Hereinafter, reference
to full-time faculty shall be taken also to mean faculty on three-quarter
time.
Delegation of Powers
2. The
McMaster University Act (1976) assigns to the Board of Governors,
subject to certain provisions, the powers "to appoint, promote, suspend
or remove...the members of the teaching staff of the University". Appointments
with tenure, and promotions, are therefore legally made at McMaster University
by the Board of Governors from among such persons as may be nominated by
the Senate and recommended by the President.
3. With regard to appointments
The
McMaster University Act and the
By-laws
of the Board of Governors delegate to the President of the University
the power to make appointments which are for a stated period of time.
The power to suspend a member
of the teaching staff appointed to the University under the terms of this
policy has been delegated by the Board of Governors to the President.
In matters having to do with
the removal of a member of the teaching staff, the Board of Governors may
decide to delegate its responsibilities to a committee of the Board.
4. The By-laws of the
Senate delegate to the Senate Committee on Appointments, the Senate's responsibilities
for:
-
deciding upon all recommendations
from the Faculties having to do with the granting of tenure to, or the
promotion of, members of the teaching staff; and informing Senate of its
actions;
-
receiving the decision of any Hearing
Committee (established under Section VI of this policy) on the removal
of a member of the teaching staff, recommending to and consulting with
the Board on any such recommendation for removal and informing Senate of
its actions.
The Nature of Academic Tenure
5.
-
Tenure, for the purposes of this
document, is defined as an appointment, held by a full-time member of the
teaching staff of the University, that cannot be terminated before that
member's retirement except for cause and under the conditions specified
below.
-
Tenure provides an effective safeguard
for academic freedom, which includes,
interalia, the following rights:
independent inquiry and criticism; participation in the making of academic
policies; and the exercise of honest and unfettered judgment on matters
both inside and outside the University (see the Senate-approved Statement
on Academic Freedom -- SPS No. 25, Appendix
C)
-
Tenure entails acceptance by a
faculty member of the obligation to perform conscientiously his or her
functions as a teacher and as a scholar, and to assume reasonable university
responsibilities. To qualify for tenure the individual shall have demonstrated
academic excellence.
-
Tenure shall be granted only by
a definite act, under stipulated conditions on the basis of merit alone.
The University's financial circumstances shall not be a reason for withholding
tenure from a faculty member qualifying for tenure by merit. Further, a
faculty member's salary history shall not be provided to, or considered
by, the committees reviewing the cases for tenure and/or promotion.
Definitions
6. In the context of this
policy the following definitions apply.
-
"Department" means a formally recognized
academic Department, School, Area or section of a Department, where appropriate.
-
"Faculty Appointments Committee"
means the committee comprising the Dean of the Faculty as Chair, the Provost,
the Dean of Graduate Studies and the Chair of the Department as referred
to in Section II, clause 16(c) below.
-
"Guideline" means any interpretation
of the University's criteria for tenure and promotion, as described in
this policy document, which has been reviewed and approved by the Senate
Committee on Appointments. Such guidelines shall not constitute any part
of this policy and to the extent that any guideline is in conflict with
this policy or any part hereof, this policy shall supersede any guideline.
-
"Programme" means a Senate-approved,
inter-disciplinary course of study at the undergraduate or graduate level
which is not the sole administrative and academic responsibility of any
one Department.
-
"Provost" means the officer who
is the Provost and Vice-President (Academic).
-
"Supplementary Policy Statement"
(SPS) means any statement of policy and/or procedures, other than those
described by this document, which relate to matters of appointment, tenure
or promotion. These statements are listed in Appendix C to this document.
Inasmuch as these statements may have been developed and approved in different
ways and by various bodies, they may be subject to frequent changes and
modifications. Hence the list comprising Appendix C may change from time
to time and any such changes shall not be subject to the requirements of
Section VII of this document. In the event of an inconsistency or conflict
between this policy and any of the supplementary policy statements, this
policy shall take precedence.
Other terms are defined in the
text of the document.
SECTION II
Appointment to the Teaching Staff
1. As noted in
Section I, under the terms of The McMaster University Act, 1976,
and the By-laws of the Board of Governors, the President has the
power to make appointments to the teaching staff which are for a stated
period of time.
2. A resignation from
the teaching staff shall be deemed to be effective from the date specified
by the person resigning, once the resignation has been received and acknowledged
by the President. That receipt and acknowledgment will normally precede,
but may follow, the date of resignation. The date of the resignation may
have a bearing on whether or not it is appropriate to consider formally
a recommendation for tenure and/or promotion of the faculty member concerned
(see Section III, clause 27).
Classes of Appointment
3. "Appointment"
in this document means full-time appointment (except as allowed for in
clause 5 below), to the rank of Professor, Associate Professor, Assistant
Professor, or Lecturer, in a formally recognized academic Department or
Departments. An appointment may also involve participation in a Programme
or in the work of another Department. These arrangements may take the form
of "joint" appointments or Associate memberships as described in SPS
No. 5 and No. 6 (Appendix C). In
exceptional circumstances (for example, the teaching needs of a Programme
at a particular point), an appointment may be made to a Programme only
(rather than to a Department or to a Department and a Programme), but such
appointments may only occur within the contractually limited class of appointments
described in clause 4(iii) below. The number of such exceptions and programmes
to which the appointments have been made shall be reported annually to
the Senate and the Board of Governors by the Provost (see clause 19[c]
below).
4. Appointments at McMaster
University are of five classes:
-
those which imply that, at the
end of a stated period, the University will confer tenure on the candidate,
or extend the period of appointment, or allow the appointment to lapse.
Such appointments at McMaster University have traditionally been called
"term" appointments but hereinafter shall be called "tenure-track appointments".
Tenure-track appointments shall
be made only to the ranks of Assistant Professor, Associate Professor or
Professor.
-
those which confer tenure, such
appointments to be called hereinafter "tenured appointments". The term
"regular appointment" has traditionally been used at McMaster University
in letters of appointment to mean an appointment with tenure; henceforth
these appointments will be referred to as tenured appointments.
An appointment to McMaster University
which confers tenure from the date of appointment normally may only be
made at the rank of Professor. However, an outstanding candidate who already
holds tenure at another university may be considered for an appointment
which confers tenure from the date of appointment at the rank of Associate
Professor.
-
those made for a contractually
limited period which shall carry no implication of renewal or continuation
beyond the period and no implication that the appointee will be considered
for a tenured appointment, such appointments to be called hereinafter "contractually
limited appointments".
-
those appointments for persons
who receive their salary support from funds other than those allocated
by the University; these are similar to the tenure-track appointments described
in clause (i) above except that continuation of the appointment, for the
length of the designated period, is contingent upon the member's receiving
continuing salary support from his or her outside funding agency for that
designated period. Such appointments shall hereinafter be called "Special
appointments" and any reference to tenure-track appointments shall be taken
also to mean Special appointments.
Special appointments shall be
made only to the ranks of Assistant Professor, Associate Professor or Professor.
-
those full-time appointments which
are similar to appointments which confer tenure in every respect, save
one: the continuation of the appointment is contingent upon the member's
receiving and continuing to receive salary support from his or her outside
funding agency. Such appointments shall hereinafter be called "Continuing
Appointments Without Annual Review" and any reference to tenured appointments
and to the granting of tenure shall be taken also to mean Continuing Appointments
Without Annual Review and to the granting of such status (see also SPS
No. 26, Appendix C).
