REG 05.20.04 - Post Tenure Review of Faculty

Authority: Provost and Executive Vice Chancellor for Academic Affairs

History: First Issued: Fall 1998. Last Revised: November 4, 2015.

Related Policies: 
UNC Policy 400.3.3 - Performance Review of Tenured Faculty
UNC Policy 400.3.3.1[G] - Guidelines on Performance Review of Tenured Faculty
NCSU POL05.20.01 - Appointment, Reappointment, Promotion and Permanent Tenure
NCSU POL05.25.01 – Faculty Grievance and Non-Reappointment Review Policy

Additional References: 
Promotion and Tenure Departmental Standards and Procedures
Departmental Post Tenure Review Rules
N C Gen Stat. 126-24

Contact Info: Vice Provost for Faculty Affairs (919-513-7741)


1. INTRODUCTION

1.2 This regulation establishes procedures for the comprehensive, periodic, cumulative review of the performance of all tenured faculty. The procedures further safeguard that post-tenure review is not a re-evaluation of tenure and that it is conducted in a manner that protects academic freedom and the quality of education. This regulation is consistent with the requirements of UNC Policy 400.3.3 - Performance Review of Tenured Faculty and UNC Policy 400.3.3.1[G] - Guidelines on Performance Review of Tenured Faculty.

2.  Frequency

2.1 Every tenured faculty member shall be reviewed through the post tenure review process every five (5) years after having been tenured.  Exceptions may be granted at the discretion of the Dean for faculty members who have submitted a letter of intent to retire, resign or apply for the Phased Retirement Program to be effective within two (2) years from July 1 of the academic year of their review. 

2.2 Faculty in administrative positions covered by a regulation requiring a regularly scheduled review of administrative performance (e.g., five-year reviews of College Deans, Associate Deans, Department Heads, and Vice Provosts) are not subject to this regulation until they have served in a position with primarily faculty responsibilities for five (5) years.

Other faculty with significant administrative responsibilities (e.g., Center and Institute Directors) for whom a five-year review is required and regularly conducted may request from the Dean that the administrative review replace the post-tenure review for the period of the administrative appointment.

2.3 An extension of up to one (1) year may be granted with the approval of the Dean when compelling circumstances place an undue burden on the faculty member and/or department to complete the review during the fifth year.  Examples of compelling circumstances include, but are not limited to:

·      A personal serious health condition, care for a child, spouse, domestic partner, or parent with a serious health condition, birth or care for a newborn, care for an adopted or foster child, and care for a family member injured while on active duty for the Armed Services; and

·         Major disruption of key services and support beyond the reasonable control of the faculty member.

·         Consideration for promotion in year post-tenure review is scheduled.

The Department Head shall document the approved extension and include the documentation in the faculty member’s personnel file.

2.4 A positive vote for promotion by a simple majority vote of the DVF and a positive recommendation for promotion by the department head and the dean shall be considered a judgment of meets expectations for post tenure review.  A negative vote for promotion does not qualify as a post tenure review and does not change the faculty member’s post tenure review schedule.

2.5 A post-tenure review assessment of “meets” or “exceeds expectations” does not determine the likelihood that a faculty member will or will not be approved for promotion to Professor, since promotion review is a separate, more extensive review (including, for example, external reviews and reviews by the full DVF and committees at the College and University levels) and may be based on cumulative performance beyond the five year post-tenure review cycle.

3.  COLLEGE AND Departmental Rules

3.1 Individual departments shall have Departmental Rules describing the standards and procedures used to carry out post tenure review. Departmental Rules shall define standards for meeting expectations and departmental criteria for designation as exceeding expectations and

Departmental Rules shall include the composition of the Post Tenure Review committee (“PTR Committee”) and a procedure to select the committee by a process agreed upon by the tenured faculty in the department. These Departmental Rules shall be forwarded by the Dean for the Provost’s approval and shall be supplemental to, and consistent with, this regulation.

