Promotion, Tenure & Reappointment (PTR) Procedures
Documents for Download
PTR Form (WORD Doc)
PTR Deadlines for 2007-2008 (WORD Doc)
PTR Dossier Checklist (WORD Doc)
PTR Summary Sheet (Excel Spreadsheet)
Tenure Cycle and Dates (PDF)
Introduction
The following Promotion, Tenure and Reappointment (PTR) procedures have been adopted by the faculties of the University of Connecticut (except those of the School of Medicine and the School of Dental Medicine) under the authority of the Laws and By-Laws of the University of Connecticut, Article XV. They should be followed insofar as possible by all departments. When a department cannot follow these procedures exactly or where a school/college does not have departments, it should follow procedures bearing as much similarity to these as is reasonable.
If a faculty member has reason to believe that he/she has been denied any of the protections provided for or has suffered through any failure to observe these procedures, he/she may seek redress through the grievance procedure described in the Laws and By-Laws of the University of Connecticut, Article XV.
The following links take you to the various sections of the page:
- Responsibilities
- Procedures
- Form
- Letters of Reference
- Appointment of International Faculty to Tenure Track Positions
- Offers of Tenure to Newly Appointed Faculty
- Review of In-Residence Faculty and Non-Tenure Track Appointments
- RESPONSIBILITIES
- The Department Head:
- shall annually appraise the status of each faculty member eligible for promotion, tenure, and reappointment in his or her department;
- shall include for consideration for promotion and/or tenure all those who request in writing that they be considered;
- shall obtain a minimum of four letters from external referees who are experts in the individual's field or a related scholarly field, at least two of whom are chosen from a list of at least five referees suggested by the candidate and at least two chosen from a list of at least five suggested by the Department Head and/or the Departmental PTR Advisory Committee;
- shall obtain any information requested by the Departmental PTR Advisory Committee from such sources as the Dean of the Graduate School and Directors of the regional campuses, centers and institutes, and shall make it available to the Committee;
- shall follow prescribed procedures (see Section II below).
- The PTR Committee:
Each department shall have a Departmental PTR Advisory Committee selected according to a method approved by a majority of the faculty members of the Department. This Committee:
- shall advise the Department Head on promotion, tenure, and reappointment;
- shall review all pertinent data and appraise the teaching, research, and service performance and potential of each faculty member under consideration, basing its evaluations on the criteria listed in the Laws and By-Laws of the University of Connecticut, Article XV. This evaluation should take into account the assignments of the individual, including appointment at sites other than the Storrs campus;
- shall summarize all materials;
- shall advise the Department Head by making a formal recommendation by vote and summarizing its evaluation and vote in a written report;
- shall follow prescribed procedures (see Section II below).
- The Dean:
- shall review the candidate’s dossier and the recommendation of the department and such other pertinent information as he/she may require;
- shall base his/her recommendations, insofar as possible, upon a uniform application throughout the school/college of the specified criteria;
- shall follow prescribed procedures (see Section II below).
- The School/College Dean’s Advisory Council:
Each school/college shall have a Dean’s Advisory Council on PTR composed of faculty members of the school/college selected by a method approved by the faculty in accordance with the following criteria:
- membership on the Council should be selected from tenured faculty who have been at the University of Connecticut at least two years;
- those eligible to elect Council members should be department, or school/college members who hold tenure track appointments or planned continuing appointments;
- Department Heads should not serve as Council members;
- terms of Council members ordinarily should not exceed three years with staggering of terms to provide continuity;
- turnover of Council membership should be encouraged through restrictions on consecutive terms;
- an individual may vote at only one level (either at the department or the school/college level) on any candidate under consideration.
- The Dean’s Advisory Council:
- shall advise the Dean on promotion, tenure, and reappointment on the basis of the recommendations and other material submitted by the Department Heads and any pertinent information the Council may solicit from others;
- shall follow prescribed procedures (see Section II below).
- The Provost:
- shall review the material received under these procedures and such other pertinent information as he/she may require;
- shall assure, insofar as possible, that recommendations are based upon uniform application throughout the schools/colleges of the specified criteria;
- shall follow the prescribed procedures (see Section II below).
- The Faculty Review Board:
The University shall have a Faculty Review Board to consider specific cases on promotion, tenure and reappointment. The Faculty Review Board is composed of six non-administrative, tenured full professors elected by the University Senate. The Faculty Review Board:
- shall consider the cases referred to it by the Provost under the procedures described below in Section II;
- shall review all the material received by the Provost, and may supplement this information with additional opinions;
- shall follow the prescribed procedures (see Section II below).
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- PROCEDURES
The Provost will determine specific timelines annually in accordance with the date of presentation to the Board of Trustees. Before the start of the PTR cycle, the Provost will publish the timelines for that year and will make available the PTR form and guidelines approved by the University Senate.
