Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals

College of Agriculture, Food Systems, and Natural Resources (COA, FS, and NR)
North Dakota State University

Approved by CAFSNR Promotion, Tenure, and Evaluation (PTE) Committee on February 5, 2007
Approved by CAFSNR Faculty on March 2, 2007
Approved by CAFSNR Dean/Director of AES on March 2, 2007
Approved by Provost/Vice President for Academic Affairs on (pending approval)

1.0 Introduction

1.1 Abbreviations used in this document include:

1. North Dakota State University (NDSU)
2. North Dakota State Board of Higher Education (SBHE)
3. College of Agriculture, Food Systems and Natural Resources (CAFSNR)
4. Research and Extension Center (REC)
5. Dean of the College of Agriculture, Food Systems and Natural Resources/Director of
   the Agricultural Experiment Station (Dean/Director AES)
6. Director of the North Dakota State University Extension Service (Director NDSU Ext.
   Ser.)
7. Vice President of Agriculture and University Extension (VP Ag./Ext.)
8. Provost and Vice President Academic Affairs (Provost/VPAA)
9. Promotion, Tenure, and Evaluation Committee (PTE Committee)
10. Promotion, Tenure, and Evaluation (PTE)

1.2 This document describes CAFSNR policy and procedures for promotion, tenure, evaluations, dismissals, terminations, and nonrenewals.

1.3 Promoting faculty and awarding tenure, and the prerequisite processes of evaluation and review of faculty, are of fundamental importance to the long-term ability of the university to carry out its mission. Promotion recognizes the quality and acknowledges the increasing value of a faculty member's scholarship and contributions in the areas of teaching, research, and service. Promotion acknowledges that the faculty member's contribution to the university is of increasing value. Tenure assures academic freedom and enhances economic security for faculty members who show promise of sustained contributions. Tenure also recognizes a candidate's potential long-term value to the institution as evidenced by professional performance and growth, and indicates the expectation of continued employment. (NDSU Policy 352.1).

1.4 The CAFSNR believes every employee deserves regular evaluation of his/her professional duties as they relate to a formal job description and the college and university’s needs. This process should be honest, open, and forthright; an acknowledgment of the employee’s achievements, as well as an assessment of her/his ability to match the university’s expectations, and a determination of areas needing improvement.

1.5 This document also provides policy and procedures for implementing NDSU policy for dismissals, terminations, and nonrenewals of faculty in the CAFSNR. It also specifies the mission, membership, policy, and procedures of the CAFSNR Promotion, Tenure, and Evaluation (PTE) Committee. It notes the role of department PTE committees and the approval process for department PTE policies.

2.0 References

2.1 The information in this document describes the CAFSNR policies and procedures for implementing the following NDSU policies, which deal with promotion, tenure, evaluation, dismissal, termination, and nonrenewal of faculty, academic staff, and administrators:

2.2 NDSU Policies http://www.ndsu.nodak.edu/policy/sec3.htm
350.1 - Board Regulations on Academic Freedom and Tenure, Academic Appointments
350.3 - Board Regulations on Nonrenewal, Termination or Dismissal of Academic Staff
352 - Promotion, Tenure, and Evaluation

Additional information on university policies affecting faculty rights, hearings and appeals, grievances, and mediation options can be found in the following sections of the NDSU policies:

350.2 - Board Regulations on Standing Committee on Faculty Rights; Special Review
350.4 - Board Regulations on Hearings and Appeals
353 - Grievances - Faculty

2.3 Related North Dakota State Board of Higher Education (SBHE) Policies:
http://www.ndus.nodak.edu/policies_procedures/default.asp

605.1 Academic Freedom and Tenure; Academic Appointments
605.2 Standing Committee on Faculty Rights
605.3 Nonrenewal, Termination, or Dismissal of Faculty
605.4 Hearings and Appeals
605.5 Mediation

2.4 Guidelines for Promotion and Tenure Portfolio Preparation
http://www.ndsu.edu/ndsu/vpaa/info.shtml

3.0 Evaluation Philosophy

3.1 Faculty and administrative evaluations are important and necessary for NDSU to carry out its mission. Both formal and informal evaluations provide important feedback to faculty and administrators on their performance. Formal, periodic, and comprehensive evaluations are used for administrative decisions such as pay increases, workload adjustments, promotion, and tenure. The CAFSNR uses formal evaluations to document the accountability expected by stakeholders, taxpayers, students, clients, administrators, and faculty. Formal performance evaluations can be useful in prioritizing efforts, maintaining focus, monitoring progress, relating assignment expectations with performance expectations, and recognizing superior achievements. This process should be honest, open, and forthright, with an acknowledgment of the employee’s achievements and a determination of areas needing improvement.

3.2 To accomplish its mission, the CAFSNR has assembled a faculty that is exceptionally diverse in academic disciplines, roles, and functions. Faculty are evaluated for their accomplishments relative to their assignments, which are stated in their job descriptions. Departments are expected to provide clarifying and amplifying components to their PTE documents to ensure that the unique talents, capabilities, and accomplishments of individuals within the unit are properly acknowledged. No single assessment is suitable for every faculty member.

3.3 Whereas CAFSNR provides format and guidance for the evaluation process, it is the judgment of peers within departmental PTE Committees, the CAFSNR PTE Committee, administrative evaluation Committees, and administrators that determines how well an individual has performed. It is critical to the entire process that integrity and fairness are applied rigorously at all levels.

4.0 Procedures for Periodic Reviews of Faculty (NDSU Policy Manual 352.4) and Administrators (NDSU Policy Manual 327)

4.1 Tenure Track Probationary Faculty Reviews

Annual reviews of non-tenured faculty must be completed by the dates shown in Table 1 (NDSU Policy 352-4.3). Table 1 provides timelines for the annual reviews of probationary faculty, the third year review process, and the promotion and tenure application process.

Table 1. Timeline for annual reviews of tenure track probationary faculty, the third year review process, and the promotion and tenure application process (shaded areas indicate no participation).

