Promotion and Tenure Rules -- May 1996

                            Chapter 3335-47
                                   
              Additional rules of the university faculty
      concerning faculty appointments, reappointments, promotion
                              and tenure

3335-47-01 General Considerations

A. Peer review
B. Equal access

3335-47-02 Criteria for appointment and promotion

A. Mission statement and role of TIU
B. [sillyness]
C. Convincing Evidence
D. Flexibility in applying criteria
E. TIU promotion and tenure document
F. College promotion and tenure document

3335-47-03 Probation and duration of appointment

A.Meaning of probation
B. Length of probation period
  1. General
  2. Early promotion
  3. End game
C. Annual review of probationary faculty
  1. Advise of rules and changes in rules
  2. Annual review
  3. Fourth year review
D. Exclusion of time
  1. Child caregiving
  2. Illness
  3. Limitations on granting exclusion
  4. Maximum time of exclusion
  5. Annual review of exclusion time
  6. Computing exclusion time in review
E. Sevice credit
F. Extension of probation period
G. Termination for performance
H. Termination for fiscal reasons
I. Reasonableness

3335-47-04 Promotion and Tenure review procedures

A. General Considerations
  1. OAA guidelines
  2. Eligible faculty for review
  3. End game
  4. Stopping the review
B. TIU Review procedures
  1. P and T committee
  2. Candidate prepares dossier
  3. Gathering evidence
  4. Faculty role
  5. Chair role
  6. Forward to Collegej
C. College and Administration Procedures
  1. Purpose of review beyond TIU
  2. College advisory committee
  3. Provost advisory committee
D. Modification of review process
  1. Regional campus
  2. College is TIU
  3. School is TIU
  4. Role of subdivision in TIU

3335-47-05 Criteria/procedures for appeals

A. Appeals
B. Seventh year review

3335-47-06 Tenure initiating units

A. Approval of TIU
B. TIU in case of multiple appointment
C. Changing TIU
  1. Voluntary change
  2. Involuntary change
  3. Fiscal exigency
D. Adjusting to new TIU

3335-47-07 Campus Assignment

3335-47-08 Standards of notice

3335-47-09 Regular clinical faculty ranks

A. Appointment criteria
B. Terms of appointment
C. Transfers
D. Promotions

3335-47-01 General considerations.

(A)  Peer review provides the foundation for decisions regarding faculty 
     appointment, reappointment, and promotion and tenure (except when 
     the provisions of paragraph (H) of rule 3335-47-03 of the Administrative 
     Code are invoked.)  Peers are those faculty who can be expected to be 
     most knowledgeable regarding an individual's qualifications and
     performance--normally tenure initiating unit colleagues.  Because of 
     the centrality of peer review to these review processes, faculty vested 
     with responsibility for providing peer review have an obligation to 
     participate fully and knowledgeably in review processes, to exercise 
     the standards established in faculty rule 3335-47-02 of the 
     Administrative Code and other standards specific to the academic unit and 
     discipline, and to make negative recommendations when these are warranted 
     to maintain and improve the quality of the faculty.  Recommendations by 
     the faculty vested with the responsibility for providing peer review 
     will be accepted unless they are not supported by the evidence presented 
     regarding how the candidate meets the standards established in faculty 
     rule 3335-47-02 of the administrative code and other standards specific 
     to the academic unit and discipline.  When, for the reasons just stated, 
     a decision regarding faculty appointment, reappointment, or promotion 
     and tenure differs from the recommendation of the faculty, the 
     administrator or body making that decision will communicate in writing to 
     the faculty body that made the recommendation the reasons that the 
     recommendation was judged not to be supported by the evidence.
     
(B)  In accordance with a policy of equality of opportunity, decisions 
     concerning appointment, reappointment, and promotion and tenure shall be 
     free of discrimination as to race, creed,religion, national origin, age, 
     sex, disability, or Vietnam-era veteran status, or sexual orientation.  
     (B/T 10/5/84, B/T 4/8/88, B/T 11/2/90, B/T 5/3/96)
     

3335-47-02 Criteria for appointment, reappointment, and promotion and tenure.


(A)  The Ohio state university has as its stated mission "the attainment of 
     international distinction in education, scholarship, and public service."  
     For purposes of faculty performance reviews under these rules "public 
     service" is broadly defined to include administrative service to the 
     university, professional service to the faculty member's discipline, and 
     the provision of professional expertise to public and private entities 
     beyond the university and shall be referred to simply as "service" for 
     the remainder of this chapter.  For purposes of faculty performance 
     reviews under these rules "scholarship" is broadly defined to include 
     "research, scholarly, and creative work." 
     
     Each tenure initiating unit is responsible for establishing criteria for 
     appointment, reappointment, and promotion and tenure that are consistent 
     with this mission and for ensuring that every faculty appointment, 
     reappointment, and promotion and tenure recommendation is consistent with 
     this mission.
     
     Appointment decisions for regular faculty positions, as defined in rule 
     3335-5-19 of the Administrative Code, must be based on criteria that 
     reflect strong potential to attain tenure and advance through the faculty 
     ranks.  A minimum requirement for appointment at or promotion to the rank 
     of assistant professor or a higher rank is an earned doctorate or other 
     terminal degree in the relevant field of study or possession of 
     equivalent experience.  Appointments at the rank of instructor should 
     normally only be made when the offered appointment is that of assistant 
     professor but the appointee has not completed the required terminal 
     degree at the onset of the appointment.
     
