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Promotion and Tenure - Promotion and/or Tenure Format

Introduction

This format, based on the University of Maine System Tenure and Promotion Application Form must be used by all faculty members requesting consideration for promotion and/or tenure. Each completed application will be reviewed by the Departmental Promotion and Tenure Committee, the Chairperson, the Dean, the Provost, the Provost’s Advisory Committee, and the President. Positive tenure recommendations are then forwarded to the Chancellor’s Office and the Board of Trustees. Upon completion of the process, the original application will be placed in the applicant’s official personnel file.

This format is designed to elicit as complete information as possible about the faculty member who is being considered for promotion and/or tenure. Because various academic units of the University have different missions, this format does not place priorities among the several criteria herein identified. It is the faculty member’s responsibility to ensure that all appropriate and pertinent information is provided following this format. Faculty members involved in interdisciplinary programs are encouraged to document these activities.

It is the responsibility of the Departmental Promotion and Tenure Committee, the Chairperson, and other University administrators to review and evaluate the material submitted by the faculty member in a manner consistent with the mission of the appropriate academic unit and the University. Criteria for promotion and tenure are available in the Handbook for the Faculty and Professional Staff and in the standards adopted by the colleges and departments which is available at http://www.umaine.edu/provost/departmental-evaluation-criteria

The actual format includes instructions and other explanatory notes. These instructional notes should be omitted from the formal document submitted by the faculty member.

Suggestions to Faculty for Preparing an Effective Application

The promotion and tenure committee has access to your personnel file. Review it to make sure it is complete and up-to-date.

Be concise and write your document in a direct, well focused manner.

The page limits suggested for sections of your promotion and tenure document are general guidelines. Please keep your document to a reasonable length while educating your reader regarding your discipline and accomplishments.

Check your writing for grammar and punctuation. Simple errors make a very poor impression on readers. It is good practice to lay work aside for a couple of days before final proofing.

Do not compare yourself to other faculty members. You are evaluated against University standards and the specific criteria in your units promotion and tenure guidelines, not against other faculty members.

Follow the format exactly, using all the headings, even if the heading is not applicable, in which case, include the heading and follow it with the phrase “Not Applicable”. Eliminate from the document all wording printed in Italics in the attached sample document. Wording in Italics is explanatory and not part of the format.

In the most common circumstances, University of Maine System policy limits the period covered by documentation of achievement in the BODY of the application for tenure to the past five years. If you received prior credit toward tenure or are requesting early tenure consideration, material falling within the five year limit, even that which occurred prior to your appointment at UMaine, may be included in your document. Faculty members who received an extension of their tenure clock should include documentation of achievement back to the start of their tenure/probationary period. Applications not adhering to the appropriate time period will be returned to you for correction. Accomplishments prior to that period may be included in an appendix. Evaluators in your unit, college, and the University of Maine’s central administration will review such materials, but appendices will be removed from the application when it is forwarded to the Board of Trustees. In general, please keep appendices to a minimum.

The department chair or school director will solicit the evaluator letters for Section VI. in accordance with established departmental or school procedures. However, you are free to contact those evaluators whose names you have suggested so that they are aware that they may be contacted. Letters from the evaluators solicited for Section VI will be shared with you. Letters should be printed on letterhead and signed. Unsigned letters and faxes are not acceptable and will delay transmittal of documents to the University of Maine System. If your department chair or school director asks you to submit the names of potential outside evaluators, remember that the most convincing letters are from persons of standing in the field who can evaluate a your published work and standing in the discipline. These may be persons who do not know you personally, or, more frequently, persons you have met through professional activity but who are not close to you. External evaluators should hold rank at least equivalent to that sought by you, should enjoy professional recognition within the discipline, and should be affiliated with institutions at least comparable in stature to the University of Maine. Evaluators should not include your personal friends, co-authors, former mentors or academic advisers.

Supporting letters from evaluators outside the University of Maine and the University of Maine System (section VI. C.) are mandatory and very important to the success of your application. The main function of the letters supplied in Section VI. C. is to provide an independent, expert assessment of your scholarship and standing in the discipline.