An appointment to McMaster University
which confers Continuing Appointment without Annual Review from the date
of appointment normally may only be made at the rank of Professor. However,
an outstanding candidate who already holds tenure or the equivalent at
another university may be considered for an appointment which confers Continuing
Appointment Without Annual Review from the date of appointment at the rank
of Associate Professor.
5. As stated in Section I,
clause l, this policy applies not only to full-time faculty, but also to
those faculty who hold appointments requiring at least the equivalence
of three-quarter service. The letter of appointment to these faculty shall
clearly indicate that their appointments provide for three-quarter time
service, or greater, as appropriate.
Tenure may be offered to faculty
who satisfy the three-quarter time requirement provided that their appointments
have been approved by the Faculty Appointments Committee in accordance
with the recognized procedures for full-time faculty (Section II, clauses
15-17). Subject to this requirement, the policy and regulations with respect
to the academic appointment, tenure and promotion for such faculty shall
be the same as those described for full-time faculty, except that the time
limits referred to in Section III, clauses 22-26, shall be interpreted
as years of full-time equivalence.
Tenure-track Appointments
6.
-
The purpose of a tenure-track appointment
is to provide a period of mutual appraisal for the University and the candidate.
Such an appointment does not express or imply ultimate appointment with
tenure, nor does it express or imply promotion to a higher rank. It means
that the case of a candidate for tenure or for an extension of a tenure-track
appointment shall be the subject of an academic assessment focusing on
the candidate's abilities and accomplishments as a teacher, scholar and
university citizen. The criteria and the procedures for this assessment
are described in Section III of this document.
-
Except in the situations described
in clause 7 below, the total duration of a person's tenure-track appointment(s)
shall not exceed the time limits specified in sub-sections (i), (ii), and
(iii) below.
-
For a person initially appointed
to this University as a full-time Assistant Professor, the total duration
of his or her tenure-track appointment(s) shall not exceed six years from
the date of that first appointment.
-
For a person initially appointed
to this University as a full-time Associate Professor the total duration
of his or her tenure-track appointment(s) shall not normally exceed four
years, and in no case shall it exceed six years, from the date of that
first appointment.
-
For a person initially appointed
to this University as a full-time Professor the total duration of his or
her tenure-track appointment(s) shall not exceed three years from the date
of that first appointment.
7. The time limits specified
in clause 6(b) above may be extended in the following situations:
-
when the candidate has been granted
special, parental and/or sick leave (see Appendix C, SPS No. 16 to No.
19);
-
when the candidate has been granted
a reduced workload in accordance with the conditions set out in Appendix
B (Reduced Workload Provisions) and in accordance with the University's
Policy
on Employment Accommodation;
-
when a faculty member has had an
unusual career path -- for example, someone who undertakes graduate work
or whose career is redirected during the period of his or her tenure-track
appointment(s) at this University.
In all of the above cases, the
extent to which the time limits are to be extended must be approved by
the Faculty Appointments Committee on recommendation from the Chair of
the Department. The Dean of the Faculty will convey the Committee's decision
in writing to the faculty member, with copies to the President and to the
other members of the Committee.
8. No tenure-track appointment
shall be changed to a contractually limited appointment during the period
of the tenure-track appointment.
9. For the purpose of
this document, all tenure-track appointments shall be deemed to begin on
July 1 coincidental with or next following the date of first appointment
to this University.
Appointments for Contractually
Limited Periods
10.
-
A contractually limited appointment
shall be made only:
-
to fill a special instructional
need, especially when there is no reasonable assurance of a long-term need
in the area concerned;
-
to staff a new course or programme
for a trial period as determined by the appropriate University body;
-
to allow for appointments to the
rank of Lecturer;
-
to provide for visiting appointments;
-
to fulfill functions as determined
by a research contract or award covering a specific period only and for
which renewal or continuation is not assured;
-
to allow for the appointment, in
the Faculty of Health Sciences, of faculty members whose primary responsibilities
lie in the areas of clinical service and/or administrative duties in the
health care delivery system; and/or
-
to provide for an appointment at
a time when the University's financial position is so severe and uncertain
that the normal commitment to a tenure-track appointment would be imprudent.
-
The appointee shall be informed,
in the letter of appointment, under which one or more of the preceding
seven categories the appointment is being made and of the terms and conditions
surrounding the appointment.
11. In making contractually
limited appointments the following conditions shall be observed.
-
The starting date and the length
of the appointment shall be clearly stated in writing.
-
If a contract is renewable in accordance
with the terms of the following paragraph 12, the appointee shall be informed
by the University of the decision on the renewal according to the following
schedule:
-
for a contract of less than six
months, not later than one month before the end of the stipulated period
of the contract;
-
for a contract of a least six months
but not more than one year, not later than five months before the end of
the stipulated period of the contract;
-
for a contract of more than one
year, not later than six and one-half months before the end of the stipulated
period of the contract.
-
The procedures for selecting a
person for a contractually limited appointment shall be as similar to the
procedures for making tenure-track appointments (Section II, clauses 15-17)
as the category of contractually limited appointment allows.
12. Contractually limited
appointments may be renewed under the following terms.
-
If the position is to be continued
for a further period the decision whether to renew the individual's appointment
or not shall be made on the basis of an academic assessment by the appropriate
Faculty Appointments Committee.
-
Normally the maximum period which
such appointments shall cover is six years. But there may be exceptional
circumstances that require the extension of an appointment beyond six years.
Any such extension shall be approved by the Senate Committee on Appointments
on the recommendation of the Faculty Appointments Committee and reported
to Senate (see also Appendix A, clause 1[c]).
13. Normally, a person on
a contractually limited appointment will not be eligible for promotion.
In the exceptional case, when the appointment is extended beyond six years
and the Department involved recommends promotion, the issue shall be considered
by the Faculty Appointments Committee at the time the appointment is being
renewed. If the Faculty Appointments Committee considers it appropriate,
the re-appointment may be at a higher rank (see also Appendix A, paragraph
2).
14. Contractually limited
appointments, at the option of the University, may be followed by tenure-track
appointments. In such cases, the Faculty Appointments Committee shall take
into account the length of the service under the contractually limited
appointment(s) when determining the duration of the tenure-track appointment
and the eligibility of the appointee for tenure consideration. The wishes
of the appointee in regard to the weighting to be assigned to the years
or part-years spent in the contractually limited appointment(s) shall be
considered and the agreed-upon weighting shall be clearly stated in the
letter offering the tenure-track appointment. The protocol for such a conversion
is described in SPS No. 3 (Appendix C).
Procedures for Making Full-time
Appointments
15. The procedures for making
full-time appointments to the teaching staff are described in SPS
No. 1 and SPS No. 2 (Appendix C).
The procedures in the Faculty of Health Sciences may involve additional
requirements. Certain provisions relating to part-time faculty appointments
are described in SPS No. 4 and No.
9 (Appendix C).
16. The various supplementary
policies on appointments referred to in Appendix C reflect the administrative
structures and arrangements which are in place at a particular time and
they may be changed from time to time. Nevertheless, the following provisions
should always apply in the making of full-time appointments.
