Chapter 4 – Faculty Appointment, Promotion, and Tenure

Chapter 4 contents

4-A Authority

4-B Faculty Designations and Organization

  • 4-B (1) Titles and Modifiers
  • 4-B (2) Academic Titles Currently in Use
  • 4-B (3) Policies
  • 4-B (4) Maintaining the Tenure System

4-C Appointments

  • 4-C (1) Appointments to Tenure and Tenure-Track
  • 4-C (2) Appointments to Non-Tenure Track
  • 4-C (3) Joint Appointments

4-D Length of Appointment

  • 4-D (1) Probationary Period for Tenure-Track Faculty
  • 4-D (1.5) Committee on Deadlines and Leaves
  • 4-D (2) Term of Employment for Non-Tenure-Track Faculty

4-E Conditions of Tenure

4-F Evaluation, Reappointment, and Promotion of Tenure-Track and Tenured Faculty

  • 4-F (1) The Dossier
  • 4-F (2) Evaluation Process
  • 4-F (3) Non-Reappointment for Full-time Probationary (Tenure-Track) Faculty

4-G Evaluation, Reappointment, and Promotion of Non-Tenure-Track Faculty

4-H Advisory Committees on Appointments, Promotions, and Tenure

  • 4-H (1) University Committees
  • 4-H (2) School or Divisional Committees on Appointments, Promotions, and Tenure

4-A Authority

The University Bylaws provide in Section 6.4 (d) that

The President of the University shall have full power of appointment, direction, and supervision of the faculties and the organization thereof.

The President may delegate to the deans the authority to make appointments and promotions of non-tenure-track faculty and instructors and assistant professors on the tenure-track. The Provost may make appointments and promotions at any rank, and is the only official delegated by the President with the authority to grant tenure, make appointments of associate professors and professors on the tenure-track, or award special designations. Procedures for the appointment of tenure-track faculty below the Associate Professor level, non-tenure-track and part-time faculty, and librarians without continuing appointments, may be abbreviated from the appointment procedures used for senior tenured appointments by agreement between the academic units and the Provost.

4-B Faculty Designations and Organization

4-B (1) Titles and Modifiers

From time to time updates to the list of Academic Titles Currently in Use, Section 4-B (2), are approved by the Provost.  For updates to this list, the Provost will seek the advice of the Academic Senate Executive Board. See Section 4-C (2).

Individual schools may, with Provost’s permission, use titles from this list; special approval from the Provost, based on unusual circumstances, must be obtained to use a title outside the specifications of this list.  When a faculty member has an administrative assignment the dean or Provost may add an administrative title in addition to the faculty title.

4-B (2) Academic Titles Currently in Use

Note: Whenever “Discipline” is indicated in this list it includes, at the school’s option as its faculty deem appropriate, discipline, interdisciplinary area, department, or school.

TENURED AND TENURE-TRACK

Instructor in <Discipline>

Entry-level position, generally for those who have not yet completed their terminal degree.

Assistant Professor of <Discipline>

Entry-level position, generally for those who have completed their terminal degree.

Associate Professor of <Discipline>

Senior faculty rank.

Professor of <Discipline>

Highest faculty rank.

Note: Whenever “Professor” is shown subsequently in this list, it includes the options of Instructor, Assistant Professor, and Associate Profess.or

LIBRARIANS

Librarian, Assistant University Librarian, Associate University Librarian, University Librarian are faculty titles corresponding to the ranks of Instructor, Assistant Professor, Associate Professor, and Professors, respectively.  Associate University Librarians and University Librarians are eligible for continuing appointment.

Health Sciences Librarians use the faculty titles Librarian I-IV. Librarians III-IV are eligible for continuing appointment. In the Law School, Law Librarian I-IV are the faculty titles used for all librarians.  Law Librarian III-IV are eligible for continuing appointment.

Contract Librarian I-IV is the faculty title used for professional librarians on contract status who are not eligible for continuing appointment.

