University at Albany
 

Administrative Procedures for the Preparation of Recommendations for Promotions and Continuing Appointment

NOTE: These Administrative Procedures have been prepared by the Office of Academic Affairs. They include as Appendix A the Guidelines approved by the University Senate for the Council on Promotions and Continuing Appointment (CPCA). Both statements, though separate, are consistent with and complement each other. The Procedures issued by Academic Affairs facilitate the appropriate preparation of the dossier and are therefore more detailed than the CPCA Guidelines.

Table of Contents

CHECKLIST

Common Weaknesses in Files

Calendar for Completion of Actions

Part I: General Criteria and Standards

Part II: Preparation of the File

Part III: Procedural Issues

  1. Access to File by Candidate
  2. Adding Materials to the File
  3. Personal Presentations by the Candidate

Part IV: New Faculty Appointments



Appendix A: CPCA Guidelines
Appendix B: Legal Inquiries
Appendix C: Cover Sheet
Summary of Actions
Appendix D: Document Register
Appendix E: Sample Curriculum Vitae
Appendix F: Solicited Confidential Letters
Appendix G: Sample Letter of Release for Unsolicited Evaluations
Appendix H: Senate Bill 8384-07 on Evaluation of Teaching
Appendix I: Evaluation of Library Academic Faculty for Promotion and
Continuing Appointment (provided separately where applicable)

PROMOTION AND CONTINUING APPOINTMENT CHECKLIST

The following is a general checklist to assure inclusion of appropriate materials with each request for faculty promotion and/or continuing appointment.


_____   1. Cover Sheet (Appendix C-1)
_____   2. Summary of Actions Form (Appendices C-1 and C-2)
_____   3. Document Register (Appendix D)
_____   4. Curriculum Vitae, including date submitted (Appendix E)
_____   5. Candidate's SUNY/Albany employment history and courseload
_____   6. Candidate's statements of major research themes and future plans, teaching philosophy, and service (typically no more than 1-3 pages)
_____   7. Solicited independent letters of evaluation (Appendix F)
  1. Description of procedure used for identifying suitable, independent evaluators, including procedure followed to assure letters are from persons with no significant personal or professional relationships with the candidate
  2. Description of outside evaluators
  3. Copy of solicitation letter
  4. Solicited letters of evaluation
_____   8. Unsolicited letters of evaluation (Appendix G)
_____   9. Description of procedures used to present required peer and student evaluation of teaching (Appendix H)
  1. Peer evaluations
  2. Student evaluations
  3. Copy of student evaluation form
  4. Primary teaching documents
_____   10. Description of procedure used to solicit evaluations of service contributions and summary of results
_____   11. Summary of faculty composition
_____   12. Listing of top scholarly journals in the candidate's field
_____   13. Letters of transmittal and recommendations from reviewing bodies and officers
  1. Summary of Department/School recommendation and vote, including indication of who prepared the document and the date approved by the department/school
  2. Chair's recommendation
  3. College/School recommendation
  4. Dean's recommendation
  5. Recommendation from the Council on Promotions and Continuing Appointment
  6. Provost's recommendation
_____   14. Copies of publications


The following are common weaknesses in promotion and tenure dossiers which have been sufficient to return files to prior review levels for additional information and/or clarification.

  1. External Consultants - The file must contain at least four letters from qualified reviewers, certified by the department (or school) as being independent and "detached" from the candidate - i.e., in a position to provide an objective assessment of the quality and impact of the candidate's work on the field. These letters cannot be from persons who have had a close personal relationship with the candidate (i.e., recent colleagues, close research collaborators, current or former students, mentors, thesis or postdoctoral advisors, co-authors, fellow students in graduate school). Additional letters may be included, but the association with the candidate must be explicitly identified. The candidate (or close collaborator) cannot be involved in selecting the external reviewers. The candidate may, however, identify potential referees who for personal reasons ought not be consulted. For more information see pages 10-11 and Appendix F.
  2. Evidence on Teaching - The file must contain complete information documenting teaching, including sample syllabi, exams, grade distributions, and handouts. A serious evaluation, conducted by peers, must be included as a separate report in the dossier. To the extent possible, a comprehensive report and analysis of all student evaluations during the candidate's employment at the University at Albany should be submitted. Item means should be included, not simply totals for each course. The analysis should also include data comparing the candidate's performance as a teacher with that of other faculty members in the department or school, particularly those who have taught the same or comparable courses. To avoid any possibility of coercion, testimony should not be solicited from current students. For more information see page 12 and Appendix H.
  3. Evidence on Service - The file must contain complete information documenting service. Service includes professional and public service contributions as well as service to the department, school, and University. For more information see page 13.