-
The Dean of the Faculty and the
Department Chair should ensure that the Department is fully informed of
the nature of the vacancy and the conditions attaching thereto, including
the rank at which the appointment may be made and whether the vacancy is
for a tenure-track or contractually limited appointment or either.
-
The Dean of the Faculty shall ensure
that consultation on the appointment takes place within the Department,
either through a duly constituted appointments committee or through other
acceptable means. The Department should arrange for proper advertising
of the position, for locating qualified candidates, for obtaining necessary
papers including letters of reference, and for inviting the candidates
judged to be the more promising ones to the campus for interviews.
-
A Faculty Appointments Committee
shall be constituted as follows:
-
the Dean of the Faculty as Chair;
-
the Provost;
-
the Dean of Graduate Studies;
-
the Department Chair and/or the
Programme Director.
When a candidate is being considered
for appointment to more than one department, or to a department and an
interdisciplinary programme, or for a contractually limited appointment
to an interdisciplinary programme only, the membership of the Faculty Appointments
Committee should be augmented to include the appropriate Faculty Deans,
Department Chairs, and/or Programme Directors.
-
The Department Chair or delegate
is responsible for scheduling interviews for each candidate and for ensuring
that all members of the Faculty Appointments Committee receive complete
files and references on each candidate prior to the interview. The Faculty
Dean and the Dean of Graduate Studies or an Associate Dean of Graduate
Studies must interview each candidate. Normally, the Provost (or delegate)
will interview all candidates for tenure-track appointments. For potential
appointments to the ranks of Professor and tenured Associate Professor,
an interview must be arranged with the President and Provost.
-
The Dean of the Faculty will be
responsible for bringing together the views of the members of the Faculty
Appointments Committee and those of the Department. While the Committee
will not normally hold formal meetings, the Dean is responsible for communicating--and
attempting to resolve--minor differences among Committee members in the
ranking of candidates. If the Dean is unable to resolve such differences,
he or she shall convene a meeting of the Faculty Appointments Committee.
In the event of a substantial disagreement over the offer of an appointment
between the Faculty Appointments Committee and the Department, or within
the Department itself, then the process for resolving the differences of
opinion spelled out in SPS No. 1 (Appendix C) shall be followed.
-
When parties are in agreement,
the Dean of the Faculty will communicate the recommendation of the Faculty
Appointments Committee for a new appointment in writing to the Provost,
with copies to the Committee members. The recommendation shall include
all information on the terms and conditions of the appointment.
-
The Provost shall ensure that any
new appointment that is also to include the immediate conferral of tenure
has the approval of the appropriate Faculty Tenure and Promotion Committee
and the approval of the Senate Committee on Appointments before a formal
letter of appointment is prepared for the President's signature; the Senate
Committee shall forward the recommendation for tenure through the Senate,
for information, to the Board of Governors (see Section I, clauses 2, 3
and 4). In the absence of the President and with his/her approval, the
letter may be signed by the Provost.
-
In the case of new appointments
which do not immediately confer tenure, all letters of appointment to the
ranks of Lecturer, Assistant Professor, Associate Professor or Professor
will be forwarded by the office of the Provost to the President for signature.
The President retains discretion over and responsibility for appointments
as stated in the University Act and the By-laws of the Board of Governors
and reserves the right to accept an appointment recommendation, to reject
it, or to refer it for further consideration and advice to the Senate Committee
on Appointments or to any other person or body. A copy of the letter of
appointment once signed shall be sent to the Provost, the Dean of the Faculty,
the Dean of Graduate Studies and the Department Chair. In the absence of
the President and with his/her approval, the letter may be signed by the
Provost.
-
If the candidate accepts the offer
of appointment, a copy of the appointment letter will then be sent by the
President's office to the Personnel Department. Notification of the acceptance
or rejection of the offer of appointment will be sent by the President's
office to the Provost, the Dean of the Faculty, the Dean of Graduate Studies
and the Chair of the Department.
17. In the making of all
appointments to the teaching staff the Faculty Appointments Committee shall
ensure that all relevant University policies and procedures are adhered
to, including those listed in Appendix C (SPS Nos. 1-9).
Reports to Senate
18. Tenure-track appointments
and contractually limited appointments shall be reported by the Provost
to the Senate and the Board of Governors for information. For contractually
limited appointments, these reports shall indicate the category, as listed
in Section II, clause 10(a), under which the appointment is being made.
19. Each year the Provost
shall also report to the Senate and the Board of Governors in open session
the following:
-
the total number of "Special tenure-track
appointments" and the total number of "Continuing Appointments Without
Annual Review" made in each Department, the proportion of each Department's
full-time faculty complement holding these classes of appointments, and
the sources of funding for the appointments,
-
the total number of contractually
limited appointments made in each of the categories listed in Section II,
clause 10(a), by Department, and the proportion of each Department's full-time
faculty complement holding contractually limited appointments, and
-
the number of contractually limited
appointments made only to a Programme and the Programmes in which such
appointments have been made.
SECTION III
Academic Assessments for Re-appointment, Tenure and Promotion
Introduction
1. The renewal
of a faculty appointment and the awarding of tenure and promotion shall
only be done following an academic assessment of the faculty member concerned.
2. Academic assessments
shall focus on the abilities and achievements of the faculty member as
a teacher, scholar and university citizen (see also Appendix A). They shall
be initiated at the level of a candidate's Department and, depending on
the circumstances, may involve other Departmental Committees, Programme
Directors and referees. The criteria, timing, and procedures for the assessments
are described below.
3. In Section I of this
document, the statement is made that tenure entails acceptance by a faculty
member of the obligation to perform conscientiously his or her functions
as a teacher and as a scholar, and sfully in both teaching and scholarship
and have demonstrated academic excellence.
The Nature of an Academic
Assessment
Effective
Teaching
4. A candidate
for re-appointment, tenure and/or promotion must demonstrate that he or
she is an effective teacher. Committees, in judging teaching effectiveness,
shall seek assurance that the candidate has a scholarly command of his
or her subject, is both willing and able regularly to assist students in
understanding the subject, and is able to assess students' performances
in an equitable and effective manner.
5. Teaching encompasses
the selection and arrangement of course topics and materials, lecturing,
leading class and seminar discussions, assisting students during office
hours, laboratory and studio teaching, marking of student submissions (especially
when editorial comments are given to the student), the setting of examinations
that permit accurate assessment and continue the learning process, and
the supervision of student research at both the undergraduate and graduate
levels.
6.
-
The assessment of a candidate's
teaching shall be based on student and peer evaluation. These may be obtained
by some or all of the following means:
-
interviews with the candidate during
which course outlines, examinations and other course materials may be discussed
and examined,
-
interviews with graduate and undergraduate
students,
-
student questionnaires,
-
visits from colleagues to the candidate's
classes,
-
interviews with teaching assistants,
-
consideration of teaching awards
or nominations for such awards.
The above list is intended to be
illustrative, but not necessarily exhaustive (see also Appendix C, SPS
No. 10).
-
While questionnaires are an accepted
way of assessing undergraduate teaching effectiveness, interviews with
students are preferred for the assessment of graduate instruction and supervision.
