probationary years are the most comprehensive, and the reports of the Committees will be both summative and evaluative in nature. In these years the entire Annual Review Committee will examine the full trajectory of 1

2 achievement and work yet to be done, focusing on both external markers of success (number of articles and presentation, book contracts, etc), as well as internal markers (the quality of the work, the content of teaching evaluations, etc.). The review in the 2 nd probationary year is relatively light, will be undertaken by the Annual Review Committee chair, and focuses mainly on external markers of success, ensuring mainly that the assistant professor is on track. The report by the Review Committee chair will be mainly summative in nature. The review in the 4 th probationary year, also undertaken by the Review Committee chair, focuses on progress made since the 3 rd year review. In cases of potential early promotion, the Review Committee has the option of treating any given annual review as if it were the 6 th and final probationary year before a decision on promotion must be made. Overview of the Annual Review Assistant professors are reviewed every fall, beginning in the second year of their initial three-year contract. A recommendation must be made on whether to extend the contract by one year, promote, or terminate the contract. Preparation of Review File: With guidance from the chair of the Review Committee and mentor, each assistant professor prepares a Review File of materials related to research, teaching, and service for review by the Review Committee. Review Committee Report: The Review Committee (in years 2 and 4, the Review Committee chair) examines the Review File and submits a report on the assistant professor s work. Reports in years 2 and 4 are meant to be summative, not evaluative; reviews in other years should balance summary and evaluation. At the end of the report of the Review Committee (or, in years 2 and 4, the Review Committee Chair) will recommend to the Executive Committee (all tenured faculty members) on a one-year extension. Assistant Professor s Receipt of Report: The assistant professor receives a copy of the Review Report before the Executive Committee conducts its review and has the option of responding to the report. Advisory Committee Review: The tenured members of the Advisory Committee (an elected subcommittee of the Executive Committee) examine the Review File and Review Report and makes a recommendation on renewal to the Executive Committee. The Advisory Committee has the option of endorsing, appending additional materials to, or rejecting the report of the Annual Review Committee. A copy of amended materials will be sent to the assistant professor, who has the right to respond in writing. Executive Committee Vote on Renewal or Non-Retention: The Executive Committee votes on signed ballots on whether or not to recommend to the Dean of the College a oneyear extension of the contract in years 2 through 5 of the probationary period. The Executive Committee has the option of endorsing, appending additional materials to, or rejecting the report of the Annual Review Committee. A copy of any amended materials will be sent to the assistant professor, who has the right to respond in writing. Executive Committee Vote on Promotion or Non-Retention: No later than the assistant professor s 6 th probationary year, the Executive Committee must vote on whether to recommend promotion to associate professor with tenure or to recommend non-retention. The Executive Committee has the option of endorsing, appending additional materials to, or rejecting the report of the Review Committee. A copy of any 2

