General Provisions

Scope and Purpose. The award of tenure and/or promotion in rank are among the most important and far-reaching decisions made by the department because an excellent faculty is an essential component of any outstanding institution of higher learning. Promotion and tenure decisions also have a profound effect on the lives and careers of faculty. Recommendations concerning promotion and tenure must be made carefully, based upon a thorough examination of the candidate’s record and the impartial application of these criteria and procedures, established in compliance with the Faculty Senate Rules and Regulations (FSRR), Article VI.

It is the purpose of this document to promote the rigorous and fair evaluation of faculty performance during the promotion and tenure process by (a) establishing criteria that express the department’s expectations for meeting University standards in terms of disciplinary practices; (b) providing procedures for the initial evaluation of teaching, scholarship, and service (c) preserving and enhancing the participatory rights of candidates, including the basic right to be informed about critical stages of the process and to have an opportunity to respond to negative evaluations; and (d) clarifying the responsibilities, roles, and relationships of the participants in the promotion and tenure review process.

Each level of review, including the initial review, the intermediate review, and the University level review, conducts an independent evaluation of a candidate’s record of performance and makes independent recommendations to the next level review. Later stages of review neither affirm nor reverse earlier recommendations, which remain part of the record for consideration by the Chancellor. It is the responsibility of each person involved in the review process to exercise his/her own judgment to evaluate a faculty member’s teaching, scholarship, and service based upon the entirety of the data and information in the record. No single source of information, such as peer review letters, shall be considered a conclusive indicator of quality.

The Promotion and Tenure Committee is a policy committee and makes recommendations to the department concerning promotion and tenure policy. The Promotion and Tenure Committee has no function in the promotion and tenure review process. Rather, promotion and tenure reviews are conducted by a Promotion and Tenure Review Committee as explained in detail below. (Note that, by the memberships rules of Promotion and Tenure Review Committees, as described below, a Promotion and Tenure Review Committee that is constituted to conduct a review of a candidate for promotion to associate professor, will have the same membership as the Promotion and Tenure Committee.)

Academic Freedom. All faculty members, regardless of rank, are entitled to academic freedom in relation to teaching and scholarship, and the right as citizens to speak on matters of public concern. Likewise, all faculty members, regardless of rank, bear the obligation to exercise their academic freedom responsibly and in accordance with the accepted standards of their academic disciplines.

Confidentiality and Conflicts of Interest. Consideration and evaluation of a faculty member’s record is a confidential personnel matter. Only those persons eligible to vote on promotion and tenure may participate in or observe deliberations or have access to the personnel file (except that clerical staff may assist in the preparation of documents under conditions that assure confidentiality).

No person shall participate in any aspect of the promotion and tenure process concerning a candidate when participation would create a clear conflict of interest or compromise the impartiality of an evaluation or recommendation.

If a candidate believes that there is a conflict of interest, the candidate may petition to have that person recuse him/herself. If a committee member does not recuse him/herself, a decision about whether that person has a conflict of interest shall be made by a majority of the other committee members.

Promotion and Tenure Standards

General Principles. The University strives for a consistent standard of quality against which the performance of all faculty members is measured. Nonetheless, the nature of faculty activities varies across the University and a faculty member’s record must be evaluated in light of his/her particular responsibilities and the expectations of the discipline. These criteria state the department’s expectations of performance in the areas of teaching, scholarship, and service necessary to satisfy the University standards for promotion for the award of tenure and/or promotion to associate professor and for promotion to full professor, or equivalent ranks.

Teaching and scholarship should normally be given primary consideration, but the particular weight to be accorded to each component of a faculty member’s activities depends upon the responsibilities of the faculty member. The College has traditionally recognized the 40-40-20 formula for weighting research, teaching, and service, except when weight is differentiated for unclassified academic staff members pursuant to their job description.

Teaching. Teaching is a primary function of the University, which strives to provide an outstanding education for its students. The evaluation of teaching includes consideration of syllabi, course materials, and other information related to a faculty member’s courses; peer and student evaluations; a candidate’s own statement of teaching philosophy and goals; public representations of teaching; and other accepted methods of evaluation, which may include external evaluations.