*Dean of College of Agriculture, Food Systems, and Natural Resources/Director of Agricultural Experiment Station (Dean/Director AES). Faculty with an appointment in the NDSU Extension Service should also submit a copy to the Director of the NDSU Extension Service (Director NDSU Ext. Ser.).

**Provost/Vice President for Academic Affairs (Provost/VPAA)

4.1.1 Annual reviews

4.1.1.1 Annual reviews for probationary faculty must be written and contain: 1) an overall recommendation for renewal, or nonrenewal without cause; 2) a statement on progress toward tenure/promotion; 3) a separate evaluation of each job component; which at a minimum addresses performance in teaching, research and grantsmanship, and service to the academic discipline, stakeholders, and the university; 4) goals and expectations for the upcoming review period; and 5) signatures of faculty member and Chair/Head indicating that the review has been transmitted (does not necessarily imply agreement).

4.1.1.2 Faculty will receive copies of their performance reviews. Faculty members have the right to submit a letter of comment, rebuttal, or amplification to the Dean/Director AES with a copy to the Department Chair /Head within 10 business days following receipt of the review. The Director NDSU Ext. Ser. should receive a copy of the letter if the faculty member has a NDSU Extension Service appointment.

4.1.2 Third year reviews

4.1.2.1 The primary function of the third year review is to provide guidance. The format for the third year review document will be that of the current NDSU Guidelines for Promotion and Tenure Portfolio Preparation with the exception that letters of evaluation are not needed. An original and 8 copies of the third year review document should be provided to the Dean/Director AES by February 1. Faculty with an NDSU Extension Service Appointment should also send a copy to the Director NDSU Ext. Ser.

4.1.2.2 The CAFSNR administrative group and the PTE Committee will perform separate evaluations and write independent recommendations. The Director NDSU Ext. Ser. will provide an evaluation of faculty with Extension appointments and the Dean/Director AES will provide an evaluation of faculty with appointments in the NDSU Agricultural Experiment Station. The Dean/Director AES and the Director NDSU Ext. Ser. will confer in the evaluation recommendation for faculty with joint appointments. Copies of the CAFSNR PTE Committee evaluation reports will be forwarded by April 1 to the Dean/Director AES, Director NDSU Ext. Ser. (as appropriate), the Department Chair/Head, and the person being evaluated.

4.1.2.3 For faculty granted credit toward tenure, the third year review will be based on years toward tenure including the years of credit. For example, if a faculty member is granted two years toward tenure, the review will be conducted after one year at NDSU. Faculty granted three years toward tenure, will be reviewed at the next opportunity. Please refer to the section on special circumstances for more information (5.2.1).

4.1.3 Mentoring
Each department is encouraged to have senior faculty serve as mentors to aid the professional development of new faculty. Mentors, however, will not be held responsible for the performance of new faculty. Mentoring can be considered service to the department and noted in annual reports.

4.2 Tenured Faculty

4.2.1 Annual reviews of tenured faculty will be done by the department Chair/Head or designee, and will be completed by March 1 of each year. If the faculty member is applying for promotion, the faculty member would submit the promotion portfolio according to the timeline for the PTE process (Table 1).

4.2.2 Reviews of faculty should contain sufficient detail relative to performance that the faculty member has an honest and realistic appraisal of his/her progress or standing. Annual reviews will be based on the current approved job description. Faculty will receive copies of their performance reviews, and faculty members have the right to submit a letter of comment, rebuttal, or amplification to the Dean/Director AES, Director NDSU Ext. Ser. (if appropriate) and Department Chair/Head within 10 business days following receipt of the review. Reviews of tenured faculty should contain at least: 1) separate evaluations for each job component; 2) goals and expectations for the upcoming year; 3) descriptions of significant changes in assignment, responsibility, or research/teaching/service direction; 4) a statement on progress toward promotion if appropriate; and 5) signatures of the faculty member and Chair/ Head indicating that the review has been transmitted (does not necessarily imply agreement).

4.3 Procedures for Evaluation of Administrators
(NDSU Policy Manual 327)

4.3.1.1 CAFSNR administrators will annually prepare and share with their faculty by April 1 a written annual report that summarizes the administrator’s accomplishments and goals, which is part of their annual review.

4.3.1.2 It is expected that administrators will be evaluated formally at least every 3 years. The college or departmental PTE Committee, supervising administrator, or the employee may request an evaluation. Faculty can petition the VPAg./Ext., the Dean/Director AES, or the Director NDSU Ext. Ser. (as appropriate) for a special review of an administrator by a simple majority vote of the faculty of the unit.

4.3.1.3 In the CAFSNR, the Dean/Director AES, Director NDSU Ext. Ser., and Provost/VPAA have responsibility for conducting periodic and special reviews of administrators including Chair/Heads and REC Directors in the CAFSNR, Experiment Station, Extension Service, and other units, in a manner that provides for a fair and comprehensive evaluation by those they serve and to whom they report. Evaluation of administrators will include input from an appropriate sampling of external constituency groups.

4.3.1.4 Administrative reviews are to be based on the administrator’s job description, and administrators should ensure that their current approved job descriptions are submitted to the Provost/VPAA and are available to faculty/staff.

4.3.1.5 Whereas performance standards may vary among administrators, the following considerations are designed to help guide evaluation committees in conducting their evaluations: Leadership, planning, administration and management, affirmative action, instruction, outreach, development, personnel development, and assessment. These considerations are more thoroughly explained in NDSU Policy 327.

4.3.2 Department Chairs/Heads and Research and Extension Center Directors

4.3.2.1 The Dean/Director AES and the Director NDSU Ext. Ser. will initiate the formal evaluation process at least every 3 years. They, in conjunction with the departmental faculty, will form an ad hoc evaluation committee consisting of at least 3 faculty members. The evaluation committee will propose a written evaluation form based upon the administrator’s current job description, statement of goals and accomplishments, and a statement of self-assessment. A draft of this proposed evaluation form will be provided to the administrator, who will be invited to offer input before the document is finalized. The final evaluation form will be used to solicit responses from faculty, peer administrators, and others, including classified staff, students, recent graduates, and an appropriate sampling of external constituents.