(B)  No faculty member attains tenure automatically.  Tenure may be acquired 
     either in the original appointment to the regular faculty rank of 
     associate professor or professor or upon promotion from within the 
     university to the rank of associate professor, or following a successful 
     probationary period at the rank of associate professor or professor 
     (as specified in rule 3335-47-03 of the Administrative Code).  Tenure 
     will not be awarded below the rank of associate professor.
     
(C)  The awarding of tenure and promotion to the rank of associate professor 
     must be based on convincing evidence that the faculty member has achieved 
     excellence as a teacher, as a scholar, and as one who provides effective 
     service; and can be expected to continue a program of high quality 
     teaching, scholarship, and service relevant to the mission of the 
     academic unit(s) to which the faculty member is assigned and to the 
     university.  Promotion to the rank of professor must be based on 
     convincing evidence that the faculty member has a sustained record of 
     excellence in teaching; has produced a significant body of scholarship
     that is recognized nationally or internationally; and has demonstrated 
     leadership in service.
     
(D)  In evaluating the candidate's qualifications in teaching, scholarship, 
     and service, reasonable flexibility shall be exercised, balancing, where 
     the case requires, heavier commitments and responsibilities in one area 
     against lighter commitments and responsibilities in another.  In addition, 
     as the university enters new fields of endeavor, including inter-
     disciplinary endeavors, and places new emphases on its continuing 
     activities, instances will arise in which the proper work of faculty 
     members may depart from established academic patterns. In such cases care 
     must be taken to apply the criteria with sufficient flexibility. In all
     instances superior intellectual attainment, in accordance with the 
     criteria set forth in these rules, is an essential qualification for 
     promotion to tenured positions. Clearly, insistence upon this standard 
     for continuing members of the faculty is necessary for maintenance and 
     enhancement of the quality of the university as an institution dedicated 
     to the discovery and transmission of knowledge.
     
(E)  Each tenure initiating unit shall have an appointments, promotion, and 
     tenure document.  The document shall describe, in qualitative terms, the 
     unit's criteria for appointments, promotion, and tenure and evidence to 
     be provided to support a case within the context of the unit's mission 
     and the standards set forth in this rule as well as the mission and
     standards of the college.  The document should indicate with some 
     specificity how the quality and effectiveness of teaching, the quality 
     and significance of scholarship, and the quality and effectiveness of 
     service are to be documented and assessed.  The document of a tenure 
     initiating unit with regional campus faculty must establish criteria for 
     appointments, promotion, and tenure for these faculty within the context 
     of the regional campuses' mission as well as that of the tenure 
     initiating unit.  The document shall also describe the unit's procedures 
     for conducting annual performance reviews of probationary faculty and 
     reviews for promotion and tenure.
     
     The document must be drawn up through broad faculty consultation with all 
     voting members of the tenure initiating unit according to the principles 
     articulated in paragraphs (C)(2) and (D) of rule 3335-3-35 of the 
     Administrative Code and must be approved by the dean of the college and 
     the senior vice president for academic affairs and provost.  An academic 
     unit that believes there is a reason for the unit to have policies and 
     procedures differing from those set forth in chapter 47 of the 
     Administrative Code may petition the office of academic affairs through 
     the dean of the college and must set forth a rationale for why approval 
     of the request is in the best interests of the unit and of the university.  
     The office of academic affairs will consult with the rules committee or 
     its designee in considering such petitions. 
     
(F) Each college shall have an appointments, promotion, and tenure document.  
     The document shall describe, in qualitative terms, the college's criteria 
     for appointments, promotion, and tenure within the context of the 
     college's mission and the standards set forth in this rule.  The document 
     shall also describe the college's procedures for conducting college level 
     reviews for promotion and tenure.
     
     The document must be drawn up through broad faculty consultation and must 
     be approved by the senior vice president for academic affairs and provost.  
     (B/T 10/5/84, B/T 7/7/89, B/T 5/3/96)
     

3335-47-03 Probationary service, duration of appointments for regular faculty.


(A) Probationary periods are established for regular faculty members.  
     During a probationary period a faculty member does not have tenure and 
     is considered for reappointment annually.
     
(B)  Length of probationary period.
     
     (1)  An appointment as professor or associate professor will generally 
          entail tenure.  However, a probationary period not to exceed four 
          years may be granted by the office of academic affairs upon petition 
          of the tenure initiating unit and college.  For the petition to be 
          approved, a compelling rationale must be provided regarding why
          appointment at a senior rank is appropriate but tenure is not.  
          All appointments to the rank of associate professor or professor 
          require prior approval of the senior vice president for academic 
          affairs and provost.
     
          An appointment to the rank of instructor is always probationary 
          and may not exceed three years.  An instructor must be approved for 
          promotion to assistant professor by the beginning of the third year 
          of appointment or the appointment will not be renewed beyond the end 
          of the third year.  When an instructor is promoted to the rank of
          assistant professor, prior service credit will be granted for time 
          spent as an instructor unless the faculty member indicates in 
          writing at the time of the promotion that he or she does not wish 
          such credit.  This written request must be forwarded to the office 
          ofacademic affairs through the dean of the college so that tenure 
          records may be adjusted accordingly.
     
          An appointment to the rank of assistant professor is always 
          probationary and may not exceed six years, including prior service 
          credit.  An assistant professor is reviewed for promotion and tenure 
          no later than the sixth year of appointment as an assistant professor 
          and informed by the end of the sixth year as to whether promotion 
          and tenure will be granted at the beginning of the seventh year.
                                  
     (2) Promotion and tenure may be granted at any time during the 
          probationary period when the faculty member's record of achievement 
          merits tenure and promotion.  Similarly, a probationary appointment 
          may be terminated at any time subject to the notice provisions of 
          faculty rule 3335-47-08 of the Administrative Code and the provisions 
          of paragraphs (G), (H), and (I) of this rule.
     