3 amended materials will be sent to the assistant professor, who has the right to respond in writing. An Executive Committee recommendation to promote requires a 2/3 majority of Executive Committee members present at the meeting and voting yes or no; abstentions do not count in the determination of the 2/3 majority; committee members must be present to vote. The EC has the option of recommending early promotion for faculty who have met the criteria for promotion before the 6 th probationary year. Communication of Vote and Advice to Assistant Professor: The Department Chair communicates the vote tally (including yes, no, and abstain) and further advice or evaluation of the Executive Committee in writing to the assistant professor within five working days of the meeting. In cases where the evaluation and/or advice of the Review Committee differ significantly from the evaluation and/or advice of the Advisory Committee or the Executive Committee, the Department Chair conveys that difference in writing to the assistant professor. Otherwise, the evaluation and advice of the Review Committee (in years 2 and 4, the Review Committee Chair) stands as the Executive Committee s annual letter of guidance to the assistant professor. Post-Review Meeting of Assistant Professor and Review Committee Chair: After the Executive Committee votes, the Review Committee Chair and Department chair meets with the assistant professor for discussion of the Review Report and any amended materials. Assistant professors have the option of responding to the review and/or meeting with the Department Chair to discuss any aspect of the review and progress toward tenure. Recommendation of Renewal or Non-Retention to the Dean: The Department Chair communicates the recommendation of the Executive Committee on renewal or nonretention to the Dean of the College. Recommendation of Promotion: With a vote of 2/3 in favor of promotion, the Department Chair, in consultation with the Review Committee, prepares the case for promotion according to the Arts and Humanities Divisional Committee Guidelines and forwards the tenure packet to the Dean of the College. The Dean reviews the packet and forwards it to the Divisional Committee. The Divisional Committee reviews the case, votes, and makes its recommendation on promotion or non-retention to the Dean. The Dean makes a recommendation on promotion or non-retention to the Provost, Associate Vice Chancellor for Academic Affairs, and the Chancellor. The Chancellor s recommendation goes to the Board of Regents for final approval. Faculty Policies and Procedures (FP&P): For summary of campus policies on probationary period, annual review, and granting of tenure, see FP&P Calendar for Annual Review The schedule for review will generally follow the calendar below. For assistant professors whose appointments begin in January or whose tenure clocks have been extended, an alternate schedule may be adopted. September 15: Department Chair notifies Review Committee chairs and assistant professors of their responsibilities and deadlines for the annual review. This is also the 3

4 deadline for the Chair to receive outside review letters for faculty coming up for tenure in the current year. First Monday in October: Deadline for assistant professors who are coming up for tenure that year to update their Review Files. First Monday in November: Review committees must submit their Review Reports for probationary faculty coming up for tenure to the Department Chair. The Chair will make the Review Report and all major publications available to the tenured members of the Executive Committee in electronic form. Outside letters can be read in hard copy in the Chair s office. All members of the Executive Committee are expected to give an initial review of this material this week in order to determine if they have questions or wish to request further information. First Friday in November: Deadline for Executive Committee members to ask the Review Committee for clarification or further information. The Review Committee will prepare answers in time for the Advisory Committee meeting. Second week of November: The Advisory Committee meets, votes, and communicates its recommendation to the Executive Committee, Review Committee, and assistant professors. First week of December: The Executive Committee meets for final and substantial discussion and voting on Review Committee and Advisory Committee recommendations on candidates for tenure. Executive Committee members are expected to come prepared with a thorough knowledge of the assistant professor s record, including major publications. Meetings will carry over to the 2nd week of December as needed. Second Monday in February: Deadline for assistant professors in the 2nd-5 th probationary year to update their Review Files. Second Monday in March: Deadline for Annual Review Committee reports to be submitted to the Department Chair for distribution to the Executive Committee. Third or fourth Monday in March (whichever is not spring break): Deadline for Executive Committee members to ask the Review Committee for clarification or further information. The Review Committee will prepare answers in time for the Advisory Committee meeting. First week in April: The Advisory Committee meets, votes, and communicates its recommendation to the Executive Committee, Review Committee, and assistant professors. Second week in April: The Executive Committee meets for final and substantial discussion and voting on Review Committee and Advisory Committee recommendations on extension, promotion, and non-renewal. Executive Committee members are expected 4