Supporting letters from inside the University of Maine (section VI. A.) are not required. If your application will include letters in this category, they should speak to your cooperation with colleagues and to your University service.

Letters from evaluators external to the campus but from within the University of Maine System or from applicable state agencies and organizations (Section VI. B.) may be helpful if their work is comparable to your University assignment. Such letters also are helpful if you have worked cooperatively in a professional capacity with such entities. Personal friends, close colleagues and members of the review committee should not be asked for supporting letters. Do not include letters testifying to the kinds of community service undertaken in your role as a good citizen. Evaluator letters in this section are also optional.

Prior to the submission of the tenure document to the Board of Trustees, tenure candidates will be asked to identify a maximum of three letters in each category to be forwarded to the Board of Trustees. Letters beyond the three for the Board of Trustees review will be moved to the appendix. You may suggest potential evaluators to your chair or school director, but the University reserves the right to contact other evaluators in place of or in addition to those you suggest. Reviewers should be chosen who are not former colleagues from graduate school or from other institutions.

Use a type style and font that is clear and readable while at the same time makes judicious use of space.

Include a cover sheet for each subsection of Section VI, showing the title of the subsection, the names of the evaluators, a statement describing their relationship to you, and a very brief explanation of their qualifications as outside evaluators. The curriculum vita’s of evaluators in Section VI. C. should not be included in the body of the document, but may be included in the appendix.

Summarize the quantitative results of course evaluations by students as shown in the format included in this document. Be sure to include the wording of the items summarized and a legend clarifying the scoring system.
If you choose to include comments made by students on course evaluations, they must have been signed by the student. Please limit all comments included in your document to one page and do not identify the author by name. However, please identify each comment by course number and semester/year. Please assure that signed backup for the comments is available in your official departmental personnel file.

Format Details
Make sure that copies are of excellent quality, and printed only on one side of each sheet.

Number each sheet of the application consecutively beginning with Section 1. Use Arabic numbers with no accompanying words, placed in the upper right corner of each page. Do NOT number the supporting letters.

Begin Section III at the top of a new page.

Include dates on all documentation of research, scholarship, and public service.

Direct questions about the promotion/tenure process or application format to your dean or director’s office, or John Kidder, Office of Human Resources, 110 Corbett Hall, 581-1588.

UNIVERSITY OF MAINE
TENURE AND PROMOTION APPLICATION FORMAT

PROPOSED RANK/TITLE:

Example: Associate Professor with Tenure or Tenure at the rank of Associate Professor.

EFFECTIVE:

Example: September 1, 20 (for academic-year faculty) July 1, 20 (for fiscal-year faculty)

I. FACE DATA

A. Name

B. Present Rank

C. College/Department

D. Professional Experience (Provide a list of previous salaried positions, with dates, beginning with the most recent.)

E. Educational Background (For each degree obtained, provide degree level, field, institution, and date received.)

II. RECORD OF ACTIONS

A. Initial Probationary Appointment (Provide effective date, length of initial tenure-track appointment, and number of years credited toward tenure, if any. Information on any previous non-probationary appointment may be included as a footnote.)

B. Reappointment’s (Provide effective date and length of each reappointment.)

C. Promotion(s): (If applicable, provide effective date and new title/rank information for any promotions.)


For those individuals applying for promotion and tenure a separate section of administrative recommendations as well as an explanation of any exception to Board policy (tenure awarded before the end of the probationary period) will be inserted following II. C. The Office of Human Resources will prepare and insert these documents before transmittal to the Board of Trustees; therefore,

Section III must begin on a new page.

III. CANDIDATE’S PROFILE


NOTE: If you are applying for tenure, Board of Trustees guidelines stipulate that applicants who did not receive an tension of the tenure clock must limit information provided in the body of their application to the past five years. Faculty members who received an extension of their tenure clock should include documentation of achievement back to the start of their tenure/probationary period. To comply with format guidelines established by the Board of Trustees, information relating to activities and achievements prior to the appropriate time limit will be omitted before transmittal to the Board of Trustees. To prevent last minute modifications, tenure candidates should include such information as an appendix. Applications for promotion (separate from tenure actions) should include all pertinent information regarding academic, scholarly, and research achievements and interests at the University of Maine.