  4. Chair's "Voice" - The file should contain multiple perspectives of the candidate's contributions and performance. The department chair should be particularly sensitive to avoid writing and presenting too much of the evidence. In particular, the required summary of the department meeting and vote must be drafted by someone other than the chair, and the statement must be reviewed and approved by the department as a whole. Where possible, some explanation of minority votes in either direction should be provided in the written summary. For more information see pages 13-14.
  5. Poor Organization - The file should be clearly organized. Unless there are compelling reasons to diverge from it, the suggested sequence of the presentation provided in Part II of these Administrative Procedures should be followed. A candidate is best served by a forthright, candid presentation and interpretation of the evidence that avoids obvious hyperbole and does not require a reviewer, at whatever level, to work hard to understand the evidence related to the case.
  6. Explanation of Career - Where applicable, the file should contain a brief narrative explanation of the candidate's career path at the University at Albany. The curriculum vitae is sometimes insufficient to accomplish this. For instance, periods of appointment in non-tenure track title should be identified and explained.


Calendar for Completion of Actions

Before beginning the preparation of the file, please be sure to inform the Office of Academic Affairs (437-4920) of the candidate's name and the nature of the personnel action to be initiated. While the Office of Academic Affairs is automatically notified by the Office of Human Resources Management of cases involving consideration for continuing appointment in the mandatory year, the department chair or dean must alert the Provost to requests for action in cases of reconsideration, promotion, and early consideration for tenure. Failure to inform the Office of Academic Affairs will jeopardize the candidate's opportunity for timely consideration.

Due dates for completion of actions are provided below. There are two sets of dates. The first is for candidates for continuing appointment where a final decision must be reached by the end of the fall semester. The second set of dates is for candidates for continuing appointment where a final decision must be reached by the end of the summer. The particular review cycle for a faculty candidate will depend on the date of initial appointment, approved prior service (where applicable), and leave status during the initial years of employment. Most candidates will be in an appointment cycle that relates to the second set of dates. Candidates being considered early for tenure and promotion may be reviewed in either cycle.

  1. Original requests - All action must be completed and forwarded no later than the due dates specified below. With the exception of mandatory reviews, cases received by the Office of Academic Affairs after the due date will be reviewed in the following academic year.

    For promotion, continuing appointment, or
    combined promotion and continuing appointment requests:

    For decision
    by January 15
    For decision
    by August 31
    February 1 September 15 Date by which candidate must declare his/her candidacy and inform Department Chair with copy to Dean and Provost (not required for mandatory cases).
    June 1 February 1 Completion of first and, where applicable, second levels of peer and administrative reviews and transmittal to the Office of Academic Affairs for referral to the Council for all mandatory cases involving continuing appointment.
    October 1 March 1 Completion of first and, where applicable, second levels of peer and administrative reviews and transmittal to the Office of Academic Affairs for referral to the Council for all cases involving only promotion and for continuing appointment requests in the non-mandatory year.
    November 15 June 1 Completion of Council's review and transmittal to the Provost
    December 15 July 1 Completion of the Provost's review and transmittal to the President
    January 15 August 31 Decision by President and notification to the candidate

  2. "Reconsideration requests - Requests for continuing appointment which were considered on a mandatory basis at all levels and disapproved by the President during the previous academic year may be reviewed and processed in accordance with Section VI of the Senate Guidelines. All action on such requests must meet the following schedule:
  3. October 3 An individual requesting reconsideration of a request for continuing appointment must notify his/her Department Chair of his/her request.
    October 15 All material and new evidence provided by the candidate to the department for action by this date. All other steps for review will be followed and scheduled as needed.
    November 17 The President will officially notify a candidate for reconsideration of approval or disapproval of that request.


  1. General Criteria and Standards
  2. Before preparing a request for promotion and/or continuing appointment, the Chair and members of the department should have a clear understanding of the general criteria and campus-wide standards applied to each request. To help develop that understanding, the Office of Academic Affairs with recommendations from the Council on Promotions and Continuing Appointments, provides the following general statement of criteria and standards:

    1. In the review process, primary emphasis will be placed upon the major areas of scholarship, teaching, and service. For this purpose scholarship is broadly defined as original scholarly contributions or artistic works which constitute significant advances or major contributions to the individual's discipline or to practice in the field and which serve as a basis for major professional awards or distinctions in the discipline.
    2. Recommendations shall be based primarily upon a careful deliberation concerning the effectiveness of the candidate within each of the three following categories as are appropriate to the position of the candidate within the University. None of the three criteria will be traded off, one against the others. Excellence in any one of the three areas will not compensate for deficiency in another.
      1. Teaching as documented by such evidence as student and peer evaluations, development of teaching materials or new courses, student advisement, thesis supervision, and evidence of lasting contribution to students' intellectual growth.
      2. Scholarship as documented by publication of significant research work in the field, by development of educational and research materials or software, or by creative contributions in the arts. Also included is mastery of subject matter as demonstrated by advanced degrees, licenses, honors, grants, awards, reputation in the field, and continuing professional growth.
      3. Service appropriate to the rank as demonstrated by participation in departmental, college, and university duties and governance, professional society activities, and such public and community service as is related to the candidate's scholarly qualifications.

