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Guidelines for Recommendations for Promotion or Appointment to Tenure in the Physical Sciences, October, 1998 |
| Guidelines for Tenure Cases: |
Content of Tenure Packages: |
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| Checklists for submissions and reviews of tenure cases: |
Newly appointed probationary tenure track faculty will be provided with a copy of these guidelines and UW-Madison Faculty Policies and Procedures by the Secretary of the Faculty. If there are questions concerning the guidelines, persons may consult the chair of the Executive Committee of the Physical Sciences Division or the Coordinator of the Divisional Committees.
Departments, including department-like bodies or programs in which tenure may be granted, must monitor the progress of the tenure track faculty member throughout the probationary period in accordance with Faculty Policies and Procedures 5.21 D (2). This will be accomplished in part by the departmental mentoring program for assistant professors as described in Faculty Policies and Procedures 7.05.
Proposals for promotion should be submitted when the departmental executive committee and dean consider that the candidate's contributions justify such action. Promotion is typically considered in the sixth year on the candidate's tenure clock. Promotions before the sixth year require a case that would be strong for a sixth year candidate. A decision on tenure must be made before the end of the sixth year.
Departments are encouraged to review Chapter 7 of the UW-Madison Faculty Policies and Procedures regarding faculty appointments and especially FPP 7.07, which provides procedures for action on probationary appointments and contains information on notification of candidates and their appearance at evaluation meetings.
It is the responsibility of the candidate, during the probationary period, to develop the record of accomplishment required for a promotion to tenure. Regardless of the areas of scholarly activity on which a candidate's case is based, there must be evidence that all academic activity required of the candidate (from among teaching, research service and extension) has been performed at a satisfactory level. It is expected that all candidates will perform University and professional service. Assistant professors from underrepresented groups are often asked to assume a heavy service burden. Departments should ensure that these probationary faculty are not required to take on more committee, outreach and advising responsibilities than their peers. All assistant professors should be given an equal opportunity to develop a strong record of accomplishment.
 
The criteria for the granting of tenure are governed by state statute and the rules of the University of Wisconsin. Relevant passages may be found in the UW System mission statement and the UW-Madison Faculty Policies and Procedures. The statement from Faculty Policies and Procedures follows:
7.14 (paragraphs B, C and D) CRITERIA FOR THE GRANTING OF TENURE
B.   In applying its professional judgment to the decision to recommend or not to recommend tenure, the departmental executive committee or ad-hoc committee under 7.10.C has the obligation to exercise its discretion in the interest of improving the academic and professional quality of the department; departmental executive committees or ad-hoc committees may not decline to recommend tenure for any reasons which are legally impermissible or which violate principles of academic freedom.
C.   Each divisional executive committee shall establish written criteria and standards it will employ in recommending the granting of tenure. These criteria and standards shall assure that the granting of tenure is based on evidence of (1) teaching excellence; (2) a record of professional creativity, such as research or other accomplishments appropriate to the discipline; and (3) service to the University, to the faculty member's profession, or professional service to the public.
D.   Each departmental executive committee shall establish written criteria and standards it will employ in recommending the granting of tenure. These criteria and standards shall be consistent with 7.14C of these rules. A copy of these criteria and standards shall be furnished to probationary faculty member(s) (see 7.05A of these rules) and shall be filed with the appropriate dean(s) and the Vice Chancellor for Academic Affairs and Provost. A copy of the departmental criteria along with a statement showing how they were applied to the candidate shall be forwarded with a departmental recommendation for tenure.
Favorable action by the Physical Sciences Division Executive Committee on a departmental recommendation for promotion or appointment to tenure is based on evidence of the candidate's accomplishments in teaching, research, outreach/extension (for departments in which outreach/extension is part of the departmental mission), and professional service. A candidate's achievements and the justification under these guidelines for awarding tenure must be documented. It is not sufficient without further justification that the candidate has performed satisfactorily all duties as an assistant professor, nor will a candidate with a developing record who shows future promise necessarily receive a positive recommendation. Early promotion will be approved only when the candidate has established a record which would be strong for a sixth year promotion. The strength of the case must be demonstrated unambiguously by the documents submitted.
In Part I, guidelines are presented concerning the kind of evidence required for evaluation by the Executive Committee; the Committee's weighing of the various factors depends on the individual case. Part II describes the precise format in which the evidence is to be presented. Other evidence that is appropriate to a particular case is also invited.
A subcommittee is charged with presenting the results of an in-depth review,
which includes a discussion with the department chair. The subcommittee may
solicit other information not provided by the department during the course of
its deliberations.
 