CLINICAL SCHOLAR AND SIMILAR TITLES

For individuals who have gained high scholarly or artistic distinction in their fields, primarily engaged in clinical, creative, or professional practice, teaching or research, but whose effort profile or type of research or creativity differs from that of tenured faculty.  It is a high honor that may be awarded by the President of the University on evidence of leadership and impact in the field after recommendation by a school committee and dean, and the University Committee on Appointments, Promotions and Tenure.  It is equal in status and dignity with tenure though without the employment guarantees of tenure. It is differentiated from the clinical titles mentioned below.

Professor of <Discipline> (Clinical Scholar) – may be listed publicly as Professor of <Discipline>; Professor of <Discipline> (Clinical Educator); Artist in Residence; in the law school, Professor of Law.

FULL-TIME NON-TENURE-TRACK TEACHING, RESEARCH AND CLINICIAN FACULTY

Lecturers

For individuals engaged primarily in teaching and teaching-related duties, with reduced obligation for scholarship:  Lecturer, Senior Lecturer, Master Lecturer; Clinical Professor of <discipline>; Professor (Teaching) of <discipline>; Professor of Clinical <discipline>.

Note: Whenever “Lecturer” is shown subsequently in this list, it includes the options of Senior Lecturer and Master Lecturer.

Researchers

For individuals engaged primarily in conducting research, usually on external funding; may engage only in limited teaching and only as an ancillary responsibility:  Research Professor of <discipline>; Professor (Research) of <discipline>; in the medical school, Professor of Research <discipline>;

Practitioners

For individuals who have demonstrated excellence and effectiveness in the public practice of a field of expertise, and who are engaged primarily either in clinical practice, teaching or research, with reduced expectation in the other areas:  Lecturer; Professor of the Practice of <discipline>; Professor of <discipline> Practice; in the medical school, Clinical Professor of <discipline>

Clinicians

For individuals primarily engaged in clinical practice, clinical or skills teaching, and clinical research, who demonstrate excellence in one of these areas and strengths in the other two, but who do not have the same scholarly obligations as tenure-track faculty: Professor of Clinical <discipline>; in the law school, Clinical Professor of Law;

Mathematics

As an exception, the title Assistant Professor of Mathematics may be used for a non-tenure-track appointment in mathematics awarded to faculty who have recently obtained their degrees and who are involved in research and teaching with reduced obligation for university service.  Such appointments may be made, based on careful academic review, up to three years, with no possibility of renewal thereafter.

VISITING

For individuals on temporary appointment who are: (a) on leave from another university or college; (b) on leave from industry, government, an artistic career, or the professions; or (c) citizens of another country limited by their visas to temporary service, and who also satisfy either clause (a) or clause (b).  Not appropriate for other faculty who are hired on a short term or temporary basis. Appointed for up to one year. May be renewed for up to a second year by permission of the Provost. If a visiting faculty member receives a tenure-track faculty appointment, the period of the visit is counted as part of the probationary period, unless the President decides otherwise after advice of the Committee on Probationary Deadlines.

PART-TIME FACULTY

For individuals with part-time appointments, non-tenure-track:  (a) Lecturer (part time); (b) for those whose USC work is adjunct to a primary position or career elsewhere, Adjunct Lecturer, Adjunct Professor of <discipline>; in the medical school, Adjunct Professor of Clinical <discipline>.

VOLUNTARY FACULTY

For individuals who volunteer their services: Adjunct Professor of <discipline>; in the medical school, Adjunct Clinical Professor of <discipline>.

AFFILIATED ACADEMIC STAFF

For individuals of special expertise, renown or promise who come to the campus on a temporary or long-term basis and who are not members of the faculty:

Artist in Residence, Executive in Residence, Scholar in Residence, Writer in Residence, or similar titles;

Postdoctoral Scholar, Postdoctoral Fellow, Postdoctoral Research Associate, Postdoctoral Teaching Fellow;

Visiting Scholar, Visiting Critic, or similar titles.

Senior Fellow.

With approval of the Provost, the modifier Distinguished may be added to any of these titles.

SPECIAL DESIGNATIONS

See Section 4-B (3).

EMERITI

See Section 10-A of Chapter 10.

4-B (3) Policies

4-B (3)(a) Full-time and Part-time Appointments

Tenured faculty and tenure-track faculty, and librarians on continuing appointment or in positions leading to consideration for continuing appointment, are appointed on a full-time basis.