     (3)  Probationary faculty members will be informed no later than the end 
          of the year in which their mandatory review for tenure takes place 
          as to whether tenure will be granted by the beginning of the 
          following year.  If tenure is not granted, a one year terminal 
          year of employment is offered.
          
(C) Annual review of probationary faculty members.
     
     (1)  At the time of appointment, probationary faculty members shall be 
          provided with all pertinent documents detailing tenure initiating 
          unit, college, and university promotion and tenure policies and 
          criteria.  If these documents are revised during the probationary
          period, probationary faculty members shall be provided with copies 
          of the revised documents.
     
     (2)  During a probationary period a faculty member shall be reviewed 
          annually in accordance with this rule and with policies of the 
          tenure initiating unit, college and university.  The annual review 
          should encompass the faculty member's performance in teaching, in 
          scholarship, and in service; as well as evidence of continuing 
          development.  The involvement of tenure initiating unit faculty in 
          annual reviews is strongly encouraged.  External evaluations of the 
          faculty member's work, required for tenure and promotion reviews, 
          may be obtained for any annual review if judged appropriate by the 
          faculty review body or tenure initiating unit chair.  The tenure 
          initiating unit chair shall inform probationary faculty members at 
          the time of initial appointment, and in a timely fashion each year 
          thereafter, when the annual review will take place and provide a 
          copy of the office of academic affairs dossier outline to be 
          completed by the faculty member in reporting accomplishments to date.  
          At the completion of the review the tenure initiating unit chair 
          shall provide the faculty member and the dean of the college with 
          a written assessment of the faculty member's performance and 
          professional development and an indication as to whether the faculty
          member will be reappointed for an additional year.  The assessment 
          should include both strengths and weaknesses, as appropriate.  All 
          annual review letters to date shall become a part of a faculty 
          member's dossier for subsequent annual reviews during the 
          probationary period, including the review for promotion and tenure.
     
     (3)  The fourth year review of probationary faculty shall follow the same 
          process as the review for tenure and promotion at the tenure 
          initiating unit and college levels with two exceptions:  
          Solicitation of external letters of evaluation may or may not be 
          required by the tenure initiating unit and review by the college 
          promotion and tenure committee shall be optional in all cases where 
          both the tenure initiating unit and the dean approve the renewal of 
          the appointment.  Renewal of the appointment of a probationary
          assistant professor for the fifth year requires the approval of 
          the dean of the college.  Before reaching a negative decision or a 
          decision contrary to the tenure initiating unit's recommendation, 
          the dean must consult with the college promotion and tenure 
          committee.
     
(D)  Exclusion of time from probationary periods.
     
     (1)  An untenured regular faculty member may exclude time from the 
          probationary period in increments of one year to reflect the 
          caregiving responsibilities associated with the birth of a child or 
          adoption of a child under age six.  Requests to exclude time from 
          the probationary period for this reason must be made within the year 
          following the birth or adoption and prior to the beginning of the 
          year  in  which  the  mandatory  review  for tenure must occur.  
          The maximum amount of time that can be excluded from the 
          probationary period for the birth of a child or adoption of a child 
          under age six is one year.  Requests to exclude time from the 
          probationary period made under the terms of this paragraph must be 
          submitted to the chair of the tenure initiating unit for forwarding
          to the dean and to the office of academic affairs.  Such requests 
          will be approved unless they are prohibited by paragraphs (D)(3) or 
          (D)(4) of this rule.
     
     (2)  A probationary faculty member may apply to exclude time from the 
          probationary period in increments of one year because of personal 
          illness, care of a seriously ill or injured person, an unpaid leave 
          of absence, or factors beyond the faculty member's control that 
          hinder the performance of the usual range of duties associated with 
          being a successful university faculty member, i.e., teaching, 
          scholarship, or service.  Requests to exclude time from the 
          probationary period made under the terms of this paragraph must be 
          submitted to the chair of the tenure initiating unit.  Requests 
          shall be reviewed by the tenure initiating unit promotion and tenure 
          committee which shall advise the tenure initiating unit chair 
          regarding their appropriateness.  Such requests require approval by 
          the tenure initiating unit chair, dean, and senior vice president 
          for academic affairs and provost.  A request to exclude time from 
          the probationary period for any of these reasons must be made prior 
          to the beginning of the year in which the mandatory review for 
          tenure must occur.  The extent to which the event leading to the 
          request was beyond the faculty member's control, the extent to which 
          it interfered with the faculty member's ability to be productive, and 
          the faculty member's accomplishments up to the time of the request 
          will be considered in the review of the request. 
     
     (3)  A request to exclude time from the probationary period for any 
          reason will not be granted after a nonrenewal notice has been issued 
          nor will previously approved requests to exclude time from the 
          probationary period in any way limit the university's right not to 
          renew a probationary appointment.  
     
     (4)  The maximum amount of time that can be excluded from the 
          probationary period for any reason or combination of reasons is one 
          year for an instructor, two years for assistant professor (including 
          time spent as an instructor) and one year for an associate professor 
          except in extraordinary circumstances.  Exceptions require the 
          approval of the tenure initiating unit chair, dean, and senior vice 
          president for academic affairs and provost.
     
     (5)  Faculty members will be reviewed annually during their probationary 
          periods regardless of whether time is excluded from that period for 
          any of the above reasons unless their absence from campus during an 
          excluded period makes conduct of such a review impractical.
     
     (6)  For purposes of performance reviews of probationary faculty, the 
          length of the probationary period is the actual number of years of 
          employment at this university less any years of service excluded 
          from the probationary period under the terms of this rule. 
          Expectations for productivity during the probationary period cannot 
          be increased as a consequence of exclusions of time granted under 
          the terms of this rule.
     