7. When student evaluations
undertaken by means of questionnaires are considered in assessing the teaching
effectiveness of the candidates, the Chair of the Department shall ensure
that such evaluations are properly conducted, collected, processed and
recorded. The Chair, at an appropriate time, shall discuss the evaluations
with the faculty member.
8. Before the Departmental
Tenure and Promotion Committee forwards its recommendation to the Faculty
Tenure and Promotion Committee it shall provide the candidate with an opportunity
to comment on or make an explanation about any evaluation of the candidate's
teaching which is part of the departmental submission.
Scholarly
Achievement
9. The search
for new knowledge, whether it be in the form of new understandings of the
natural world or new interpretations of the human one, is an essential
part of the role of the modern university. Hence, it is expected that all
faculty members will be engaged in some form of scholarly activity and
the assessment of the quality of this work will be a key factor in the
consideration of each faculty member's case for re-appointment, tenure
and/or promotion.
10. It is generally accepted
within the university community that an assessment by other scholars working
in the same field, or closely related fields, is the best way of determining
the quality of scholarly work. This assessment finds expression in the
acceptance of papers and manuscripts for peer-reviewed publication, in
academic awards and the approval of research grants, in invitations to
present conference papers and university seminars, in critical reviews
of published works, exhibitions or performances, and in confidential letters
of reference. (see clauses 11 to 14 below)
The weights to be assigned to
these different forms of assessment will vary from discipline to discipline
and from one decision to another. But the awarding of tenure and the granting
of promotion will require that an appropriate assessment of the candidate's
scholarly achievements has been made by carefully chosen peers and that
they have attested to the high quality of the candidate's work.
11. In all cases where
it sends forward a recommendation relating to tenure and/or promotion the
department shall have obtained written judgements on the quality of the
candidate's scholarly work from at least three referees outside of the
University. Care shall be taken to ensure that the referees are at "arm's
length" from the candidate. In addition, when the candidate is being considered
for promotion to the rank of Professor, the referees must be scholars who
have respected national and/or international reputations and can assess
whether the candidate is known widely on the basis of scholarship, however
that may be defined in the discipline in question (for exception, see clause
33[b] below).
12. A list of at least
six possible referees known for their work in the relevant field(s) shall
be prepared by the Department Chair in consultation with the Dean of the
Faculty and, in the case of a faculty member who participates in a Programme,
the Director of the Programme. The candidate shall be shown this list and
may object, and give reasons for objecting, to any person or persons on
it. The candidate shall confirm in writing to the Chair that she or he
has seen the list of candidates and has had an opportunity to register
any objections. The Departmental Tenure and Promotion Committee shall consider
any such objection(s) but shall retain the right to select the referee(s)
in question and shall inform the Faculty Tenure and Promotion Committee
of the objection(s) and its decision(s) concerning the referee(s) (see
also Appendix C, SPS No. 12 and No.
13).
13. There may be occasions
when, in addition to the references sought from outside the University,
others are solicited from scholarly referees within. In such instances,
the same procedures for selection as are described in clauses 11 and 12
shall apply to the extent that that is possible.
14. At least three external
letters must be obtained, but all letters received must be made part of
the file.
University
Responsibilities
15. It is expected
that as a university citizen each faculty member will assist at some level(s)
in the committee work of the University and perform such assignments diligently
and effectively. The meritorious performance of these duties shall not
substitute for either effective teaching or scholarly achievement in the
consideration for re-appointment, tenure and/or promotion; however, unsatisfactory
performance in the discharging of these duties may be an important factor
in the delaying or denial of tenure and/or promotion.
16. The same considerations
shall apply for service related to the role of the University in the community,
to international activities, and to professional service associated with
a candidate's discipline.
Specific Criteria
For Tenure
and Promotion to Associate Professor
17. For a person
appointed at the Assistant Professor rank in a tenure-track position, tenure
and promotion to Associate Professor are inextricably linked. A recommendation
from a department cannot be for tenure only; it must be for tenure and
promotion to Associate Professor. Neither a committee reviewing the recommendation
nor an appeal tribunal reviewing a decision on the recommendation can divide
the recommendation into separate components.
Hereinafter, reference to the
granting of tenure to an Assistant Professor shall mean also the granting
of promotion to the rank of Associate Professor.
18. A candidate for tenure
and promotion to Associate Professor must demonstrate that he or she is
an effective teacher. He or she shall have established a promising programme
of scholarly work at McMaster University and be making the results of this
work available for peer review in the public domain. In the majority of
disciplines this will mean that there should be evidence of successful
peer-reviewed publication and strong promise of more to come. In certain
professional disciplines and in the "fine and performing arts" an equivalent
achievement must have been attained and equal promise demonstrated. Consideration
also shall be given to the candidate's performance of his or her University
responsibilities (see clauses 15 and 16 above).
For the Tenuring
of Associate Professors and Professors
19. Candidates for tenure
who are Associate Professors or Professors must have demonstrated that
they are effective teachers. They must also have established their reputations
as scholars by successful peer-reviewed publications or equivalent achievement.
Consideration also shall be given to the candidates' performance of his
or her University responsibilities (see clauses 15 and 16 above).
For Promotion
to Professor
20. The rank of
Professor is the highest rank the University can bestow, and its conferral
on the Associate Professor shall be only in recognition of high achievement
in teaching and research. Promotion to the rank of Associate Professor
is not a guarantee of promotion to the rank of Professor.
21. For promotion to the
rank of Professor a faculty member shall have achieved a high degree of
intellectual maturity. He or she shall have a good record as a teacher
and shall be known widely on the basis of high-quality scholarship which
has been evaluated by established scholars in the appropriate fields and
has been published. The high-quality teaching and scholarship must both
have been sustained over a period of years. He or she shall have performed
his or her University responsibilities in a satisfactory manner.
Timing of Academic Assessments
(see
also Section II, clauses 7 and 14)
Assistant
Professors: Re-appointment and the Awarding of Tenure and Promotion to
Associate Professor (see also clause 17 above)
22.
-
A person whose first appointment
to this University is as a full-time Assistant Professor in a tenure-track
position must be the subject of an academic assessment before he or she
can be re-appointed for a further period or before tenure and promotion
can be granted. Irrespective of the length of the initial appointment and
any subsequent re-appointments, however, the following conditions shall
apply.
-
Normally the candidate shall spend
five years in full-time service before being granted tenure. Tenure must
be considered during the fifth year of appointment. Any recommendation
forwarded to the Faculty Committee must be accompanied by external letters
of reference (see Section III.10-14 and SPS 12).
If the Department decides to take no action in the fifth year of a continuing
tenure-track appointment the candidate must concur in writing with this
decision and then the final review of the candidate's case for tenure must
occur in the sixth year of full-time service, provided the appointment
extends to that year, and shall include external letters of reference.
If the candidate does not concur, the Department must initiate an academic
assessment, which will include obtaining letters from external referees
(see clauses 11-14 above).
-
Such a faculty member shall, however,
be the subject of an academic assessment in the third year of his or her
tenure-track appointment(s), at which time the University shall either
extend the tenure-track appointment for one, two or three years, or take
no action if the appointment does not expire in that year, or allow the
appointment to lapse.
