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 review level. 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.

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.

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: As indicated by multiple sources of evaluation (outlined above), the record must demonstrate that a candidate’s teaching, to an adequate or greater extent, reflects knowledge of his/her field and the recent developments therein, and that the candidate is effective in encouraging students' interest, helping them to think critically and to apply their knowledge, pointing them toward the broader implications of their study, and generally encouraging their development as perceptive readers and articulate speakers and writers. The record must also give indication of responsible fulfillment of all duties associated with teaching, including prompt and regular holding of class sessions and office hours, timely and sufficient grading and comments on assignments, acceptable and fair expectations and criteria for student work (as judged by disciplinary standards), adequate class preparation and effective use of class time, and reflection about pedagogy.

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 Full Professor: The record must continue to demonstrate fulfillment of all expectations outlined above (under expectations for promotion to Associate Professor). In addition, it is expected that candidates have continued to develop and improve their teaching and advising skills. The teaching record should reflect continued success in the classroom, effective efforts to address potential weaknesses, reflection about pedagogy, and engagement with current developments in the field, new teaching areas, or new pedagogical methods. Candidates should also demonstrate a record of committed and responsible advising.

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 Spanish and Portuguese, scholarship entails maintaining an active research program. The results of faculty research should be presented in public forums which may take many forms: publication of books, individual or collaborative on-line materials (when appropriate to a faculty member’s field), articles, notes, etc.; and the presentation of papers at international, national, regional, or local professional meetings.

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, 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: Scholarship that merits tenure is defined as a scholarly books, articles, edited books, or research-based textbooks equivalent to monographs in quantity and quality. The candidate’s record must demonstrate clear evidence of a scholarly program that goes well beyond research completed for the terminal degree, that has already resulted in products of high quality, and that exhibits promise of continuing productivity. Articles should appear in well regarded journals or collections; books should be published from reputable presses.

Quantity of publications, by itself, is not enough to ensure promotion: stated in more holistic terms, the standard is a substantial and recognized contribution to research commensurate with the rank of Associate Professor. Nevertheless, in the context of this holistic standard, there are some quantitative expectations for research:

Typically, a successful candidate for promotion will either have a book (or at a minimum, a book manuscript under consideration by a respected outlet), as well as five to eight refereed articles or refereed book chapters. Normally, a candidate will have other publications as well. In linguistics, a successful candidate would have the above or 8-12 serious, refereed articles published in prestigious journals, supplemented by other publications or instructional materials as appropriate.

Editing a collection of essays, preparing a significant critical edition of a literary work, or publishing a serious book-length translation of a major literary work, will be also be considered as serious contributions to research. Such materials will be considered on a case-by-case basis, as the equivalent of 1-2.5 refereed articles. In such cases, there may be slightly fewer refereed articles or book chapters in the promotion file (four or five instead of seven or eight).

Book reviews, encyclopedia articles, interviews, revisions of textbooks, short translations, blogging activities (and other such minor publications) cannot compensate for the absence of major publications, even if there is a large quantity of minor publications.

The minimum standard for promotion, then, is normally one book, five refereed articles or book chapters (or other substantial publications deemed to be equivalent), and some other publications of various types. In linguistics, the minimum standard is the above or 8 serious, refereed articles published in prestigious journals, supplemented by other publications or instructional materials, as appropriate. All candidates, however, should attempt to exceed these minimal expectations rather than merely meeting them. A case which barely meets minimal expectations might be perceived as marginal rather than strong, both within the department and for outside evaluators.

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, 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 apply for the promotion to the rank of Full Professor: In terms of scholarly output, scholarship that merits promotion to Full Professor is defined as continued significant scholarly production well beyond the record prior to tenure including a researched monograph (not included in the tenure record) or a combination of post-tenure published articles, edited books, or research-based textbooks equivalent to a monograph in quantity and quality. Scholarship that merits promotion to Full Professor is defined as a researched books, articles, edited books, or research-based textbooks equivalent to monographs in quantity and quality. The candidate’s record must demonstrate clear evidence of a scholarly program that goes well beyond research completed for tenure, that has already resulted in products of high quality, and that exhibits promise of continuing productivity. Articles should appear in well regarded journals or collections; books should be published from reputable presses.

