RUL 05.67.11 – Department of Genetics Reappointment, Promotion and Tenure Standards and Procedures

Authority: Executive Vice Chancellor and Provost

History: First Issued: October 1999.  Last Revised: January 25, 2008.

Related Policies: 
NCSU POL05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure
NCSU RUL05.67.22 – College of Agriculture and Life Sciences Reappointment, Promotion and Tenure Standards and Procedures
NCSU REG05.20.19 – Realms of Faculty Responsibility
NCSU REG05.20.27 – Statements of Mutual Expectations
Glassick Standards – See page 6 of the Process Description for RPT 

Additional References: 
Office of the Provost RPT Website
Options for Review in Departments Impacted by the Creation of the College of Sciences 

Contact Info:  Department of Genetics, Head (919-515-2292)

Please Note:
For 2013-14 and 2014-15, faculty members whose departments were impacted by the creation of the College of Sciences have the option to be reviewed for reappointment, promotion and tenure or for post-tenure review using the Rule for Reappointment, Promotion and Tenure Standards and Procedures or the Rule for Post-Tenure Review Standard and Procedures of their previous academic departments.  For more information about whether faculty reviews in your department are affected by the creation of the new college, please contact the Dean’s Office in the College of Agriculture and Life Sciences or the College of Sciences. 

1. Introduction

This rule addresses reappointment, promotion and tenure of faculty and is supplemental to and consistent with NCSU POL05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure.

The department head and faculty of the Department of Genetics have the responsibility to critically and periodically review faculty for promotion or appointment to tenure. This review is necessary to assure that the highest standards of scholarship are maintained and that all recommendations for promotion or appointment will result in the continued strengthening of the faculty in the Department of Genetics.

The purpose of this rule, therefore, is to communicate to faculty the kinds of materials and level of performance that are essential to support a favorable recommendation for reappointment, promotion and tenure. Hereafter in this rule, “senior faculty” refers to tenured full professors,  and  “junior faculty” refers to tenured or tenure track assistant professors and tenured or tenure track associate professors.

2. Areas of Faculty Responsibility

The Genetics Department supports NCSU REG05.20.19 – Realms of Faculty Responsibility. In the Department of Genetics, the major areas of faculty responsibility are Teaching and Mentoring; Research; Department, College and University Service; and Professional/Public Service. Each faculty member’s responsibilities are identified in the offer letter and further documented in the Statement of Mutual Expectations.

The primary responsibility of the faculty of the Department of Genetics is the generation and dissemination of knowledge. This responsibility is normally discharged by research and teaching activities, the latter including both classroom teaching and the training of graduate students and postdoctoral researchers.

As an untenured faculty member develops his/her program, it is expected that the annual plans of work and the work priorities established by the faculty member be consistent with the overall duties and responsibilities of the position. It is intended that the untenured faculty member will be successful in his or her position if the individual performs the stated duties and responsibilities of the position in a satisfactory manner.

Scholarly activity, appropriate to the discipline and responsibilities, is expected of all faculty, including untenured faculty members, and will be used to assess contributions made by an individual. Scholarly activity is defined broadly when considering the work of academicians at institutions of higher learning, and is most often captured in the concept of creating new knowledge and transferring knowledge to others.

2.1. Responsibilities in Research

Faculty members with research responsibilities are expected to engage in research and discovery, and they are expected to create new knowledge through their research efforts. A productive research program has the following components: a successful grant and funding program, a successful graduate education program, peer-reviewed publications, and presentations at national and international meetings. Other examples of reputation that emanate from a productive research program include service as a peer reviewer of manuscripts and grants, and service on research-related committees at the college, university, national and international levels.

2.2. Responsibilities in Teaching

Faculty members with teaching responsibilities are expected to transfer knowledge to students enrolled at North Carolina State University. The act of transmission of knowledge is designated as teaching, and can be included in activities such as classroom instruction, research instruction, distance education, and advising students. Activities associated with the transfer of knowledge, such as curriculum development, writing books and laboratory manuals, development of lesson plans, and evaluation of students, are also important components of an academic appointment. Scholarly activity in the academic area involves creative work such as publication of peer-reviewed manuscripts, book chapters and books and documentation of knowledge transferred such as student evaluations, peer evaluations and the development of an academic portfolio.