-
The terms and conditions spelled
out in (a) above shall apply also to those persons who were first appointed
to this University on contractually limited appointments and are now in
tenure-track positions, except that the timing of the assessments and decisions
shall take into account the weightings assigned to the years spent in the
contractually limited appointments (see Section II, clause 14).
-
The timing of the assessments and
decisions spelled out in (a) above may be altered and/or extended under
the provisions of Section II, clause 7; i.e., when the candidate has been
granted special, parental and/or sick leave, when the candidate has been
granted a reduced workload, or when a faculty member has had an unusual
career path.
-
Other exceptions to the terms and
conditions spelled out in (a) above will apply in the following situations.
-
A person whose first appointment
to this University is as a full-time Assistant Professor in a tenure-track
position and who has had outstanding success in teaching, research, or
both, may be considered for tenure in the fourth year of his or her tenure-track
appointment(s), but not earlier. A recommendation for tenure made in this
year will be treated as an accelerated one.
-
An individual whose first appointment
to this University is as a full-time Assistant Professor in a tenure-track
position but who has had full-time faculty status at another university
following completion of the doctorate, or who has had extensive post-doctoral
work or other relevant professional experience, may be considered for tenure
during the second, third or fourth years of the tenure-track appointment
at McMaster, with an appropriate reduction of the degree of acceleration.
However, no such candidate may be considered for tenure before the second
year at McMaster.
23. In considering a candidate
for a possible accelerated granting of tenure, a Department shall determine
and take account of the candidate's wishes in regard to whether he or she
wants to have the recommendation go forward. The Department shall not be
bound by the candidate's wishes.
Associate
Professors and Professors: The Awarding of Tenure
24. A person whose
first appointment to this University is as a full-time Associate Professor
or Professor in a tenure-track position must be the subject of an academic
assessment before he or she can be re-appointed for a further period or
before tenure can be granted. Irrespective of the length of the initial
appointment and any subsequent re-appointments, however, the following
conditions shall apply, unless the timing of the assessments and decisions
spelled out in (i) and (ii) below has been altered and/or extended under
the provisions of Section II, clause 7.
-
For a person initially appointed
to this University as a full-time Associate Professor without tenure, tenure
must be considered in the third year of appointment and, if not granted,
must be considered again in subsequent years, provided the appointment
is extended. For those individuals who have had outstanding success in
teaching, research or both, or who have had previous experience as described
in clause 22 (c) (ii), tenure may be considered in the second year. No
one shall be considered for tenure during the first year of his or her
appointment at the rank of Associate Professor.
-
For a person appointed as Professor
without tenure, tenure must be considered in the second year of appointment
and, if not granted, must be considered again in the third, provided the
appointment extends to that year. No one shall be considered for tenure
during the first year of his or her appointment as Professor.
Associate
Professors; Promotion to Professor
25. For promotion
to the rank of Professor a faculty member normally shall have spent at
least six years in the Associate Professor rank.
26. There will be outstanding
individuals who demonstrate in fewer than six years at the Associate rank
that they deserve promotion to the rank of Professor. In such cases, early
promotion will be appropriate because the performance in both teaching
and research is truly exceptional.
Resignations
27. If a faculty
member resigns from the University and the letter of resignation is received
and acknowledged by the President prior to October 1 then the faculty member
shall not be eligible for consideration for tenure and/or promotion. If
the receipt and acknowledgment come after October 1 then, if the candidate
so wishes, any recommendation for his or her tenure and/or promotion that
is under consideration shall be carried through to its normal completion.
Procedures Governing Academic
Assessments
At
the Department Level
28.
-
It is the responsibility of the
Chair of each Department to inform all members of the Department of the
University's criteria for re-appointment, tenure and promotion together
with any Faculty and Department guidelines or interpretations of those
criteria. Faculty members holding tenure-track appointments shall be informed
at the time of their first appointment by the Department Chair or the Dean
of their Faculty of the performance normally expected of successful candidates
for tenure and promotion.
-
The Department Chair shall also
inform all members of the Department of the procedures for making recommendations
to the Faculty Tenure and Promotion Committee (see SPS No. 10 to SPS No.
15[a] and [b], Appendix C).
29.
-
Every Department or, where appropriate,
a section of the Department shall have a Tenure and Promotion Committee,
hereinafter referred to as the Departmental Committee, and shall elect
a faculty member, hereinafter referred to as the elected representative,
who shall accompany the Chair of the Department when recommendations are
presented to the Faculty Tenure and Promotion Committee. Both the Chair
of the Department and the elected representative shall be ex officio
members of the Departmental Committee.
-
Normally, only tenured faculty
members should be members of a Departmental Committee. Any departure from
this arrangement must receive the approval of the appropriate Faculty Tenure
and Promotion Committee.
-
A member of a Departmental Committee
shall resign from the Committee if a recommendation for his or her tenure
and/or promotion is to come before the Committee. In such circumstances
the Department shall name a replacement to the Committee.
-
A faculty member (including the
Dean of Graduate Studies) who is a member of more than one of the Departmental
Committee, the Faculty Tenure and Promotion Committee and the Senate Committee
on Appointments shall exercise his or her opportunity to discuss and vote
on a candidate at only one of these levels. If he or she has already voted
at a different level or intends to do so, then he or she shall record a
technical abstention. The Dean of Graduate Studies shall vote only at the
Faculty Committee level.
-
A decision shall be by majority
vote of the whole Committee except that in the event that technical abstentions
are recorded then the decision shall be by majority vote of all of the
other members of the Committee. Non-technical abstentions, therefore, count
as negative votes. In the event of an equality of votes on tenure, tenure-track
re-appointment and promotion recommendations, the question is deemed to
be decided in favour of the candidate and the recommendation shall be forwarded
to the Faculty Tenure and Promotion Committee.
-
A member of a Departmental Committee
who is a significant collaborator with a candidate for re-appointment,
tenure and/or promotion should not be present when that candidate's case
is discussed and/or voted on (see SPS No. 11,
Appendix C). In this event, a technical abstention shall be recorded in
the Committee for the member concerned.
-
When the chair of a Department
is eligible to be considered for promotion, the Department shall name a
replacement to the Departmental Committee who shall attend the meetings
at which the Chair's case is discussed. The replacement shall handle all
the details attendant on the preparation of the case for promotion of the
Department Chair.
30.
-
It is the responsibility of the
Department Chair to ensure that the Departmental Committee considers the
case of every member of the Department who is eligible to be considered
for re-appointment, tenure and/or promotion. (see clauses 21 to 27 above).
In the case of a faculty member who holds a joint appointment in two or
more Departments, the Chairs of the Departments involved shall ensure that
the assessment is properly co-ordinated. In the case of a faculty member
who participates in a Programme, the Department shall be responsible for
carrying out the academic assessment, but the Programme Director shall
make a written submission to the Departmental Committee (see clause 39
[c] below). In the case of a faculty member who holds an Associate Membership
in another Department, the other Department shall be requested to submit
an assessment of the faculty member's performance when he or she is being
considered for re-appointment, tenure and/or promotion.
-
It is the responsibility of each
faculty member who is eligible to be considered for re-appointment, tenure,
and/or promotion to prepare and maintain an up-to-date curriculum vitae
in accordance with the guidelines approved by the Senate Committee on Appointments
(SPS No. 15, Appendix C) and to ensure
that all the relevant evidence is made available for inclusion in the dossier.