A. DOCUMENTATION OF TEACHING (including advising)

Please note the percentage of your time devoted to teaching.

Please describe, in narrative format, your efforts in the following areas. It is suggested as a general guideline that this section be limited to 3 pages.

  • Main field of teaching responsibility. Provide a concise account of your teaching philosophy and the strategies and approaches you have adopted for effective teaching.
  • If you have addressed multiculturalism, gender, international issues, or other curricular goals of the University of Maine System, discuss how you have handled these issues as an integral part of your teaching responsibilities.  (You should refer to your institution’s mission statement.) In addition, include a discussion of any work undertaken with K-12 schools.
  • Special efforts undertaken to enhance your teaching effectiveness.
  • List the numbers and titles of courses you have taught. Include the average number of students in each course. Indicate those courses you teach regularly, those you have developed, and those you have substantially restructured. Note: This information is requested in the Table in Section IV. You may refer readers to that table instead of also presenting it here.
  • Identify any special teaching assignments or innovations.
  • Provide a concise description of your strategies and approaches in the advising process. e.g. Do you have regular meetings? How do you make contact with advises that don’t come to your office? How do you ensure that your advises are meeting the General Education requirements? How many undergraduate students (majors, undeclared students, honors students) do you typically advise during the academic year? Include the results of any evaluations by your advises.
  • Provide a brief statement describing your recent advising commitments for honors theses, master’s, and doctoral dissertation committees (if applicable).
  • A summary of qualitative and quantitative student evaluations should be included in IV. A. Individual student evaluation forms should not be included.

B. DOCUMENTATION OF SCHOLARSHIP AND PROFESSIONAL ACTIVITY

Please note the percentage of your time devoted to research.

1. Publication and Creative Works

Provide a full bibliography of published work cited in the standard entry form used in your field. Please sort the publications by type and list under separate headings for articles, (include those in press and note refereed articles), books and monographs, textbooks, technical reports, reviews, published computer software, chapters, conference proceedings, published abstracts, edited publications, and miscellaneous publications. Each entry should note all authors, date of publication, and page numbers. Do not list unpublished presentations in this section.

(Copies of all published and/or scholarly works should be forwarded with the Promotion and Tenure document. These materials will be forwarded to the Dean’s Office as part of the tenure and/or promotion file, where they will be made available for further administrative review. These will be returned to you after the process has been completed.)

Faculty members in fine and performing arts departments should list and describe any juried or invitational art exhibitions, faculty recitals, theater productions, dance productions, and other activities.

2. Scholarly and Creative Work in Progress

Briefly describe your current fields of scholarly and creative work in progress, as well as future directions. It is suggested as a general guideline that this section be limited to half a page.

3. Professional Presentations

List unpublished papers authored by you, delivered at professional conventions and before professional groups, noting with an asterisk those that were refereed. Indicate those for which you were the presenter. Invited talks may also be included in this section.

4. Other Scholarly Activity

List professional organization memberships and activities, including offices held and committee memberships in the period under review.* List international, national and regional meetings attended and sessions chaired in the period under review.

List your service in reviewing papers submitted for publication, grant proposals, and/or service as a member of a review panel.

List any other scholarly activity that you believe would support your candidacy for tenure and/or promotion.

5. Statement on the Status of Candidate’s Scholarly and Creative Work

Provide a brief statement regarding the status of the journals, conventions, exhibitions, or other scholarly activities which you have listed in relation to your profession. For a journal, this would be demonstrated by quoting the rate of acceptance for publication (i.e. only 2% of articles submitted are accepted for publication). (The intent of this item is to ascertain the relative exclusivity or prestige of the settings through which your work has been made available to others.)

C. DOCUMENTATION OF RESEARCH/TRAINING GRANTS

List grants, contracts, or fellowships for which you have applied and indicate those awarded, including agency name, date applied, and disposition. (Please include the dollar amounts of all proposals funded and unfunded.)