4.3.2.2 The evaluation committee will analyze the completed evaluation forms and prepare a summary report of the findings for the Dean/Director AES and the Director NDSU Ext. Ser. Evaluation committee members who do not agree with the majority report may append a dissenting report. If the evaluation committee believes that the needs of the department or unit have changed, it may recommend that the position description be changed.

4.3.2.3 Upon receipt of the report from the evaluation committee, the Dean/Director AES and the Director NDSU Ext. Ser. will analyze and summarize the data. They will meet with the ad hoc committee to determine the consensus views and discuss differences. A draft report will be sent to the Chair/Head or REC Director. The Dean/Director AES and the Director NDSU Ext. Ser. will meet with the Chair/Head or REC Director to complete the evaluation. Following the meeting, a final report will be written, which will become a public document. To ensure that the process remains open and positive, it is strongly suggested that the Chair/ Head and REC Directors discuss the evaluation at a subsequent departmental or center meeting.

4.3.2.4 At any time, faculty or staff not on the committee may contact the Dean/Director AES or the Director NDSU Ext. Ser. directly with comments relating to the person being evaluated.

4.3.2.5 The Dean/Director AES and the Director NDSU Ext. Ser. will evaluate Research and Extension Center (REC) Directors.

4.3.3 Dean/Associate Deans/Assistant Deans/ Extension Director/ Experiment Station Director/ Extension Ag Program Leader

4.3.3.1 The Provost/VPAA or VP Ag./Ext. will initiate the formal evaluation process at least every three years. The Provost/VPAA, in conjunction with the College PTE Committee, will form an ad hoc evaluation committee consisting of at least 5 full-time, non-administrative faculty members for the Dean, Associate Deans, and Assistant Deans. The VPAg./Ext., in conjunction with the College PTE Committee, will form an ad hoc evaluation committee consisting of at least five full-time, non-administrative faculty or other staff served by the administrator for the Dean/Director AES and the Director NDSU Ext. Ser. Members of the CAFSNR PTE Committee cannot serve on the evaluation committee. Evaluation committee members should decide at an initial meeting the number of members constituting a quorum.

4.3.3.2 The evaluation committee will propose a written evaluation form based upon the administrator’s current job description, statement of goals and accomplishments, and a statement of self-assessment. A draft of this proposed evaluation form will be provided to the administrator, who will be invited to offer input before the document is finalized. The final evaluation form will be used to solicit responses from faculty, administrators, and others including classified staff, and appropriate sampling of external constituents.

4.3.3.3 The evaluation committee will analyze the completed evaluation forms and prepare a report summarizing the findings. The report on academic programs should be submitted to the Provost/VPAA and other programs to the VPAg./Ext. Evaluation committee members who do not agree with the majority report may append a dissenting report. If the evaluation committee believes that the needs of the unit have changed, it may recommend to the Provost/VPAA and/or VPAg./Ext. that the position description be changed.

4.3.3.4 Upon receipt of the report from the evaluation committee, the Provost/VPAA or VPAg./Ext. will also analyze and summarize the data. The Provost/VPAA or VPAg./Ext. will then meet with the evaluation committee to determine consensus and discuss differences. The Provost/VPAA or VPAg./Ext. will prepare a draft report and provide it to the administrator prior to the evaluation meeting. Following the meeting, a final report will be written, which will become a public document. To ensure that the process remains open and positive, it is strongly suggested that the administrator discuss the evaluation with appropriate Chairs/Heads and REC Directors.

4.3.3.5 At any time, faculty or staff not on the committee may contact the Provost/VPAA or VPAg./Ext. directly with comments relating to the person being evaluated.

4.3.4 Vice President for Agricultural and University Extension

4.3.4.1 The NDSU President will annually evaluate the performance of the VPAg./Ext. in a manner similar to the other President’s cabinet members.

4.3.4.2 At any time, faculty or staff may contact the President directly with comments relating to the person being evaluated.

5.0 Promotion and Tenure Process
(NDSU Policy Manual 350.1 & 352)

5.1 Time Accounting

5.1.1 Time toward tenure is counted on a July 1 to June 30 year basis or as stated in the contract appointment agreement. The first year starts on July 1 after the person is hired. For example, the tenure clock will start on July 1, 2007, for a faculty member hired on October 1, 2006. Tenure clocks will begin on July 1 of the individual's first probationary year, unless otherwise specified in the contract appointment agreement. For faculty granted credit for previous service, the tenure clock with credit granted starts on July 1 following the appointment date. For example, for a faculty member hired on October 1, 2007, with credit given for 2 years previous service, the tenure clock will have started on July 1, 2006. Therefore, on July 1, 2009, the faculty will have 3 years of tenure credit. Faculty currently on tenure track at the time of approval of this document will have the option of continuing their existing tenure time credit or changing to the tenure clock described in this policy and procedures document with the change documented in writing by the Dean/Director AES.

5.2 Special Circumstances

5.2.1 In agreement with NDSU policy 350.1.4.a1, a new faculty member with relevant previous professional experience may be given credit toward tenure and promotion for this experience in an amount not to exceed three years. This credit is negotiated and must be specified as part of the initial hiring contract issued by the Provost/VPAA. If years-toward-tenure is authorized by the Provost/VPAA and the President, contributions, experience, and credentials of the candidate gained prior to employment at NDSU will be considered as service to the department and college, and will be evaluated as if the individual were a faculty member of NDSU during that time period. For example, if two years of credit is granted, the contributions during the previous two years will be considered and evaluated. The faculty member will then have the option of applying for tenure after the remaining probationary years at NDSU or wait until the normal 6 year probationary period at NDSU. If credit is not granted, contributions prior to NDSU employment will not be evaluated as part of the evaluation period. Prior professional experience is noted, but is not considered as part of the specific evaluation period. Any changes to the time toward tenure must be approved by the Dean/Director AES., the Provost/VPAA, and the President, and copies of the authorization must be included with promotion and/or tenure portfolio materials.