High quality teaching is serious intellectual work grounded in a deep knowledge and understanding of the field and includes the ability to convey that understanding in clear and engaging ways.

The conduct of classes is the central feature of teaching responsibilities at KU, but teaching also includes supervising student research and clinical activities, mentoring and advising students, and other teaching-related activities outside of the classroom.

Under the University standards for the award of tenure and/or promotion to associate professor, the record must demonstrate effective teaching, as reflected in such factors as command of the subject matter, the ability to communicate effectively in the classroom, a demonstrated commitment to student learning, and involvement in providing advice and support for students outside the classroom.

In the department, the following teaching expectations to meet University standards apply for the award of tenure and/or promotion to the rank of associate professor:

• Effective teaching of two courses per semester, with exceptions for approved leaves or reduced teaching loads.
• Effective teaching in more than one area along the broad spectrum of the department’s teaching responsibilities that include: freshman/sophomore level courses (small, large, and honors), junior/senior courses (including senior research honors), graduate courses (including tutorials, seminars), and dissertation work.

• Demonstrated effective teaching as reflected by command of the subject material, the ability to communicate effectively in the classroom, a demonstrated commitment to student learning, and involvement in providing advice and support for students outside the classroom (advising).

Under the University standards for promotion to the rank of professor, the record must demonstrate continued effectiveness and growth as a teacher, as reflected in such factors as mastery of the subject matter, strong classroom teaching skills, an ongoing commitment to student learning, and active involvement in providing advice and support for students outside the classroom.

In the department, the following teaching expectations to meet University standards apply for the promotion to the rank of professor:

• Effective teaching of two courses per semester, including courses at both the undergraduate and graduate level, with exceptions for approved leaves or reduced teaching loads.
• Involvement in providing advice and support for students outside the classroom (advising).
• Engagement in a variety of instructional activities in addition to classroom teaching. These activities could include: the supervision of dissertations, participation in intermediate dissertation presentations, assisting in making up and grading the MA and Ph.D. exams, participating in oral comprehensive and final dissertation exams, and/or directing honors theses.
• Demonstrated quality of the teaching activities engaged in.

Scholarship. The concept of “scholarship” encompasses not only traditional academic research and publication, but also the creation of artistic works or performances and any other products or activities accepted by the academic discipline as reflecting scholarly effort and achievement for purposes of promotion and tenure. While the nature of scholarship varies among disciplines, the University adheres to a consistently high standard of quality in its scholarly activities to which all faculty members, regardless of discipline, are held.  In the Department of Economics, scholarship is defined as research, the results of which are disseminated by presentations at professional meetings and conferences, participation in departmental seminars and, most of all, by publication. Publications include articles in peer-refereed journals, scholarly monographs, chapters in books, papers in conference proceedings, textbooks, and other articles. The quality, quantity, and impact of publications are important.

Under the University standards for the award of tenure and/or promotion to the rank of associate professor, the record must demonstrate a successfully developing scholarly career, as reflected in such factors as the quality and quantity of publications or creative activities, external reviews of the candidate’s work by respected scholars or practitioners in the field, the candidate’s regional, national, or international reputation, and other evidence of an active and productive scholarly agenda.

In the department, the following scholarship expectations to meet University standards apply for the award of tenure and/or promotion to the rank of associate professor:

• A history of continuous commitment to an ongoing research program. This can be interpreted to mean one full-length article or the equivalent, (e.g., a book chapter of high quality, submission of a high quality grant proposal, or other comparable intellectual products) each year on the average. The fact and merit of this research is to be confirmed by the Promotions and Tenure Review Committee with outside consultation or evaluation as appropriate.
• At least three such articles must have been accepted by refereed journals, so as to confirm the department's judgment of the merit of the research. Such confirmation is enhanced by publication in the top quality journals in the person's area of specialization. Evidence of independent research productivity is necessary. In the case of other publications (e. g., book chapters, research monographs, etc.), the Promotions Committee (in conjunction with outside evaluations) will judge what constitutes the equivalence of one or more articles.