(E)  Service credit of up to three years may be granted for prior work 
     experience at the time of the initial appointment and requires the 
     approval of the tenure initiating unit chair, dean, and senior vice 
     president for academic affairs and provost.  Prior service credit shortens 
     a probationary period by the amount of the credit and once granted cannot 
     be revoked except through an approved request to exclude time from the 
     probationary period.  Prior service credit will not be granted for 
     employment in any auxiliary title (such as adjunct, visiting, clinical, 
     or lecturer), special title (such as graduate associate) or part-time 
     position (less than fifty per cent service).
     
(F)  Probationary regular faculty members on less than full-time service for 
     part or all of their probationary period may request an extension of the 
     probationary period.  The extension must be requested prior to the 
     beginning of the year in which the normally scheduled mandatory review 
     for tenure would take place and requires approval of the tenure 
     initiating unit chair, dean, and senior vice president for academic 
     affairs and provost.  The extension shall be for an integral number of 
     years based on the principle that the usual probationary period 
     represents full-time service.  The maximum permissible extension of a 
     probationary period under this paragraph is one year for a probationary 
     instructor, three years for a probationary assistant professor (including 
     time spent at the rank of instructor) and one year for a probationary 
     associate professor or professor.
     
(G)  Probationary appointments may be terminated for inadequate performance 
     or professional development.  When nonrenewal is based on the faculty 
     member's performance or professional development, it must be based on 
     the results of a regular annual review or mandatory review for tenure. 
     
(H)  Probationary appointments may be terminated for fiscal or programmatic 
     reasons.  When nonrenewal is based on fiscal or programmatic reasons, 
     the faculty member should be advised that such nonrenewal is a 
     possibility and formal notice of nonrenewal should be provided as soon 
     as possible after the need for nonrenewal is established.  Nonrenewal of
     a probationary appointment for fiscal or programmatic reasons does not 
     entail a performance review and requires the prior approval of the senior 
     vice president for academic affairs and provost.  Because hiring decisions 
     should be based on informed assumptions regarding the future availability 
     of resources and of programmatic needs, approval of such nonrenewals will 
     be based on the extent to which convincing evidence is provided that the 
     fiscal or programmatic reasons for the nonrenewal could not be anticipated 
     when the appointment was made and are expected to be long lasting.
     
(I)  Decisions affecting the nonrenewal of a probationary appointment may not 
     be arbitrary or capricious or carried out in violation of a faculty 
     member's right to academic freedom.  Faculty rule 3335-5-05 of the 
     Administrative Code provides a procedural mechanism under which an 
     aggrieved probationary faculty member can challenge a nonrenewal 
     decision believed to have been improper. In that instance, however, the 
     burden of proof is on the probationary faculty member to establish that 
     the nonrenewal decision was improper.   (See also faculty rule 3335-47-05 
     of the Administrative Code).  (B/T 10/5/84, B/T 7/10/87, B/T 11/2/90, 
     B/T 4/8/94, B/T 7/7/95, B/T 5/3/96)
     

3335-47-04 Promotion and tenure review procedures.


(A)  General considerations.
     
     (1)  In consultation with the rules committee or its designee, the 
          office of academic affairs shall develop and promulgate procedural 
          guidelines for promotion and tenure reviews to supplement chapter 
          47 of the Administrative Code.  These guidelines shall include a 
          dossier outline to be used for the documentation of accomplishments 
          by all candidates to be reviewed for promotion and tenure and by all 
          probationary faculty for annual reviews.  The guidelines shall also 
          include general information about the review process at the college 
          and university level, information about any legal considerations
          affecting promotion and tenure evaluations, examples of criteria by 
          which candidates for promotion and tenure are evaluated, and other 
          information intended to assist academic units in carrying out reviews.
     
     (2)  All candidates for promotion and tenure are reviewed by the eligible 
          faculty and by the chair of their tenure initiating unit.  Candidates 
          will also be reviewed at the college and university levels.  The 
          tenure initiating unit chair is responsible for informing the 
          candidate in writing of the provost's final decision (if negative) 
          or recommendation to the board of trustees (if positive).
     
     (3)  The review for tenure during the final year of a probationary period 
          is mandatory and must take place. 

          A faculty member may ask to be considered for nonmandatory promotion 
          and tenure review or for promotion review at any time; however, the 
          tenure initiating unit promotion and tenure committee may decline to 
          put forth a faculty member for formal nonmandatory promotion and 
          tenure review or promotion review if the candidate's accomplishments 
          are judged not to warrant such review.  The promotion and tenure
          committee may not deny a tenured faculty member a formal review for 
          promotion more than three consecutive years.
     
     (4)  Only the candidate may stop any review for promotion and tenure once 
          external letters of  evaluation have been sought.  The candidate may 
          withdraw from review at any stage of the process by so informing the 
          tenure initiating unit chair in writing.  If the review process has 
          moved beyond the tenure initiating unit, the tenure initiating unit
          chair shall inform the dean or the senior vice president for 
          academic affairs and provost, as relevant, of the candidate's with-
          drawal.  Withdrawal from the mandatory tenure review during the 
          final probationary year means that tenure will not be granted.
     
(B) Review procedures at the tenure initiating unit level.
     