Non-tenure-track faculty may be appointed on a full‑time or part‑time basis.

4-B (3)(b) Non-Tenure-Track Faculty

Non‑tenure‑track faculty are those faculty on appointments that do not carry tenure and do not lead to consideration for tenure.

4-B (3)(c) Affiliated Academic Staff

Affiliated academic staff titles are set out in the list of Academic Titles Currently in Use, Section 4-B (2). Such titles are conferred by the dean of an academic unit, who will inform the Provost of the conferring of this designation and its duration.  These individuals shall be accorded courtesy privileges for the use of the libraries and other research facilities, eligibility for parking, bookstore privileges, and office space as available.

These titles may also be bestowed on existing faculty members.

See also Section 3-A of Chapter 3 on teaching and research assistants and other academic staff titles.

4-B (3)(d) Special Designations

The following special designations that modify faculty titles may be used.  Appointments are made by the President.  For positions within a school, the appointment will follow a review of qualifications and recommendation by the dean and an appropriate school faculty committee.  For positions that transcend any one school, the appointment will follow a review of qualifications and recommendation by the Provost and an appropriate university-wide faculty committee, such as a panel of the University Committee on Appointments, Promotions and Tenure or a committee of University Professors and Distinguished Professors.

Distinguished Professor

Awarded on a very selective basis to those few professors in the University who have brought special renown to the University through their accomplishments

University Professor

Awarded to a small number of professors who, because of their multi‑disciplinary interests and significant accomplishments in several disciplines, qualify for an appointment that transcends any single field of study.  Generally, a faculty member accorded this title also has a tenured faculty appointment in a specific academic unit.

Named Professor or Chair

Awarded to a distinguished faculty member in a specific discipline or inter-disciplinary area who is supported wholly or in part by funds given for this purpose.  Named positions are occasionally established by the University on an honorary basis, without funding. This designation is generally made on a one‑year or other short‑term basis, subject to renewal depending on the practice and customs of the school in which the appointment is made and subject to University policy and the terms of the President’s approval of the appointment.

Clinical Scholar

See the list of Academic Titles Currently in Use, Section 4-B (2).

In Residence

The following titles and similar ones are appropriate for faculty members with special expertise or renown:

  • Artist in Residence
  • Executive in Residence
  • Scholar in Residence
  • Writer in Residence

4-B (4) Maintaining the Tenure System

The tenure system is the principal form of faculty appointment, and tenured or tenure-track appointments are preferred whenever feasible. Non-tenure-track full time faculty are invaluable to help perform the research and clinical practice missions of the University, and also may be invaluable for our teaching mission when it is academically desirable to make such appointments, for example to bring a practical orientation or to teach skills.  Part-time non-tenure-track appointments are generally to be avoided, but are appropriate for individuals who are asked to teach a course because of special expertise and who have another full-time position or career.  Any exceptions require special approval by the Provost.  A part-time visiting appointment of an individual who holds a full- time appointment at a peer institution (AAU) may be made by a dean to meet one-time emergency needs for up to one year, without special provost’s approval but observing other required processes.

An individual holding a tenure-track faculty appointment must, by the end of the probationary period, either be granted tenure or be given a terminal appointment; such an individual cannot be retained or rehired on a non‑tenured, full‑time basis past the maximum probationary period except under extraordinary circumstances and with the approval of the Provost, including use of a non‑tenure‑track faculty title.

When there is a proposal to appoint an individual to a non-tenure-track position who previously had tenure‑track faculty status, the proposal will be submitted for the Provost’s approval.  Documentation must be submitted to show that the individual actually will have the work profile of a non‑tenure‑track faculty member and that the proposal is appropriate within the tenure system.  It would be particularly unusual to approve such a shift in the year leading up to the Tenure Decision Date.

Each school policy shall maintain a limit for the maximum number of non‑tenure‑track teaching faculty appointments, as a percentage of tenured and tenure‑track faculty appointments, so as to preserve the tenure system as the principal form of faculty appointment.