5 to come prepared with a thorough knowledge of the files. Meetings will carry over to the 3rd week of April as needed. May 15: In any case of an affirmative vote on a faculty member who is expecting to come up for tenure in the following year, the Review Committee will meet to develop a list of outside reviewers. The Review Committee follows the procedures outlined below for the selection of potential names for outside review. Names and addresses of outside reviewers should be given to the Department Chair no later than May 15. The assistant professor gives the Department Chair the statement on future research and teaching plans and, in consultation with the Review Committee, prepares the publications to be sent out for review no later than May 15. Status in the Probationary Period The probationary period for assistant professors is typically 7 years on tenure track, with the recommendation on promotion being made during the 6 th probationary year. Throughout this document year in probationary period refers to the year on tenure clock, not the actual number of years at UW-Madison. At recruitment, the letter of offer specifies at what year in the probationary period the assistant professor will begin. Changes in the tenure clock are allowed by university policy, especially for reasons of family or illness. A request for an adjustment of up to one year based on the birth or adoption of a child should be sent by the faculty member to the provost (with informational copies to the chair and dean) within one year of the birth or adoption. (Approval of such requests is presumed.) Requests based on other factors (e.g., disability, chronic illness, or significant responsibilities with respect to elder care or dependent care) should be sent by the faculty member to the department chair and should be made before the beginning of the 6 th probationary year. (Approval of requests based on factors other than childbirth or adoption must be approved by the departmental Executive Committee, the dean, and the University Committee before action by the provost.) Criteria for Promotion The Executive Committee recommends tenure and promotion based on an evaluation of the assistant professor s record of research, teaching, and service. Since tenure commits university and state resources indefinitely, the Executive Committee requires proof of excellence in past performance together with a credible forecast that a faculty member s intellectual vitality will continue for years to come. There is no entitlement to tenure based upon a record that is merely competent and satisfactory. A strong record in research includes a coherent body of work, focused on a welldefined area or topic, that moves significantly beyond the candidate's Ph.D. dissertation or MFA thesis. Such work should have been reviewed in a refereed process or by knowledgeable peers outside the department and should reflect the highest standards of 5

6 rigor, research, and methods appropriate to the candidate s field. The Executive Committee looks for evidence of originality, standing in the profession outside the university and the state, and the likelihood of continued outstanding performance and growth. In addition, there should be evidence of a significant future project or projects in at least a preliminary stage of development. In evaluating the record of candidates in the various areas of creative expression, the Executive Committee needs evidence of distinguished performance in terms of originality, scope, richness, and depth of expression. In evaluating the record of candidates with outreach/extension responsibilities, the evidence must show that the candidate s work has significantly contributed to the translation and dissemination of the results of scholarly inquiry in the candidate s discipline for the benefit of society, and that this work has extended the knowledge base of the university or of the citizens of the state. A strong record in teaching should be shown through such evidence as peer and student evaluations, course and curriculum development, syllabi, and other pedagogical materials. The record in service should show an engagement in the service life of the department and campus that the Annual Review Committee, Department chair, and other colleagues have deemed appropriate. Chronology of Review during Probationary Period The Committee s Review Report in any given year is written in the context of the assistant professor s CV and his or her brief statement about new work since the last review and future plans. In the second and fourth years, the Review Report is based primarily on external (or objective ) factors: the number of essays, chapters and presentations (and their venues); student evaluation scores; and a list of service appointments. In the third-, fifth- and sixth-year (tenure) reviews, the Review report is based primarily on internal (or evaluative ) factors: the content of the publications, the narrative portions of student and peer evaluations of teaching, and other written material. 1 st probationary year: There is no formal review. Emphasis is on orientation of assistant professor, appointment of a mentor and Review Committee, and establishment of the Review File. In the first semester, there will be an informal class visitation (advice given, no written report); in the second semester, there will be a formal class visitation (advice and evaluation, with written report). 2 nd probationary year: The Review Committee Chair s recommendation for extension, promotion, or non-retention is based on the assistant professor's brief abstract (half a page) of the research and writing program thus far and its projected shape over the next three years; the teaching record (peer and student evaluations, syllabi, etc.); and the service record. 3 rd probationary year: The Review Committee s recommendation for extension, promotion, or non-retention is based on review and evaluation of all research in print, in press, or accepted; grant proposals, book prospectus, contracts, etc.; book prospectus, 6