-
It is the responsibility of the
Department Chair to ensure that a dossier is prepared for each candidate
for tenure and/or promotion for consideration by Departmental and Faculty
Tenure and Promotion Committees and by the Senate Committee on Appointments
and that all the relevant evidence is included in the dossier. The contents
of the dossier are described in Appendix C, SPS
No. 15(b).
-
The Departmental Committee shall
inform itself on the teaching abilities, scholarly achievements and University
responsibilities of all candidates for re-appointment, tenure and/or promotion.
This academic assessment shall be carried out in accordance with the criteria
and procedures described in clauses 1-21 above (see also Appendix A).
31. Except for those cases
described in section 33(a) below, the Departmental Committee shall, with
respect to each eligible candidate in the Department, recommend to the
Faculty Tenure and Promotion Committee that:
-
tenure be granted, or
-
no action be taken in regard to
tenure, or
-
the period of a tenure-track appointment
be extended, or
-
the candidate's tenure-track appointment
be allowed to lapse, or
-
promotion be granted, or
-
no action be taken in regard to
promotion. (see also clause 33 below)
32.
-
The Chair shall notify every candidate
for re-appointment or tenure of the substance of the departmental recommendation
in his or her case on or before October 1, and similarly every eligible
candidate for promotion no later than December 1.
-
A faculty member who believes that
he or she has been unfairly treated because (i) he or she was not considered
for tenure and/or promotion by the Department, or (ii) he or she has been
considered but no recommendation is being made, or (iii) an inappropriate
recommendation is being made to the Faculty Tenure and Promotion Committee,
may request to be considered or reconsidered in writing to the Chair of
the Department no later than October 7 (December 7 in the case of a faculty
member being considered for promotion to Professor).
-
Upon receiving such a request the
Chair shall discuss the matter with the faculty member concerned, and shall
provide him or her with unattributed copies of the originals of any external
letters of reference that may have been obtained. If the faculty member
desires it, there shall be a meeting of the Departmental Committee to consider
or re-consider the case. The faculty member shall have the right to appear
before this Committee and make submissions thereto; the faculty member
may be accompanied by a faculty colleague acting as an advisor.
-
If, following such consideration
of his or her case, the faculty member remains unsatisfied, he or she may
convey this information, in writing, to the Faculty Dean who shall apprise
the Faculty Tenure and Promotion Committee of the case (see the following
clause 40[iii]).
33.
-
If after considering the case of
a candidate for promotion, the Departmental Committee decides not to recommend
promotion, then unless the candidate so requests it the case shall not
go forward to the Faculty Tenure and Promotion Committee.
-
In considering each year the case
for promotion of an eligible candidate who has previously been denied the
promotion (at whatever level of the decision process), the Department shall
not be expected to obtain new external letters of reference, year in year
out. It will do so only when it believes that there is, prima facie,
a case to be made for promotion.
-
A faculty member who is eligible
to be considered for promotion may request that he or she not be considered
by the Departmental Committee in a particular year. The Departmental Committee
shall not, however, be bound by such a request.
At the Faculty
Level
34. Every Faculty
shall have a Faculty Tenure and Promotion Committee composed of:
-
Dean of the Faculty - Chair;
-
Dean of Graduate Studies; and
-
four to seven tenured members of
the full-time faculty (as specified in the Faculty By-laws) elected from
those holding the rank of Professor or Associate Professor. Of these at
least three shall be Professors and at least one shall be an Associate
Professor. They shall be elected for staggered three-year terms by the
full-time members of the Faculty.
Hereinafter, the Faculty Tenure
and Promotion Committee shall be referred to as the Faculty Committee.
35. A Joint-Faculty Tenure
and Promotion Committee may be established instead of the committee described
in clause 34 above, provided that two or more Faculties agree and continue
to agree to such an arrangement. The Joint-Faculty Tenure and Promotion
Committee shall be composed of:
-
Dean of each such Faculty;
-
Dean of Graduate Studies; and
-
three or four full-time tenured
members of each such Faculty (as specified in the Faculty By-laws) elected
from those holding the rank of Professor or Associate Professor. For each
Faculty at least two shall be Professors, and at least one shall be an
Associate Professor. They shall be elected for staggered three-year terms
by the full-time members of their Faculty.
The Chair of the Joint-Faculty
Committee shall be the Dean from whose Faculty the tenure-track re-appointment,
tenure and/or promotion recommendations are being presented, except that
when a Joint-Faculty Committee is discussing policy issues, the Dean of
Graduate Studies shall be the Chair.
Hereinafter, any reference to a
Faculty Committee shall apply also to a Joint-Faculty Tenure and Promotion
Committee, unless otherwise stated.
36. An Associate Professor
shall be required to resign from a Faculty Committee if he or she is being
considered for promotion that year. In such circumstances, full-time members
of the Faculty concerned shall elect a replacement to the Committee.
37. Within these limits
each Faculty shall prescribe in its By-laws the membership of its Tenure
and Promotion Committee.
38. Faculty Committees
shall be governed by the following rules and procedures.
-
The Chair shall be responsible
for convening the Committee and shall have a vote in all cases.
-
A quorum shall be the Faculty Dean(s),
the Dean of Graduate Studies and the rest of the Committee save one.
-
A faculty member (including the
Dean of Graduate Studies) who is a member of more than one of the Departmental
Committee, the Faculty Committee and the Senate Committee on Appointments
shall exercise his or her opportunity to discuss and vote on a candidate
at only one of these levels. If he or she has already voted at a different
level or intends to do so, then he or she shall record a technical abstention.
The Dean of Graduate Studies shall vote only at the Facutly Committee level.
-
A decision shall be by majority
vote of the whole Committee except that in the event that technical abstentions
are recorded then the decision shall be by majority vote of all of the
other members of the Committee. Non-technical abstentions, therefore, count
as negative votes. In the event of an equality of votes on tenure, tenure-track
re-appointment and promotion recommendations, the question is deemed to
be decided in favour of the Departmental Tenure and Promotion Committee's
recommendation.
-
A member of a Faculty Committee
who is a significant collaborator with a candidate for re-appointment,
tenure and/or promotion should not be present when that candidate's case
is discussed and/or voted on. (see SPS No. 11, Appendix C). In this event,
a technical abstention shall be recorded in the Commitee for the member
concerned.
-
Only members of the Faculty Committee
shall be present when decisions are made.
-
In arriving at its decision, the
Faculty Committee shall keep in mind the necessity of maintaining academic
freedom as it is outlined in Section I of this document.
39.
-
The Chair of a Department shall
forward the written recommendations of the Departmental Committee to the
Faculty Committee with a comprehensive record of the candidate's qualifications
and achievements. In the case of a candidate whose appointment calls for
a half-time or greater commitment to a Programme, the written submission
from the Programme Director shall be included in the Department's submission
to the Faculty Committee. The Chair and the elected representative shall
be invited to attend the meeting when candidates from their Department
are to be considered and present the recommendations from their Department.
Reports and assessments which the Departmental Chair provides to the Faculty
Committee shall be considered confidential. The Chair and the elected representative
shall ensure that the Committee is informed of any differences of opinion
about the candidate within the Department.