Periodically during the continuing appointment of a non-tenure-track faculty member, full-time or part-time, at three-to-five-year intervals as stated in approved school guide lines, the individual’s performance should receive careful review by an appropriate faculty committee as to whether promotion is appropriate and whether reappointment is appropriate.

4-C Appointments

4-C (1) Appointments to Tenure and Tenure Track

Full‑time tenure‑track and tenured faculty appointments are for service during the academic or fiscal year and are made on the bases described below.

Instructor and Assistant Professor
Appointed on an annual basis with the possibility of renewal.  A tenure decision shall be made in accord with the schedule described in established policy (see Section 4-D).

Associate Professor  
Generally comes with tenure, but if appointed without tenure, a decision on tenure shall be made in accord with the schedule described in established policy (see Section 4-D).

Professor  
Generally comes with tenure, but if appointed without tenure, a decision on tenure shall be made in accord with the schedule described in established policy (see Section 4-D).

Faculty members in their probationary periods are appointed for specific terms, in accordance with the customs of their academic units, of one to three years.  The University is under no obligation to reappoint an untenured faculty member or to renew the appointment for the full probationary period (see Section 4‑F (3)).

4-C (2) Appointments to Non-Tenure Track

Full-time non-tenure-track faculty appointments are made in accordance with University policy and school-specific guidelines. All initial appointments of non‑tenure‑track faculty must be approved by the dean or Provost. Every school is required to maintain a written statement of guidelines on non‑tenure‑track faculty.  See Section 4-G.

Full‑time non‑tenure‑track faculty are treated equally with tenured and tenure‑track faculty with respect to all fringe benefits as defined by the established faculty policies.  However, Visiting Faculty are not generally eligible for retirement benefits.  Schools may also extend eligibility for sabbatical leaves for research or other scholarly activity (consistent with the candidate’s expected faculty profile) or other perquisites of tenured or tenure‑track faculty on a categorical basis, or may provide for such extension on the basis of individual negotiation.

Each school must have active participation by non‑tenure‑track faculty members in faculty governance, including on non‑tenure‑track faculty guidelines, but not including matters concerning tenure and the tenure system.  The Academic Senate Constitution has provisions concerning participation in faculty governance by non‑tenure‑track faculty (Article I, Sections 2 and 3).

4-C (3) Joint Appointments

A joint appointment between two schools or divisions of the University may be tendered if the faculty member will teach or conduct research in both schools.  A tenured appointment may be made, however, in only one school.  Promotion to a higher rank for faculty holding joint appointments should be initiated by the school of primary appointment.

4-D Length of Appointment

4-D (1) Probationary Period for Tenure-Track Faculty

The Recommendation for Appointment Form requests specific information as to the number of years of continuous full-time service at other institutions in a faculty position where the individual is expected to do the scholarly or creative work we expect of a candidate for tenure. Such service at another institution shall count towards the faculty member’s maximum probationary period.  With one year of such prior service, the maximum probationary period shall be one year shorter; with two years of prior probationary service, the maximum probationary period shall be two years shorter; with three or more years of prior probationary service, the maximum probationary period shall be three years shorter‑‑even though, thereby, the faculty member’s total probationary period at both institutions combined is extended beyond the usual maximum.

4-D (1)(a) Tenure Decision Date

The Recommendation for Appointment Form, when approved by the Provost, also states the date before which a decision on tenure must be made at the University of Southern California and communicated to the tenure-track faculty member. This date, called the Tenure Decision Date, is 12 months before the expiration of the stated probationary period. The letter of appointment for each new faculty member must specify the Tenure Decision Date, which will be determined by the length of the school-specific maximum probationary period and any credit accorded for prior service.  The letter should also explain the school-specific relationship (if any, see Section 4-F (2)(c)) between the decision on promotion and the decision on tenure.  A signed copy of the faculty member’s acceptance must be filed with the Provost.

4-D (1)(b) Annual Review

A new faculty member, like those already employed by the University, should be assured that his or her record shall be reviewed annually by his or her academic unit according to known and established procedures.  There should be a particularly thorough review midway in the probationary period, normally in the third year.  The University is under no obligation to reappoint an untenured faculty member or to renew the appointment for the full probationary period (see Section 4-F (3)).