7 proposal or abstract (1-2 pages) of a major research project; an appropriate portion of a major research project; drafts of work in progress that the assistant professor decides to include in the Review File; the teaching record (peer and student evaluations, syllabi, etc.); and the service record. 4 th probationary year: The Annual Review Committee Chair s recommendation for extension, promotion, or non-retention is based on the assistant professor's brief abstract (half a page) of the research and writing program since the third-year review and its projected shape over the next two years; the teaching record (peer and student evaluations, syllabi, etc.); and the service record. 5 th probationary year: The Review Committee s recommendation for extension, promotion, or non-retention is based on review and evaluation of new research (in print, in press, or accepted) since the last review; all work in progress expected to be part of the promotion file in the 6 th year; book prospectuses, grant proposals, etc.; the teaching record (peer and student evaluations, syllabi, etc.); and service record. 6 th probationary year and promotion review: The Review Committee s recommendation for promotion or non-retention is based on consideration of letters from outside referees; the candidate s statement on future research, teaching, and service plans; the evaluation of all research relevant to promotion, according to the Arts and Humanities Divisional Committee Guidelines (including work initiated and/or completed before appointment at UW-Madison); the teaching record (peer and student evaluations, syllabi, etc.); and service record. The Advisory Committee will review the assistant professor s Review File, the Review Committee Report, the outside letters, and the candidate s major research project (s). The writing sample selected for the tenure dossier by the candidate (see Divisional Committee guidelines) will be distributed to Executive Committee members. Two copies of the candidate s major research project(s) will be available for sign-out for reading prior to the meeting for consideration of tenure. Executive Committee members will have access to the confidential outside letters and will be encouraged to review the materials in the assistant professor s Review File. The assistant professor does not have access to the outside letters; in the case of dispute, the Department Chair has the option of summarizing the outside letters in such a way that the identity of the letter writers is not evident. Review Committee The Department Chair appoints a Review Committee for each assistant professor during the first year of the assistant professor s contract. Good communication between assistant professors and their Review Committees is essential. Assistant professors are encouraged to seek guidance, feedback on work in progress, and advice about any aspect of research, teaching, and service. Function: As a subcommittee of the Executive Committee, the Annual Review Committee has a dual function: 1. To advise and mentor the assistant professor with regard to research, teaching, and service; and 7

8 2. To assist the Review Committee chair to evaluate annually the assistant professor s progress toward tenure and to recommend promotion, extension, or non-retention to the Executive Committee. This evaluation takes the form of the annual Review Report, a copy of which goes to the assistant professor at the same time that it is submitted to the Executive Committee. The Review Report is subject to review by the Executive Committee and is filed in the assistant professor s Review File (in the office of the chair s assistant, open to assistant professor and Executive Committee members) and Personnel File (in the chair s office). Membership of Review Committee: 1. The Review Committee typically has five members, the core of which comes from the Search Committee or the Reading Committee for the position. 2. At least one member of the Review Committee will be in a field outside that of the assistant professor. 3. The members of the Review Committee will generally remain the same throughout the probationary period. 4. The Department Chair will appoint replacements if members are no longer available for whatever reason. 5. Review Committee members on leave have the option of involvement or lack of involvement in the annual review; in the event a faculty on leave does not intend to participate in the annual review, the chair may appoint a replacement. Responsibility of the Review Committee Chair: 1. The chair of the Review Committee will meet with the assistant professor at least once before and once after the annual review to discuss the progress toward tenure. While the chair will discuss with the assistant professor the main issues raised during the Executive Committee s review, he or she should maintain the confidentiality of Executive Committee discussions. 2. The chair of the Review Committee assists the assistant professor in the preparation of the annual Review File and promotion materials. 3. The chair of the Review Committee performs the Annual review in years 2 and 4; the chair works with the Review Committee to perform the review in years 3, 5, and 6. Mentor Appointment: In consultation with each assistant professor, the Department Chair appoints a mentor mutually agreeable to both during the first year of the assistant professor s contract. The mentor is usually not a faculty member on the Review Committee and in most cases is not in the immediate field of the assistant professor. The Department Chair has the option of replacing the mentor in consultation with the assistant professor. Function: The role of the mentor is to offer support, guidance, and advice on negotiating the probationary period, including the expectations and procedures of the Department, College Dean, and the Arts and Humanities Divisional Committee. The mentor should advise the assistant professor on the preparation of the annual CV and review materials. The mentor may offer help on grant proposals, book prospectuses, teaching, and other 8