     (1)  Each tenure initiating unit shall establish a mechanism such as a 
          promotion and tenure committee, for presenting the case of a 
          candidate for promotion and tenure to the eligible faculty for 
          consideration and for preparing a report for the tenure initiating 
          unit chair providing the eligible faculty's assessment of quality 
          and effectiveness of teaching, quality and significance of 
          scholarship, and quality and effectiveness of service.  With the 
          exception noted below, eligible faculty are tenured faculty of 
          higher rank than the candidate excluding the tenure initiating unit 
          chair, the dean and assistant and associate deans of the college, 
          the senior vice president for academic affairs and provost, and the 
          president.  For tenure reviews of probationary professors, eligible
          faculty are tenured professors excluding the tenure initiating unit 
          chair, the dean and assistant and associate deans of the college, 
          the senior vice president for academic affairs and provost, and the 
          president.
     
     (2)  The candidate shall have primary responsibility for preparing, 
          according to office of academic affairs guidelines, a dossier  
          Documenting his or her accomplishments.
     
     (3)  The tenure initiating unit chair or chair of the promotion and 
          tenure committee shall be responsible for gathering internal 
          evidence of the quality and effectiveness of teaching, quality and 
          significance of scholarship, and quality and effectiveness of 
          service from students and peers, as appropriate, within the tenure 
          initiating unit.  The tenure initiating unit chair or chair of the 
          promotion and tenure committee shall also be responsible for 
          obtaining letters from external evaluators and from other units at 
          this university in which the candidate has appointment or 
          substantial professional involvement, whether compensated or not.  
          Some of the external evaluators should be suggested by the candidate 
          and some by the department chair or promotion and tenure committee; 
          no more than one-half of the letters contained in the final dossier 
          should be from persons suggested by the candidate.  All solicited 
          letters that are received must be included in the dossier.  
          Unsolicited letters of evaluation or letters of evaluation solicited 
          by anyone other than the above authorized persons may not be included 
          in the dossier.
     
     (4)  The eligible faculty shall review the candidate's dossier describing 
          accomplishments in teaching, scholarship, and service and shall vote 
          on the candidate.  A report of the faculty assessment, including both 
          strengths and weaknesses, and the numerical vote of the faculty 
          shall be forwarded to the tenure initiating unit chair for inclusion 
          in the dossier.
     
     (5)  The chair shall prepare a separate written assessment of the case 
          and recommendation for the dean for inclusion in the dossier.  As 
          soon as the faculty report and chair's letter have been completed, 
          the candidate should be notified in writing of the completion of 
          the tenure initiating unit review and of the availability of these 
          reports. The candidate may request a copy of these reports.  The 
          candidate may provide the tenure initiating unit chair with written 
          comments on the tenure initiating unit review for inclusion in the 
          dossier within ten calendar days of notification of the completion 
          of the review.  The promotion and tenure committee and/or chair may 
          provide written responses to the candidate's comments for inclusion 
          in the dossier.  Only one iteration of comments on the departmental 
          level review is permitted.
     
     (6)  The tenure initiating unit chair shall forward the dossier with all 
          internal and external evaluations, candidate comments on the tenure 
          initiating unit review and promotion and tenure committee and/or 
          chair responses to those comments, if any, to the dean of the 
          college.
     
(C) Review procedures at the college and university level.
     
     (1)  The purposes of promotion and tenure reviews beyond the tenure 
          initiating unit shall be:

          (a)  To determine whether the tenure initiating unit has conducted 
               its review and reached a recommendation consistent with 
               university, college, and tenure initiating unit standards, 
               criteria, policies, and rules.  A faculty review body or 
               administrator at the college or university level may make a 
               recommendation that is contrary to that of the tenure 
               initiating unit if, in its judgment, the tenure initiating unit
               recommendation is not consistent with those standards, criteria, 
               policies, and rules.
     
          (b)  To determine where the weight of the evidence lies in cases 
               in which there is not a clear or consistent recommendation from 
               lower levels of review.
     
     (2)  The dean of a college shall have a standing faculty promotion and 
          tenure committee which is advisory to the dean.  Members shall not 
          participate in the review of cases from their own department.  The 
          college promotion and tenure committee shall prepare a written 
          report of its assessment and vote for inclusion in the dossier.  The 
          dean shall prepare a separate written assessment of the case and 
          recommendation for the provost for inclusion in the dossier.  As 
          soon as the college promotion and tenure committee report and dean's 
          letter have been completed, the candidate should be notified in 
          writing of the completion of the college level review and of the 
          availability of these reports.  The candidate may request a copy of 
          these reports.  The candidate may provide the dean with written 
          comments on the college review for inclusion in the dossier within 
          ten calendar days of notification of the completion of the review.  
          The college promotion and tenure committee and/or dean may provide 
          written responses to the candidate's comments for inclusion in the 
          dossier.  Only one iteration of comments on the college level review 
          is permitted. The dean shall forward the dossier, along with all 
          evaluations and reports, to the provost.
     
     (3)  The senior vice president for academic affairs and provost shall 
          have a standing faculty promotion and tenure committee which is 
          advisory to the provost.  Members shall not participate in the 
          review of cases from their own college.  Normally, the provost shall
          refer cases to this committee for advice only when there is concern 
          regarding the appropriateness of lower level recommendations, when 
          there are unclear or inconsistent recommendations from previous 
          levels of review, or when all previous recommendations are negative.  
          The university promotion and tenure committee shall prepare a 
          written report of its assessment and vote for inclusion in the 
          dossier. 

(D) Modification of review processes for alternative administrative structures.
     
     (1)  Regional campus faculty shall be reviewed by the faculty and dean 
          and director on the appropriate campus using procedures established 
          on each campus.  This review shall focus primarily on the faculty 
          member's contributions in teaching and service.  The dean and 
          director shall forward the report of the regional campus faculty and 
          his or her recommendation to the chair of the faculty member's 
          tenure initiating unit and inform the candidate of his or her 
          recommendation.  The review shall proceed as described in paragraphs 
          (A) through (C) of this rule with the understanding that the 
          relative weight of teaching and service is ordinarily greater on 
          regional campuses. 
     