    3. During the review process, discussion of the candidate's qualifications should exclude references to matters that can lead to grievances. Distinctions between legal and illegal inquiries are set forth in Appendix B. Although designed for initial appointment interviews, this chart is equally applicable to reviews for promotion and continuing appointment and should serve to prevent any inadvertent references to inappropriate areas of discussion. If an academic review body at any level is concerned about the effect of an action on programmatic needs or priorities, or tenure ratios within the department, or affirmative action goals of the department, program, or college, those concerns should be discussed apart from the criteria in Section B, with the discussion to be recorded and included as information in the candidate's file.
    4. Promotion to Associate Professor (or Associate Librarian) and consideration for continuing appointment are concurrent activities as evidenced by a single vote. In no case will a recommendation for continuing appointment at the rank of Assistant Professor (or Assistant or Senior Assistant Librarian) be considered.
    5. As a research university, candidates for promotion are expected to demonstrate excellence primarily in research and teaching, together with evidence of substantive contributions in service. For promotion to associate professor, candidates are expected to be recognized and respected as outstanding scholars in their discipline specialty and effective and committed teachers and mentors. In addition, they must show clear commitment to service in relevant contexts - i.e., various levels of the institution, the profession, the public. For promotion to full professor, candidates are expected to present evidence that they have made continued major contributions in research and teaching since the last promotion, that they have achieved a national or international reputation, and that they have moved into leadership roles as fully engaged scholars, teachers, and institutional and professional citizens.

      In a few rare cases, an individual may be considered for promotion on grounds other than those listed above, after making a truly outstanding contribution to the University or the external community over a period of many years.


  3. Preparation of the File
    1. Declaration - Before beginning the preparation of the file, please be sure to inform the Office of Academic Affairs of the candidate's name and nature of the personnel action in cases of reconsideration, promotion, early consideration for tenure, and where applicable for a new faculty member.
    2. Informing the Candidate - It is of primary importance that the candidate be informed of the procedures and criteria considered for promotion and/or continuing appointment, and of the status and nature of the non-confidential material in the file. Accordingly, each candidate for promotion and/or continuing appointment should be provided with a copy of these administrative procedures.

      Each candidate should be advised that s/he may examine the non-confidential material in the file at any stage of consideration. Further, the candidate should be given the opportunity to add material to the file at any time during the review process (e.g., manuscripts, articles as they appear in print, teaching evaluations, etc.) The candidate must be given an opportunity to review the file, and to comment in writing if s/he chooses, following action by each review committee and administrative officer.

    3. Organization of the File and Preparation of File Documents - The required uniform arrangement for promotion and continuing appointment request files is listed below with an explanation where necessary. It is the responsibility of the Department Chair and Dean to assure that all relevant data and statements are included and presented in an organized and clear fashion in the following order. A checklist is provided for your convenience.
      1. Cover Sheet (see Appendix C-1)
      2. Document Register (Appendix D)
      3. To avoid controversy and contradictions concerning contents of the promotion and/or continuing appointment file, a document register must conform to the format established in the attached Appendix D. Each document should be recorded on the register as the document is received and placed in the dossier.

        1. The document register is started at the initial level of consideration.
        2. Each subsequent University officer having custody of the file is responsible for maintaining the register on a current basis.
        3. Confidential letters of recommendation will be listed on the document register only by a number, date, and type of document - for example, #1 Letter of Recommendation dated 7/1/02. Each such confidential document should be numbered in the upper right-hand corner to agree with the number reported on the document register.

      4. Summary of Action Form - (Appendix C-2, 3, as appropriate)

      5. Curriculum Vitae (Appendix E)
      6. The curriculum vitae is a critical and essential element of the dossier. The candidate must be given an opportunity to update his/her vita before being considered by the initial unit. The completed vita must be dated and signed by the candidate. The exact form and content of the vita may vary; however, categories should be clear and should allow for recording relevant information describing the candidate's scholarly, teaching, and service performance.