9 professional activities. The mentor also aids in the communication between the assistant professor and his or her Review Committee, the Department Chair, and the Executive Committee. The mentor should be available for advice on the informal as well as the formal aspects of Department culture, policies, and procedures. Trust: The mentor endeavors to establish a relationship of trust with the assistant professor. This trust relationship may include a mutual agreement to maintain confidentiality. In unusual circumstances, the mentor may consult the Department Chair for advice. While the mentor will most likely discuss with the assistant professor the main issues raised during the Executive Committee review, the mentor should maintain the confidentiality of Executive Committee discussions. Review File Annual Update: With guidance from the Review Committee chair and mentor, the assistant professor is responsible for updating his or her Review File by October 10 th of every year. The Review Committee chair should immediately check the Review Committee File to see that all necessary information is present (including publications, peer evaluations, syllabi, and past Review Committee reports, etc. in years 3 and 5); s/he is responsible for getting any missing material before the Review Committee report is written. Assistant professors will receive a copy of the annual guidelines for promotion from the Arts and Humanities Divisional Committee, guidelines that will help in the preparation of the Review File. Contents of Annual Review File: 1. An updated CV. Mentors and Review Committee chairs should counsel assistant professors on format of CV; Divisional Committee guidelines on CV format should be followed; 2, An annual memo (1-2 pages) from the assistant professor to his or her Review Committee outlining the year s progress, and relevant information pertaining to research, teaching, and service. 3. Prior annual memos from the assistant professor to the Review Committee outlining achievements and goals for the year; *4. Prior Review Reports, with additions or emendations of the Advisory and/or Executive Committee, and with responses (if any) from the assistant professor; 5. Professional Activities Reports; *6. Peer evaluations of teaching; *7. Statistical summary sheets of student evaluations; *8. Syllabi for all courses; 9

10 *9. Publications; 10. Additional materials: Assistant professors have the option of providing any additional material that attests to their progress toward tenure in research, teaching, and service (e.g., letters, grant proposals, book contracts, manuscripts, pedagogical materials, etc.). See below for directions on additional materials needed for specific reviews. Items marked with an asterisk (*) should be included in the file in the third, fifth, and sixth year reviews. Other items should be included in all review files. Peer Observations of Classroom Teaching Requirements: The Arts and Humanities Divisional Committee requires that there should be one or two visits for each teaching year of the candidate s probationary period, and preferably for each semester. Assignment of Reviewers: The Department Chair will assign faculty peer reviewers at least once and preferably twice a year. Typically, these reviewers will initially be members of the Review Committee. Thereafter, the Department Chair may appoint other tenured faculty to do classroom visits. In the case of joint appointment faculty, the Department Chair will coordinate visits with the faculty member s other chair. Scheduling Reviews: Faculty peer evaluators should contact assistant professors well in advance to arrange a mutually agreeable class period, preferably no later than the 12 th week of the semester. For fall observations, every effort should be made to visit the class and submit the written report before October 20 th. Class Visits: Before the visit, the reviewer should communicate with the assistant professor to discuss the goals of the class meeting and how it fits into the rest of the course in the context of the syllabus. The reviewer should meet with the assistant professor after the class to discuss observed strengths and make constructive suggestions for improvement. This discussion may also include advice on assignments, responses to student writing, exam construction, and other pedagogical matters. Written Reports: The visitor is responsible for sending a written report on the class to the faculty member and to the Department Chair no later than three weeks after the visit. The Department Chair is responsible for ensuring the completion and filing of reports in the assistant professor s Review File and Personnel File. Preparation for Promotion Review Letter Requirements: The Arts and Humanities Divisional Committee requires 5 letters of evaluation of the candidate s abilities and accomplishments, from nationally or internationally recognized experts in the candidate s field outside this institution. The Committee also requires that more than half of the letters will be solicited from authorities other than those nominated by the candidate. The Department must note any relationship between the candidate and the letter writers. Selection of Outside Letter Writers: In May of the year prior to likely or mandatory promotion review, the Review Committee will consult with the assistant professor to 10