The candidate should have a record of effective teaching which should normally be at both the undergraduate and graduate levels. The baseline requirement for teaching in a discipline is mastery of subject matter. Although such mastery is implied in the decision of the department to promote or appoint the candidate, confirming evidence of scholarly breadth and depth must accompany the documentation of the case. Effective teaching requires that the professor have the ability and willingness to communicate knowledge of the subject matter to students, as both classroom teacher and research adviser. The committee considers as primary evidence those classroom and research advising activities that relate directly to the candidate's recognized field of professional expertise. The candidate's success in communication, organization of material, interest in teaching and research advising, and stimulation of student learning should be apparent in the documentation. A summary of appropriate documentation is given in Part II.
A meaningful evaluation of the candidate's teaching requires the availability of credible evidence obtained by peer review and through student evaluations. In order to document significant accomplishment or excellence in teaching, the department is required to provide evaluation based on peer review of the candidate's teaching activities covering the probationary period. The exact format of the peer-review process is at the discretion of the department. However some component of peer-review, such as classroom observation is expected. The Committee strongly encourages the Department to consult the Teaching Academy Task Force on Peer Review of Teaching for guidance in this matter. Some additional information regarding peer review of teaching techniques, objectives, and outcomes has been put together by a UW-Madison Peer Review of Teaching working group, and is available on the web at www.wisc.edu/MOO/ . The peer review should begin in the first year and the assistant professor's teaching should be reviewed at least annually during the probationary period. Judgments on questions of course content, level of presentation, and organization of material should be made by colleagues, and should be discussed in the dossier supporting the promotion or appointment.
Student evaluations should be included for all courses taught, in all departments or programs in which the candidate teaches. The committee will be particularly interested in evidence of continuing development in the candidate's teaching, and of systematic and significant improvement when the candidate's performance has been weak.
Continual improvement and modernization of courses is a part of good classroom teaching. Evidence of these factors should be furnished. Significant achievements are those clearly successful, innovative developments in instructional techniques and materials which affect the department's academic programs. Procedures adopted or admired by colleagues within and outside the candidate's department should be mentioned. Participation in courses outside the candidate's department or beyond regular duties should be noted.
Advising is a critical academic responsibility. The candidate's success as a mentor to undergraduate, graduate and outreach students is thus an important consideration for tenure. Evidence demonstrating a positive influence on the department's graduate program should also be given, such as quality of thesis topics, success of graduate students, and extensive interactions with graduate students from other research groups. (In some cases, thesis advising is intertwined with the professor's research program, in which case details should be given in the next section on research.)
 
The case for research must be based on clear evidence that the candidate's creativity and productivity are excellent when compared to national or international peers. Evidence of research consists of an active research program that has yielded demonstrably significant results and promises continued achievement. Innovative and effective research is a vital university function that serves to differentiate major research universities from other institutions of higher learning. Published papers are tangible evidence of productivity in research, but the number of publications alone is not a good measure of quality of achievement. Moreover, publication rates and the extent of multiple, nonstudent authorship differ among disciplines. The Committee's attention should be directed to particularly significant contributions and scholarly publications by the candidate.
The ability to sustain a research program normally requires external grant support adequate for students, staff, and facilities. The candidate's record of success with peer-reviewed grants can indicate (a) the outlook for the quality of the future research program and (b) the candidate's reputation as a researcher. The committee wishes to identify the candidate's individual accomplishments within the grant record.
In some cases untenured faculty may choose to conduct part of their research programs together with tenured faculty either as individuals or through the auspices of a research center. Such collaborations can be valuable. However, the key elements in the case for tenure are the individual research accomplishments of the candidate, and a clear demonstration of the candidate's ability to attract outside research support adequate to support his or her individual program. Thus, care must be taken to ensure that the individual research accomplishments of the tenure candidate are clearly evident and are distinguishable from those of the other collaborators. Similarly, if research funding is handled jointly, there should be clear evidence of the role of the candidate in this fund raising. Letters from co-investigators may assist in this demonstration, but these points must be addressed explicitly in external documentation, e.g., letters and peer review reports.
Overall, the candidate and the work should be held in high regard by outstanding researchers in the candidate's field. Testimony regarding the quality of the candidate's work at UW-Madison and the impact of the work on the field of interest must be provided. In the case of promotions, the impact of the work accomplished at Wisconsin must be addressed. Letters of evaluation from recognized experts in the candidate's field from outside this university are required. The documentation must provide convincing evidence that the outside evaluators are recognized researchers and leaders in the field. (In special cases, letters from colleagues within the candidate's department or from present or former students may supplement the comments from outside evaluators.)
 
For candidates with major outreach/extension appointments, the principal criterion for promotion is that the candidate has developed and implemented programs of recognized national impact, demonstrating creativity, and sustained excellence. Letters of evaluation from nationally recognized experts (clients and peers) in the program area should be provided to assess the candidate's impact, creativity, and excellence. Evidence must be presented that the candidate is capable of using new and existing information in program development. Interpretation of research results and their implementation into the outreach program are important to consider. The candidate is expected to be active in professional organizations relevant to the implemented programs. The Committee expects to receive complete documentation of the candidate's major contributions and activities in important programs.
In addition, the candidate should show competence and innovation in terms of developing teaching materials, visual aids, and other means of effectively communicating with the public. Significant educational programs should be outlined, and all outreach publications and semitechnical publications related to significant areas of program development should be listed. Student and peer evaluation of the effectiveness of the professor's major program contributions and communication and teaching abilities in an outreach/extension setting should be included.
 