        A suggested format is attached as Appendix E. In documenting the publication record, do not include work submitted, work in progress, or working papers under the heading of published work. Documentation of papers accepted, invitations to revise and resubmit, and letters from publishers about book contracts or interest from a press should accompany the vita. Papers delivered (or abstracts of such papers) should be listed in a separate category from published work, as should doctoral dissertations and articles in intramural or strictly local publications (these last might more properly be listed under the general head of community or other service). Contributions in non-refereed journals should be identified. When preparing the vita, the candidate should be aware that in listing publications, art exhibitions, musical compositions, etc., complete references must be given. Full bibliographic information is required, including names of co-authors, number of pages, titles of journals in full on first mention, and dates. Where a substantial amount of the published work is co-authored, indication (perhaps in a separate document) must be given of the candidate's individual role and contribution; this indication may be supported by commentary from the candidate's collaborators. In addition, the vita should indicate clearly the order of co-authorship, together with relevant guidance regarding norms in the field about what first or last authorship means. Indications of external funding should specify the source, duration and amount of support. Finally, the candidate's doctoral mentor, thesis title, and, where applicable, postdoctoral mentor should be identified.

      7. Candidate's SUNY/Albany employment history and courseload.
      8. The department will prepare a brief SUNY/Albany employment history and a table of courses taught for each semester at SUNY/Albany. Periods in which the candidate was not "on the tenure clock" should be identified and explained.

      9. Candidate's statements of major research themes and future plans, teaching philosophy, and service.
      10. The candidate should provide a concise (i.e., 1-3 pages) statement summarizing the major research question and/or themes with which s/he is concerned. The candidate should also indicate the directions in which the research is likely to proceed in the future. The purpose here is to assist non-specialists reviewing the file in appreciating the organization and significance of the candidate's scholarship in relation to a major research issue confronting the discipline. The candidate should also describe his/her research collaborations.

        The candidate is also expected to provide concise statements on teaching, including the candidate's strengths, educational objectives and pedagogical approach at both the undergraduate and graduate levels. In addition, the statement should describe the involvement in and aspirations for curriculum development (e.g., in general education, as well as subjects in the candidate's specialty, multimedia, distance or extended learning). The statement on service should describe the candidate's objectives and involvement in the University and external communities, including the profession and, where it exists, in practicum settings (e.g., educational institutions, non-profit agencies, government, the private sector).

      11. Solicited letters from outside consultants (CONFIDENTIAL)
        1. Statement of the method used to select consultants
        2. Data on consultants (preferably attached to each evaluation letter)
        3. A sample letter of solicitation
        4. Letters from consultants

        Solicited letter of evaluation - A solicited letter of evaluation is any letter, memorandum, statement, or report of recommendation solicited by an authorized University official from another individual (referred to as a consultant) in connection with the appointment, renewal of term appointment, promotion, or continuing appointment of any faculty or professional staff member. Solicited documents are confidential within the provision of Article 31 (Personnel Files) of the UUP Agreement. Solicited letters are an essential element in the review process. While such letters are most typically used to assess the visibility and impact of a candidate's professional attainments in scholarship, they may also be used as part of the documentation and evidence to support claims about a candidate's teaching or service performance. Individuals responsible for soliciting such letters should pay serious attention to the following:

        1. Number of Consultants - There is no minimum number of letters that must be solicited for teaching or service. In the case of reviews of the candidate's research and scholarship, to provide a full and fair basis for judgment, each file must contain at least four letters from qualified objective reviewers. Reviews cannot be from persons who have a close relationship to the candidate (i.e., recent colleagues, research collaborators, current or former students, mentors, thesis or postdoctoral advisors, co-authors, and the like must be avoided). Additional letters may be included, but the association with the candidate must be explicitly identified, and these letters are not to be counted in meeting the minimum requirement of four, independent, external reviews.
        2. Selection of Consultants - Candidates cannot be shown a list of potential consultants. Prior to the selection of consultants, the candidate may identify potential referees who for personal reasons ought not be consulted; otherwise, the candidate must not be involved in selecting external reviewers. Citation indices should not be used as the sole source of names of prospective consultants. If a candidate's area of research is so specialized that it is not possible to obtain a complete set of reviews from persons without prior ties to the candidate, then at a least a majority should be from the general discipline and without prior ties to the candidate. Prior effort should also be made by telephone or e-mail to confirm that a proposed consultant does not have a prior association with the candidate that would compromise his/her ability to give an objective review. The department (or school) must certify the independence of each reviewer - i.e., the basis for the judgement that s/he is detached from the candidate and in a position to deliver an objective review.
        3. The file should contain a detailed statement that describes how the consultants were selected and why they were selected. Please identify consultants who have written an evaluation letter for a previous personnel action on behalf of the candidate. For evaluation of the candidate's research, each consultant's standing in the field should be documented in an accompanying vita or extended biography. It is also strongly urged that academic consultants hold an appropriate rank, be currently active in research, be selected from among the leaders in the candidate's area of specialization, be associated with academic programs of high quality, and be familiar with the performance standards and norms for promotion in U.S. academic institutions. In certain areas, it may be appropriate to include letters from some consultants who are professional practitioners (e.g., government officials) in a position to evaluate the quality and impact of a candidate's contributions in other settings. These consultants should be carefully selected with a view towards their special knowledge of the context and information needs of non-academic institutions and practitioners.

