5.4 Promotion and Tenure Application and Review Process

5.4.1 It is the responsibility of each faculty member to understand the processes, elements, and contributions that demonstrate productivity. It is also the responsibility of each faculty member to 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 and department PTE committee will perform separate evaluations and formulate independent written recommendations. The COA, FS, and NR PTE Committee and VPAgA and Dean will perform separate evaluations and formulate independent written recommendations.

5.4.3 The NDSU Extension Service Director will provide an evaluation of faculty with extension appointments and the NDSU Agricultural Experiment Station Director will provide an evaluation of faculty with appointments in the NDSU Agricultural Experiment Station. The Vice President of Agricultural Affairs and Dean in consultation with the Extension and/or Experiment Station Director, as appropriate based on faculty appointment, will formulate a recommendation and forward it to the Provost and VPAA.

5.4.4 The candidate will have 14 calendar days to append a response to each recommendation, or to any new material added to the portfolio during the review process, prior to the review by the Provost and VPAA (NDSU Policy Manual 352.6.2).

5.4.5 The portfolio and administrative recommendation will be forwarded by the VPAgA and Dean to the Provost and Vice President for Academic Affairs by January 15. The college PTE committee will separately forward its recommendation to the Provost and Vice President for Academic Affairs.

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 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. However, in exceptional circumstances, a faculty member who satisfies the criteria for promotion to associate professor may be granted promotion prior to the completion of the normal probationary six year period.

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 COA, FS, and NR acknowledges that missions and roles of individuals, units, and even the university may change over time. The COA, FS, and NR 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.

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 and peer reviewed; cooperative and collaborative research; presentations of research results; activities in research program 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 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: contributions 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 document (available from the Office of the Provost and Vice President for Academic Affairs), 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 COA, FS, and NR and clientele (commodity groups, agribusiness, and others), candidates should identify and maintain clear records of these service/extension activities. Letters of support from peer scientists and/or clientele are encouraged for promotion to Associate Professor and required for promotion to Professor. The letters are solicited by the department chair. 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 should 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 COA, FS, and NR PTE Committee and by the VPAgA and Dean; and 2) materials requested by the COA, FS, and NR PTE Committee or by the VPAgA and Dean. (Note: Items in 2 will be reciprocally shared so the PTE committee and VPAgA and Dean review identical portfolios).

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 department chair or head of the academic unit and the VPAgA and Dean to the Provost and VPAA for recommendation to the President. The unit will be the department or Research and Extension Center.

6.3 The department chair 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 letter to add a written response to the PTE Committee evaluation.

6.4 The department chair or head of the academic unit 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. It is recommended that this meeting be summarized by the chair in writing and given to the faculty member with acknowledgment of receipt. It is encouraged that a neutral third person be invited to be present at the meeting.

6.5 The chair 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 or head of the academic unit 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’s letter of recommendation for nonrenewal is forwarded to the VPAgA and Dean.

6.6 The VPAgA and Dean, in consultation with the Extension and/or Experiment Station Director(s) as appropriate based on faculty appointment, will formulate a recommendation and forward it to the Provost and VPAA. Copies of the recommendation will be provided to the faculty member and department chair. The faculty member or chair will have 10 business days after receipt to respond to the VPAgA and Dean’s recommendation with responses sent directly to the Provost and VPAA and copies to the affected parties such as the faculty, department chair, and directors.

6.7 If a COA, FS, and NR nonrenewed faculty member is in his/her first year of probationary service, termination will be effective at the end of the third month 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 the sixth month, and if a faculty member is in the third to sixth year, termination will be effective at the end of 12 months following nonrenewal. Department chairs can petition the VPAgA and Dean 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 due to financial limitations, workload reductions, unit consolidations, or as otherwise stated in NDSU Policy 350.3.6. The COA, FS, and NR will comply with definitions and provisions of Policy 350.3 in enacting dismissals for those reasons. A committee consisting of a faculty member selected by each department of the COA, FS, and NR will provide faculty participation as prescribed for in NDSU Policy 350.3.7.c.(1)c.

7.2 Dismissal due to adequate cause will be considered only under special circumstances as described in NDSU Policy 350.3.8.

7.3 It is recommended that prior to a dismissal recommendation based on performance, the department chair or head of the academic unit will assure that the faculty is 1) made aware of unsatisfactory performance in writing, including what would demonstrate satisfactory performance and who is responsible for judging adequacy; and 2) is given adequate opportunity to respond to performance problems or provide evidence or clarifications of performance. The department chair will request the department PTE committee complete an evaluation, which becomes part of the official personnel file. The faculty member will have 10 business days after receipt to add a written response to the PTE committee evaluation.