2.3. Service in Professional Societies and Within the University Itself

All faculty members are expected to be involved in the operation of the department, college, and university by serving in various capacities. This service includes committee service, election to offices in College and University organizations, special assignments, task forces and commissions, and contributions to departmental meetings and activities.

Faculty members are also expected to further their disciplines by providing service to their professional societies by serving as officers or on committees, serving as editors and reviewers for professional journals or other professional publication outlets, serving on study and review panels for governmental agencies and funding organizations, organizing scientific meetings, symposia, workshops and similar events, making presentations to the public, schools and other groups, and serving in an advisory capacity to the public and governmental agencies. There is a reasonable limit to the extent of involvement, which is managed by the department head.

3. General Standards

The general standards for reappointment, promotion and tenure in the Department of Genetics follow NCSU POL05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure.

4. Standards for Reappointment as Assistant Professor

To be reappointed as Assistant Professor, there must be evidence that the candidate has been involved in the generation of new knowledge and/or new approaches to problems, has carried out creative activities, has made contributions and innovations available to others through presentation in scientific and technical journals, books or comparable publications and has the ability or willingness to participate in university, college and departmental affairs that will lead to promotion to Associate Professor with tenure.

5. Standards for Associate Professor with Tenure

To be promoted to associate professor with tenure, a faculty member must first meet the standards described above for reappointment as an assistant professor.  Furthermore, the individual will have demonstrated recognized ability and potential for distinction in teaching, research, and service commensurate with their Statement of Mutual Expectations.  Also, the individual will have demonstrated the ability to manage or direct activities at the departmental, college and /or university level that contributes to the wellbeing of the institution.  The DVF must be assured that there is a reasonable expectation that the candidate will continue to build their national and international reputation through significant contributions to the field.

6. Standards for Professor

To be promoted to professor, a faculty member will have met the standards described above for promotion to Associate Professor with tenure.  Furthermore, the faculty member will have demonstrated a record of distinguished achievement in teaching, research and service commensurate with their Statement of Mutual Expectations.  The DVF must be assured that the faculty member has a national and international reputation for excellence in her/his field and that they will maintain this reputation through significant contributions to the field.

Promotion to Full Professor is not acquired solely because of the number of years in the associate professor track. Therefore, it is crucial that the quality of a candidate’s performance be carefully documented. During the review, emphasis will be placed on activities and accomplishments since the year of promotion to associate professor with tenure.

7.  Procedures for RPT Review

7.1. Reappointment to Assistant Professor

7.1.1. The performance of each untenured faculty member will be evaluated on an annual basis by the department head with assistance from the senior faculty.

7.1.2. Within the first few months after an untenured assistant or untenured associate professor is appointed in the Department, the department head, after consultation with the faculty and the candidate, will appoint a senior member of the faculty to serve as an “advisor.” The department head may choose to serve as advisor in some (or all) instances. The advisor’s role is to assist in the junior faculty member’s academic progress toward a favorable tenure decision, to serve as a source of information about professional and university matters, and to serve as a liaison between the senior faculty and the junior faculty member.

7.1.3. Annually, the junior faculty member will provide appropriate documentation to ensure a timely review of their performance. The candidate will provide these documents to the department head by a specified date early in the spring semester of each year. The department head and senior faculty will meet soon afterwards and review the available documentation and discuss the progress being made. The department head will communicate his/her findings and those of the senior faculty to the candidate so that the candidate will be informed of the department’s perception of progress toward promotion and tenure.

7.1.4. An assistant professor is normally appointed for an initial term of four years. By August 1 of the penultimate year of this initial term, the Department Head will inform the faculty member in writing that he/she is slated for review. Individuals being considered for reappointment are not required to provide a list of external evaluators.

7.1.5. The documentation supporting reappointment is in the form of a complete dossier. This will be required by October 15, and it will be available for review by appropriate faculty in the Genetics administrative office.

7.1.6. The candidate will present a departmental seminar on his or her own research during their initial appointment.

7.1.7. In early November, the Department Head convenes the tenured Associate and tenured Full Professors to vote on the candidates undergoing reappointment. The Department Head facilitates the meeting, takes notes and conducts the voting. The vote is by secret ballot. Absentee ballots must be provided in writing to the Department Head.  The ballots are counted by the Department Head and another faculty member and announced. The Department Head then informs the individual of the vote of the faculty, recommending either 1) that the assistant professor be reappointed, 2) that the assistant professor be promoted to the rank of associate professor with tenure, or 3) that the assistant professor not be reappointed.