Under the University standards for promotion to the rank of professor, the record must demonstrate an established scholarly career, as reflected in such factors as a substantial and ongoing pattern of publication or creative activity, external reviews of the candidate’s work by eminent scholars or practitioners in the field, the candidate’s national or international reputation, and other evidence of an active and productive scholarly career.

In the department, the following scholarship expectations to meet University standards also apply for the promotion to the rank of professor:

• Persistent, productive, and ongoing research activity as demonstrated by the dissemination of the results by participation in departmental seminars, presentations at professional meetings and conferences, and, most importantly, by publication. The preparation of reports for governmental or non-profit agencies, and consulting activities and reports, is meritorious, but substantially less so than refereed publications. The award of research grants is another measure of peer recognition, but it is more important that the project result in publications.
• Demonstrated availability to foster the research of students and colleagues.
• Quality of research has been demonstrated either by: publication of outstanding, path-breaking articles that are widely and positively cited by others in publications in the top economic journals; or regular publication of “good” articles in reputable journals, i.e. top general economic journals or better ones in the candidate’s field of specialization. Publications in unrefereed books and journals, in-house journals, or journals outside economics, will not normally qualify as “good” articles. The substitutability of books for articles will be judged on an individual basis.
• At a minimum, the Department of Economics expects four good articles in print by the end of the fifth year as an associate professor. If not promoted at the normal time, then eventual promotion would require the publication of two good articles every three years.

Service. Service is an important responsibility of all faculty members that contributes to the University’s performance of its larger mission. Although the nature of service activities will depend on a candidate’s particular interests and abilities, service contributions are an essential part of being a good citizen of the University. The department accepts and values scholarly service to the discipline or profession, service within the University, and public service at the local, state, national, or international level.

Under the University standards for the award of tenure and/or promotion to associate professor, the record must demonstrate a pattern of service to the University at one or more levels, to the discipline or profession, and/or to the local, state, national, or international communities.

In the department, the following service expectations to meet University standards apply for the award of tenure and/or promotion to the rank of associate professor:

• Service to the Department of Economics. This may include serving on committees and/or holding administrative posts.
• Service to the profession. This may include refereeing, service on review panels, and/or organization of conferences.
• Service at higher levels of the University and service to the local, state, national, or international communities is not required, but are viewed favorably.

Under the University standards for promotion to the rank of professor, the record must demonstrate an ongoing pattern of service reflecting substantial contributions to the University at one or more levels, to the discipline or profession, and/or to the local, state, national, or international communities.

In the department, the following service expectations to meet University standards apply for the promotion to the rank of professor:

• Service to the Department of Economics. This may include serving on committees and/or holding administrative posts.
• Service to the College or University. This may include serving on committees and/or holding administrative posts.
• Service to the profession. This may include refereeing, service on review panels, and/or organization of conferences.
• Service to the local, state, national, or international communities is not required, but is viewed favorably.

Unclassified Academic Staff. In the case of unclassified academic staff, comparable professional responsibilities, as defined by the department and the standards of our discipline, will be evaluated. Under the University standards for unclassified academic staff, those standards must be commensurate with the standards for faculty members. These responsibilities include: scholarship, service, and/or teaching in units that support the academic mission. The department accepts service within the University, and public service at the local, state, national, or international level.

In the Department of Economics, scholarship is defined as research, the results of which are disseminated by presentations at professional meetings and conferences, participation in departmental seminars and, most of all, by publication. Publications include articles in peer-refereed journals, scholarly monographs, chapters in books, papers in conference proceedings, textbooks, and other articles. The quality, quantity, and impact of publications are important.

In the department, the following scholarship expectations to meet University standards apply for promotion to the associate rank:

• A history of continuous commitment to an ongoing research program. This can be interpreted to mean one full-length article or the equivalent, (e.g., a book chapter of high quality) each year on the average. The fact and merit of this research is to be confirmed by the Promotion and Tenure Review Committee with outside consultation or evaluation as appropriate.
• At least three such articles must have been accepted by refereed journals, so as to confirm the department's judgment of the merit of the research. Such confirmation is enhanced by publication in the top quality journals in the person's area of specialization. Evidence of independent research productivity is necessary. In the case of other publications (e.g., book chapters, research monographs, etc.), the Promotion and Tenure Review Committee (in conjunction with outside evaluations) will judge what constitutes the equivalence of one or more articles.

