Gillings School of Global Public Health: Post-Tenure Review Policy

Unit Policy

Title

Gillings School of Global Public Health: Post-Tenure Review Policy

Introduction

Purpose

The purpose of the UNC-Chapel Hill Post-Tenure Review ("PTR") is to:

1. Assist faculty members in meeting university, school, and department-specific performance expectations;
2. Recognize and reward exemplary performance when faculty members exceed expectations;
3. Provide for a clear plan and timetable for improvement of performance when faculty do not meet expectations; and
4. Provide for the imposition of appropriate sanctions when faculty members do not meet the goals established in a faculty success plan.

The Gillings PTR Review process is intended to comply with UNC Policy 400.3.3 and its implementing regulation 400.3.3.1[R]. A further purpose of PTR at the Gillings School of Global Public Health is to contribute to achieving the department, School and University missions of educational excellence. The review process for all faculty members having tenure should assist them in their ongoing professional development, including efforts to enhance their skills as teachers, their accomplishments as scholars, and their contributions to the profession and the public. Should performance deficiencies be found, the process should constructively and specifically address these issues to aid the faculty member in re-establishing performance that meets or exceeds departmental expectations. Moreover, the PTR process should provide a clear "success plan" and timetable for improving performance when faculty do not meet expectations, and should clarify appropriate sanctions, consistent with Chapter VI of The Code of the University, when faculty members do not meet the goals established in a faculty success plan.

Scope

This policy applies to all tenured faculty members at the UNC Gillings School of Global Public Health, as well as the department chairs, PTR committee members, deans, and administrative staff involved in conducting and managing the post-tenure review process.

Policy

The SPH policy and processes are intended to conform to the Trustee Policies and Regulations Governing Academic Tenure in the University of North Carolina at Chapel Hill subsequent revisions of this document.

Accordingly, each tenured faculty member must be reviewed at least once every five years following conferral of tenure. After the initial review, the next post-tenure review shall occur five years after the date of the conferral of tenure or promotion regardless of the date of any preceding review. More frequent reviews may occur at the discretion of the department chair. The review must examine all aspects of faculty activities and performance, ideally in alignment with the faculty annual performance evaluation categories of performance and workload template. Section C specifies that the PTR and annual evaluations should be aligned.

Departmental expectations for tenured faculty members must be established and included as part of the Departmental Guidelines/Expectations document. These departmental expectations are included in the Gillings APT Manual and must be posted on the Gillings APT website. Criteria for overall PTR evaluation ratings (e.g., meets expectations, exceeds expectations, does not meet expectations) should follow similar guidance provided in other aspects of promotion and tenure expectations, including examples where possible. The review process must be conducted by at least three full professors who constitute the Post-Tenure Review (PTR) Committee. Comprehensive evaluations conducted for other purposes, such as promotion or reappointment, may be substituted for or combined with post-tenure review. A review may be delayed for compelling reasons with approval from the Dean and Provost.

Expectations of Tenured Faculty Members

Throughout their careers, all tenured faculty members are expected to maintain standards of excellence, scholarship and integrity in teaching, research, practice and service (professional and faculty engagement) as stated in the criteria for tenure and promotion. Those who have been awarded tenure may contribute to the Gillings School's and University's missions of educational excellence in varied roles, such as serving as a dean, associate dean, department chair, center director, or a leader in engaged scholarship (e.g., through high-level positions in public health-related agencies, institutions, or professional organizations). Such contributions are a noteworthy reflection of academic impact. Accordingly, time and energy spent on these commitments should be considered in assessments of faculty success. Departmental expectations for tenured faculty will be developed by individual departments but should reflect that the standards for post-tenure review of senior faculty are not simply duplicative of those for promotion to associate or full professor.

Effective upon the award of tenure, and coincident with the start of each post-tenure review cycle, faculty should develop, in consultation with their department chairs, long-term work plans that are aligned with annual performance evaluations and consistent with the expectations of the department/school. These long-term work plans will cover the five years of the post-tenure cycle.

Post-tenure Review Procedure

1. Participation in post-tenure review

1. All tenured faculty participate in PTR. However, 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.
2. Extension – A faculty member may request to delay a scheduled post-tenure review for compelling reasons. The request for postponement must be in writing to the department chair and then approved by the Dean, and Provost. The request is submitted at least 6 months in advance of PTR date.