7.1.8. The candidate, along with the Department Head, prepares the dossier that is submitted to the Administration of the College of Agriculture and Life Sciences for action.

7.2. Promotion to Associate Professor with Tenure

7.2.1. Assistant Professor to Associate Professor with Tenure

7.2.1a. The documentation supporting promotion or granting of tenure will be required by October 15, and it will be available for review by appropriate faculty in the Genetics administrative office.

7.2.1b. The candidate will present a departmental seminar on his or her own research during their second term as Assistant Professor before the departmental vote for tenure.

7.2.1c. The decision to recommend permanent tenure will be reached following a closed meeting of the tenured faculty in early November in which each faculty member will have the opportunity to express their evaluation of the candidate’s performance. A vote of the faculty will take place by secret ballot. The Department Head facilitates the meeting, takes notes and conducts the voting. Absentee ballots must be provided in writing to the Department Head prior to the beginning of the meeting. The ballots are counted by the Department Head and another faculty member and announced. The Department Head then informs the individual of the vote of the faculty, providing the written assessment of the voting faculty and recommending either 1) that the assistant professor be reappointed with permanent tenure at the rank of associate professor, or 2) that the assistant professor not be reappointed. The candidate may respond in writing within five working days.

7.2.1d. During the process of recommendation for promotion, at least five letters of evaluation will be obtained by the head of the department from recognized authorities in the candidate’s field. These letters must be from outside the university and from individuals who have not been responsible for any portion of the candidate’s training or who had or have a close working relationship with the individual being reviewed. The letters will be requested after consultation with departmental colleagues and the candidate. Reviewers will be provided with documentary evidence and asked to evaluate thoroughly the quality and productivity of a candidate’s total program. The letters should address the question of whether the candidate is producing significant and important contributions in the chosen area of expertise.

7.2.2. Associate Professor Without Tenure to Associate Professor with Tenure

7.2.2a. In the case of an associate professor appointed from outside NC State University without tenure, the procedures described in VII.B.1. will be followed.

7.3. Promotion to Full Professor

7.3.1. The performance of each tenured associate professor will be evaluated at least every three years by the department head with assistance from the senior faculty.

7.3.2. Each tenured associate professor will have the opportunity to be reviewed annually by the senior faculty at the time when untenured faculty are reviewed. This review is optional except for every third year, or a year in which the faculty member wishes to be evaluated for promotion to full professor.

7.3.3. Associate Professors interested in being promoted should submit a curriculum vitae to the Department Head by June 15 and this material, along with other material such as Annual Activity Reports and Annual Plans of Work, will be available for review by the Full Professors from June 15 until the meeting in July. The discussion of this meeting is conveyed by the Department Head to the individual. If the individual elects to be considered for promotion to Full Professor, he/she informs the Department Head in writing by September 1.

7.3.4. The candidate will present a seminar before the departmental vote for promotion to full professor.

7.3.5. The documentation supporting promotion is in the form of a complete dossier. This will be required by October 15, and it will be available for review by appropriate faculty in the Genetics administrative office.

During the process of recommendation for promotion, at least five letters of evaluation will be obtained by the head of the department from recognized authorities in the candidate’s field. These letters must be from outside the university and from individuals who have not been responsible for any portion of the candidate’s training or who had or have a close working relationship with the individual being reviewed. The letters will be requested after consultation with departmental colleagues and the candidate. Reviewers will be provided with documentary evidence and asked to evaluate thoroughly the quality and productivity of a candidate’s total program. The letters should address the question of whether the candidate is producing significant and important contributions in the chosen area of expertise.

7.3.6. In early November, the Department Head convenes the Full Professors to vote on the candidates desiring promotion from Associate Professor to the rank of Professor. The Department Head facilitates the meeting, takes notes and conducts the voting. The ballots are counted by the Department Head and another faculty member and announced. Absentee ballots must be provided in writing to the Department Head. The Department Head then informs the individual of the vote of the Full Professors. The Department Head will then convey his/her recommendation to the Dean and the College of Agriculture and Life Sciences RPT Committee together with the results of the Full Professors’ vote.

7.3.7. The candidate is notified of the faculty vote and provided with the written assessment of the voting faculty. The candidate may respond in writing within five working days.