     (2)  If the college is the unit responsible for initiating tenure and 
          promotion recommendations, it should follow the annual review and 
          promotion and tenure procedures described for tenure initiating units.  
          The dean shall forward the annual review letter or promotion and 
          tenure dossier to the senior vice president for academic affairs 
          and provost.
     
     (3)  Schools follow the procedures established for tenure initiating unit 
          reviews unless they contain departments that are tenure initiating 
          units.  In the latter case, the tenure initiating unit chair shall 
          forward dossiers to the school director.  The director shall forward 
          the dossier, with his or her recommendation, to the dean of the 
          college.
     
     (4)  A subdivision within a tenure initiating unit may contribute to the 
          evaluation of faculty members as provided for in the tenure 
          initiating unit's appointments, promotion, and tenure document, but 
          this review may not substitute for a review by the tenure initiating
          unit eligible faculty and chair.  (B/T 10/5/84, B/T 11/2/90, 
          B/T 5/3/96)
     

3335-47-05 Criteria and procedures for appeals of negative promotion and tenure decisions and appointment nonrenewals and for seventh year reviews.

     
(A)  Appeals.  It is the policy of the ohio state university to make decisions 
     regarding the renewal of probationary appointments and promotion and 
     tenure in accordance with the standards, criteria, policies, and 
     procedures stated in these rules, supplemented by additional written
     standards, criteria, policies, and procedures established by tenure 
     initiating units and colleges.  If a candidate believes that a nonrenewal 
     decision or negative promotion and tenure decision has been made in 
     violation of this policy and therefore alleges that it was made 
     improperly, the candidate may appeal that decision.  Procedures for 
     appealing a decision based on an allegation of improper evaluation are 
     described in rule 3335-5-05 of the Administrative Code.
     
(B)  Seventh year reviews.  Every effort should be made to consider new 
     information about a candidate's performance before a final decision is 
     made if the new information becomes available before a decision is 
     rendered.  In rare instances, a tenure initiating unit may petition the 
     dean to conduct a seventh year review for an assistant professor who has 
     been denied promotion and tenure.  Both the eligible faculty of the unit 
     and the chair must approve proceeding with a petition for a seventh year 
     review.  The petition must provide documentation of substantial new 
     information regarding the candidate's performance that is germane to 
     the reasons for the original negative decision.    Petitions for seventh 
     year reviews must be initiated before the beginning of the last year of 
     employment because the seventh year review, if approved, would take 
     place during the regular university review cycle of the assistant 
     professor's seventh and last year of employment.
     
     If the dean concurs with the tenure initiating unit's petition, the dean 
     shall in turn petition the provost for permission to conduct a seventh 
     year review.  If the provost approves the request, a new review will be 
     conducted equivalent to the one that resulted in the nonrenewal of the 
     appointment.  The conduct of a seventh year review does not presume a 
     positive outcome.  In addition, should the new review result in a 
     negative decision, the faculty member's last day of employment is that 
     stated in the letter of nonrenewal issued following the original 
     negative decision.
     
     A faculty member may not request a seventh year review, appeal the denial 
     of a seventh year review petition initiated by his or her tenure 
     initiating unit, or appeal a negative decision following a seventh year 
     review, since the faculty member has already been notified that tenure 
     has been denied at the conclusion of the sixth year review.  (B/T 10/5/84, 
     B/T 11/2/90, B/T 5/3/96)
     

3335-47-06 Tenure initiating unit.

     
(A)  A tenure initiating unit is a division, department, school, or college 
     approved by the council on academic affairs, the university senate, and 
     the board of trustees.  A tenure initiating unit has the following 
     responsibilities for all faculty members assigned to it: to assist in 
     professional development; to evaluate; to maintain official personnel 
     records; and to initiate promotion, tenure, and nonrenewal recommendations.  
     The office of academic affairs shall be responsible for maintaining the 
     official list of tenure initiating units. 
     
(B)  A single division, department, school, or college must serve as the 
     tenure initiating unit for each regular faculty member, including 
     individuals with multiple appointments.  Multiple appointments to the 
     regular faculty totaling fifty per cent or more of service to the 
     university shall be considered to be the same as a single appointment 
     of fifty per cent or more for the purpose of determining eligibility for 
     tenure or tenure candidacy.
     
(C)  A faculty member may change from one tenure initiating unit to another 
     voluntarily; or as a result of the restructuring of academic units, 
     including consolidation, reorganization, or abolishment; or as a result 
     of the abolishment of a tenure initiating unit during conditions of 
     financial exigency.  The following provisions govern such changes: 
     
     (1)  A faculty member may voluntarily move from one tenure initiating 
          unit to another upon approval of a simple majority of all tenured 
          faculty members in the receiving tenure initiating unit and, 
          following consultation with the appropriate dean(s), the senior 
          vice president for academic affairs and provost.  Administrative 
          approval will be dependent on whether satisfactory fiscal 
          arrangements for the change have been made.
     
     (2)  A faculty member's tenure initiating unit may be changed as a result 
          of structural changes in academic units, including consolidation or 
          reorganization of units, or abolishment of units, that are approved 
          by the university senate and board of trustees. 