D. DOCUMENTATION OF DEPARTMENT/CAMPUS/COLLEGE SERVICE

Provide information about your contributions to department, college, and University affairs, including committee membership, and advising student organizations. Identify the group, activity, and date.

E. DOCUMENTATION OF PUBLIC SERVICE

Please note the percentage of your time devoted to public service. List both compensated and uncompensated public service activities that utilize your professional expertise. Do not include service rendered in the role of a citizen. Include dates for each activity listed.(Particular emphasis should be given to service that contributes to the economy, culture, and quality of life of citizens of Maine, the region, and the nation.)

F. DOCUMENTATION OF SPECIAL RECOGNITION/AWARDS

List and comment on any prizes, special recognition, awards, or other honors you have won. For example, outstanding teaching, research, service or other awards related to your academic career.

IV. EVALUATIONS OF TEACHING

A. STUDENT EVALUATIONS OF TEACHING

1. Provide a summary of qualitative and quantitative student evaluations. Please use the form titled Summary of Courses Taught and Student Evaluations furnished as part of these application guidelines. If other than the standard UMaine evaluation form is used, the table should still be used to present the information in the first three columns. Results of other numerical rating forms should be presented in a form similar to the suggested table. Results of narrative evaluations should be presented as concisely as possible. If evaluations are uncharacteristically poor for one course or one semester, please explain. If some of the courses were taught in collaboration with others, note the percentage of the course taught by you in the remarks column of the table. (Individual student evaluation forms should not be included.)

B. OTHER EVALUATIONS OF TEACHING

1. Annual peer evaluations. Please provide excerpts from only past annual peer committee evaluations that speak to your teaching effectiveness. No other evaluations should be included in this section.

2. List teaching awards, if any.

3. If your department has a graduate program, provide evaluative information on your teaching of graduate students in the classroom and on your thesis advising (e.g., student evaluations, peer evaluations, administrative evaluations, presentations and publications of your students.)

Deadline for Submission to Peer Committee by Faculty Member: October 3, 2013


The items contained in Section V of this format are for response by your unit’s Promotion and Tenure Committee. Guidelines supplied by the University of Maine System for Tenure and Promotion Review Letters may be useful to the departmental Peer Committee and outside reviewers. These guidelines are available: http://www.maine.edu/pdf/GuidelinesforTenureandPromotionReviewLetters.pdf


The evaluations requested in Section V. should reflect the consensus of the Departmental Promotion and Tenure Committee.

V. DEPARTMENTAL PEER COMMITTEE EVALUATION

A. EVALUATION LETTER (Evaluation must be based on the Unit’s evaluation criteria. This evaluation should be preceded by a header page with V. A. and V. B. listed on it. The evaluation/recommendation of the Department Peer Committee should be on departmental letterhead.) This letter should not exceed two pages and should keep any quotes from the reference letter to a minimum. The most effective peer committee evaluations will build on the established record and not reiterate or directly quote past evaluations. A concise breakdown of the faculty member=s time formally assigned to teaching, research, service, or administrative duties should also be included. Other reviewers will read these letters.

1. Evaluation of Teaching (NOTE: Candidates should submit copies of course syllabi to the departmental peer committee in an appendix.)

Evaluate the faculty member’s performance as a teacher and adviser of undergraduates (classroom, laboratory, office, special projects, etc.). Comment on strengths and weaknesses, student evaluation results, syllabi, and evaluations by colleagues.

Evaluate the faculty member’s role in the program of the department, college, and/or University.

Evaluate the faculty member’s performance as a graduate teacher and thesis adviser when applicable.

Note any special efforts undertaken to enhance the effectiveness of the faculty member’s teaching.

2. Evaluation of Scholarship

Evaluate the quality of the faculty member’s scholarly writing and the journals in which it appears. Which appear in the major refereed journals in his/her field?

Assess the faculty member’s regional, national, and/or international reputation in his/her field. Has the faculty member been sought out to review papers submitted for publication/presentation, grant proposals, and/or to serve as a member of a review panel?