5.2.2 Tenure recommendations and recommendations for appointment at the rank of associate professor or professor for new hires (administrators or faculty with prior experience) are made by the respective department and the CAFSNR PTE Committee. The process of review is initiated by the department Chair/Head.

5.2.3 A faculty member desiring an extension of the 6-year probationary period or a waiver of the continuous service requirement, based on exceptional personal or family circumstances, will make a written request for an extension or waiver to the department chair/head of the academic unit. The written request generally will be made within 90 days from the time of the exceptional circumstances justifying the extension or waiver request. The department Chair/Head of the academic unit will forward a recommendation on the request to the Dean/Director AES, and Director NDSU Ext. Ser. for faculty with an Extension Appointment), who will review the matter and forward a recommendation on the request to the Provost/VPAA . Approval or denial of the request rests with the Provost/VPAA and the President. Denial of an extension or waiver request is a matter related to promotion and tenure and is appealable under University Policy 350.4.

5.2.4 A faculty member who satisfies the criteria for promotion to associate professor may be granted promotion prior to the completion of the probationary six years. The CAFSNR College follows NDSU Policy 352, Section 3.4 in regards to probationary period for tenure: “Ordinarily, to be eligible for tenure, a faculty member must complete a probationary period of six years of continuous academic service to the institution and meet the criteria for tenure. However, in exceptional circumstances, a faculty member who satisfies the criteria for early tenure may be granted tenure prior to the completion of the probationary period. Each academic unit will establish the criteria for such early tenure as part of its statement on promotion, tenure, posttenure review, and evaluation.”

5.2.5 If the initial hiring contract provides an opportunity to apply for promotion or tenure after 3 years (or other period), the application will not be considered early tenure and promotion. Contributions, experience, and credentials of the candidate gained prior to employment at NDSU will be considered as service to the department and college and will be evaluated as if the individual were a faculty member of NDSU during a normal length evaluation period. The portfolio should include information from the period prior to employment at NDSU. The offer is an option which may be exercised at the faculty member’s discretion. They may choose to apply at any time up to the normal 6-year probationary time period. For example, it will not be considered an early application if a faculty member hired on July 1, 2006, and given the option to apply after 3 years, applies for promotion or tenure during the 2009-2010 academic year. The faculty member may apply during the 2009-2010 academic year or wait up to the normal six years, until the 2012-2013 year.

5.3 Timeline for the Promotion and Tenure Application Process
(NDSU Policy Manual Section 352.6)

5.3.1 Probationary assistant professors are normally eligible to apply for promotion to associate professor and for tenure in their sixth year. Successful applicants generally will receive tenure and promotion to associate professor at the same time. Promotion to professor is typically considered after the completion of five years of service in rank as associate professor. The application is typically made during their sixth year at the rank of associate professor or later. The faculty member has the option of waiting and seeking promotion to professor anytime after the sixth year. The application process and timelines for the application are the same for the application for tenure and promotion to associate professor or professor. One original and 8 copies of the candidate’s application are forwarded to the Dean/Director AES plus one copy to the Director NDSU Ext. Ser. for faculty with an Extension Appointment.

Table 2 describes the timeline for the promotion and tenure application process.

Table 2. Timeline for Promotion and Tenure Application Process

* The Dean/Director AES and the Director NDSU Ext. Ser. will forward their report and recommendations regarding the candidate to the Provost/VPAA by January 15. The college PTE committee, the Chair/Head of the department, and the candidate also will receive copies of the report and recommendations by January 15.

** After review of the Portfolio, copies of the CAFSNR PTE Committee reports will be forwarded to the Chair/Head of the department and the candidate by December 30 and to the Dean/Director AES, the Director NDSU Ext. Ser., and to the Provost/VPAA by January 15.

*** The Provost/VPAA will give a recommendation to the President by March 31, with copies provided to the candidate and the Dean/Director AES and the Director NDSU Ext. Ser.

**** The President normally gives a recommendation to the SBHE for action at its April meeting, and tenure and/or promotion is normally awarded on July 1 for 12-month faculty, and on Aug. 16 for 9-month faculty.

5.4 Promotion and Tenure Application and Review Process

5.4.1 Each faculty member is responsible for understanding the processes, elements, and contributions that demonstrate productivity. Also, each faculty member should record and explain contributions in ways that convey value and impact. Portfolios may be returned to the candidate if they do not follow the specified format.

5.4.2 The department Chair/Head and departmental PTE committee will conduct separate evaluations and formulate independent written recommendations. The CAFSNR PTE Committee, Dean/Director AES, and Director NDSU Ext. Ser. will perform separate evaluations and formulate independent written recommendations.

5.4.3 The Director NDSU Ext. Ser. will provide an evaluation of faculty with extension appointments and the Dean/Director AES will provide an evaluation of faculty with teaching appointments and appointments in the NDSU Agricultural Experiment Station. The Director NDSU Ext. Ser. and the Dean/Director AES will perform separate evaluations and formulate independent written recommendations for faculty with research-extension or teaching-extension appointments.

5.4.4 The candidate will have 10 business days to append a response to each recommendation, or to any new material added to the portfolio during the review process.

5.4.5 The portfolio and administrative recommendation will be forwarded by the Dean/Director AES and the Director NDSU Ext. Ser. to the Provost/VPAA by January 15. The college PTE Committee will separately forward its recommendation to the Provost/VPAA by January 15. The Provost/VPAA’s recommendation will be forwarded to the President by March 31. Specific timelines for further notification are given in Table 2 footnotes.

5.4.6 Procedures for the appeal of non-promotion decisions are outlined in Sections 350.1-350.4 and 352 of the NDSU Policy Manual.

