Unit Policy
Title
College of Arts and Sciences: Post-Tenure Review Policies and Procedures
Introduction
Purpose
This document establishes the College of Arts and Sciences' policies and procedures for conducting post-tenure reviews of tenured faculty members every five years. The purpose is to promote faculty development, ensure continued professional productivity, and provide accountability through a systematic evaluation process that includes peer review and, when necessary, faculty success plans for improvement.
Scope
This policy applies to all tenured faculty members in the College of Arts and Sciences who must undergo review every five years following the conferral of permanent tenure.
Post-Tenure Review Policies and Procedures
I. Introduction
Post-tenure review (PTR) is a systematic, comprehensive evaluation of the academic performance of tenured faculty members. The goals of post-tenure review are to:
- Promote faculty development;
- Ensure continued professional productivity; and
- Provide accountability.
The PTR process respects the basic principles of academic freedom and should be flexible enough to acknowledge different expectations in different disciplines and changing expectations at different stages of faculty careers. These policies and procedures conform to the basic principles and guidelines for post-tenure review as defined by the Office of the Provost, the UNC-Chapel Hill Board of Trustees, and the UNC Board of Governors.
II. Mandatory Training
UNC Policy requires that all faculty involved in Post Tenure Review i.e., peer reviewers, faculty members under review, department chairs and deans complete the UNC Systems Office mandatory training prior to participating in the post tenure review process. Faculty are required to submit their attestation of completion to the Dean's Office. The training module is available at: https://myapps.northcarolina.edu/tenuretrainingvideoassets/
III. Review Cycle and Notification
Each faculty member is subject to post-tenure review no less frequently than every five years following the conferral of permanent tenure.
The Department Chair will notify the faculty member in writing at least six months prior to the start of the scheduled post-tenure review.
A comprehensive review for promotion during the same time period also serves as post-tenure review. Since the promotion review and post tenure review are combined, any tenured associate professor who is reviewed for promotion, but not recommended for promotion, should have their PTR reported via the procedures outlined below.
If a faculty member is reassigned to other duties (e.g., department chair or academic unit head) for .50 FTE or more or is occupying a leave-earning position (e.g., SAAO Tier I or Tier II), that faculty member shall not be required to undergo post-tenure review until having completed a five-year cycle following the reassignment.
IV. Post-Tenure Review Committee (PTRC)
The post-tenure review process must involve faculty peers and is conducted by a Post-Tenure Review Committee appointed by the Chair, with a minimum of three tenured faculty members in good standing at or above the rank of the faculty member being reviewed. The faculty member being reviewed may not participate in the selection of PTRC members. All post-tenure review evaluators, including members of the peer review committee and the Chair, shall complete post-tenure review training as prescribed by UNC General Administration and UNC-Chapel prior to participating in a post-tenure review process. The Department will follow prescribed procedures to verify that such training has occurred.
In the case of tenured joint appointments, the home/primary department and secondary department(s) will each conduct their own review. If each department agrees, the review may be carried out with one joint post tenure review committee that includes eligible faculty members from all appointing departments.
For all faculty with a workload plan that includes teaching, peer assessments must occur at least once per appointment period, promotion, or post-tenure review interval. Peer assessments should occur during the third year after being granted tenure. Similarly, peer assessments should occur during the third year after a post-tenure review is conducted as outlined in the UNC Evaluating Faculty Teaching Effectiveness Policy.
V. Performance Standards
While there are different performance expectations at different stages of a faculty member's career, the general standards that govern post-tenure review for all tenured faculty are:
- A demonstrated commitment to, and continuing achievement of, research or its equivalent form in artistic performance and creative activity as appropriate to certain disciplines;
- A demonstrated commitment to, and continuing achievement of, teaching excellence; and
- Continuing service to the Department, University, community, state, nation and world, and to one's academic profession.
At the beginning of the post-tenure review cycle, the faculty member shall develop with their department chair a long-term work plan covering the five years of the post-tenure review cycle. This plan can be modified annually by the faculty member, in consultation with the department chair, as deemed appropriate by changes in institutional, departmental, or personal circumstances. This plan should indicate milestones aligned with annual performance evaluations.