3.2 As required by UNC Policy 400.3.3.1 [G], faculty members shall develop a five-year goal or plan in consultation with the Department Head at the beginning of the post-tenure review cycle. These goals shall be included in the Statement of Mutual Expectations (“SME”), which will serve as the basis for post-tenure review.  The SME should be reviewed and revised as appropriate after each promotion review and each post tenure review.

3.3 Individual colleges shall also have rules describing college standards for meeting or exceeding expectations, procedures for selection of a College Post-Tenure Review Committee, and any additional procedures for the College reviews.

4.  Joint AND INTERDISCIPLINARY Appointments

In the case of joint appointments or appointments in which the work of the faculty member under review is substantively interdisciplinary, the home department will be responsible for conducting the review. Consultation will take place as described in the plan for review developed in the first year of the appointment.  (See NCSU POL05.20.01 - Appointment, Reappointment, Promotion and Permanent Tenure).

Based on this plan, the home department may conduct a single post-tenure review by a peer review committee made up of DVF from the home department, with written input from the department head(s) from the other appointing department(s) or the coordinator(s) of interdisciplinary program(s) to which the faculty member has been assigned.  Alternatively, the review may be conducted by an interdisciplinary peer review committee appointed by the Dean and made up of faculty from the home department and appropriate interdisciplinary faculty members. The Department Head of the home department will be responsible for communicating the results of the review to the faculty member and, for faculty members whose performance does not meet expectations, coordinating the creation and implementation of the development plan.

5.  PROCEDURES

5.1 As part of the annual review process, the Department Head will inform each faculty member of the projected date of their next post tenure review.

5.2 To assess faculty member’s cumulative performance, the following materials or documents with equivalent content shall be provided to the review committee:

  • A current CV;
  • The Statement of Mutual Expectations (SME);
  • Each annual faculty activity report since the last review;
  • Peer teaching evaluations since the last review; and
  • An optional two-page candidate statement
     

Materials provided to the PTR Committee shall be limited to the items listed in section 5.2 unless the Departmental Rule allows or requires additional materials.

5.3 The PTR Committee shall be selected in accordance with the Departmental Rule or guidelines for review of joint or interdisciplinary appointments (see Section 4 of this regulation). The faculty member being reviewed will not have the option of selecting members of the PTR Committee.

5.4 The PTR Committee will provide a comprehensive written assessment of the faculty member’s performance to determine whether the faculty member meets or does not meet expectations for each realm of responsibility described in the SME based on performance standards defined in the Departmental Rule.  The PTR Committee will also make an overall determination of whether the faculty member’s performance meets or does not meet expectations.  The determination of meets or does not meet expectations shall be based on a simple majority vote of the Committee. A tie vote shall be understood as an assessment of meets expectations.

5.5 The Department Head will consult with the PTR Committee prior to completing his or her evaluation of the faculty member’s performance. The Department Head will make a determination of whether the faculty member meets or does not meet expectations for each realm of responsibility described in the SME based on performance standards defined in the Departmental Rule. The Department Head will also make an overall determination of whether the faculty member’s performance meets or does not meet expectations.

5.6 The Department Head shall provide the faculty member with the PTR Committee’s written assessment including the numerical vote and his or her own assessment.  The Department Head’s assessment will also be shared with the PTR Committee. The faculty member has the option to provide a written response to the assessments of the PTR Committee and/or the Department Head.  Any written response becomes part of the post tenure review record.

5.7 Upon completion of the evaluation, the Department Head will submit to the Dean the faculty member’s post-tenure review documentation, the PTR Committee’s report, the Department Head’s post tenure review evaluation of the faculty member, and the faculty member’s optional response.

5.8 The Dean will review the faculty member’s post tenure review documentation and the reports and responses received from the Department Head and make an independent overall determination as to whether the faculty member meets or does not meet expectations for the realms of responsibility described in the SME based on performance standards defined in the Departmental Rule.

The Dean may consult with the PTR Committee and the Department Head prior to completing his or her post tenure evaluation of the faculty member’s performance. 

The Dean shall consult with the PTR Committee and the Department Head if his or her assessment will differ from the assessment of the PTR Committee and/or the Department Head.  The Dean’s written assessment will be provided to the faculty member being reviewed, the PTR Committee, and the Department Head.