        4. Solicitation of Letters - Letters in the file which state that the consultant is out of the country or knows nothing of the candidate's work and, therefore, cannot comment, are of no service to anyone. It is suggested, therefore, that deans or department chairs make initial contact with potential consultants by telephone and secure their consent to serve before an official letter of solicitation is sent. This also provides an opportunity to confirm that the consultant does not have a prior professional association with the candidate that would compromise his/her ability to provide an independent assessment. A vita and copies of the research work that will be used to make the case should accompany the solicitation letter. Explicit mention should be made of what materials have been sent to each reviewer. In composing the letter soliciting an evaluation, the writer must take extreme care to avoid biased or leading statements in the request.
        5. Consultants should be informed exactly of the candidate's situation (i.e., a candidate for continuing appointment and promotion from assistant professor to associate professor, or from associate professor to professor). It should also be made clear that "continuing appointment" is equivalent to what is usually called "tenure." Additional information and directions regarding solicited letters is provided in Appendix F.
        6. A complete set of solicited letters should be available at the time of the initial level of review. All letters solicited and received must be included in the file with clear notation documenting when they were solicited and received. Solicitation from consultants should be undertaken at the earliest possible time. Transcripts of telephone conversations with consultants are not satisfactory substitutes for letters.
        7. Solicited letters should be current and should be solicited for the specific action under consideration.
        8. In instances where a candidate is being reconsidered for promotion or tenure, a list of all consultants contacted in prior years for the candidate's promotion to the same level should also be provided, together with prior solicited letters obtained from these consultants (if the letters were solicited for action within the past two academic years).
        9. Unsolicited letters of evaluation (if appropriate)
        10. Unsolicited letters and statements, or letters and statement obtained by persons other than an authorized University official, do not have confidential status and are available to the candidate. Before placing such letters in the file, a letter should be sent to persons who have submitted unsolicited letters of evaluation advising the writer that the recommendation is not confidential and will be made available to the candidate as well as to colleagues and administrative officials. The sender should then be given the opportunity to withdraw the letter or affirm his/her intention that the letter not be confidential. There must be an approval for each unsolicited letter (please see attached sample letter in Appendix G). Anonymous statements or letters should not be placed in the file.

        11. Description of procedures used to present required peer and student evaluation of teaching.
          1. Peer Evaluation of Teaching - University policy mandates both peer evaluation and student evaluation as components in the assessment of a faculty member's contribution as an instructor (see Appendix H). In the case of peer review, a summary of the methods used, a description of the material examined and the overall assessment of the outcome should be included, together with a copy of the department/school's policy and procedures for peer evaluation. Several first-hand peer evaluations of the candidate's classroom performance are useful. The record of the peer evaluation must include a representative sample of the candidate's course syllabi, reading lists, examinations, and grade distributions. For candidates involved in doctoral education, the peer evaluation should discuss the faculty member's role in teaching required courses, in serving on doctoral committees, and in mentoring graduate students. The peer review should also serve as the site to indicate and evaluate the candidate's involvement in the University's curricular and pedagogical initiatives, such as the formulation and teaching of General Education courses, the teaching of writing-intensive courses, the mentoring of students at risk, the teaching of courses on the internet, etc. The findings of the peer review committee should be summarized in a detailed statement prepared by a member of the teaching faculty other than the department chair. Such a discussion need not be lengthy but should give a clear indication of the candidate's strengths and weaknesses as a teacher. Passing mention of a candidate's teaching performance in an administrative recommendation will not meet the requirement for a peer evaluation.
          2. Student Evaluations of Teaching - A comprehensive report and analysis of all student evaluations during the candidate's employment at SUNYA must be submitted with each request. Both qualitative and quantitative data are expected. A presentation of raw data alone will not meet this requirement. The statement should briefly describe the procedures used to collect more recent evaluations. In preparing the summary, all the actual evaluations and questions used should be tabulated or graphed in a way that reveals individual strengths and weaknesses that are obscured by averages. The report should include course-by-course information on the number of students in the class, the number of students responding and the percentage of responses. As a frame of reference, an explanation of the evaluation results and some comparison with others teaching the same or similar courses within the department is essential. For quantitative student evaluations the following information should be provided dating back at least five years: (1) departmental average rating; (2) average rating of instructors teaching the same or similar course; (3) the average number of students enrolled in the same or similar course. For qualitative student evaluations that are in a language other than English, a translation should be provided. Testimony from current students should not be solicited.
          3. Copy of Student Evaluation Form - A copy of the student evaluation form should be included in the dossier. The student evaluations themselves should not be forwarded with the promotion/continuing appointment file. However, the evaluations should be kept available in the department for use by any or all subsequent reviewers.
          4. Primary Teaching Documents - Primary teaching documents such as course outlines, reading lists, working papers, tests, etc. should be included in an appendix to the dossier.