2. Cycle of review, notice and participation

1. All faculty members who are to undergo review will be advised by department chairs of such reviews at least six (6) months in advance of the commencement of the review process.
2. All faculty members who are to undergo review in a given year will take active roles in the post-tenure review process by assisting with planning, preparing relevant background information, engaging in constructive dialogues with colleagues and the department chair and participating in the creation of a success plan, if needed, when performance expectations are not met.
3. 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 Evaluation Faculty Teaching Effectiveness Policy.
4. The Dean's office and HR manage department chair reviews.

3. Composition of Post-Tenure Review committees

1. Department chairs shall convene either an ad-hoc committee each year or a standing committee, called the "Post-Tenure Review (PTR) committee." The PTR committee should include at least three tenured full professors and follow UNC System PTR policy 400.3.3.
2. The faculty member being reviewed shall not participate in the selection of members of the Post-Tenure Review Committee.
3. All members of the PTR Committee, department chairs, PTR evaluators and deans are required to complete digital training modules from the University System Office that has a focus on basic state personnel policies and regulations; preparing for and conducting a thorough review; and the essentials of managing a meaningful review process.

4. Information considered during PTR review process

1. The PTR review process will be conducted in a way that provides the faculty members, department chair and members of the PTR committee relevant information concerning the faculty members' accomplishments and plans in teaching, research, practice and service (professional and faculty engagement) in relation to the missions of the department, School, and University, at least over the last five years.
2. Faculty members must provide the PTR committee:
   1. A concise written summary of accomplishments and plans for the next five years, ideally within 6 pages. Provide evidence of performance, including:
      1. Career statement, including a reflection on research (and/or practice) impact, accomplishments, future plans and seminal publications.
      2. Teaching/mentoring statement, including impact of classes and mentoring on students, student course evaluations from the previous three years, future plans, and how your teaching/mentoring has contributed to the Gillings mission.
      3. Statement of practice and/or service contributions that contribute to the mission of the department, school and/or university and/or broader public health impact, and future plans.
      4. Overall written self-assessment encompassing faculty member career objectives and future aspirations. This self-assessment should follow the general table format used by Gillings for APT actions (see sample in Appendix 2).
   2. Not counting against the 6 pages, also include an updated curriculum vitae, and current funding support for research and scholarly activity and/or service/administrative coverage. The department chair may also provide the PTR committee with additional pertinent information from faculty success plans or merit reviews or recognitions/awards achieved.
   3. NOTE: The long-term plans required for teaching, research, practice/service specified when tenure is conferred should be included in all PTRs, and in the annual performance reviews that happens between PTRs.

5. Consultation between faculty members being reviewed, PTR committees and department chairs

1. Ideally, faculty members being reviewed submit all their materials and within a few weeks, meet once with the PTR committee members to discuss teaching, scholarship, service and other accomplishments as a first step in the review process.
2. The PTR committee will do the following:
   1. Use all evidence provided by the faculty members being reviewed and the department chair in evaluating performance.
   2. Provide a written summary (to be provided to the faculty member and department chair) with assessment of overall performance and specific performance in pertinent categories of scholarship, teaching and mentoring, practice/service, and clearly specify if the faculty member meets, exceeds or does not meet expectations in each category and overall (see Cover Page for PTR Reviews (Appendix 1)). This summary should also include any recommendations for improvement and describe any substantial deficiencies in performance, including a recommendation for a Faculty Success Plan.
3. Faculty members being reviewed are permitted to provide a written response to the committee report. Based on the response, the department chair may ask the committee to reexamine its recommendations.
4. The department chair will review the PTR committee's final report, including a recommendation and specific rationale for a FSP as appropriate, all related materials, the faculty members' response, if any, and then provide a written memo and cover form to accompany the PTR.
5. The department chair sends the PTR committee's written summary, the cover form with any additional comments from the chair, the recommendation for a FSP (if required) and all related PTR materials to the Senior Associate Dean for Faculty and Staff Affairs who reviews the information provided prior to submitting it to the Dean. The Senior Associate Dean reviews materials for completeness, documents faculty who exceed expectations and should receive reward/recognition, reviews each Faculty Success Plan for measurable outcomes and accountability plans, and provides a final overall rating before sending it to Dean for final review and approval.
6. The Dean does a final review and approval of each PTR dossier. The Dean works with the department chair to resolve any questions that arise with individual faculty PTRs. The Dean shall also conduct a written evaluative review of the information received.