11 solicit up to two names of possible outside reviewers and to allow the assistant professor to identify potential reviewers who would not be appropriate. By May 15 th, the Review Committee will provide the Department Chair with a list of 7-10 names and addresses (including ) of recognized experts in the candidate s field. In late May, the Department Chair will write to potential reviewers with the goal of identifying at least 5 reviewers (including the two suggested by the assistant professor) who will agree to evaluate the candidate s dossier. If either of the two people suggested by the candidate declines, then the chair may consult the candidate for additional names. The identities and letters of outside reviewers are not made available to the assistant professor. Candidate s Statement: By May 15th, the candidate should provide the Department Chair with the statement required by the Arts and Humanities Divisional Committee: a succinct statement of his or her future research and teaching plans for approximately the next five years. This should not be more than three to four pages. Material Sent to Reviewers: The Arts and Humanities Divisional Committee requires that outside reviewers receive: the candidate s current curriculum vitae, a substantial and representative sample of the candidate s work, including entire book, [or book] manuscript, if appropriate to the candidate s discipline, and the candidate s statement of future research plans. Access to Outside Letters: In the fall, these confidential letters will be kept in the office of the chair s assistant and made available to the Department Chair; the Review Committee, which will incorporate their evaluations into its Report; and to the Advisory Committee. Other members of the Executive Committee may consult the letters upon request. The candidate does not have access to the outside letters; in the case of dispute, the Department Chair has the option of summarizing the letters in such a way that the identity of the letter writers is not evident. Bios of Outside Reviewers: For assistant professors who will be recommended to the Dean and Divisional Committee for promotion, the Review Committee chair will provide the Department Chair with a brief biography of each reviewer--listing name, affiliation, rank, major field of expertise, major publications, relationship (if any) to the candidate, and other pertinent information (1-2 paragraphs per reviewer). Review of Faculty with Joint Appointments or Cluster Appointments Joint Governance Responsibility: Assistant professors with joint appointments, whatever the tenure home, have additional responsibilities and commitments beyond the English Department. In the assignment and evaluation of teaching, research, and service, the Department will make every possible effort to take these dual responsibilities into account. Coordination of Review with Joint Department or Program: The Department Chair will facilitate the coordination of the Department s annual review of faculty with joint appointments with the chair of the other department or program. In the case of faculty whose tenure home is English, the Review Committee will ideally have access to the other unit s annual evaluation and recommendation for extension, promotion, or nonretention. If the schedule does not permit this input, then the Department Chair will attempt to provide this information to the Advisory Committee and/or the Executive Committee prior to the Executive Committee s vote on extension, promotion, or non- 11

12 retention. In the case of faculty whose tenure home is elsewhere, the English Department will provide the tenure home unit with the Review Committee Report, amendments or additions by the Executive Committee, and Executive Committee vote. Cluster Appointments: Faculty with Cluster appointments whose appointments are 100% in the English Department may have responsibilities for interdisciplinary teaching, research, and/or service that are a contractual part of their appointments. In the assignment and evaluation of teaching, research, and service, the Department will make every possible effort to take these dual responsibilities into account. For Cluster faculty with joint appointments, the Department will also take into account responsibilities for the Cluster that may be a part of or in addition to the responsibilities for the candidate s other budgetary unit. Faculty Policy and Procedures The English Department Guidelines on the Annual Review Process are consistent with the requirements of Faculty Policy and Procedures. Campus policy on probationary faculty appointments, renewals, promotions, and non-retentions is articulated in Chapter 7 of Faculty Policy and Procedures. Chapter 8, section 15 covers faculty grievance procedures. Approved by the Executive Committee September 10, 2003 September 17, 2003 February 17, 2004 February 24, 2004 April 21, 2004 Revised September 27, 2006 Revised October 9,

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