4-D (1)(c) Tenure at Appointment

In unusual instances, an outstanding new faculty member may be recommended for tenure at the end of his or her first year.  In this case the original dossier may be resubmitted with clear evidence of continued achievement and collegial activity.  Occasionally, an outstanding faculty member, such as one who already holds tenure at a peer institution, is accorded tenure at the time of appointment to the University of Southern California, upon the recommendation of the established committees and the dean and approval by the President.

4-D (1)(d) Midyear Appointments

If a tenure-track faculty member initially commences full‑time academic duties on or after December 1, the remainder of that academic or fiscal year shall not be included in calculating the maximum length of the probationary period.

4-D (1.5) Committee on Deadlines and Leaves

4-D (1.5)(a) Probationary Deadlines

Unresolved questions concerning what prior service must or must not be counted, and other matters pertaining to the length of the probationary period, shall be directed to the Committee on Deadlines and Leaves. for its review and recommendations to the President.  This review may take place before the appointment is accepted, or on request thereafter.

Section 3-E of Chapter 3, Leaves of Absence, and Chapter 9, Academic and Family Life Balance, provide for excluding a certain amount of time in rank from the normal probationary period (“stopping the clock”) which has the effect of adjusting the Tenure Decision Date.  The Committee also gives its review and recommendations on requests to change a probationary deadline based on special circumstances.

The annual letter of reappointment or contract for each tenure-track faculty member shall reflect any adjustments to the Tenure Decision Date approved during the prior year. In the event of emergency circumstances severely disrupting the University’s regular operation, the Provost may declare the tenure clock stopped for an appropriate period, and extend deadlines correspondingly.

4-D (1.5)(b) Non-Tenure-Track Promotion Deadlines

If an approved school guideline establishes an up-or-out deadline for non- tenure-track promotion, the faculty member may request “stopping the clock” under the same principles as apply for the tenure-track probationary period. See Section 4-D (1.5)(a). If the faculty member does not accept a decision by the dean on stopping the clock, the Committee on Deadlines and Leaves gives its review and recommendations to the Provost. In such cases, the Committee will include non-tenure-track faculty of the rank of associate professor or above, as well as tenured faculty.

4-D (1.5)(c) Leaves

If there is an appeal as to the grant or denial of a sabbatical or other research leave, the Committee on Deadlines and Leaves gives its review and recommendations to the Provost. If the case involves a non-tenure-track faculty member, the Committee will include non-tenure-track faculty of the rank of associate professor or above, as well as tenured faculty.

4-D (2) Term of Employment for Non-Tenure-Track Faculty

Non‑tenure‑track faculty are appointed to fixed‑term contracts that must specify the starting and ending dates of the appointment and any specific duties of the appointment beyond the responsibilities stated in Section 3-B of Chapter 3, and school guidelines.  The date on which each appointment ends shall be specified in the appointment letter and any subsequent reappointment letter.  That letter also constitutes adequate notice of non‑reappointment, and the appointment will expire at the end of its term, unless there is a written renewal.

Non‑tenure‑track faculty appointments do not count toward a probationary period and do not lead to consideration for tenure.  A signed copy of the non‑tenure‑track faculty member’s acceptance must be filed with the dean prior to commencement of employment.  However, optionally for those with annual contracts, the contract may state that it will roll over on the same terms unless there is a decision not to reappoint, with 90 days’ notice or pay to the extent notice is less than 90 days. See section 4-G (2)(¶2) concerning the process for the decision.

4-E Conditions of Tenure

Tenure confers on its bearer the right to hold his or her position with pay until retirement.  Only for adequate cause and through stipulated procedures may the faculty member be dismissed, demoted, or placed on indefinite leave without pay from that position.

Tenure and promotion are separate processes.  Tenure should be considered on an individual basis and should be fully justified.

The President is empowered by the Board of Trustees to take action relating to appointments, promotions, demotions, dismissals, and assignments to indefinite leave, of all personnel holding tenured positions as defined herein.  In such actions the President is advised by the Provost and the appropriate University committee, and may delegate his or her authority to the Provost.