5.5 Promotion and Tenure Criteria

5.5.1 The evaluation of a candidate’s performance will be based on the individual’s job description.

5.5.2 Departments are responsible for developing specific promotion and tenure criteria. Because each department is unique, specific criteria should reflect the unit mission, goals, and responsibilities. Faculty assignments within the unit may also be unique, so the criteria should be sufficiently robust to accommodate the diversity of activity expected of faculty as expressed in their job descriptions. In making assessments, faculty performance should be weighted relative to expectations in their job description or other assignment/responsibility documents. If an individual’s job description has been changed, dated copies of all pertinent descriptions should be included in portfolios or with evaluation reports.

5.5.3 Promotion and tenure are recognitions of productivity and sustained, quality scholarship, as reflected in the areas of responsibility in a faculty member’s job description. The general scholarship and professional growth of the candidate, as specified in their job description, will be the primary criteria for promotion and tenure. Consideration may be given to professional background, experience, and time in rank.

5.5.4 Each faculty member is expected to make contributions of high quality to the areas of teaching, research, and service. Teaching includes all forms of instruction both on- and off-campus. Extension educational activities are considered teaching. Research includes basic and applied research and other creative activities. Service includes: public service; service to the university, college, and department; and service to the profession. These categories are further defined in Section 5.6, Criteria Indicators. The quality and quantity of contributions in all three areas will be considered at the time of promotion and tenure. Because of variations among faculty in strengths and/or responsibilities, faculty members are not expected to exhibit equal levels of accomplishment in all areas. Moreover, disciplines will vary with respect to the kinds of evidence produced in support of contributions.

5.5.5 In the areas of teaching, research, and service, the following criteria will serve as a general guide for evaluation of contributions by a candidate for promotion, tenure, and post-tenure review. A candidate demonstrates quality of teaching (encompassing both instruction and advising) by providing evidence of the following: the effective delivery of instruction to, and the stimulation of learning by, students and/or clients; the continuous improvement of courses or instructional programs; and the effective advising and mentoring of undergraduate and/or graduate students. A candidate demonstrates quality of research by providing evidence of furthering of, or original contributions to, knowledge, either by discovery or application, resulting from the candidate's research, and/or creative activities that are related to the candidate's discipline. Publication of research results and communication to stakeholders are expected. A candidate demonstrates quality of service by providing evidence of contributions to the welfare of the department, college, university, profession, and/or contributions to the public that make use of the faculty member's academic or professional expertise.

5.5.6 Tenure-track assistant professors and non-tenured associate professors who have demonstrated productivity and scholarship and show potential for sustained productivity, scholarship, and professional growth are eligible for promotion to associate professor with tenure. Assistant professors generally will receive tenure and promotion to associate professor at the same time.

5.5.7 Associate professors who demonstrate sustained productivity, scholarship, and
contributions to the university and academic communities are eligible for promotion to professor. For promotion to professor, the candidate is expected to demonstrate an increase in assumed and designated responsibilities, growth in expertise and capability, evidence of regional and/or national scope of activities and scholarship, and demonstrated competence in leadership, management, and supervising.

5.5.8 Indicators accompanying each criterion for promotion, tenure, and evaluation should clarify, amplify, and provide opportunity to show accomplishment in the individual areas. Indicators will be established at the department level and indicated in departmental guidelines. Indicators should be selected to show how individuals in the department could meet or exceed the minimum criteria established by the department and college. Whereas criteria for promotion and/or tenure are the patterns of performance given to faculty for guidance in attaining appropriate quality levels in their work, indicators are not criteria in and of themselves. Rather, these indicators help evaluators categorize and judge the quality of faculty accomplishment. In determining whether a criterion is met, data related to these indicators will be considered as well as job description and other appropriate information. Other information not directly related to indicators but germane to the criteria may be provided. It is possible for criteria to be met without addressing each indicator. The CAFSNR acknowledges that missions and roles of individuals, units, and even the university may change over time. The CAFSNR and units must periodically review and update criteria and indicators. Promotion and/or tenure decisions will be made according to guidelines in place at the time of the decision (NDSU Policy 352. 3.3).

5.6 Criteria Indicators

5.6.1 Specific criteria for promotion or tenure are established by the department.

5.6.2 The evaluation of a candidate’s performance will be based on the individual's assigned responsibilities in teaching, research, and service, on- or off-campus, in regional, national, or international areas. Judgments will be based on evidence of both the quality and significance of the candidate's work. The following indicators are not exhaustive, and other forms of information and evidence might be produced in support of the quality and significance of the candidate's work.

5.6.3 Teaching indicators may include the following, but specific criteria are established by the department: honors, awards, and recognition for teaching excellence; participation in workshops, seminars, or other training to improve teaching; active membership in professional teaching organizations; activities in curriculum/program/course development; student/participant evaluations; peer evaluations; results of curriculum/program reviews; success in advising; success in directing graduate student academic programs; recruitment/retention activities; success in work with student organizations; and success in providing enhanced educational opportunities for individuals at remote locations. Extension educational programming is considered teaching and may include indicators such as: success in advising clientele; use and development of educational materials; development of in-service teaching materials; development of workshops and schools for clientele training; and client evaluations of educational programs. Candidates are encouraged to document scholarship in teaching with peer reviews, pre-and post-tests, and other assessment techniques.

5.6.4 Research/Creative Activity indicators may include the following, but specific criteria are established by the department: accepted Experiment Station Project (Hatch, State, etc.); publications including refereed, peer reviewed and other edited publications; cooperative and collaborative research; presentations of research results; activities in research program development; new variety or cultivar development, or registration of germplasm; new technology development; success in project management; honors, awards, recognition for research; peer evaluations; results of program reviews; success in directing graduate student research; supervising assistants; and success in work with supportive organizations. Faculty members are expected to solicit and gain extramural and intramural funds (and other resources) to support their research efforts. Grantsmanship indicators may include the following, but specific criteria are established by the department: a list of grants obtained with indication of the portion available to the faculty member; list of submitted, but unfunded proposals; attracting research students (graduate and/or under-graduate students) with scholarships, fellowships, or self-funded; list of in-kind services solicited and gained for research purposes; post doctoral research fellows, review/statement of grant-fund management; and indications of how grants are leveraged to pursue larger research goals.