Quantity of publications, by itself, is not enough to ensure promotion: stated in more holistic terms, the standard is a substantial and recognized contribution to research commensurate with the rank of Full Professor. Nevertheless, in the context of this holistic standard, there are some quantitative expectations for research:

Typically, a successful candidate for promotion will either have a book (or at a minimum, a book manuscript under consideration by a respected outlet), as well as five to eight refereed articles or refereed book chapters. Normally, a candidate will have other publications as well. In linguistics, a successful candidate would have the above or 8-12 serious, refereed articles published in prestigious journals, supplemented by other publications or instructional materials, as appropriate.

Editing a collection of essays, preparing a significant critical edition of a literary work, or publishing a serious book-length translation of a major literary work, will be also be considered as serious contributions to research. Such materials will be considered on a case-by-case basis, as the equivalent of 1-2.5 refereed articles. In such cases, there may be slightly fewer refereed articles or book chapters in the promotion file (four or five instead of seven or eight).

Book reviews, encyclopedia articles, interviews, revisions of textbooks, short translations, blogging activities (and other such minor publications) cannot compensate for the absence of major publications, even if there is a large quantity of minor publications.

The minimum standard for promotion, then, is normally one book, five refereed articles or refereed book chapters (or other substantial publications deemed to be equivalent), and some other publications of various types. In linguistics, the minimum standard is the above or 8 serious, refereed articles published in prestigious journals, supplemented by other publications or instructional materials as appropriate. All candidates, however, should attempt to exceed these minimal expectations rather than merely meeting them. A case which barely meets minimal expectations might be perceived as marginal rather than strong, both within the department and for outside evaluators.

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: The record should indicate regular and meaningful participation in activities necessary to the successful functioning of the department, College, and/or University, including (at a minimum) significant service on committees and participation in departmental meetings. . A record of substantial contributions to the larger university community, the profession, or the discipline at the local, regional, national, or international level (e.g. memberships on committees or task forces, memberships on editorial or advisory boards, student recruitment, administration, reviewing grant applications, judging academic awards competitions, offices in professional organizations, conducting ad hoc workshops, fund raising, organizing conferences, lectures, or readings, etc.) indicates meritorious service beyond minimum expectations.

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: The record should indicate significant participation in activities necessary to the successful functioning of the department, College, and/or University, including significant service on committees and participation in departmental meetings. In addition, a record of substantial contributions to the larger university community, the profession, or the discipline at the local, regional, national, or international level (e.g. memberships on committees or task forces, memberships on editorial or advisory boards, student recruitment, administration, reviewing grant applications, judging academic awards competitions, offices in professional organizations, conducting ad hoc workshops, fund raising, organizing conferences, lectures, or readings, etc.) is expected for the award of promotion to the rank of Full Professor. A record demonstrating leadership at the department, College, University, or professional level indicates meritorious service beyond minimum expectations.

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: research, 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. Promotion emphasizes research and service.

In the department, research is defined as: Research that supports the long-term objectives of the program, including research on pedagogy, pedagogy instruction, with the option of research in the academic staff member’s specialty. Typical research outcomes include presentations, grant proposals, grant applications, or published articles.

Service includes: A record demonstrating a pattern of service to the department, College, and the University at one or more levels, to the discipline or profession, and/or to the local, state, national, or international communities. There is a particular emphasis on the administrative and service duties associated with the academic staff member’s position.

Teaching is defined as: 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, mentoring and advising students and graduate teaching assistants, and other teaching-related activities outside of the classroom. The evaluation of teaching includes consideration of syllabi, course materials, and other information related to an academic staff 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.

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

Teaching: As indicated by multiple sources of evaluation (outlined above), the record must demonstrate that a candidate’s teaching, to an adequate or greater extent, reflects knowledge of his/her field and the recent developments therein, and that the candidate is effective in encouraging students' interest, helping them to think critically and to apply their knowledge, pointing them toward the broader implications of their study, and generally encouraging their development as perceptive readers and articulate writers. The record must also give indication of responsible fulfillment of all duties associated with teaching, including prompt and regular holding of class sessions and office hours, timely and sufficient grading and comments on assignments, acceptable and fair expectations and criteria for student work (as judged by disciplinary standards), adequate class preparation and effective use of class time, and reflection about pedagogy.