- It is the responsibility of the faculty member wishing to be considered for reappointment, promotion, and/or tenure to complete the PTR form and submit this to the Department Head along with any supporting documentation. The completed PTR form along with all supporting documentation becomes the candidate’s dossier. Supplemental information can be added to the dossier at any time. Such information must be dated.
- The faculty member may request withdrawal from consideration for promotion in writing at any stage in the process.
- The Departmental PTR Advisory Committee shall receive from the Department Head the dossiers of all faculty members to be considered for reappointment, promotion, and/or tenure.
- The Department Head shall collect pertinent information from such sources as the Dean of the Graduate School and Directors of regional campuses, centers and institutes, and shall make it available to the Departmental PTR Advisory Committee. Consultation with qualified individuals inside and outside the department is encouraged.
- As part of its review, the Departmental PTR Advisory Committee (the Committee) shall provide to the candidate (or to members of the Department who so desire) an opportunity either to appear before the Committee or to submit written statements to the Committee.
- The Committee, after its review, shall provide the faculty member with an opportunity to appear in person to discuss substantive negative findings.
- The Committee shall report its recommendations and appraisals with supporting evidence in writing to the Department Head. If the Committee's recommendation is not unanimous, its report shall include the dissenting opinions with supporting data.
- The Department Head, after his/her review, shall provide the faculty member with an opportunity to appear in person to discuss substantive negative findings.
- The Department Head shall discuss his/her recommendation with the Committee.
- The Department Head shall inform the faculty member of the recommendations by the Department Head and by the Committee, including the substance of any dissenting opinions. Reasons for a negative recommendation shall be in writing if either the Department Head or the faculty member so wishes.
- The Department Head shall transmit to the Dean his/her recommendations for promotion, tenure and reappointment, together with those of the Committee, the supporting data, and dissenting opinions. When neither the Committee nor the Head recommends promotion, no recommendation need be transmitted to the Dean unless specifically requested by the faculty member or the Dean.
- If either the Department Head or the Committee makes a negative recommendation to the Dean, the faculty member may submit to the Dean a written statement presenting his/her case for consideration by the Dean and the Dean’s Advisory Council. The faculty member must submit this statement to the Dean within one week after being informed in writing of the recommendation by the Department Head.
- The Dean’s Advisory Council (the Council) shall receive from the Dean and review the recommendations and supporting materials received from the Department Head.
- The Council shall provide an opportunity for the faulty member to appear in person to discuss any substantive negative findings.
- The final recommendation of the Council will be forwarded in writing to the Dean.
- If, after review, the Dean is inclined toward a negative finding, he/she shall provide an opportunity for the faculty member to appear in person to discuss any substantive negative findings within a reasonable timeframe.
- If the Dean anticipates a recommendation contrary to that of the Department Head, the Dean shall provide an opportunity for the Head and the Departmental Committee to review and supplement their original recommendations.
- The Dean shall inform the Department Head and the faculty member of the recommendations by the Advisory Council and the Dean. If either the faculty member or the Dean so wishes, reasons for a negative recommendation shall be in writing.
- The Dean shall transmit to the Provost his/her recommendations and those of the Dean’s Advisory Council, the Department Head, and the Departmental PTR Advisory Committee, together with any dissenting opinions. When recommendations differ, the Dean must include a statement explaining his/her recommendation.
- Positive recommendations by the Dean for faculty in their first and second year of full, six-year probationary appointments will be forwarded to the Board of Trustees with no further review.
- The Provost, Dean and Department Head shall meet to review any PTR cases selected by the Provost. These may include those where there has been a lack of unanimity or in which the Provost's recommendation may differ from that of the Dean or Department Head. In these cases, opportunity shall be provided to the Department Head and Dean to review and supplement the original recommendation.
- The Provost, after his/her review, shall provide the faculty member with an opportunity to appear in person to discuss substantive negative findings and ask if the faculty member wants the case referred to the Faculty Review Board.
- The Provost shall refer to the Faculty Review Board for its consideration:
- those cases whose referral was requested by a faculty member or Department Head;
- those cases where following a discussion the Provost's recommendations still differs from that of a Dean;
- other cases that the Provost wishes to refer.
- The Faculty Review Board shall provide the faculty member with an opportunity to discuss the case. The Faculty Review Board shall discuss each case with the Provost.
- For each case, the Faculty Review Board shall submit a written recommendation to the Provost and shall inform the faculty member in writing of its recommendation, together with reasons for it.
- If the Provost makes a negative recommendation, the reasons shall be in writing if the faculty member so requests.
- The Provost shall make recommendations to the President for the granting of promotion and/or tenure by the Board of Trustees no later than the April meeting of the Board. In the case of reappointment, action will be taken by the President, who will inform the Board of Trustees of his/her decisions (per the Laws and By-Laws of the University of Connecticut, Article II).
- A faculty member may appeal a negative decision by the Provost to the Committee of Three. Per the Laws and By-Laws of the University of Connecticut, Article XV, "Complaints involving promotion, tenure, and reappointment decisions may be brought to the Committee of Three only at the end of a sequence of peer review procedures, including those of the Faculty Review Board."