Tenured faculty shall not be dismissed or demoted except for adequate cause as defined in Chapter 8, Faculty Dismissals.

Tenured or untenured faculty may be urged to apply for disability status in the event of physical or mental incapacity.  The Provost may place tenured or untenured faculty on Special Leave of Absence upon proof of severe physical or mental incapacity.  The intention is, whenever reasonable, that tenured or untenured faculty be returned from disability to active status.  If the tenured or untenured faculty member does not return to active service after one year’s absence, the Provost may terminate his or her appointment without formal proceedings. In such cases financial benefits that have accrued as a result of service to the University shall not be forfeited.

Tenured faculty may be placed on indefinite leave without pay if reduction in faculty becomes necessary under extraordinary circumstances because of demonstrated financial exigency.  Financial benefits accrued through their University service shall not be forfeited.

4-F Evaluation, Reappointment, and Promotion of Tenure-Track and Tenured Faculty

4-F (1) The Dossier

The dossier should present the evidence gathered by both internal and external peer review of a candidate’s fitness for tenure, or for appointment or promotion as associate or full professor.  It should include candid, balanced and accurate assessment of the evidence by faculty departmental and school committees, department chair and dean, and external evaluators.  Both internal and external evaluations shall be kept confidential to the full extent allowed by law.  Candidates for promotion and tenure should supplement their curriculum vitae with a personal statement outlining their accomplishments and goals in teaching and research and candidates for appointment from outside the University should do so whenever feasible.  The teaching record should be accompanied by evaluations of classroom instruction and all other pedagogic activity.  External letters of evaluation should be solicited from leading experts in the field chosen for their competence to judge the candidate’s academic and, where appropriate, professional qualifications (to be documented by inclusion in the dossier of biographical information); wherever possible, such experts should be sought at peer universities, but it is recognized that they may be found elsewhere as well.  Although some of the reviewers may be selected from a list of names provided by the candidate, most should neither be from that list nor have a close personal or professional relation with the candidate.  The dossier must include all letters of evaluation received, as well as information on all those asked to give an evaluation who did not do so.  The dossier also contains representative samples of the candidate’s scholarship or professional performance and his or her service record.

4-F (2) Evaluation Process

4-F (2)(a) Up or Out Decisions

Careful evaluation of each faculty member shall be made at the time of consideration of grant of tenure, and at the time of consideration of promotion to associate professor whether those decisions are simultaneous or not. If those evaluations are positive, the faculty member shall receive a contract from the President stating the new status; if either decision is negative, the faculty member shall receive timely notice, as specified in Section 4-F (3), that his or her contract of employment with the University will not be renewed.

4-F (2)(b) Peer Review

The principles of academic freedom and tenure, which are firmly established in this and all other major American universities, rely on an established probationary period during which excellence in teaching and scholarly research can be demonstrated by faculty.  An established probationary period only has significance if there is a definite time at which the probationary period ends.

A university is as strong as its faculty.  A principle especially important to achieving a strong faculty is that the quality of a faculty member’s work not be assessed by the potentially capricious judgment of any single person, but rather by a searching review by the faculty member’s colleagues.  This principle is given form by making sure that each faculty member is provided a Tenure Decision Date when this process of review must be completed, and ensuring that the President, as is required by his or her accountability to the Board of Trustees for maintaining the long‑range quality of the institution, makes a final decision on the award of tenure based on this full and careful process of peer review by colleagues.

4-F (2)(c) Alternative Tenure Timelines

Traditional timeline. For faculty initially appointed as assistant professor, there shall be a formal review for promotion to associate professor and the grant of tenure by the sixth year of appointment, unless school-specific guidelines approved as provided in Section 4-F (2)(d) provide a different period as explained below.  (Individual adjustments in the timeline for promotion to associate professor, the grant of tenure, or both decisions, may be made by the Provost after advice by the Committee on Probationary Deadlines, see Section 4‑D (1)(f), or in unusual cases after advice by the University Committee on Appointment, Promotion and Tenure.)