        12. Description of procedures used to solicit service contributions and summary of results.
        13. A separate section should contain a peer presentation of evidence documenting the quality and quantity of the candidate's service to the department, school, college, university, profession, and community. It is normally expected that candidates for promotion to the rank of associate professor will be able to demonstrate the capacity for effective service in appropriate contexts. Service to the profession includes activities such as journal editorships, leadership of conferences, invited presentations, and production of texts, other publications and media products which are widely used tools that contribute to a profession's collective effort aimed at research and education. Service to the community includes activities such as consultantships (both paid and pro bono), presentation of testimony, and leadership involvement for community groups whose interests are related to the candidate's field of expertise. Service on campus and professional committees should be carefully described in this section, especially if it is not detailed in the candidate's vita. For committee work, each committee should be identified by name and period of the candidate's appointment. The file should contain letters solicited from the Chairs of significant committees and councils describing the scope and significance of the candidate's contributions as a member. As solicited statements, these letters may be confidential, at the discretion of the reviewer (see Note to Appendix F, Confidential Letters). This section should also include statements solicited from consultants in a position to describe and evaluate the particularly distinctive ways in which the individual has changed the institution or the profession or in other ways made a contribution that is uniquely innovative and substantial. Service to the department (or school) may also include distinctive contributions on behalf of core functional areas - e.g., statistics, mentoring special student groups, etc.

        14. Summary of faculty composition (number of faculty at each rank with continuing appointment and without continuing appointment).
        15. Listing of major scholarly journals in the candidate's field, (a ranking or evaluation of those journals in which the candidate has published, and an indication of whether each of the journals is refereed). This listing should be provided by the department and not the candidate.
        16. Letters of transmittal and recommendations from reviewing officials These documents, prepared in the normal course of evaluation by chairs, deans, the Provost, and first and second level academic review committees are non-confidential and must be provided to the candidate.
          1. Initial Academic Review Committee - The department/school should consider the candidate in accordance with departmental/school by-laws. The department/school discussion and vote should be scheduled at a time when it is possible for faculty to attend. It is expected that the discussion will be fact-based and related to the applicable criteria for promotion. The vote of eligible department/school members, including any student vote, must be recorded and reported with a summary of major issues discussed. Specific information should be included to explain concerns reflected in the departmental vote.
          2. The summary of the departmental/school meeting must be prepared by a member of the teaching faculty or professional staff other than the department chair or dean and approved by the department/school as a whole. The summary should indicate the date on which the minute was approved. The summary must be a separate document in the file (i.e., reports of department/school personnel committees or recommendations from a department chair or dean are not satisfactory substitutes). The Chair or Dean may be present for the discussion of the case but may not vote. The vote of only the academic full-time employees of the department/school constitutes the recommendation of the "Initial Academic Review Committee." Visiting faculty are not eligible to vote. Voting should be carried out only among those who have reviewed the dossier and who are present for the departmental/school discussion. A faculty member unable to be present for the departmental/school discussion and vote may provide a letter to the Chair or Dean indicating his/her position on the case, which should be read at the departmental/school meeting and accounted for in the summary of the departmental discussion. Letters from faculty members unable to be present for the departmental/school discussion which are not available at the time of the departmental/school discussion and vote, shall be treated as unsolicited letters (see #8 above) and their weight judged accordingly.

            The summary of discussion and the departmental/school vote must be given to the candidate before the case is forwarded to the next level of review. The summary should indicate the number of faculty members in the department/school who did not attend the meeting and, where known, the reasons for lack of attendance. For faculty who are appointed in equal budget increments to more than one academic department/school, the initial review will be led and conducted by a designated unit of primary appointment. In cases where a faculty member is appointed in unequal budget increments, is jointly appointed, or otherwise contributes substantially to another program without formal appointment, some documentation of the quality of that contribution should be included in the dossier.