6. Recognition of outstanding performance

1. When faculty members being reviewed are rated as "exceeds expectations" in overall performance, department chairs and the school may recognize this achievement and nominate for internal/external awards and/or distinguished professorships.
2. The cover memo from department chair will document the rationale for overall rating of "exceeds expectations".

7. Disposition of reports

1. All PTR materials (including a Faculty Success Plan, if necessary) are reviewed by the Senior Associate Dean for Faculty and Staff Affairs and Dean. The Dean/Dean designee will work with department chairs if any questions arise on individual faculty PTR reports.
2. HR prepares a schoolwide PTR report, including annual updates on Faculty Success Plans, which is reviewed by the Dean/Dean designee and then filed annually with the Provost's Office.

8. Establishment and monitoring of a Faculty Success Plan

1. For faculty members whose overall performance does not meet expectations, the report of the PTR committee shall include a statement of the faculty members' primary responsibilities, specific descriptions of where performance does not meet expectations on teaching/mentoring, research or service/administration as they relate to the faculty member's assigned duties.
2. If a Faculty Success Plan (FSP) is required because of an overall rating of "does not meet expectations", the department chair prepares it using the FSP Template, in consultation with the faculty member, developing specific, measurable goals and plans for improvement to align with the feedback provided in PTR report.
3. Faculty Success Plans are individualized to address areas where expectations are not met, considering the faculty member's intellectual interests, abilities and career stage, and department needs.
4. The FSP should describe changes, if any, to be made in the faculty member's teaching, research, or service responsibilities. The success plan should include: 1) measurable objectives/milestones and specify steps designed to achieve those objectives; 2) a clear time frame for the completion of the objectives; 3) resources, include peer mentoring or workshops/trainings at the Center for Faculty Excellence available to assist the faculty member in achieving the objectives; and, 4) clarification of consequences of failure to meet stated objectives. Faculty members with a FSP should report on progress toward meeting stated objectives to the department chair at least twice annually. Annual progress reports on the plan are shared with the HR Team Lead, Senior Associate Dean for Faculty and Staff Affairs, and the Dean.
5. The Chair will provide a report that summarizes faculty progress made (or not made) on the success plan at least twice annually until all objectives are accomplished. The Chair's report is submitted to HR, the Senior Associate Dean for Faculty and Staff Affairs, and the Dean.
6. When the faculty member has met the objectives specified in the FSP, the department chair shall acknowledge in writing the faculty member's successful completion of the FSP and forward that document to HR, the Dean/Dean designee. This information is included in the annual PTR report sent to the Provost's Office.
7. If a faculty member makes insufficient progress on FSP objectives or other substantial deficiencies in performance continue at the end of one year, the department chair will notify the faculty member in writing, detailing the nature of continued deficiency as part of the University's Faculty Success Plan Template. It is expected that communications between the department chair and the faculty member are ongoing, and that the Dean has been informed by the chair if there is a lack of progress. Although these situations are rare, all parties involved proceed with extreme care and clear communication.
8. In the event that a faculty member fails to successfully complete a FSP, and performance continues to be deficient despite regular communication, the Department Chair and Dean, in collaboration with the Provost or his/her representative, will consider whether there are grounds for dismissal or other disciplinary action under the Trustees Policies and Regulations Governing Academic Tenure. Dismissal or severe sanctions may be imposed only in accordance with and on the grounds stated in the Trustees Policies and Regulations Governing Academic Tenure.
9. 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.

9. Record keeping

1. PTR expectations for tenured faculty are established within departments and filed with HR after an initial review by Senior Associate Dean for Faculty and Staff Affairs and approval by the Dean.
2. Department chairs will maintain a list of faculty members reviewed each year, a record of completed reviews, and any faculty responses to reviews. The names of the faculty members for whom success plans are required, a copy of the FSPs and all related biannual reports will remain on file in SPH Human Resources.
3. Annually, HR prepares a final schoolwide PTR report that is approved by the Dean/Dean designee and submitted to the Provost's Office.

10. Procedure for requesting a delay of the Post-Tenure Review

1. Requests to delay an upcoming post-tenure review should be submitted to the faculty member's department chair at least 6 months in advance to ensure timely departmental processing of the request.
2. Requests must be in writing and specify the compelling reason(s) for the request to delay the review.
3. Requests must then be conveyed with written justification from the department chair to HR, the Senior Associate Dean for Faculty and Staff Affairs and the Dean whose approval shall be required for the request to be considered further.
4. Requests approved by the Dean are then submitted to the Executive Vice Provost for Faculty Affairs review and approval. Once the request is reviewed, a written communication will be sent from the Provost's Office to the faculty member, the department chair and the Dean indicating whether the request has been approved
5. If the request is approved, an action must be submitted by HR with the Provost's Office letter attached, to finalize the change to the Post-Tenure Review date.