5.9 If the Dean’s overall determination differs from that of the PTR Committee and/or the Department Head, the post-tenure review documentation and assessments will be forwarded to a College Post-Tenure Review Committee (see Section 6.4).

5.10 Exceeds Expectations

The PTR Committee’s assessment may recommend to the Department Head and Dean that a faculty member’s performance exceeds expectations.  The Department Head may agree or disagree with a PTR committee recommendation that a faculty member be evaluated for designation as exceeds expectations.

The Dean will determine which faculty members will be designated as exceeds expectations based on the faculty member’s performance compared to overall performance expectations for College faculty. The recommendation and use of exceeds expectations is reserved for only the most exceptional performance.

5.11 Training for Individuals Involved in Post-Tenure Review

NC State, through the Provost’s Office, shall provide ongoing support and training for all post-tenure review evaluators, including peer review committee members, department chairs or academic unit heads, and deans. UNC General Administration will provide digital training modules that focus on the basics of state personnel policy and UNC policies, regulations, and guidelines related to personnel and tenure; the essential elements of a useful and thoughtful review; how to prepare, conduct and manage a meaningful review process; and how to provide constructive criticism in a positive manner. NC State shall ensure that all post-tenure review evaluators review these modules and receive training in campus-specific policies and procedures. In submitting the requisite annual post-tenure review reports, the Provost will also certify that required training has been conducted.

6. POST TENURE REVIEW RESULTS

6.1 If the overall determination of the PTR Committee, the Department Head and the Dean is that the faculty member’s performance meets expectations or exceeds expectations, the review is concluded and the next post tenure review shall not occur in fewer than five (5) years. However, pursuant to NCSU POL05.20.01 - Appointment, Reappointment, Promotion and Permanent Tenure,this regulation does not preclude an administrative assessment at any time regarding a tenured faculty member’s performance (including a determination of significant and/or sustained unsatisfactory performance).  This determination may include a peer review of the faculty member’s performance.

6.2 If the overall determination of the PTR Committee and the Department Head differ as to whether the faculty member’s performance meets expectations, the Dean shall consult with the PTR Committee and the Department Head regarding their assessments prior to rendering a final determination. 

6.3 Reviews by College Post-Tenure Review Committee

If the Dean’s initial determination of the faculty member’s performance differs from that of the Department PTR Committee and/or the Department Head, all of the materials from the review will be sent to a College Post-Tenure Review (PTR) Committee selected in accordance with the College PTR Rule.  The College PTR Committee will review the post-tenure review materials and make an independent overall determination of whether the faculty member meets or does not meet expectations for performance standards as defined in the department rule.

The College PTR Committee’s written assessment will be shared with the faculty member under review, the Department PTR Committee, the Department Head and the Dean.  The College PTR Committee’s written assessment shall also be shared with the Provost. The Dean will review this assessment and take the College Committee’s assessment into consideration before making a final determination of meets or does not meet expectations.

6.4 Review by the Provost

If the Dean’s final determination differs from that of the College PTR Committee, the complete review materials will be reviewed by the Provost, who may consult with the Dean and the College PTR Committee before determining whether the outcome of the review will be meets or does not meet expectations.

6.5 If the final determination is that the faculty member’s performance does not meet expectations, the Department Head will prepare a written performance development plan as described in the next section. 

7. PERFORMANCE DEVELOPMENT PLAN

7.1 Criteria for performance development plans include the following:

  • The plan should be developed in consultation with the faculty member and relevant peers in the department(s) or program(s) participating in the review. 
  • The plan will provide specific descriptions of areas for improvement as they relate to the realms of responsibility described in the faculty member’s SME and include a specified timeline (usually 3-5 years) during which improvements are expected to occur. 
  • The plan will document what the faculty member must do to meet expectations according to the specified timeline and the consequences of failing to make the required improvements. 
     

The professional development plan will serve as the basis for subsequent post tenure reviews, which will be conducted annually by the PTR Committee for the duration described in the plan or until such time as the faculty member is found to meet expectations.  For subsequent reviews, the Department Head will provide the PTR Committee with the previous post-tenure review report(s) and the faculty member’s performance development plan.