7.4 The department chair or head of the academic unit will first review appropriate administrative procedures, then meet with the faculty, discuss the proposed dismissal recommendation, and give the faculty 10 business days after receipt to respond, in writing, to the proposed dismissal recommendation. It is recommended that this meeting be summarized by the chair in writing and be provided to the faculty with acknowledgment of receipt. It is encouraged that a neutral third person be invited to be present at the meeting.

7.5 The chair will prepare the formal letter of dismissal recommendation, which will summarize pertinent information. The faculty’s written response and any additional material the faculty wishes to include will accompany the recommendation. The department chair or head of the academic unit may include all periodic reviews and any other materials from the faculty’s official personnel file that he/she deems relevant. The chair’s letter of recommendation for dismissal is forwarded to the VPAgA and Dean of the COA, FS, and NR.

7.6 The VPAgA and Dean will request the COA, FS, and NR PTE Committee complete an evaluation, which becomes part of the official personnel file. The faculty will have 10 business days after receipt to add a written response to the PTE Committee evaluation.

7.7 The NDSU Extension Service Director will provide an evaluation of faculty with NDSU Extension Service appointments and the NDSU Agricultural Experiment Station Director will provide an evaluation of faculty with appointments in the NDSU Agricultural Experiment Station.

7.8 The VPAgA and Dean, in consultation with the Extension and/or Experiment Station Directors as appropriate based on faculty appointment, will formulate a recommendation and forward that recommendation to the Provost and VPAA. Copies of the recommendation will be provided to the faculty and to the department chair. The faculty and department chair will have 10 business days after receipt to respond to the VPAgA and Dean’s recommendation with responses sent directly to the Provost and VPAA and copies to the affected parties such as the faculty, department chair, and directors.

7.9 All provisions for appeal of dismissal as described in Policy 350.3.8 apply.

7.10 The process for applying sanctions for adequate cause follow the same procedures described for dismissal.

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

8.0.1 The mission of the COA, FS, and NR 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 COA, FS, and NR policies regarding promotion, tenure, and evaluation: 6) reviewing tenure and promotion applications and making recommendations to the Provost and Vice President for Academic Affairs (VPAA); 7) conducting third-year reviews of probationary College faculty, 8) assisting with administrative evaluations; and 9) completing other evaluations requested by COA, FS, and NR administrators.

8.0.2 The job description, departmental PTE criteria, performance documentation, and evaluations are used by the COA, FS, and NR 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 Experiment Station 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 process of peer review. Thus, faculty holding administrative appointments are not eligible; (administrative appointment includes appointments as Vice President and Dean, Associate or Assistant Dean, Director of the Extension Service or the Experiment Station, or Department Chair or head of an academic unit, including those who hold interim positions, and REC Directors.)

8.1.2 Committee members will be elected by the COA, FS, and NR faculty holding academic rank at a COA, FS, and NR 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 VPAgA and Dean. The term of office starts on May 1 of the calendar year elected. Vacancies on the committee will remain open until the next COA, FS, and NR faculty meeting unless membership drops below five (5) members, at which time a special election will be held at a COA, FS, and NR faculty meeting or an election held by mail 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 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 COA, FS, and NR faculty at which elections are held will be comprised of the eligible faculty in attendance, but will be at least 50 percent of the COA, FS, and NR faculty. 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 prior to the meeting, and that the proxy is approved by the members in attendance. COA, FS, and NR faculty will hold a regular meeting prior to March 1 of each year to hold elections and conduct business. Each faculty member in the COA, FS, and NR 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 COA, FS, and NR vary considerably in faculty size and composition, the COA, FS, and NR 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 COA, FS, and NR guidelines for minimal components of their evaluation and recommendation report.

10.0 Department PTE Policy

10.1 The faculty of each department will also develop a statement of criteria for promotion, tenure, post-tenure, and evaluation that will be reviewed and approved by the college PTE committee and the VPAgA and Dean 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 and Vice President for Academic Affairs to assure consistency with University and State Board of Higher Education (SBHE) policies.

11.0 Changes to COA, FS, and NR PTE Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals

11.1 The COA, FS, and NR Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals must be modified to comply with State Board of Higher Education 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 COA, FS, and NR grant to the elected representatives on the COA, FS, and NR 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 COA, FS, and NR faculty, but subject to ratification if called for at the next COA, FS, and NR faculty meeting. COA, FS, and NR faculty will vote on substantive changes during a COA, FS, and NR faculty meeting, when the proposed changes have been shared with faculty at least ten (10) business days prior to the meeting, or by mail ballot. A summary of the corrections/edits will be forwarded to VPAgA and Dean, and VPAA, for their approval. Upon approval, faculty will be informed of the changes to the policy. The COA, FS, and NR Policy and Procedures for Promotion, Tenure, Evaluations, Dismissals, Terminations, and Nonrenewals will be placed on the college Web site by the VPAgA and Dean.