(Frequently faculty members are active in more than one area of scholarship and collaborate with persons in other departments or in scholarly groups off campus. Letters that speak explicitly to the kind and quality of the faculty member’s contributions should be requested from the responsible individual in such scholarly organizations.)

3. Evaluation of Service

Evaluate the faculty member’s public service activities, both compensated and non-compensated, that utilize the candidate’s professional expertise or relate to institutional expectations of faculty members as participants in the governance and administration of their campus. These should be activities carried out as a faculty member, rather than those performed as a citizen.

(Particular emphasis should be given to service that contributes to the economy, culture, and quality of life of citizens of Maine, the region, the nation, and internationally. If appropriate, letters of evaluation of public service activities should be included in the appendices.)

Evaluate the faculty member’s service to the department, if applicable, and to the University, school or college, or other committees.

B. RECOMMENDATION/RECOMMENDED ACTION (See instructions under V. A.)

(Example: Promotion to the rank of Associate Professor with Tenure, or Tenure at the rank of Associate Professor)

The dated evaluation/recommendation should be prepared on departmental letterhead. It must list the names of the voting members of the committee along with their signatures and be copied to the unit member and the individual’s official personnel file.

If the recommendation for action is not unanimous, the vote tally should be noted.

The recommendation should include a notation that the faculty member received a copy and that a copy was placed in their official departmental personnel file (Example: pc: Faculty member=s name Personnel File)

Recommendations for tenure before the end of the probationary period represent an exception to Board of Trustees policy. If this recommendation is an exception, the departmental peer committee evaluation should include a rationale for such an exception.

Example:

Voting members of the Peer Committee:

____________________________ Name Signature

______________________________________________________
Name Signature

______________________________________________________
Name Signature

______________________________________________________
Name Signature

______________________________________________________
Name Signature

Date______________________________

This recommendation must include a copy notation to the faculty member’s official personnel file and to the faculty member.


NOTE: The application, this evaluation and recommendation as well as the departmental evaluation criteria should be forwarded to the Department/Dean (as appropriate) no later than November 10, 2013.The deadline for the Department Chair recommendation to be prepared on departmental letterhead is November 23, 2013.

The Department Chair/School Director and Dean will review the application, the Departmental Promotion and Tenure Committee recommendation(s), and make their recommendation. Each recommendation should contain succinct evaluations of the faculty member’s past performance as well as the recommendation for promotion and/or tenure. As with the peer committee evaluation, each letter should be limited to no more than two pages and should build on the established record and not reiterate material already presented. If the recommendation represents an exception to Board of Trustee policy (tenure granted prior to sixth year of the probationary period), the recommendation should include a statement to justify the exception. The Administrative Promotion and Tenure Committee will then review the application and accompanying recommendations and forward their recommendation to the President.

These recommendations, of the Chair/Director and Dean, will be added to Section II prior to transmittal to the Board of Trustees. Each recommendation must include a copy notation to the faculty member=s official personnel file and to the faculty member.

VI. SUPPORTING LETTERS

The faculty member submits names of possible individuals to the departmental peer committee or the Department Chair/Director/Dean who then solicits the letters. The candidate should not solicit letters. Letters of recommendation solicited on behalf of a faculty member being considered for promotion and/or tenure become part of the faculty member’s official personnel file, and are, therefore, available to the faculty member. Candidates for tenure should be asked to select the three letters in each category to be sent on to the Board of Trustees.

Guidelines supplied by the University of Maine System for Tenure and Promotion Review Letters may be useful to the departmental Peer Committee and outside reviewers. These guidelines are available at: www.maine.edu/pdf/GuidelinesforTenureandPromotionReviewLetters.pdf

In accordance with Board of Trustee procedure for tenure recommendations, only three letters in each of the subsections listed below may be forwarded to the Board.

Applications from faculty being considered for tenure and/or promotion to the rank of professor, must include letters from three established scholars from outside the System (subsection C) who can evaluate the faculty member’s scholarly/creative works. These evaluators may be selected from the list submitted by the candidate or chosen by members of the Peer Committee.

Support letters are not required for subsections A and B as described below.