Under the University standards for promotion to the senior rank, the record must demonstrate an established scholarly career, as reflected in such factors as a substantial and ongoing pattern of publication or creative activity, external reviews of the candidate’s work by eminent scholars or practitioners in the field, the candidate’s national or international reputation, and other evidence of an active and productive scholarly career.

In the department, the following scholarship expectations to meet University standards also apply for the promotion to the senior rank:

• Persistent, productive, and ongoing research activity as demonstrated by the dissemination of the results by participation in departmental seminars, presentations at professional meetings and conferences, and, most importantly, by publication. The preparation of reports for governmental or non-profit agencies, and consulting activities and reports, is meritorious, but substantially less so than refereed publications. The award of research grants is another measure of peer recognition, but it is more important that the project result in publications.
• Demonstrated availability to foster the research of students and colleagues.
• Quality of research has been demonstrated either by:  publication of outstanding, path-breaking articles that are widely and positively cited by others in publications in the top economic journals; or regular publication of “good” articles in reputable journals, i.e. top general economic journals or better ones in the candidate’s field of specialization. Publications in unrefereed books and journals, in-house journals, or journals outside economics, will not normally qualify as “good” articles. The substitutability of books for articles will be judged on an individual basis.
• At a minimum, the Department of Economics expects four good articles in print by the end of the fifth year at the associate rank. If not promoted at the normal time, then eventual promotion would require the publication of two good articles every three years.

Service includes:

• Service to the Department of Economics. This may include serving on committees and/or holding administrative posts.
• Service to the profession. This may include refereeing, service on review panels, and/or organization of conferences.
• Service at higher levels of the University and service to the local, state, national, or international communities is not required, but are viewed favorably.

In the department, the following service expectations to meet University standards apply for promotion to the associate rank:

• Service to the Department of Economics. This may include serving on committees and/or holding administrative posts.
• Service to the profession. This may include refereeing, service on review panels, and/or organization of conferences.
• Service at higher levels of the University and service to the local, state, national, or international communities is not required, but are viewed favorably.

Under the University standards for promotion to the senior rank, the record must demonstrate an ongoing pattern of service reflecting substantial contributions to the University at one or more levels, to the discipline or profession, and/or to the local, state, national, or international communities.

In the department, the following service expectations to meet University standards apply for the promotion to the senior rank:

• Service to the Department of Economics. This may include serving on committees and/or holding administrative posts.
• Service to the College or University. This may include serving on committees and/or holding administrative posts.
• Service to the profession. This may include refereeing, service on review panels, and/or organization of conferences.
• Service to the local, state, national, or international communities is not required, but is viewed favorably.

Teaching is defined as: engagement in a variety of instructional activities, which includes classroom teaching, student advising, the supervision of dissertations, participation in intermediate dissertation presentations, assisting in making up and grading the MA and Ph.D. exams, participating in oral comprehensive and final dissertation exams, and directing honors theses.

In the department, the following expectations to meet University standards apply for promotion to the associate rank:

• Effective classroom teaching of the number of courses specified for the position held; with exceptions for approved leaves or reduced teaching loads.
• Effective teaching in more than one area along the broad spectrum of the department’s teaching responsibilities that include: freshman/sophomore level courses (small, large, and honors), junior/senior courses (including senior research honors), graduate courses (including tutorials, seminars), and dissertation work.
• Demonstrated effective teaching as reflected by command of the subject material the ability to communicate effectively in the classroom, a demonstrated commitment to student learning, and involvement in providing advice and support for students outside the classroom.

In the department, the following teaching expectations to meet University standards apply for the promotion to the senior rank:

• Effective classroom teaching of the number of courses specified for the position held; with exceptions for approved leaves or reduced teaching loads.
• Involvement in providing advice and support for students outside the classroom.
• Engagement in a variety of instructional activities in addition to classroom teaching. These activities could include: the supervision of dissertations; participation in intermediate dissertation presentations; assisting in making up and grading the MA and Ph.D. exams; participating in oral comprehensive and final dissertation exams; and/or directing honors theses.
• Demonstrated quality of the teaching activities engaged in.