          (a)  When academic units are to be consolidated or reorganized, 
               resulting in the creation of one or more new tenure initiating 
               units, the plan for relocating faculty to the new tenure 
               initiating units shall be part of the approved restructuring
               proposal.  Change in tenure initiating unit resulting from the 
               consolidation or reorganization of academic units shall not 
               require the consent of individual faculty members whose tenure 
               initiating unit is changed.  In addition, since a receiving
               unit does not exist when new units are being created, no vote 
               of such a unit will be required in relocating faculty.
     
          (b)  When a tenure initiating unit is to be abolished and is not 
               part of a plan to consolidate or reorganize two or more units 
               into new tenure initiating units, every effort shall be made by 
               the senior vice president for academic affairs and provost to 
               transfer each faculty member in that tenure initiating unit to 
               another tenure initiating unit, in accordance with the 
               provisions of paragraph (C) of this rule.  Should such 
               agreement be impossible, the person's tenure responsibility 
               shall reside with the senior vice president for academic affairs 
               and provost.  The senior vice president for academic affairs 
               and provost shall assign the faculty member appropriate duties.  
               If the faculty member's previous assignment has been at a 
               regional campus, the senior vice president for academic affairs 
               and provost shall consult with the dean and director of the 
               regional campus regarding an appropriate assignment.
     
     (3)  A faculty member whose tenure initiating unit is abolished during 
          conditions of financial exigency, as described in rule 3335-3-021 of
          the Administrative Code, may be reassigned to a new  tenure initiating 
          unit under the terms of paragraph (C)(1) of rule 3335-5-022 of 
          the Administrative Code.
     
(D)  When faculty members change tenure initiating units under paragraphs (C)
     (2) and (C)(3) of this rule, the new tenure initiating units shall make 
     reasonable efforts to assist faculty members in adjusting to the 
     expectations of the new unit.  Faculty members who believe that some 
     other unit may be more appropriate than their new tenure initiating unit 
     may also explore the possibility of further relocation under the terms of 
     paragraph (C)(1) of this rule. (B/T 10/5/84, B/T 11/2/90, B/T 2/1/91, 
     B/T 2/4/94, B/T 5/3/96)
     

3335-47-07 Campus assignment.

     
(A)  Every member of the faculty shall be assigned to serve on one of the 
     university's campuses:  the central campus in Columbus, the regional 
     campuses in Lima, Mansfield, Marion, and Newark, or the agricultural 
     technical institute (Wooster).  
     
(B)  Decisions regarding the selection, assignment, responsibilities, salary, 
     assessment, and promotion of a regional campus faculty member should 
     involve full cooperation between the tenure initiating unit and the 
     regional campus administration.  All formal personnel recommendations 
     must bear the signatures of the chair of the tenure initiating unit, 
     the dean of the college of the tenure initiating unit, the dean and 
     director of the regional campus, and the senior vice president for 
     academic affairs and provost or designee.   
     
(C)  Campus reassignment may occur only with the voluntary consent of the 
     faculty member, and with the approval of the senior vice president for 
     academic affairs and provost and that of a simple majority of all tenured 
     faculty members in the transferee's tenure initiating unit when the 
     reassignment is from a regional campus to the Columbus campus or all 
     tenured faculty members on the receiving regional campus when the 
     transfer is to a regional campus.  Administrative approval will be 
     dependent on whether satisfactory fiscal arrangements for the change have 
     been made.  (B/T 10/5/84, B/T 10/4/85, B/T 2/6/87, B/T 11/2/90, 
     B/T 2/1/91, B/T 5/3/96)
     

3335-47-08 Standards of notice.

     
(A)  In cases of nonrenewal of an appointment to a regular faculty rank, the 
     university will, insofar as possible, observe the following standards of 
     notice: 
     
     (1)  Not later than March first of the first academic year of 
          probationary service, if the appointment expires at the end of that 
          year; or if a one-year appointment expires during an academic year, 
          at least three months in advance of its expiration;
     
     (2)  Not later than December fifteenth of the second academic year of 
          probationary service, if the appointment expires at the end of that 
          year; or if an appointment expires during the second academic year, 
          at least six months in advance of its expiration; and 

     (3)  At least twelve months before the expiration of an appointment 
          after two or more years in the institution.
     
(B)  These standards of notice need not apply in cases of termination for cause.
     
(C)  In the event of a decision resulting in nonrenewal, the chair shall notify 
     the faculty member in writing of that decision and the reasons for it. 
     
(D)  Decisions regarding renewal of members of the auxiliary faculty (adjunct, 
     clinical, visiting titles, or lecturers) are made annually in accordance 
     with criteria and procedures of the appointing instructional unit and in 
     accordance with university policies relative to auxiliary faculty 
     positions. (B/T 10/5/84, B/T 7/10/87, B/T 5/3/96)
     

3335-47-09 Regular clinical faculty ranks.

     
The titles of regular clinical faculty are professor of clinical (division, 
department or college), associate professor of clinical (division, department 
or college), assistant professor of clinical (division, department or college), 
and instructor of clinical (division, department or college).  Individuals in 
this track may have a full range of responsibilities to appropriate academic 
units with emphasis on patient care and clinical teaching activities.  
Clinical activities for faculty members in this category are to be included 
in approved practice plans.
     
(A)  Appointment criteria.
     
Initial appointments, or transfer, to the regular clinical faculty will be 
made for individuals with the following experience or credentials:
     
     (1)  They are strict or geographic full-time faculty members in academic 
          units authorized to make regular clinical faculty appointments (see 
          paragraph (B) of rule 3335-5-19 of the Administrative Code). 
     
     (2)  They engage in activities which consist primarily of patient care 
          and clinical teaching and supervision.
     