Research: The candidate has a clear record of research that supports the long-term objectives of the program, including research on pedagogy, and pedagogy instruction/teacher training,, with the option of research in the academic staff member’s specialty. Expectations include dissemination of research activity with the University and academic communities via publication and/or presentations, as appropriate to the proportion of the position that constitutes research.

Service: The record should indicate effectiveness in those administrative aspects of the position that constitute “service” as well as regular and meaningful participation in activities necessary to the successful functioning of the department, College, and/or University, including significant service on committees and participation at departmental meetings. A record of substantial contributions to the larger university community, the profession, or the discipline at the local, regional, national, or international level (e.g. memberships on committees or task forces, memberships on editorial or advisory boards, student recruitment, administration, reviewing grant applications, judging academic awards competitions, offices in professional organizations, conducting ad hoc workshops, fund raising, organizing conferences, lectures, or readings, etc.) indicates meritorious service beyond minimum expectations.

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

Teaching: Academic staff at the associate rank should continue to develop and improve their teaching and advising skills. The teaching record should reflect continued success in the classroom, effective efforts to address potential weaknesses, reflection about pedagogy, and engagement with current developments in the field, new teaching areas, or new pedagogical methods. Academic staff at the associate rank should also demonstrate a record of committed and responsible advising of graduate and undergraduate students, as relevant.

Research: The scholarly record at the associate rank must demonstrate continued and significant engagement with research appropriate to the needs of the program and to the candidate’s field, as reflected in such factors an ongoing pattern of publication since the last promotion, external reviews of the candidate’s work, and other evidence of an active and productive scholarly career, as appropriate to the proportion of the position that constitutes research.

Service: The record should indicate continued, clear effectiveness in those administrative aspects of the position that constitute “service” as well as significant participation in activities necessary to the successful functioning of the department, College, and/or University, including service on committees and participation at departmental meetings. In addition, a record of substantial contributions to the larger university community, the profession, or the discipline at the local, regional, national, or international level (e.g. memberships on committees or task forces, memberships on editorial or advisory boards, student recruitment, administration, reviewing grant applications, judging academic awards competitions, offices in professional organizations, conducting ad hoc workshops, fund raising, organizing conferences, lectures, or readings, etc.) is expected for the award of promotion to the senior rank. A record demonstrating leadership at the department, College, University, or professional level indicates meritorious service beyond minimum expectations.

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:

1. “Excellent” means that the candidate substantially exceeds expectations for tenure and/or promotion to this rank.
2. “Very Good” means the candidate exceeds expectations for tenure and/or promotion to this rank.
3. “Good” means the candidate meets expectations for tenure and/or promotion to this rank.
4. “Marginal” means the candidate falls below expectations for tenure and/or promotion to this rank.
5. “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. For promotion and/or tenure, candidates must be rated “very good” in at least two out of three categories (teaching, research, and service) and at least “good” in the third.

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 FSRR in connection with the candidate’s responsibility in the department.

Promotion and Tenure Committee. The department review committee shall evaluate the candidate’s teaching, research, and service. In the department the initial review committee is a faculty committee of the whole. Only tenured Associate and Full Professors may chair or serve on committees considering an Assistant Professor for tenure and/or promotion to the rank of Associate Professor. Only tenured Full Professors may chair or serve on committees considering an Associate Professor for promotion to the rank of Full Professor. If the Department Chair is under evaluation for promotion, he or she may designate an appropriate alternate at the rank of Full Professor to fulfill the roles he or she would play in these procedures.

No students or untenured faculty members, except unclassified academic staff with the rank equivalent to or higher than associate professor, shall serve on the Promotion and Tenure Committee or vote on any recommendation concerning promotion and/or tenure.

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 unit 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 unit determines that those qualifications may warrant promotion in rank, or if the faculty member requests it, the unit 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 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 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 Promotion and Tenure 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."

In addition to external reviews of the candidates scholarship, the committee chair, in consultation with the candidate, identifies other individuals outside the Department of Spanish and Portuguese who may be invited to write letters of support that attest to the candidate’s contributions to teaching, scholarly activity, or service. When available, these letters will be placed in a supplemental file of the candidate’s dossier and will become a part of the official record. The committee chair writes a letter or email inviting these individuals to provide a letter of reference by early September and may provide these individuals with a copy of the candidate’s curriculum vitae.