          3. Initial Administrative Recommendation - After the departmental meeting, the Chair or Dean shall prepare a written recommendation and evaluation of the candidate. The evaluation shall include references to the criteria set forth in the Administrative Procedures and should discuss both the positive and negative aspects of the case. This report shall represent the Chair's or Dean's individual evaluation and recommendation (either positive or negative) on the issue. A copy of the Chair's or Dean's report must be provided to the candidate and should also be available to the department/school faculty.
          4. For faculty appointed to the Rockefeller College of Public Affairs and Policy, the Dean of the College shall provide a written recommendation following an initial administrative recommendation to be provided by the faculty member's Department Chair.

            If it has not been provided in a prior document, the initial administrative recommendation should present a detailed synthesis of evidence obtained from internal and external sources on behalf of the requested personnel action. The statement must address in detail each of the three criteria for promotion and/or continuing appointment. For each criterion, the statement should provide a context within which to evaluate evidence in the file; for example, the performance should be compared with productivity norms and expectations for the candidate's academic discipline. The Chair or Dean should also provide an interpretation of the significance of the candidate's scholarly contributions, as well as a discussion of the role and effectiveness of the candidate as a faculty member in the department or school.

            Typically, there is considerable evidence in the file concerning the candidate's reputation among scholarly peers and effectiveness and skill as a teacher. Chairs or Deans should also be careful to address seriously the criterion of service by including a separate section that discusses both the quantity and quality of the candidate's contributions and performance in this area. Just as claims concerning the candidate's scholarly attainments and teaching effectiveness are expected to be supported by external evaluations and student and peer assessments, the candidate's service contributions should also be fully documented (e.g., with statements from chairs of committees or representatives of organizations with which the candidate has been involved). Finally, the initial administrative recommendation should offer an explanation, if possible, of any negative votes at the initial academic review level. If it is not already recorded, the statement should indicate the number of faculty members who did not attend the initial academic review meeting and where known, the reasons for their absence.

          5. Subsequent Academic Review Committee - The "Subsequent Academic Review" under the UUP Agreement shall be the formal action of the a "committee of academic employees" as follows:
            1. For faculty of the College of Arts and Sciences, the committee will be the College's Personnel Committee.
            2. For faculty of the School of Business, the committee will be the School's Personnel Committee.
            3. For faculty of the School of Education, the committee will be that School's Appointment, Promotion, and Tenure Committee.
            4. For faculty of the School of Public Health, the committee will be the School of Public Health Council.
            5. For faculty of the Schools of Criminal Justice, Information Science and Policy, Social Welfare, of the Rockefeller College of Public Affairs and Policy, and of the University Libraries, the committee will be the University Council on Promotions and Continuing Appointment.

            The subsequent academic review committee shall report its vote to the Dean or Provost (where applicable) and the candidate. The committee shall also provide a brief statement explaining the reasons for the committee's recommendation. The statement should also explain any dissenting votes and describe, where applicable, any reservations about the case. The committee's vote and report must be included in the dossier. A copy of the report must be provided to the candidate.

          6. Dean's Recommendation - The Dean shall review the file for completeness and adherence to procedural rules. The Dean may comment on procedural or substantive issues as appropriate. A copy of the Dean's comments and recommendations must be provided to the candidate. The original file (clearly marked "original") with the required documentation should be forwarded by the Dean to the Office of Academic Affairs with thirteen (13) copies. All copies should be collated, carefully organized, and inserted in individual file folders so as to assist a careful and thorough review.
          7. The Dean's statement should include a detailed review of the candidate's qualifications in each of the criteria. In addition, the Dean should describe special circumstances and distinctive values and contributions that the candidate brings to the School or College. The Dean should take steps to confirm that all external evaluations were properly obtained, that evidence supporting the required peer and student review of teaching is included, and that the dossier includes evidence which helps to illustrate the quantity and quality of the candidate's service. Finally, the Dean's statement should provide, if possible, an explanation of negative votes at the second level review.

          8. Recommendation by the Council on Promotions and Continuing Appointments - The Council's staff assistant shall review the file for completeness and will then forward the material to the Council on Promotions and Continuing Appointment for review. The Council will review the case first as to form, for conformance with these administrative procedures. The review will also include an assessment of the merits of the case, looking especially for evidence in the file that justifies the conclusions reached at prior review levels. A copy of the recommendation of the Council on Promotions and Continuing Appointment must be provided to the candidate.
          9. Recommendation by the Provost - After the Council on Promotions and Continuing Appointment has completed its deliberations, the Provost will review the case and prepare a letter of transmittal to the President with a recommendation. A copy of this recommendation will be provided to the candidate.