Reports and Appeals to the Dean

1. Annual reports

1. SPH HR will provide a yearly report to the Dean, and Senior Associate Dean for Faculty and Staff Affairs, that lists all faculty members reviewed during the prior academic year, including outcomes for each faculty member who should be recognized for exceeding expectations, and those who have a required FSP.

2. Appeals for findings of substantial deficiencies/not meeting expectations and success plans

1. Prior to sending reviews of the PTR committee and department chair/unit head to the Dean, the faculty member shall have no less than fourteen (14) calendar days from receiving the PTR committee report and Chair's summary cover memo to provide a written response. If the faculty member disagrees with the review, the response shall offer evidence in support of a different assessment. The response shall become part of the permanent record of the post-tenure review moving forward.
2. The Dean will have the final decision on the PTR determination that moves forward to the Provost's Office. The Dean may choose to consult with the University Counsel and other university resources.
3. Faculty who wish to contest determinations regarding their post-tenure review may seek resolution through the Faculty Grievance Committee.

Records and Confidentiality

1. Maintenance of written records

1. Department chairs will maintain each PTR committee review summary, and the response, if any, by the faculty member being reviewed as part of that faculty member's confidential personnel file, along with all background information, other materials used in connection with the review, a success plan, if required, and all progress reports associated with the success plan. A copy of the success plan and any progress reports should also be on file in SPH HR.

2. Obligation of confidentiality

1. All matters relating to post-tenure reviews are confidential.
2. All those who participate as members of PTR committees or who otherwise advise on individual cases should be advised of their obligations to abide by this requirement of confidentiality.

Appendix 1: Cover Page for PTR Reviews

Name of Faculty Member Reviewed: _______________________

Department: ____________ Date Review Completed: _____________

Signatures of Post Tenure Review Committee Members:

1. ___________________________________________________________
2. ___________________________________________________________
3. ___________________________________________________________

Specific Ratings by PTR Committee:

Teaching/Mentoring: ___ Meets ___ Exceeds ___ Does Not Meet

Research: ___ Meets ___ Exceeds ___ Does Not Meet

Service/Admin: ___ Meets ___ Exceeds ___ Does Not Meet

Overall Final Rating Proposed by PTR Committee:

___Meets: Consistently achieves and may occasionally surpass established goals

___Exceeds: Consistently and considerably surpasses established goals

___Does Not Meet: Does not consistently achieve established goals and requires a written success plan

Written Faculty Member Feedback Included? ___Yes ___No

Overall Final Rating Proposed by Department Chair:

___Meets: Consistently achieves and may occasionally surpass established goals

___Exceeds: Consistently and considerably surpasses established goals *

___Does Not Meet: Does not consistently achieve established goals **

*If EXCEEDS – provide brief rationale for why this faculty member should be recognized for their excellent accomplishments/impact

**If DOES NOT MEET, Success Plan is Included? ___Yes ___No

Signature by Faculty Member: _______________________ Date: _________

Signature by Department Chair: ______________________ Date: _________

Signature by Dean/Designee:_________________________ Date:_________

Appendix 2: Sample Format for PTR Self-Assessment

Table for (proposed action – e.g. "promotion to Tenured Associate Professor") following Department and School criteria.

(Department – e.g. "ESE") Faculty Performance Expectations for (Action – e.g. "Post tenure review")

(Criteria and qualifications are department and faculty-level examples)

Related Requirements

• UNC Policy Manual 400.3.3, Performance Review of Tenured Faculty (Post-Tenure Review)
• UNC-Chapel Hill, Trustee Policies and Regulations Governing Academic Tenure in the University of North Carolina at Chapel Hill
• UNC-Chapel Hill, The Faculty Code of University Government
• UNC-Chapel Hill, Faculty Handbook: Appointment, Promotion & Tenure Guidelines
• UNC-Chapel Hill, Post-Tenure Review Policy
• UNC Chapel Hill, Academic Personnel - Dossier: Format for Tenure Track or Tenured Faculty Review
• UNC Chapel Hill, Academic Personnel - Less than Full-Time Work Schedules

Contact Information

Primary Contact

Name: G. Mark Holmes, Senior Associate Dean for Faculty and Staff Affairs

Email: mark_holmes@unc.edu