-
Upon request from a member of the
candidate's Department, the Faculty Committee shall invite a member or
members of the Department to present a minority view not otherwise represented.
-
In the case of a candidate whose
appointment calls for a half-time or greater commitment to a Programme,
the Director of that Programme shall be invited to attend the meeting of
the Faculty Committee at which the recommendation for the candidate is
presented.
40. The Faculty Committee
must invite a candidate for an interview if,
-
it appears that a Departmental
recommendation for tenure and/or promotion of the candidate is not likely
to be supported, or
-
it is to be recommended that the
candidate's appointment be allowed to lapse, or
-
it has received through the Faculty
Dean, information concerning the dissatisfaction of the candidate concerning
the Department's recommendation or decision about him or her (see clause
32[d] above).
The Faculty Committee also has
the right to invite any candidate for an interview. A candidate may
be accompanied at the interview by a faculty colleague acting as an advisor.
41.
-
Before a Faculty Committee forwards
to the Senate Committee on Appointments a recommendation in the absence
of, or contrary to, a Departmental recommendation it shall communicate
its decision and the reasons for it to the Chair of the candidate's Department,
and provide an opportunity for the Department to make a further submission
to it.
-
If the Department decides to make
a further submission to the Faculty Committee and, such submission notwithstanding,
the Faculty Committee forwards to the Senate Committee on Appointments
its earlier recommendation, it shall at the same time inform the Senate
Committee on Appointments of the views of the Department. In these circumstances
the Senate Committee on Appointments may invite the Chair and the elected
representative to present the views of the Department.
42. The Faculty Committee
shall vote to support, reject or modify the recommendations of the Department.
If a Department recommendation for an extension of a tenure-track appointment
is supported by the Faculty Committee (whether for the same number of years
as was recommended by the Department or for a different period), then the
decision of the Faculty Committee shall be final and binding within the
University. The Dean, as chair of the committee, shall forward such decisions
to the President's Office for action and the extensions of appointments
shall be reported to the Senate Committee on Appointments for information.
For any faculty member who is subject to consideration by two Faculty Committees
(see clause 44 below), the extension of the tenure-track appointment shall
be agreed to by both Committees. If the two Committees disagree on the
length of the extension of the tenure-track appointment, the matter shall
be referred to the Senate Committee on Appointments for resolution.
43. For all cases other
than those covered by the preceding clause, the Faculty Committee shall
recommend to the Senate Committee on Appointments that:
-
tenure be granted, or
-
no action be taken in regard to
tenure, or
-
the Departmental recommendation
for tenure be denied and the tenure-track appointment be extended instead,
or
-
the candidate's tenure-track appointment
be allowed to lapse, or
-
promotion be granted, or
-
no action be taken in regard to
promotion.
If the Faculty Committee's recommendation
is that no action be taken in regard to tenure or that a tenure-track appointment
be extended (in spite of a Departmental Committee recommendation that tenure
be granted), or that a tenure-track appointment be allowed to lapse, or
that no action be taken in regard to promotion, the Committee shall prepare
for the Senate Committee on Appointments a statement of the reasons for
its recommendation (see also SPS No. 14,
Appendix C).
44. For any faculty member
who is subject to consideration by two Faculty Committees, a recommendation
from each Faculty Committee shall be submitted to the Senate Committee
on Appointments. In the event that the recommendations disagree, the Senate
Committee on Appointments shall make the final decision.
45. It is recognized that
Faculty Committees generally are best qualified to make academic judgments
concerning the teaching and research of members of their Faculty.
At
the Level of the Senate Committee on Appointments:
46. The major
responsibility of the Senate Committee on Appointments (for composition,
see Senate By-law 117) is to ensure comparable academic standards and equitable
treatment for all members of the University when decisions are taken concerning
tenure and promotion. For that reason, the Committee does not consider
tenure and promotion recommendations out of phase, except in the most unusual
circumstances (e.g., see Section II, clause 16 [g]). Therefore, recommendations
for tenure and promotion to Associate Professor from all Faculties are
considered together in the late fall of each year, while recommendations
for promotion to Professor are considered in late January or early February.
When considering such cases the Senate Committee shall be bound by a quorum
rule that requires the Provost to be present along with seven other voting
members. The Dean of Graduate Studies may be present, but shall record
a technical abstention on all cases.
47. The Faculty Dean and
one of the elected members from the Faculty Committee shall attend (but
not vote at) a meeting of the Senate Committee on Appointments for the
purposes of presenting the recommendations of the Faculty Committee.
48. Members of the Senate
Committee on Appointments shall exercise their opportunity to discuss and
vote on a candidate at only one level in the decision-making process and
shall record a technical abstention if they have already voted at a different
level. A member of the Senate Committee on Appointments who is a significant
collaborator with a candidate for re-appointment, tenure and/or promotion
should not be present when that candidate's case is discussed and/or voted
on (SPS No. 11, Appendix C), and a technical
abstention shall be recorded for the member in such a situation.
A decision in the Senate Committee
shall be by a majority of the voting members, except that technical abstentions
shall not be counted in the vote. Non-technical abstentions, therefore,
count as negative votes. In the event of an equality of votes on tenure,
tenure-track re-appointment and promotion recommendations, the question
is deemed to be decided in favour of the Faculty Tenure and Promotion Committee's
recommendation (see Senate By-law 117).
49. When, after initial
discussion, the Senate Committee does not agree with a recommendation it
has received from a Faculty Committee, it shall refer the recommendation
back to the Faculty Committee with a written statement of the grounds for
its disagreement. The Faculty Committee shall have a period of 15 working
days from the date of the referral to reconsider the case and it shall
then forward in writing to the Senate Committee the result of its reconsideration.
50. The Senate Committee
must, at an appropriate time, invite a candidate for an interview if:
-
it intends to decide against a
Faculty Committee's recommendation for tenure and/or promotion of the candidate,
or
-
it intends to decide that the candidate's
tenure-track appointment be allowed to lapse.
The candidate may be accompanied
at the interview by a faculty colleague acting as an advisor.
51. After considering a recommendation
it has received from a Faculty Committee, (and any reconsideration called
for under clause 49 above), the Senate Committee on Appointments shall
decide:
-
that the candidate is to be nominated
for a tenured appointment and so inform the Senate, or
-
that no action is to be taken in
regard to tenure, or
-
to recommend to the President that
the period of a tenure-track appointment be extended, and so inform the
Senate and Board, or
-
that a candidate's tenure-track
appointment be allowed to lapse, and so inform the Senate and Board, or
-
that promotion is to be granted
and so inform the Senate, or
-
that no action is to be taken in
regard to promotion.
In the cases of 51(i) and 51(v),
the Senate, upon receiving the decisions of the Senate Committee on Appointments,
shall thereupon forward the decisions through the President to the Board
of Governors, as nominations for tenure and/or promotion.
52. In those cases where
the Senate Committee on Appointments decides that the candidate is to be
nominated for a tenured appointment or for promotion, the Chair of the
Senate Committee on Appointments shall without further delay inform the
candidate concerned, in writing, of the decision.
53. In the case where
a tenure-track appointment is to be extended (see clause 51[iii] above),
the President shall inform the candidate in writing of the decision made
on his or her status normally not later than November 15 of the year in
question, and in any event not later than December 15.