Occasionally a recommendation for promotion or appointment may be given for a candidate whose efforts and abilities are not well balanced among research, teaching, and/or outreach/extension. In such a case the candidate must be exceptional and the overall balance within the candidate's department must not be adversely affected. If the recommendation for promotion or appointment is based in primarily one area, this should be indicated in the Chair's letter of transmittal.
| A. | A recommendation may be based primarily on research. If so, the evidence must show that the candidate is one of the very best in the field in his/her peer group; that the candidate's work has had an important impact; that the candidate is exceptionally creative, unusually productive, and unequivocally recognized nationally and internationally as a leader in an important area of the physical sciences. The candidate's value to the programs of the department must be shown. |
| B. | A recommendation may be based primarily on scholarship in education. The evidence must show that the candidate is a truly outstanding educator and has contributed creatively to the content, techniques and/or art of classroom teaching, including a record of scholarly publications in the education literature. Through outstanding teaching, the university not only disseminates knowledge but contributes to better teaching elsewhere. Evidence must be presented to show that the candidate's work has had national impact. Unusual rapport with students in and out of the classroom is important but not sufficient. The impact of the candidate's contributions to teaching should extend beyond the University. The Committee will emphasize evaluations furnished by colleagues outside of the candidate's own department and outside of the University, especially evidence provided by recognized educators in the candidate's field. |
| C. |
A recommendation may be based primarily on work in outreach/extension. The evidence must show that the candidate is truly outstanding, being professionally recognized both within and outside the University as excelling in the field. The candidate's work must show the application of research results for the benefit of society, and the ways in which the candidate is meeting the continuing educational needs of the public through leadership of statewide, regional and/or national outreach programs.
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Departmental recommendations for promotion or appointment to tenure should be prepared according to the following outline. Fourteen copies should be sent to the divisional chair at least three weeks before the meeting of the Divisional Executive Committee during which the recommendations are to be considered. All dossiers should contain one publication. In addition three copies of the other two selected publications should be forwarded for the reviewers. Please number all pages consecutively, including all letters of recommendation and appendixes.
| A. | Dean's letter of transmittal: In accordance with the procedures of the particular college or school, the dossier must contain either a letter of transmittal from the appropriate dean (including the vote of college or school promotion committees if they are involved) or a statement from the department chair that the dean has been consulted and is requesting the advice of the Executive Committee. |
| B. | Chair's letter of transmittal. The letter from the chair to the Committee requesting consideration of the case should report the departmental vote as well as the total number eligible to vote and the voting rules relevant to tenure votes. (If a minority of the faculty voting negatively feels strongly enough to prepare a minority report, such a report should be included with the formal departmental proposal. The Committee will not entertain unwritten comments from a minority group.) The letter should also indicate the number of years counted on the candidate's tenure clock at the time of the departmental vote as well as the number of years remaining on the tenure clock. In the case of recommendations for promotion before the sixth year, the letter should state clearly why early promotion is proposed, including any exceptional circumstances, and the accompanying documentation must show unambiguously that the candidate's record is so strong that early promotion is justified. Attach a copy of the department tenure guidelines (Faculty Policies and Procedures 7.14.D). Evidence of special recognition such as citations of the candidate's work in review articles, invitations to give lectures and participate on important advisory committees, offers of appointment elsewhere, and so on, may be presented in the cover letter. |
| C. | Curriculum Vitae:
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| D. | Balance of responsibilities: State the relative balance of the candidate's responsibilities and accomplishments in teaching, research, extension, and professional and public service. |
| E. | Teaching ability and experience: Evidence must be presented that the candidate has developed and conducted a teaching or training program of high quality. It is normally expected that the candidate will have taught at both the undergraduate and graduate levels. If not, this must be explained. Special consideration should be given to new and innovative teaching methods and their effectiveness. As indicated in Part I, teaching includes both classroom and mentoring activities and accomplishments in both of these areas should be included here.
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| F. | Research:
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| G. | Outreach/Extension:
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| H. | Professional Service. Discuss the candidate's contributions to professional service as set forth in Part I. |
| I. | Letters of Evaluation:
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| J. | Effect of this Appointment on Overall Department Balance and
Future Plans: Explain how this candidate fits into the department with respect to the teaching and research programs and the future development of the department. Do not provide merely a statement such as "The candidate will increase the balance in the department." Rather, explain why the candidate is needed, what new areas may be developed, whether the candidate will be most useful for research, classroom teaching, department service, or outreach/extension, and so on. If "in-breeding" is involved, thorough justification is required. |
| K. | Urgency. If it is urgent that the Executive Committee act at the earliest opportunity, please indicate in the cover letter. |
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Sample Letter requesting an Evaluation
Format and Checklist for Tenure Submissions
Review Checklist used by the subcommittee reviewing a tenure case
Physical Sciences page     Divisional Committees