Extended timeline. An approved school-specific guideline may provide for a longer timeline for formal review for promotion to associate professor and grant of tenure. (The longer timeline may be school-wide or for designated disciplines.) For example, there may be an eight year probationary period instead of the traditional seven years.

Highly extended timeline with tenure at full professor. An approved school-specific guideline may provide for formal review for promotion to associate professor without tenure by the sixth year of appointment, followed by formal review for the grant of tenure, (generally simultaneous with promotion to professor) by the end of the school-specific probationary period.  The maximum school-specific probationary period is twelve years.  Both the decision on promotion to associate professor, and the decision on grant of tenure, are up-or-out decisions. See Section 4-F (3).

Compressed timeline with tenure at full professor. An approved school-specific guideline may provide for formal review for promotion to associate professor without tenure midway within the traditional probationary period, followed by formal review for the grant of tenure (generally simultaneous with promotion to professor) by the end of the traditional probationary period. Both the decision on promotion to associate professor, and the decision on grant of tenure, are up-or-out decisions. See Section 4-F (3).

4-F (2)(d) Process for Approving School-Specific Timelines

Each change in school-specific guidelines is subject to approval by the Provost on the recommendation of the dean.  Such a recommendation shall be made only if endorsed by the tenured and tenure-track faculty of the school, through a vote held by secret ballot.  Unless a school specifically requests a change, the school’s pre-existing policy shall remain in effect.

A faculty member holding a tenure-track (probationary) appointment at the time such a policy change comes into force will be considered under the policy in effect at the time of his or her initial appointment, unless the faculty member requests that the new policy apply and the Provost approves the request.  Approval of such a request will not imply any modification in either rank or tenure status; no one shall be granted tenure or a promotion without a full review.

4-F (2)(e) No De Facto Tenure

To ensure that a tenure decision is made following proper faculty review, every effort must be made to bring each case to the attention of the appropriate faculty reviewing bodies.

If formal review of a faculty member for promotion to associate professor has not been initiated by the beginning of the specified year as described above, or if formal tenure review has not been initiated by nine months before the Tenure Decision Date, it is the duty of the faculty member to bring this to the attention of the Provost by written notice.  The Provost shall then notify the appropriate school to commence the review procedure.  There is no such thing as de facto tenure or tenure by default.

4-F (3) Non-Reappointment for Full-Time Probationary (Tenure-Track) Faculty

In the case of non‑reappointment of a tenure-track faculty member, the faculty member shall receive notice of non‑reappointment in writing as follows: (1) not later than February 15 of the first academic year of service; (2) not later than November 15 of the second academic year of service; (3) at least twelve months before the expiration of an appointment after two or more years at the University.    

If the result of the promotion review to associate professor is to deny promotion to the faculty member, or if the result of the tenure review is to deny tenure, the faculty member shall be offered a terminal year of employment beyond expiration of the annual contract in place at the time of the decision and at the rank he or she held prior to review.

In the case of non-reappointment or terminal year notice, during this period the faculty member will continue to receive his or her full salary and benefits, but the faculty member’s responsibilities may be altered by mutual agreement between the faculty member and the University.  Alternatively, the Provost may authorize early termination of the faculty member’s performance of duties; in such a case, the faculty member will receive compensation equivalent to salary for the notice period.

Faculty appointments expire at the end of the period of service as specified in Section 3-B (5) of Chapter 3, unless a different date is specified in the appointment letter or any subsequent reappointment letter.

4-G Evaluation, Reappointment, and Promotion of Non-Tenure-Track Faculty

(1)  The University has no obligation to renew a non‑tenure‑track faculty appointment.

(2)  University policies, and school-specific guidelines approved by the Provost under this subsection, address the question of review and recommendation procedures for appointment, reappointment or mid‑contract termination of non‑tenure‑track faculty.

Procedures for appointment, reappointment and promotion shall provide thoroughness and documentation sufficient for evaluation of the suitability and qualifications of the candidate, and review and recommendation by an appropriate faculty body.  Therefore, decisions on appointment, reappointment and promotion of faculty on full-time appointments shall only be done after review and recommendation by an appropriate faculty body. In addition, the adequacy of the process in each instance of non-reappointment will be reviewed by the Provost’s  delegate.  Procedures for reappointment and promotion do not apply to individuals on non‑renewable contracts. Procedures for part-time faculty may be abbreviated with permission of the Provost.