5.6.5 Service to stakeholders indicators may include the following, but specific criteria are established by the department: advice to service units (Soil Testing, Vet Diagnostic, Pest Diagnostic Lab, other labs); responses to individuals and industry; responses to commodity groups and/or organizations; service to commodity/agricultural organizations; informational presentations to groups; disciplinary service to schools or youth organizations (4-H, FFA, etc.). Service to discipline indicators may include the following, but specific criteria are established by the department: Active participation in professional disciplines and societies; work on professional society committees; contributions to joint works (compendia, regional publications, etc.); participation in multi-state projects (Hatch, others); referee for journals; referee for granting agencies; and editor/reviewer for disciplinary publications. Service to the university indicators may include the following, but specific criteria are established by the department: membership and active participation on departmental, college, university, inter-university committees; assigned or assumed institutional responsibilities; participation in events that showcase the department, college and/or university; contributions to efforts or events that encourage or require inter-unit collaboration; leadership/participation in “all-campus” events; and representation of the department, college, or university to the public.

5.7 Inclusion of Materials in Promotion and Tenure Portfolios

5.7.1 The format prescribed by the University, outlined in the current NDSU Guidelines for Promotion and Tenure Portfolio Preparation at http://www.ndsu.edu/ndsu/vpaa/info.shtml, serves as the official guideline to prepare the application for promotion/tenure. This standard format is intended to expedite the review process. Some categories within the format may not be applicable to all Portfolios, and blanks are not necessarily considered deficiencies. When entries could justifiably be listed in any of several categories, applicants should exercise judgement, but record the accomplishment only once. The candidate’s entire record at NDSU should be included in the Portfolio, but the primary focus of the evaluation will be on the period of review. Because of the unique relationship among faculty in the CAFSNR and clientele (commodity groups, agribusiness, and others), candidates should identify and maintain clear records of these service/extension activities. Internal letters of support from peer scientists and/or clientele are required for promotion to Associate Professor and Professor. External letters are not required for tenure or promotion from Assistant Professor to Associate Professor but two external letters are required for promotion from Associate Professor to Professor. A “peer scientist” that provides a support letter should have a rank similar to or higher than the rank being sought by the candidate, have a focus in scholarship similar to the candidate, and should not have a conflict of interest with the candidate (ie. advisee, advisor, co-author, co-investigator, co-committee member, etc.). The letters are solicited by the department Chair/Head and the candidate may suggest persons to provide letters. A minimum of three letters should be included. Applicants are encouraged to annotate, expand, or explain any portion to increase clarity, justify inclusion, or in some other way help reviewers evaluate the Portfolio.

5.7.2 Applicants are entrusted to prepare accurate and concise representations and/or summaries of activities. Candidates must have available, if requested, a copy, or parts thereof, of supplemental materials that illustrate the candidate’s achievements in teaching, research, and service referred to in the portfolio. Submitting such documents in an appendix is necessary only if requested.

5.7.3 Additions to the portfolio subsequent to November 1 will be written and be limited to 1) evaluations and recommendations by the CAFSNR PTE Committee, the Dean/Director AES., and the Director NDSU Ext. Ser. and 2) materials requested by the CAFSNR PTE Committee, the Dean/Director AES,, or the Director NDSU Ext. Ser. (Note: Items in 2 will be reciprocally shared so the PTE committee, Dean/Director AES, and the Director NDSU Ext. Ser. will review identical portfolios). The candidate may respond to these additions in writing within 10 business days after receipt.

6.0 Policy on Nonrenewals and Terminations of Probationary Faculty Prior to the Sixth Year
(NDSU Policy Manual 350.3)

6.1 A probationary appointment may be terminated, without cause, with notice to the faculty member that the appointment will not be renewed. (NDSU Policy Manual 350.3.1)

6.2 In accordance with NDSU Policy 350.3(1)(b), nonrenewal recommendations of a probationary faculty prior to the final probationary year will be made by the Chair/Head of the academic unit, the Dean/Director AES, and the Director NDSU Ext. Ser. (for faculty with an Extension appointment) to the Provost/VPAA for recommendation to the President.

6.3 The department Chair/Head may request the department PTE committee complete an evaluation, which becomes part of the official file. The faculty member will have 10 business days after receipt of the recommendation for non-renewal to add a written response to the department PTE Committee evaluation.

6.4 The department Chair/Head will first review appropriate administrative procedures, then meet with the faculty member, discuss the proposed nonrenewal recommendation, and give the faculty member 10 business days after receipt to respond, in writing, to the proposed nonrenewal recommendation. This meeting should be summarized by the Chair/Head in writing and given to the faculty member with acknowledgment of receipt. A neutral third person should be invited to be present at the meeting.

6.5 The Chair/Head will prepare the formal letter of nonrenewal recommendation. The faculty member's written response and any additional material the faculty member wishes to include will accompany the recommendation. The department Chair/Head will include all periodic reviews and any other materials from the faculty member's official personnel file that he/she deems relevant. The timelines and procedures of NDSU Policy 352.6 (promotion and tenure application timelines) do not apply to nonrenewals prior to the sixth year. The Chair/Head’s letter of recommendation for nonrenewal is forwarded to the Dean/Director AES and the Director NDSU Ext. Ser. for faculty with an Extension appointment.

6.6 The Dean/Director AES, and the Director NDSU Ext. Ser. for faculty with an Extension appointment, will formulate a recommendation and forward it to the Provost/VPAA. Copies of the recommendation will be provided to the faculty member and department Chair/Head. The faculty member or Chair/Head will have 10 business days after receipt to respond to the recommendation with responses sent directly to the Provost/VPAA and copies to the affected parties such as the faculty, department Chair/Head, and directors.