Rating for Performance. Using the criteria described above, the candidate’s performance in the areas of teaching, scholarship, and service will be rated using the terms “excellent,” “very good,” “good,” “marginal,” or “poor,” defined as follows:

• “Excellent” means that the candidate substantially exceeds expectations for tenure and/or promotion to this rank.
• “Very Good” means the candidate exceeds expectations for tenure and/or promotion to this rank.
• “Good” means the candidate meets expectations for tenure and/or promotion to this rank.
• “Marginal” means the candidate falls below expectations for tenure and/or promotion to this rank.
• “Poor” means the candidate falls significantly below expectations for tenure and/or promotion to this rank.

Absent exceptional circumstances, no candidate may be recommended for promotion or tenure without meeting standards in all applicable areas of performance.

Promotion and Tenure Procedures

The department conducts the initial review of the candidate pursuant to the procedures and requirements of section 5 of Article VI of the Faculty Senate Rules and Regulations in connection with the candidate’s responsibility in the department.

Promotion and Tenure Committee. The Department Promotion and Tenure Committee consists of the entire department’s tenured faculty members. The chair of the committee must be a full professor. In April of each year, the department’s full professors will meet to choose the full professor who will be the committee chair for one year. The term of the chair begins in April when the full professors meet to choose a chair and ends the following April when a new chair is chosen.

The Promotion and Tenure Review Committee shall evaluate the candidate’s teaching, research, and service. The Promotion and Tenure Review Committee consists of all those tenured department faculty members of equal or higher rank to the rank for which the candidate is being considered. The review committee is chaired by the chair (a full professor) of the Department Promotion and Tenure Committee. No students or untenured faculty members shall serve on a promotion and tenure review committee or vote on any recommendation concerning promotion and/or tenure. Unclassified academic staff do not serve on either committee.

The chair of a review committee normally appoints subcommittees of the review committee to carry out various review tasks. All review materials, including confidential materials, are to be made available to all members of the review committee. The annual departmental faculty evaluations will be reviewed by the review committee.

Students and assistant professors in the department are not involved in any decision-making regarding promotion to full professor and confidential review materials are not made available to them. However input of an evaluatory nature may be sought by the review committee members from those department members and previous students who will not be involved in the decision-making. Use of such input will be at the discretion of committee members. Similarly, students, assistant professors, and associate professors in the department are not involved in any decision-making regarding promotion to full professor and confidential review materials are not made available to them.

Initiation of Review. Prior to the beginning of the spring semester, the Provost shall notify all faculty whose mandatory review year will be the following academic year, with copies provided to unit administrators and the dean. Upon receipt of this notice or if a faculty member requests it prior to the mandatory review year, the unit shall initiate procedures for evaluating the candidate for the award of tenure or tenure and promotion in rank.

At or before the beginning of the spring semester, the Department Promotion and Tenure Committee shall consider the qualifications of all faculty members below the rank of full professor, with a view toward possible promotion in rank during the following academic year. After considering a faculty member’s qualifications, if the Department Promotion and Tenure Committee determines that those qualifications may warrant promotion in rank, or if the faculty member requests it, the Department Promotion and Tenure Committee shall initiate procedures for reviewing the faculty member for promotion to full professor.

Preparation of the Promotion and/or Tenure File. NOTE: Candidates who hold joint appointments prepare only one set of promotion and tenure materials for review by both units in which they hold an appointment. The initial review units (i.e., departments, centers, etc.) shall consult with each other on their evaluations and the evaluation process, but each initial review unit must provide a separate evaluation of the candidate’s performance in the unit. Please refer to the College’s Promotion and Tenure Statement for detailed instructions. It is the responsibility of the candidate to complete the appropriate portions of the form and provide necessary documents and information in accordance with the Provost’s guidelines, with assistance from the department.

The Promotion and Tenure Review Committee shall receive the form and accompanying materials from the candidate and finish compiling the record of the candidate’s teaching, scholarship, and service in accordance with the Provost’s guidelines.