7.2 The Department Head shall meet with the faculty member at least twice annually to assess progress toward meeting the performance development plan. The Department Head will provide a written summary of these meetings to the faculty member and will place a copy in the faculty member’s personnel file.

7.3 The Department Head will assign a peer mentor to meet with the faculty member at least twice annually to facilitate progress toward meeting the performance development plan.  There will be a written summary of each of these meetings provided to the faculty member and placed in his or her personnel file.

7.4 When reviewing the progress toward meeting the performance development plan, the PTR Committee and the department head shall determine (1) whether the faculty member is making the expected progress in meeting the requirements of the performance development plan and (2) whether the faculty member’s performance meets expectations in the realms of responsibility described in his or her SME. 

7.5 If the PTR Committee’s overall determination is that the faculty member has made progress on completion of the performance development plan but does not meet expectations, the Committee’s written assessment will be sent to the Department Head, who will add his or her own assessment and forward the assessments to the Dean.

If the Dean concurs that the faculty member does not meet expectations, the faculty member will continue to work toward the goals of the professional development plan.

If the Dean finds that the faculty member meets expectations, he or she will consult with the PTR Committee and the Department Head and make a final determination as to whether the faculty member will continue to work under the performance development plan.

7.6 If the PTR Committee and/or the Department Head’s assessment is that the faculty member meets expectations, this determination will be sent to the Dean.

If the Dean concurs the faculty member meets expectations, the review is complete and the faculty member will be reviewed again in five years.

If the Dean does not concur that the faculty member meets expectations, the Dean will consult with the PTR Committee and the Department Head and make a final determination as to whether the faculty member meets expectations or must continue working under the development plan.

7.6 If, after the duration of the performance development plan, the PTR Committee’s and Department Head’s determination is that the faculty member does not meet expectations, the Department Head will share the PTR Committee’s  and the Head’s written assessments with the faculty member, who has the option to provide a written response to the assessments. The Department Head will provide the Committee’s and Department Head’s assessments and the faculty member’s optional response to the Dean along with recommendations for any administrative action. 

7.7 The Dean shall review the information provided by the Department Head and make his or her own assessment of the faculty member’s performance.  If the Dean’s assessment is that the faculty member’s performance meets expectations, he will inform the faculty member, PTR Committee and the Department Head of his or her decision.  The faculty member will be reviewed again in five years. 

If the Dean agrees with the PTR Committee and/or the Department Head that the faculty member’s performance does not meet expectations, the faculty member may be asked to develop, in conjunction with the Department Head, a new development plan as described in Section 7.1.  A review of the faculty member’s progress in achieving the goals will be conducted each year according to the timeline of the development plan.

If the Dean determines that the faculty member is not making sufficient progress toward meeting expectations, the Dean will consult with the PTR Committee and the Department Head and may request that the University impose appropriate sanctions.

7.8 Multiple post tenure review determinations of does not meet expectations for a faculty member may, in the most serious cases, lead to a recommendation for discharge.

8.  REPORTING AND ADMINISTRATIVE ACTION

8.1 The Dean will provide confirmation of the completion of all scheduled post tenure reviews to the Provost annually using a process specified by the Provost. In turn, the Provost will certify to UNC General Administration annually that the review process at NC State is in compliance with UNC Policy 400.3.3 (Performance Review of Tenured Faculty).

8.2 The Department Head will ensure that all post tenure review documentation (i.e. submission by the faculty member, all written assessments, the faculty member’s response (if any, and other documents related to the review) is placed in the faculty member’s personnel file, which is confidential and not open for inspection except as provided by state law. 

8.4 A faculty member who receives an overall post tenure review determination of does not meet expectations has the right to file a grievance in accordance with procedures set forth in NCSU POL05.25.01 – Faculty Grievance and Non-Reappointment Review Policy. The filing of a grievance by a faculty member based on an overall determination of does not meet expectations does not eliminate, postpone or otherwise affect the obligations of the faculty member (or the University) regarding the development and implementation of a performance development plan or any other duties and responsibilities provided in this regulation.