It is recommended that outside reviewers should be chosen carefully to ensure that (a) they are persons whose objectivity for your candidacy for promotion and tenure is not open to challenge – that is, do not request letters from co-authors, longtime personal friends, former students, former mentors or colleagues in your department or on your peer committee unless more than the minimum three letters are presented in that category; (b) the person holds at least the rank for which you are being considered. Candidates for Promotion and Tenure are encouraged to seek letters from individuals whose institution is considered to be a peer institution or better to the University of Maine. You should suggest a number of outside reviewers to your chair.

Each subsection should be preceded by a cover sheet listing the subsection title (VI. A., VI. B. or VI. C.), each correspondent’s name, institution, and a statement of their connection with the faculty member. Curriculum vitaes of evaluators should not be included in the body of the document, but may be included in the appendix.

A. LETTERS INTERNAL TO CAMPUS

The department chair or school director (not the applicant) will solicit the evaluator letters for Section VI. in accordance with established departmental or school procedures. Letters should be printed on letterhead and signed. Unsigned letters and faxes are not acceptable. Prior to the submission of the tenure document to the Board of Trustees, tenure candidates will be asked to identify three letters in each category to be forwarded to the Board.

Support letters should address one or more of the three areas of evaluation: teaching, scholarship, and service. To be most effective, these letters should describe substantial contributions and accomplishments related to the departmental/University mission and/or the discipline and body of work.

The most convincing letters are from persons of standing in the field who can evaluate a candidate=s published work and standing in the discipline. These may be persons who do not know the candidate personally, or, more frequently, persons the candidate has met through professional activity but who are not close colleagues. The external evaluators should hold rank at least equivalent to that sought by the applicant, should enjoy professional recognition within the discipline, and should be affiliated with institutions at least comparable in stature to the University of Maine. Evaluators should not include personal friends, co-authors, or former mentors or academic advisers of the applicant.

In the area of teaching, letters should be based primarily on first-hand observation of the candidate in the classroom or in other recognized teaching contexts such as workshops, as well as on review of teaching materials and syllabi, preparation of students for subsequent courses in the discipline and advising effectiveness.

In the area of scholarship, letters should be based on an examination of the candidate’s written and/or creative work as well as on scholarly discussions with the candidate or attendance at conference presentations where applicable. The writer should have expertise in the area being evaluated.

In the area of service, letters should be based on first-hand experience with the candidate in some service activity. The service activity in question should be directly related to the candidate’s academic expertise or to his/her collegial or governance role as a faculty member. Letter should address the candidate’s academic contribution to the shared service activity or evaluate the way in which the candidate carried out his/her responsibilities as a faculty member.

B. LETTERS INTERNAL TO THE UNIVERSITY OF MAINE SYSTEM, BUT EXTERNAL TO THE CAMPUS

The guidelines regarding teaching, scholarship, and service under VI. A. should be followed.

(If comparable programs and faculty do not exist within the System, letters may be solicited from state agencies, colleges, laboratories, or museums within the State of Maine, if they employ individuals possessing similar academic credentials/attainment who perform work similar in both level and scope to the faculty member. These individuals must have appropriate expertise and be acquainted with the candidate or his/her work.) Support letters of a community service type are not appropriate and should not be included in section VI.

C. LETTERS EXTERNAL TO THE UNIVERSITY OF MAINE SYSTEM AND EXTERNAL TO THE CAMPUS

The guidelines regarding teaching, scholarship, and service under VI. A. should be followed. The main function of the letters supplied in Section VI. C. is to provide an independent, expert assessment of the candidate=s scholarship and standing in the discipline.

In the area of service, two conditions on acceptable letters of support should be highlighted:

For the purposes of tenure evaluation, service activities do not include activities that one engages in simply as a neighbor, organization member, or citizen. Service activities must relate directly to the academic expertise of the candidate or to institutional expectations of faculty members as participants in the governance and administration of their campus.

Those who comment on service activities from outside the campus and the University of Maine System should have first-hand experience of the candidate’s activities and have the relevant and appropriate expertise to evaluate the candidate’s performance.


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