Evaluation of the faculty member under review shall be based on the established goals in the annual and long-term work plans. An overall rating will be assigned based on the faculty member's attainment of the established work-plan goals:
- Exceeds Expectations: The faculty member consistently and considerably surpasses established goals in the faculty member's annual and long-term work plans.
- Meets Expectations: The faculty member consistently achieves and may occasionally surpass established goals in the faculty member's annual and long-term work plans.
- Does Not Meet Expectations: The faculty member does not consistently achieve established goals in the faculty member's annual and long-term work plans.
VI. Review Documentation
The faculty member is responsible for providing the following documentation to the Post Tenure Review Committee (PTRC) according to the Department's stated timeline:
- Concise self-assessment statements summarizing the faculty member's research, teaching, service and engagement accomplishments over the past five years; self-assessments should be completed using the College's PTR self-assessment tool.
- A long-term work plan outlining goals for the next post-tenure review cycle. Such goals may be modified annually by the faculty member, in consultation with the Chair.
- Access to the faculty member's annual/long-term work plans, annual reports, and any faculty success plans for the previous five years
- Current, updated curriculum vitae, prepared according to University guidelines
- Peer faculty teaching observation reports
- One peer faculty member of the same or higher rank must observe at least one complete class session for the faculty member being evaluated for post-tenure review during the five-year review cycle. This requirement may be satisfied by the peer assessment conducted during the third year of the post-tenure review cycle, as mandated by the Evaluating Faculty Teaching Effectiveness Policy.
- Each peer faculty member observing a class is required to complete a Faculty Peer Teaching Observation Report for each class session observed, employing the College template, and this report must be included in the PTRC's report.
- Summaries of student teaching evaluations with quantitative data for the past five years
- Departments may include other required documents (e.g., samples of teaching materials, preprints, reprints or other forms of research dissemination) following department procedures.
VII. Procedures
The PTRC will carefully review and consider the documentation provided by the faculty member under review, examining the qualitative and quantitative evidence of all relevant aspects of a faculty member's professional performance over the previous five years in relation to the mission of the Department, College and University.
The PTRC will prepare a written summary report of its conclusions and recommendations. In so doing, the PTRC recommends an assessment using a three-point rating scale –Exceeds Expectations, Meets Expectations, Does Not Meet Expectations – regarding the faculty member's overall performance for the review period. The overall rating must be explicitly stated in the report and will serve as the basis for the Chair's rating determination.
The PTRC should identify and recognize outstanding performance, which should be considered by the Department in the determination of annual salary increases, nomination for awards and other recognitions. The PTRC should also identify any specific areas in which the faculty member can improve with specific recommendations for improvement. If the faculty member receives an overall rating of Does Not Meet Expectations, the PTRC report will include a statement of the faculty member's primary responsibilities, specific descriptions of shortcomings as they relate to the faculty member's assigned duties and work plan, and directional goals established.
The PTRC will provide its written report to the Chair. In turn, the Chair will provide the report to the faculty member. The faculty member being reviewed may, but is not required, to provide a written response to the report of the PTRC to the Chair, who may share it with the PTRC. The Chair will review the PTRC report and (if provided) the faculty member's written response, and then meet with the faculty member to discuss all aspects of his/her overall performance. This meeting will be documented in a brief letter to the faculty member which also provides the Chair's summary assessment of the faculty member's PTR using the three-point rating scale –Exceeds Expectations, Meets Expectations, Does Not Meet Expectations.
The Chair will maintain, as a part of the faculty member's confidential personnel file within the department, a record of the PTRC's report, any response to it, and a copy of the Chair's letter summarizing the PTR meeting.
VIII. Faculty Success Plan
For a faculty member who receives an overall rating of Does Not Meet Expectations, a more comprehensive written plan for improvement (a Faculty Success Plan) will be prepared by the Chair in consultation with the faculty member. The Faculty Success Plan will be individual to the faculty member and flexible, taking into consideration the faculty member's intellectual interests, abilities and career stage, as well as the needs of the Department, College and University. The Faculty Success Plan should describe specific steps that will lead to performance improvement; any modifications to workload distribution of teaching, research/creative activity, and service; targeted resources to support success, including peer mentoring; a timeline during which progress will be monitored and improvement is expected; and a clear statement of consequences should improvement not occur.