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- Form
The PTR form is to be used for promotion, tenure, and reappointment of tenure track faculty in all schools/colleges. The form should also be used for the promotion of individuals who are in positions that do not lead to tenure and may be used for the reappointment of individuals who are not in tenure track positions.
The form is a Word document. The tabulated information (e.g. Academic Appointments, Professional Experience, Educational Background, Courses Taught and Advisees) can be completed either by tabbing from one box to another or by clicking from one field to another. Tabbing at the end of the last row that was just completed will provide an additional row (should this be needed).
DOWNLOAD: PTR FORM
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- Letters of Reference
A minimum of four letters of reference for candidates for promotion or tenure must be in the PTR file prior to final recommendations by the Departmental PTR Advisory Committee. All solicited reference letters that are received must be included in the PTR file.
Reference letters should be obtained from individuals in the faculty member’s field outside of the University who can speak to his/her professional contribution to scholarship. It is important to solicit impartial evaluation of the candidate’s scholarly contribution to the field. These letters should not be from close acquaintances, former mentors or collaborators. Letters of reference for candidates for promotion to full professor must be obtained from individuals who hold this or an equivalent rank.
At a minimum, the Department Head should provide the following to external referees:
- the candidate's dossier;
- copies of the candidate's publications;
- an explicit statement of what the candidate is being considered for and whether or not the decision is mandatory with respect to tenure;
- a statement such as the following: “While candidates do not necessarily see letters of reference, such letters become part of their Promotion, Tenure and Reappointment file. Under Connecticut Freedom of Information statutes, candidates have access to their files and to the recommendation letters.”
At a minimum, the Department Head should provide the following to external referees:
- his/her relationship to the candidate (if any);
- an assessment of the quality of the candidate’s scholarship and, if appropriate, of teaching and professional service;
- an explicit recommendation regarding promotion and/or tenure.
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- Appointment of International Faculty to Tenure Track Positions
It is the policy of the University of Connecticut to not grant tenure in the absence of permanent residency. It is the obligation of the faculty member in a tenure track position to pursue permanent residency status in a timely manner. It is important that the faculty member work with the Department of International Services and Programs to ensure that this is achieved during the probationary period.
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- Offer of Tenure to Newly Appointed Faculty
Tenure at hire should be granted only in exceptional cases and to individuals who have a demonstrated record of scholarly accomplishment.
Tenure at hire for individuals who are tenured at a peer institution:
- The Department Head obtains the Departmental PTR Advisory Committee recommendation and submits this along with his/her own recommendation to the Dean;
- The Dean obtains the school/college PTR Advisory Council recommendation and forwards this along with his/her recommendation to the Provost. The documentation submitted to the Provost should include the individual's curriculum vita;
- The Provost will evaluate these recommendations and notify the Dean whether he/she supports offering the individual tenure at hire;
- The Provost will forward his/her recommendations to the President for approval by the Board of Trustees.
Tenure at hire for individuals who do not have tenure at a peer institution:
If an individual being appointed at UConn does not have tenure at a peer institution then the Provost would not normally expect to recommend tenure on appointment. However, in exceptional cases the individual may be considered for tenure on appointment. These exceptions will be dealt with on a "case by case" basis, ensuring that the integrity of the tenure process is protected. In these situations (as with regular evaluation for tenure at UConn), the following steps should be followed:
- The Department Head obtains three external letters of evaluation (these must be independent of those submitted on behalf of the candidate as a part of the application process);
- The Department Head obtains the Departmental PTR Advisory Committee recommendation and submits this along with his/her own recommendation to the Dean;
- The Dean obtains the school/college Dean’s Advisory Council recommendation and forwards this along with his/her recommendation to the Provost. The documentation submitted to the Provost should include the individual's curriculum vita, letters of recommendation submitted by referees named by the candidate and the three external letters of evaluation obtained by the Department Head;
- The Provost will evaluate these recommendations and notify the Dean whether he/she supports offering the individual tenure at hire;
- The Provost will forward his/her recommendations to the President for approval by the Board of Trustees.
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- Review of In-Residence Faculty and Non-Tenure Track Appointments
The Provost does not review the annual reappointment of In-Residence and other non-tenure track faculty, except for those faculty not in the tenure track solely due to immigration restrictions. Formal review of In-Residence and other non-tenure track faculty is conducted by the school/college, with reappointment determined by satisfactory performance and the availability of funding. Appointment letters should be issued annually upon confirmation of support for the next fiscal year. After the sixth year of service, reappointments of Extension Professors will be reviewed every three years according to the AAUP contract.
The promotion of In-Residence faculty requires a review and recommendation at all levels including the Provost.
Note: State regulations require that personnel records, which include PTR files, be retained for 30 years after termination of employment. The Office of the Provost will assume responsibility for retaining PTR files for the required amount of time. Deans and Department Heads may retain the files beyond the two years they normally save them, but they are not required to do so.
Dated: March, 2008 |