6.7 If a CAFSNR non-renewed faculty member is in her/his first year of probationary service, termination will be effective at the end of 90 days following determination of nonrenewal. If a faculty member is in his/her second year of probationary service, termination will be effective at the end of 180 days, and if a faculty member is in the third to sixth year, termination will be effective at the end of one year following nonrenewal. Department Chair/Heads can petition the Dean/Director AES and the Director NDSU Ext. Ser. (as appropriate) for delayed termination provided the rationale is for the good of the department and the college.

7.0 Dismissal of Tenured Faculty
(NDSU Policy Manual 350.3)

7.1 Appointments of tenured faculty may be terminated following a determination that a financial exigency exists which requires such action at NDSU or upon determination by NDSU that such action is necessary because of loss of legislative appropriations, loss of institutional or program enrollment, consolidation of academic units or program areas, or elimination of courses. In such cases, significant consideration shall be given to length of service and tenure status in the retention of faculty members within the affected academic unit or program area, curriculum requirements, professional achievements, breadth of competence, and equal employment opportunity. A tenured faculty member terminated pursuant to this subsection shall be given written notice of termination, including the reason(s) for the action, at least twelve months prior to the date of termination.

7.1.1 A tenured faculty member given notice of termination under a financial exigency may request that the institution circulate his or her vita to other academic units or program areas within NDSU. In addition, NDSU shall ensure that fair consideration is given to the faculty member, during the period of the terminal appointment, for vacant academic positions in the employing institution for which the faculty member is qualified. If a tenured faculty member accepts an appointment in a different academic unit or program area, the faculty member shall retain his or her tenure status, subject to approval of the Board.

7.1.2 A position terminated under a financial exigency shall not be filled by a replacement within two years, unless the released faculty member has been offered appointment with tenure and a reasonable time within which to accept or decline it.

7.1.3 The faculty member may, within twenty calendar days of receipt of notice of termination, file a request for review under processes established at NDSU for that purpose.

7.2 The faculty governance structure at NDSU shall adopt procedures by which faculty participation is solicited before notice of termination is given any tenured faculty member under a financial exigency. Faculty participation shall be solicited concerning:

7.2.1 The extent to which there are grounds for termination of the tenured appointments;

7.2.2 Judgments determining where within the overall academic program, termination of appointments may occur; and

7.2.3 The procedure and criteria for identifying the individuals whose appointments are to be terminated.

7.3 An administrative decision to terminate a tenured faculty member under a financial exigency shall be preceded by the following steps:

7.3.1 Consultation with the Executive Committee of the University Senate regarding the extent to which there are grounds for termination of tenured appointments.

7.3.2 Consultation with the Academic Affairs Committee of the University Senate regarding the justification for terminating tenured appointments, if that is consequence of the decisions; and

7.3.3 Consultation with the Academic Affairs Committee, or the equivalent, of the college or equivalent unit involved regarding the justification for terminating tenured appointments.

7.3.4 Consultation with the faculty in an academic unit or program regarding the consequences of the decision.

7.3.5 Once the administration decision is finalized following these consultations, the identification of faculty members for termination shall be made by the President of NDSU.

7.4 A faculty member may be dismissed for adequate cause. Adequate cause means: (a) demonstrated incompetence or dishonesty in teaching, research, or other professional activity related to institutional responsibilities, (b) continued or repeated unsatisfactory performance evaluations and failure to respond in a satisfactory manner to a recommended plan for improvement; (c) substantial and manifest neglect of duty, (d) conduct which substantially impairs the individual’s fulfillment of his or her institutional responsibilities or the institutional responsibilities of others, (e) a physical or mental inability to perform assigned duties, provided that such action is consistent with laws prohibiting discrimination based upon disability, or (f) significant or continued violation of Board policy or NDSU policy, provided that, for violations of NDSU policy, NDSU must notify the faculty member in advance in writing that violation would constitute grounds for dismissal, or the NDSU policy must provide specifically for dismissal as a sanction.

7.4.1 Prior to a dismissal recommendation based on adequate cause, the department Chair/Head or head of the academic unit will review appropriate administrative procedures, and meet with the faculty member to discuss a proposed dismissal. At the same time, the department Chair/Head will request the department PTE Committee complete an evaluation of the faculty member within 10 business days, which becomes part of the official personnel file.

7.4.2 The department Chair/Head will subsequently meet with the faculty member and determine if the problems that led to the proposed dismissal for adequate cause can be corrected or overcome. If the Chair/Head determines that the dismissal process will continue, the Chair/Head will provide the faculty member with a written notice of intent to dismiss and the department PTE committee evaluation. The notice shall state that the faculty member has 20 calendar days after receipt of the notice to request a hearing before the NDSU Standing Committee on Faculty Rights. The notice of intent to dismiss and the department PTE Committee evaluation shall be sent to the Dean/Director AES and the Director NDSU Ext. Ser. (as appropriate) at the same time that they are given to the faculty member. The faculty member must notify the department Chair/Head, the Dean/Director AES, and the Director NDSU Ext. Ser. (as appropriate of intent to request a hearing with the NDSU Standing Committee on Faculty Rights. The faculty member will have 10 business days after receipt of the notice of intent to dismiss and the department PTE Committee evaluation to add a written response to the department Chair/Head, the Dean/Director AES and the Director NDSU Ext. Ser. (as appropriate).

7.4.3 The Dean/Director AES and the Director NDSU Ext. Ser. (as appropriate) will request that CAFSNR PTE Committee complete an evaluation of the proposed dismissal for adequate cause within 10 business days. The Dean/Director AES and the Director NDSU Ext. Ser. will formulate a recommendation within 10 business days after receiving the proposed dismissal for adequate cause and related materials. Copies of all materials relating to the proposed dismissal shall be sent to the Provost/VPAA. The CAFSNR PTE Committee report and the recommendation from the Dean/Director AES and the Director NDSU Ext. Ser. (as appropriate) will be sent to the faculty member and to the department Chair/Head.

7.4.4 The written notice of termination or dismissal from the President must in any event be given within 60 days of the initial written notice of intent to terminate or dismiss.