        17. Copies of Publications

  4. Procedural Issues
    1. Access to File by Candidate - The basic tenet to be observed is that the candidate may have access to the non-confidential material in the file upon proper request. To provide consistency and avoid personality conflict issues, the following rules and procedures should be followed:
      1. Upon specific request to the university officer having temporary custody of the file, the candidate shall be permitted to examine the document register.
      2. The candidate may be permitted to examine the non-confidential material in the temporary file only by making written application to the appropriate Personnel Officer (Department Chair, Dean, Associate Vice President). That officer will secure the material and schedule an appointment for examination of the temporary file as soon as possible, but not later than five (5) working days from the date of the request.
      3. The candidate must be informed of the availability of the temporary file and of the procedure for reviewing the contents of the file.
      4. The UUP Agreement states that the candidate shall have access to the non-confidential portions of the file after all recommendations have been prepared for the President's review. The candidate should apply, in writing, to the Office of Academic Affairs requesting to see the file before the President takes action. When the file is complete, the Office of Academic Affairs will arrange the review.

    2. Adding Materials to the File - The candidate should be allowed to respond to each recommendation during the review process. In addition, the candidate should be allowed to add materials to the file during the course of the process, e.g., new manuscripts, published works, new teaching evaluations.
    3. Personal Presentations by the Candidate - The candidate may appear before the Department and School/College committee considering promotion and/or continuing appointment, and the Council on Promotions and Continuing Appointment, if the candidate so desires. The candidate who wishes to appear before the Council on Promotions and Continuing Appointment should inform the Office of Academic Affairs before the Council meets to consider the case.


  5. New Faculty Appointments - Guideline for Consideration of New Faculty for Continuing Appointment
    1. Background - The University at Albany has established guidelines and procedures for reviewing faculty members for continuing appointment (tenure) and promotion. At present, these guidelines require candidates for new faculty appointment to undergo the same full-scale review for continuing appointment as candidates who have been appointed to the University for some years. This practice disadvantages the University in recruiting established senior faculty members, particularly in cases where they already hold tenure at a peer institution. The following revision to the campus guidelines seeks to address this situation in a way that also maintains the University's high standards for a lifetime contract.
    2. Review of New Faculty Members for Continuing Appointment - It shall normally be expected that faculty members will be reviewed for continuing appointment in accordance with the University's established process, involving parallel administrative and peer review of the record of professional attainments in scholarship, teaching, and service. The complete process shall be used for new faculty members who have not previously been reviewed for continuing appointment. In individual cases where a faculty member already holds tenure at another institution, the following procedure may be used:
      1. Departments/schools proposing to appoint a new faculty member who already holds tenure at another institution will prepare a case for recognizing that decision at the University at Albany.
      2. The case must be made on the basis of the candidate's professional attainments, national reputation, and performance in scholarship, teaching, and service. A report of a vote of the faculty on the appointment must be included as part of the case. The documentation to support the case shall include copies of the candidate's major publications, professional testimony in addition to the candidate's personal references regarding the quality and impact of the candidate's research, student course evaluations (where available), other testimony and documents regarding the teaching performance (e.g., course syllabii), and testimony regarding the scope and impact of the candidate's contributions in service.
      3. The Dean shall review the case and make a recommendation to the Provost.
      4. Either the Dean or the Provost may require the department to submit the case for review through the University's complete process for continuing appointment.
      5. Where the Dean and the Provost endorse the case, the Provost will submit the file with a recommendation for appointment with continuing appointment to the President.

    3. Initial Rank of Appointment for New Faculty Members - The initial rank of a new academic appointment shall be determined by the applicable Dean, based on a recommendation from the appointing department(s), and with the approval of the Provost.
    4. Faculty Appointments for University Officers - It is a courtesy as well as a common practice for a senior university academic officer - e.g., Provost, Vice President for Research, and Dean - to hold a concurrent academic appointment with continuing appointment. In such cases it shall continue to be the University's practice to consult with the faculty as follows:
      1. The faculty of the applicable department/school shall be polled by the department chair regarding the rank and tenure of the academic appointment.
      2. The department chair or dean shall report the outcome of the poll and make a recommendation regarding the academic appointment.
      3. The chair/dean's recommendation together with a copy of the candidate's curriculum vitae and any other relevant materials shall be presented to the applicable school/college tenure and promotion committee, and the committee shall be invited to comment on the academic appointment.
      4. The dean shall provide a written recommendation regarding the appointment.
      5. All recommendations and materials related to the academic appointment shall be provided to the University Council on Promotion and Continuing Appointment, and the Council shall be invited to comment on the academic appointment.
      6. All recommendations and materials related to the academic appointment shall be transmitted with the Provost's recommendation to the President for approval.