The Promotion and Tenure Review Committee shall provide for the solicitation of outside reviewers to assist in the evaluation of a faculty member’s scholarship and in accordance with College procedures. Emphasis shall be placed on selecting independent reviewers in the same or related discipline who hold academic rank or a professional position equal to or greater than the rank for which the candidate is being considered. The committee shall give the candidate the opportunity to suggest individuals to be included or excluded from the list of reviewers. The committee, however, is responsible for using its judgment in the final selection of reviewers. For College specific requirements and guidelines, please refer to “Section B. Process for Obtaining Evaluation Letters from External Reviewers” within the College’s posted policy for promotion and tenure.

When soliciting external reviews of a candidate’s scholarship, the department promotion and tenure review committee shall inform prospective reviewers of the extent to which the candidate will have access to the review. The College's confidentiality policy regarding soliciting external reviewers for the promotion and tenure review process is as follows:

“As a part of the promotion and/or tenure review process, we are soliciting assessments of Professor _____’s research contributions from academic colleagues and distinguished professionals. These letters will become part of the candidate's promotion and tenure dossier and are treated as confidential by the University to the extent we are permitted to do so by law.”

Recommendations. Upon completion of the record, all members of the review committee shall evaluate all materials concerning the candidate’s record of teaching, scholarship, and service in light of the applicable standards and criteria and make recommendations in accordance with the voting procedures detailed below. In the department, voting procedures are as follows:

The chair of the Promotion and Tenure Review Committee will call for a meeting of the committee during a time at which no member of the committee has a teaching conflict. All committee members present at the meeting are eligible to vote. All votes are by secret ballot.

The first ballots collect the individual evaluation from each present committee member for teaching, research, and service. For each category of teaching, research and service, the closest to the average rating is recorded for reporting to higher-level P&T committees on the required forms.

Then all present committee members vote on the question of promotion, and, if relevant, on the question of the awarding of tenure. For each question, committee members are asked to vote either “recommend” or “not recommend” for promotion and/or tenure. The number of committee members eligible to vote, the number of committee who vote “recommend,” and the number of committee members who vote “not recommend,” are recorded for reporting to higher-level P&T committees. Based on this vote, the committee reports a recommendation regarding each question at issue. If 50% or more of the voting committee members vote “recommend,” then the recommendation will be positive. Otherwise, the recommendation will be negative.

These votes and recommendations will be recorded for reporting to higher-level P&T committees on the required forms.

Based on the votes taken and the recorder ratings, the chair of the Promotion and Tenure Review Committee will complete the summary evaluation for the candidate. Here, the chair of the Promotion and Tenure Review Committee will provide an evaluation of teaching, research, and service.

The Promotion and Tenure Review Committee shall prepare the evaluation and summary evaluation sections of the promotion and/or tenure forms. The forms and recommendations shall be forwarded to the department chair, who shall indicate separately, in writing, whether he or she concurs or disagrees with the recommendations of the review committee. The department chair shall communicate the recommendations of the initial review, and his or her concurrence or disagreement with the recommendation, to the candidate and provide the candidate with a copy of the summary evaluation section of the promotion and tenure form.

Negative recommendations shall be communicated in writing and, if the review will not be forwarded automatically, the department chair shall inform the candidate that he or she may request that the record be forwarded for further review.

Favorable recommendations, together with the record of the initial review, shall be forwarded to the College Committee on Appointments Promotion, and Tenure conducting the intermediate review. Negative recommendations resulting from an initial review shall go forward for intermediate review only if it is the candidate’s mandatory review year or if the candidate requests it.

Intermediate Review

The candidate may submit a written response to a negative recommendation by the department, or to a final rating of teaching, research, or service below the level of “good” included in the evaluation section of the recommendation. The written response is sent separately by the candidate to CCAPT.

A request for information by CCAPT and/or UCPT shall be sent to the department chair who shall immediately provide a copy to the candidate and inform the chair of the Promotion and Tenure Review Committee. The department chair and/or the department Promotion and Tenure Review Committee shall prepare the department’s response in accordance with the initial review procedures.

The candidate shall be afforded an opportunity to participate in the preparation of the department’s response and/or to submit his/her own documentation or comment to CCAPT and/or UCPT as applicable.