7.4.5 Pending a final decision on dismissal for adequate cause, the faculty member may be suspended by the President of NDSU, or assigned to other duties in lieu of suspension. The faculty member’s salary and fringe benefits shall continue during a period of suspension. Salary and benefits shall be terminated upon a final decision by the President of NDSU to dismiss the faculty member following conclusion of proceedings at NDSU.

8.0 College of Agriculture, Food Systems, and Natural Resources PTE Committee

8.0.1 The mission of the CAFSNR PTE Committee is to promote uniformity in the PTE processes across the College. This will be accomplished by: 1) reviewing and approving academic unit (department) PTE criteria and standards; 2) providing a generic PTE portfolio format for the College; 3) helping to identify and characterize the many forms that scholarship may take across the College; 4) serving as a clearinghouse for PTE information within the College and between the College and University administration; 5) drafting revisions to CAFSNR policies regarding promotion, tenure, and evaluation: 6) reviewing tenure and promotion applications and making recommendations to the Provost/VPAA; 7) conducting third-year reviews of probationary College faculty, 8) assisting with administrative evaluations; and 9) completing other evaluations requested by CAFSNR administrators.

8.0.2 The job description, departmental PTE criteria, performance documentation, and evaluations shall be used by the CAFSNR PTE Committee in evaluating candidates for promotion and/or tenure.

8.1 PTE Committee Membership and Elections

8.1.1 The PTE committee should be as reflective as possible of the college's breadth of disciplines and fields of expertise. Usually no more than one member of the same department may serve on the committee at one time unless one member has a predominate appointment in Extension and the other member has a predominate appointment in the AES or in teaching (College). The PTE Committee will consist of seven faculty members elected by the faculty of the college. Each member will be elected for a term of three (3) years and may be re-elected. Two members of the committee will have primary appointments in the NDSU Extension Service. Only tenured faculty members who have completed three years of full-time appointment with the University and who have attained the rank of professor are eligible for election. The PTE committee is part of a peer review process. Thus, faculty holding administrative appointments are not eligible; (administrative appointment includes appointments as Vice President, Dean and Associate or Assistant Dean, Director of the Extension Service, Director AES, Associate Directors, and Department Chairs/Heads including interim positions and REC Directors.)

8.1.2 Committee members will be elected by CAFSNR faculty holding academic rank at a CAFSNR faculty meeting with the election announced at least 10 business days in advance of the meeting. To provide continuity, no more than three faculty are normally elected to full terms at any one time. Nominations will be made from the floor. The nominator must assure that the nominee accepts the nomination and will serve if elected. The nominee(s) with the greatest number of votes will be elected, provided that guidelines on composition of the committee are not violated. Paper ballots will be used and kept for at least one year. Tallies of the election will be kept in record by the Dean/Director AES. The term of office starts on May 1 of the calendar year elected. Vacancies on the committee shall be filled by a special election held at a CAFSNR faculty meeting or an election held by mail or electronic ballot. Individuals who fail to perform adequate service to the committee will be asked to resign by the committee; and should this fail, may be removed from the committee by vote of the college faculty at a regular or special meeting.

8.1.3 The Chair/Head of the Committee will be elected annually by the Committee.

8.2 Election Meeting Quorum, Proxy, and Notification:

8.2.1 The quorum for regular and special meetings of the CAFSNR faculty at which elections are held will be comprised of the eligible faculty in attendance, but will be at least 50 percent of CAFSNR faculty holding academic rank. A list of members in attendance will be kept as part of the minutes. Individuals absent, but participating through proxy, will be identified and counted as part of the quorum. Eligible faculty may carry proxy authority for another eligible faculty member provided that the signed proxy is in writing, submitted to the meeting Chair/Head prior to the meeting, and that the proxy is approved by the members in attendance. CAFSNR faculty will hold a regular meeting prior to March 1 of each year to hold elections and conduct business. Each faculty member in the CAFSNR will be notified of the date, time, and location of meetings in which elections will be held at least ten (10) business days prior to the meeting. Public notifications will be made in accordance with open meeting requirements.

9.0 Departmental PTE Committees

9.1 Because academic units in the CAFSNR vary considerably in faculty size and composition, the CAFSNR does not prescribe departmental PTE committee guidelines beyond those in NDSU Policy. Departments are to describe the composition of their PTE committees and the methods of operation of that committee in their approved departmental PTE Guidelines. Department PTE committees are referred to the NDSU and CAFSNR guidelines for minimal components of their evaluation and recommendation report.

10.0 Department PTE Policy

10.1 The faculty of each department also will develop a statement of criteria for promotion, tenure, post-tenure, and evaluation that will be reviewed and approved by the college PTE committee, the Dean/Director AES, and the Director NDSU Ext. Ser. to assure consistency with the college promotion, tenure, post-tenure, and evaluation criteria. The college and departmental statements, and any subsequent changes, will be reviewed and approved by the Provost/VPAA to assure consistency with NDSU and SBHE policies.

11.0 Changes to CAFSNR PTE Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals

11.1 The CAFSNR Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals must be modified to comply with SBHE and/or NDSU policies, to correct errors, to edit for clarity, and to respond to issues that are not well addressed. To provide greater responsiveness, the faculty of the CAFSNR grant to the elected representatives on the CAFSNR PTE Committee the authority to make editorial changes, correct errors, inconsistencies, or format, and to make those changes that bring our policies in line with NDSU and SBHE policies, and place those changes into effect without a vote of the CAFSNR faculty, but subject to ratification if called for at the next CAFSNR faculty meeting. CAFSNR faculty will vote on substantive changes during a CAFSNR faculty meeting, or by mail or electronic ballot, after the proposed changes have been shared with faculty at least ten (10) business days prior to the vote. A majority vote is required to amend previously adopted policies and procedures, provided previous notice has been given. A summary of the corrections/edits will be forwarded to the Dean/Director AES, Director NDSU Ext. Ser., and Provost/VPAA, for their approval. Upon approval, faculty will be informed of the changes to the policy. The CAFSNR Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals will be placed on the College Web site by the Dean/Director AES.