Proposed non‑tenure‑track faculty guidelines of a school are formulated by the Dean after the recommendation of the tenured, tenure-track, and non-tenure‑track faculty, acting through the faculty council or another appropriate faculty committee or, in some smaller units, the entire faculty.  The proposed guidelines will be submitted for approval by the Provost and do not take effect until approved.

For each proposed set of guidelines submitted to the Provost, the Provost will seek the advice of the Academic Senate Executive Board on whether (a) the procedure used in formulating and endorsing the guidelines provided adequate means for the faculty to fulfill its responsibility for matters of faculty academic status; (b) the content of the proposed school guidelines is consistent with the Faculty Handbook and other University policy; and (c) the proposed guidelines have no adverse University‑wide implications.

(3)  Contracts of non-tenure-track faculty may be terminated earlier than their stipulated end, with a minimum of 90 days’ notice, if there is a bona fide need to do so (a) based on cutbacks in external sources of funding for the specific activity, or (b) based on substantial program change or departmental reorganization or substantial resource limitations in the school, or (c) based upon poor performance or adequate cause, in which case the Dean must consult first with the appropriate faculty committee. Adequate cause for a termination shall be one or more of the following:  violations of academic freedom, misconduct, dishonesty, unmanaged or unreported conflict of interest, or moral turpitude.  Dismissals for cause must be in accord with procedures specified in Chapter 8.  Mid-contract terminations for poor performance or adequate cause should not be confused with dismissals for cause; termination is based on a failure to meet expectations that is less egregious and that does not entail the same opprobrium as dismissal.

During any notice period the faculty member will continue to receive his or her full salary and benefits, but the faculty member’s responsibilities may be altered by mutual agreement between the faculty member and the University.  Alternatively, the Provost may authorize early termination of the faculty member’s performance of duties. In such a case, the faculty member will receive compensation equivalent to 90 days’ salary.

4-H Advisory Committees on Appointments, Promotions, and Tenure

4-H (1) University Committees

The President receives the advice of the University Committee on Appointments, Promotions, and Tenure.  This committee generally consists of at least six panels of four to eight faculty members. For nomination procedures, see Section 2‑B (4)(a) of Chapter 2.  The committee may use consultants or appoint ad hoc panels or members as necessary.  A member of the University Committee on Appointments, Promotions and Tenure shall not participate in the deliberations on a dossier prepared by the academic unit within which he or she serves.  (Such a unit would be a department in the larger schools or the school itself when that unit is not departmentalized.)

For librarians, the President receives the advice of the University Committee on Librarian Appointments, Promotions and Continuing Appointments. This committee generally consists of a single panel of four to eight members. For nomination procedures, see Section 2-B (4)(a) of Chapter 2.  The committee may use consultants or appoint ad hoc panels or members as necessary.  A member of the University Committee on Librarian Appointments, Promotions and Continuing Appointments shall not participate in the deliberations on a dossier prepared by the specific unit within which he or she serves.

For non-tenure-track promotions, the President receives the advice of the University Committee on Non-Tenure-Track Promotions to consider appeals when deans have not agreed with the advice of faculty committees. The committee appoints ad hoc panels that include both tenured and non-tenure- track faculty.  Individuals shall not be appointed to panels deliberating on files prepared by the specific units in which they serve.

4-H (2) School or Divisional Committees on Appointments, Promotions, and Tenure

In preparing all recommendations to the Provost, and in making delegated decisions on appointments and promotions, the dean receives the advice of faculty committees on appointments, promotions, and tenure.  These committees are selected in accordance with school guidelines.  In larger schools there are departmental as well as school faculty committees on appointments, promotions, and tenure. Some schools may utilize committees of the whole departmental or school tenured faculty, or divisional or institute faculty committees on appointments, promotions, and tenure.  Committees (or committees of the whole) for non-tenure-track cases include tenured, tenure-track, and non-tenure-track faculty.  Procedures for certain appointments are abbreviated as provided in Section 4-A.