     (3)  They have the appropriate educational background and credentials to 
          engage in the activities outlined in paragraph (A)(2) of this rule.  
          Formal requisite: D.D.S., D.V.M., M.D., Pharm. D., D.N.S., R.N., or 
          Ph.D., R.N., or Ed.D., R.N., or O.D. degree or equivalent 
          qualification.
     
     (4)  They are essential to the continuing mission of the relevant college 
          as determined by the appropriate clinical division or department 
          chair, dean of the college, and senior vice president for academic 
          affairs and provost.
     
(B)  Term of appointment.
     
     (1)  The initial appointment of a person to a regular clinical faculty 
          position is probationary in nature.  Probationary appointments are 
          for a one-year period, and faculty members on such appointments 
          shall be reviewed annually.  The university does not assume any 
          continuing obligation to renew the appointment of a regular clinical 
          faculty member during the probationary period.  Nonrenewal may be 
          based upon such factors as an assessment of inadequate performance 
          or insufficient development, or on any one of a number of academic, 
          financial, or policy reasons, but must be the result of formal 
          annual review in accord with review procedures established by the 
          appropriate academic unit of the appointee in accord with paragraph 
          (B)(3) of rule 3335-3-35 of the Administrative Code.  The nonrenewal 
          of an appointment in and of itself, however, should not carry with it 
          the implication of either incompetence or misconduct on the part of 
          the faculty member.
     
     (2)  During the fourth year of the initial appointment, a formal review 
          will be conducted.  The faculty member will be informed if the 
          appointment is to be renewed for an additional term of five years.
     
     (3)  If subsequent appointments are made, they will be made for periods 
          of five years.  A formal review will be conducted in the fourth year 
          of each five-year term and the faculty member will be informed if 
          the appointment is to be renewed after the fifth year for another 
          five-year term.  Termination of employment during a five-year term, 
          other than during the probationary period, shall be for reasons of 
          cause or financial exigency and shall result from procedures 
          established by faculty rules.
     
     (4)  All appointments will be based upon criteria established by the 
          academic unit authorized to make regular clinical faculty 
          appointments (see paragraph (B) of rule 3335-5-19 of the 
          Administrative Code), approved by the dean of the college, and the 
          senior vice president for academic affairs and provost.
     
     (5)  If the appointment is not renewed, standards of notice must be in 
          accordance with rule 3335-47-08 of the Administrative Code.
     
(C) Transfers.
     
It is generally expected that the needs of the academic unit and the career 
goals of the prospective faculty member will result in meshing of need, 
expectation, responsibility, and expertise to allow a long-term appointment 
to either the regular faculty or regular clinical faculty.  Should a transfer 
be considered appropriate, the following must be accomplished:
     
     (1)  The process of transfer from the regular faculty to the regular 
          clinical faculty or from the regular clinical faculty to the regular 
          faculty is initiated only upon the written request of the faculty 
          member.  A recommendation for transfer must indicate clear evidence 
          of a change in the individual's career goals and expectations, 
          duties, and activities.
     
     (2)  An individual appointed to a tenure-eligible position as an 
          instructor or assistant professor requesting transfer to the regular 
          clinical faculty must do so no later than the beginning of the fourth 
          year of service or after tenure has been granted.  Transfer of a 
          tenured faculty member to the regular clinical faculty requires
          resignation of the tenured position.
     
          An individual from outside the university appointed to a tenure-
          eligible position as an associate professor requesting transfer to 
          the regular clinical faculty must do so no later than the beginning 
          of the second year of service, or after tenure has been granted.
     
     (3)  An individual appointed to the regular clinical faculty at the 
          instructor, assistant professor, or associate professor level, 
          upon transfer to a tenure-eligible position, must meet the criteria 
          for the granting of tenure within the established time limits 
          including that time already served in the regular clinical faculty 
          appointment. Transfer at the professor level can be made only with 
          concurrent granting of tenure.
     
     
     (4)  All transfers must be approved by the department appointments, 
          promotions and tenure committee (or college if no departments exist), 
          the division or department chair, the dean of the college, and the 
          senior vice president for academic affairs and provost.
     
     (5)  Only one transfer to or from the regular clinical faculty will be 
          approved during an individual's period of employment at the Ohio 
          state university.
     
(D) Promotions.
     
Nominations for promotion originate in the department (or college if no 
departments exist) in accordance with criteria and procedures established by 
departmental (or college) faculty.
     
     (1)  A department or college may recommend the promotion of an instructor 
          of clinical (division, department or college) to the rank of an 
          assistant professor of clinical (division, department or college) or 
          the promotion of an assistant professor of clinical (division, 
          department or college) to the rank of associate professor of 
          clinical (division, department or college) at any time up to the end 
          of the ninth year. An individual who is not promoted by the end of 
          nine years will be reviewed by the chair or dean and the appointments, 
          promotions and tenure committee of the department or college to 
          determine if continued employment is warranted.  All recommendations 
          will be reviewed by the appointments, promotions and tenure committee 
          of the department, the college, and the office of academic affairs.
     
     (2)  A department or college may recommend the promotion of an associate 
          professor of clinical (division, department or college) to professor 
          of clinical (division, department or college) in recognition of 
          outstanding accomplishments. Promotion may be recommended no earlier 
          than the third year of service as an associate professor of clinical 
          (division, department or college).  All recommendations will be 
          reviewed by the appointments, promotions and tenure committee of the
          department, the college, and the office of academic affairs. 
          (B/T 10/5/84, B/T 5/4/89, B/T 7/6/90, B/T 11/2/90, B/T 3/6/92, 
          B/T 4/8/94, B/T 5/3/96)
     

Your comments and suggestions are appreciated.
[OSU Physics] [Ohio State University]
Edited by: wilkins@mps.ohio-state.edu [March 1997]