The Faculty Success Plan will serve as the basis for subsequent progress meetings, which shall occur on a regular basis between the faculty member and department chair/unit head during the duration of the Faculty Success Plan. The structured meetings will provide the opportunity to track improvement, address challenges early, maintain documentation, and ensure clear communication with the faculty member about expectations and support needed. The Chair will provide the faculty member with a written summary of these meetings and file them in the faculty member's confidential personnel file in the Department. When a faculty member has made clear improvement and successfully completed a Faculty Success Plan, the Chair should document this outcome in writing to the faculty member.
The Faculty Success Plan should be completed within one year from date of issuance, with extension at the discretion of the Dean. A faculty member who fails to satisfactorily complete their Faculty Success Plan and whose performance continues to be deficient may be subject to the imposition of a disciplinary sanction or dismissal in accordance with the Trustee Policies and Regulations Governing Academic Tenure.
IX. Right of Appeal
A faculty member who receives an overall rating of Does Not Meet Expectations has the right to appeal the findings of the PTRC, the Chair's evaluation, and the recommendation for a Faculty Success Plan to the Dean.
Faculty members may grieve matters related to post-tenure review to the Faculty Grievance Committee under Section 607 of the Code of the University of North Carolina during their term of employment.
X. Reporting and Records
Using the appropriate electronic reporting system, the Chair will provide to the Senior Associate Dean:
- The faculty member's self-assessment statements, C.V., annual and long-term work plans, peer teaching evaluations, and summaries of teaching evaluations;
- The faculty member's long-term work plan outlining goals for the next post-tenure review cycle;
- A copy of the PTRC report, the faculty member's response if applicable, and a copy of the Chair's letter summarizing the PTR meeting with the faculty member;
- Additional material as deemed appropriate, (e.g., a Faculty Success Plan), or as requested by the Senior Associate Dean.
The Senior Associate Dean will conduct an evaluative review of the post-tenure review report and associated information and will document his/her approval by signature through the appropriate electronic reporting system.
In the case of a faculty member who fails to complete a Faculty Success Plan successfully and whose performance continues to be deficient, the Chair should notify the Dean, who will consider whether grounds for dismissal or other disciplinary action exist under the Trustee Policies and Regulations Governing Academic Tenure.
The College of Arts and Sciences' post-tenure review procedures, as revised from time to time, will be filed with the Dean's Office. Chairs will maintain a list of the faculty members reviewed each year, a record of completed reviews and faculty responses to the reviews, the names of all faculty members for whom a Faculty Success Plan was recommended and established, and a copy of new Faculty Success Plans. The Dean of the College will submit an annual report summarizing this information to the Office of the Provost.
The PTRC report, the faculty member's response (if applicable), the Chair's written conclusion and the Senior Associate Dean's approval documentation will be maintained as part of the faculty member's confidential personnel file within the department and in the Dean's Office.
The Dean's Office will provide instructions to Chairs for submittal of post-tenure review documentation in the spring semester.
XI. Requesting a Post-Tenure Review Delay
A faculty member may request a delay of post-tenure review for compelling reasons including submittal of a letter of intent to retire, resign or apply for the Phased Retirement Program within the academic year of review.
To request a delay in post-tenure review, the faculty member should submit a written request to the Chair, specifying the compelling reason(s) for a delay. The Chair must add his/her written justification and signature and submit it to the Senior Associate Dean for approval. Dean-approved requests are submitted to the Provost for review, after which a written communication from the Provost will be sent to the faculty member, the Chair, and the Senior Associate Dean indicating either approval or denial of the request for delay of post-tenure review.
Related Requirements
External Regulations (if applicable)
- Is this Policy connected to any Policies, Laws (federal, state, local, regulations), and/or Accreditation requirements?
- Are there any related UNC System-wide Policies?
- Is this Policy connected to any UNC-Chapel Hill Policies, Procedures, or Standards?
- Are there any other resources or materials readers of this Policy might likely refer to or need to follow or understand this Policy?
Unit Policies, Standards, and Procedures (if applicable)
- Is this Policy connected to any other Unit Policies, Procedures, or Standards?
Contact Information
Primary Contact
Office: Dean's Office
Telephone: 919-962-1165
Email: artsandsciences@unc.edu