54. In those cases where
the Senate Committee on Appointments decides that no action is to be taken
in regard to tenure, or that a tenure-track appointment be extended (in
spite of a Faculty Committee recommendation that tenure be granted), or
that the length of the extension of a tenure-track appointment (as recommended
by the Faculty Committee) be reduced, or that a tenure-track appointment
is to be allowed to lapse, or that no action is to be taken in regard to
promotion, the Chair of the Senate Committee on Appointments shall without
further delay inform the candidate concerned in writing, by Registered
Post at his or her home address, of the decision made and shall at the
same time provide reasons for the decision. The following conditions shall
apply.
-
If the decision represents an approval
by the Senate Committee of a recommendation made by the Faculty Committee,
the statement of reasons shall include the written statement prepared by
the Faculty Committee (see clause 43 above), along with a statement indicating
the authority of the Senate Committee on Appointments in these matters
as established in the relevant sections of this policy.
-
If the decision by the Senate Committee
is different from the recommendation made by the Faculty Committee, then
the statement of reasons shall be prepared by the Senate Committee and
shall refer to the authority of the Senate Committee in these matters as
established in the relevant sections of this policy.
-
In both (i) and (ii) above the
candidate shall be provided with unattributed copies of the originals of
any external letters of reference that were considered, such unattributed
copies to be prepared by the Chair of the Senate Committee on Appointments.
In those cases where a tenure-track
appointment is to be allowed to lapse, the Chair of the Senate Committee
on Appointments shall also inform the candidate that the Committee's decision
will be reported in due course to the Senate.
55.
-
The letters referred to in clause
53 above that relate to tenure and tenure-track appointment decisions,
shall be mailed normally not later than November 15 of the year in question,
and in any event not later than December 15. A candidate who has not been
so informed in writing of the decision made by the Senate Committee on
Appointments on his or her status by November 15 shall not be justified
in assuming that a favourable recommendation has been made. A candidate
who has not been so informed in writing of the decision made by the Senate
Committee on Appointments on his or her status by December 15 of the academic
year in which his or her tenure-track appointment will otherwise end shall
be entitled to a one-year contractually limited appointment beginning the
day following the lapse of the faculty member's tenure-track appointment.
-
The letters referred to in clause
53 above that relate to decisions on promotion to Professor normally will
be mailed early in the new year.
56. The Board of Governors
shall normally consider Senate nominations for tenure at its December meeting
immediately following the Senate meeting at which they have been received.
In any event these nominations shall be dealt with not later than December
31 of the year in which they were considered by the Faculty Committee.
As soon as the Board has agreed to grant tenure and/or promotion, the President
shall give formal notice in writing to each candidate to whom this has
been granted.
57. Within thirty days
of receiving the letter referred to in clause 52 above or the written statement
referred to in clause 53 above, a candidate who is entitled under the terms
of the following Section IV to appeal the decision made on his or her case
may request such an appeal by writing to the Secretary of the Senate. This
request will be considered at either of the next two regular meetings of
the Senate.
Upon receipt of such an appeal
the Senate shall set in motion the appeal procedures described in Section
IV below.
SECTION IV
Appeal Procedures (against tenure and promotion decisions)
1. It matters
as much to the university community as to a faculty member who considers
that he or she has a grievance concerning a tenure or promotion decision
that an inquiry into the grievance should result in a just decision, based
on an impartial and dispassionate review of the facts.
2.
-
The Senate shall establish an Appeal
Tribunal as soon as possible after receiving a written request from a faculty
member who has been denied tenure and/or promotion, if his or her case
meets the conditions set out in (b), (c) or (d) below. Such a faculty member
shall hereinafter be referred to as the appellant.
-
A faculty member shall be entitled
to appeal a tenure decision only:
-
if his or her tenure-track appointment
is to be allowed to lapse at the end of the current academic year; or
-
in an academic year when her or
his Departmental and/or Faculty Committee has recommended that tenure be
granted.
-
An appeal of a decision not to
grant promotion to Professor shall be permitted only if the candidate has
spent at least six years as an Associate Professor, except in the case
when he or she has been recommended for promotion by his or her Departmental
and/or Faculty Committee.
-
If an appeal of a decision not
to grant promotion results in the decision being upheld, no further appeal
will be entertained for three years following the initial one unless the
Departmental and/or Faculty Committee recommends promotion in an intervening
year.
3. Recommendations concerning
membership of an Appeal Tribunal shall be made to Senate by the Tenure
and Promotion Appeals Nominating Committee of Senate. The Tribunal shall
be composed of three tenured members of the University's full-time faculty
who have not been previously involved in the decision under review and
who are at "arm's-length" from both the appellant and the members of the
Determining Committee. The Tribunal in each case shall normally consist
of one member from the appellant's Faculty and two members from outside
of it. Both the appellant and the Chair of the Determining Committee (or
the appropriate Faculty Dean when the Determining Committee is a Joint-Faculty
Committee) shall be informed of the names under consideration by the Tenure
and Promotion Appeals Nominating Committee of Senate, and shall express
to them independently, in writing, any objections that they may have concerning
any of the proposed members of the Appeal Tribunal. After careful consideration
of any such objections the Tenure and Promotion Appeals Nominating Committee
of Senate shall forward its recommendations on the membership of the Tribunal
to the Senate for approval.
4. The Appeal
Tribunal shall choose one of its members to act as Chair and this person
shall have the primary responsibility for the orderly conduct of the proceedings.
The Secretary of the Senate shall be responsible for notifying all persons
concerned of the time and place of the proceedings.
5. The proceedings of
the Tribunal shall be conducted expeditiously and in strict fairness to
the appellant and to the University, and shall be governed by the Statutory
Powers Procedure Act of Ontario, (see also SPS
No. 20, Appendix C).
6.
-
The decision under appeal shall
be that of the "Determining Committee". The Determining Committee for purposes
of this document shall be the Committee that prepared the principal statement
referred to in Section III, clauses 53(i) and 53(ii). That is, if the decision
of the Senate Committee on Appointments that is under appeal is the same
as the recommendation made by the Faculty Committee, the Faculty Committee
shall be the Determining Committee. If the decision of the Senate Committee
on Appointments that is under appeal is different from the recommendation
made by the Faculty Committee, the Senate Committee shall be the Determining
Committee.
-
The Determining Committee shall
be represented during the appeal by its Chair or delegate chosen by the
Committee from among the elected faculty members on the Committee. If the
Committee so wishes, the Chair (or delegate) may be accompanied by another
faculty member, chosen by and from the Committee for this purpose.
In the event that the Determining
Committee is a Joint-Faculty Committee, the Dean of the Faculty concerned
or one of the elected faculty members from that Faculty on the Determining
Committee , chosen by the members of the Determining Committee, shall represent
the Determining Committee. If the Committee so wishes, the Dean (or delegate)
may be accompanied by another faculty member, chosen by the Committee from
among the faculty members from that Faculty on the Committee.
In the event that the
appellant holds a joint appointment in two Departments in two Faculties,
and in the event that two Faculty Committees represent the Determining
Committees, the Deans of the Faculties concerned or one elected faculty
member from each of the two Faculty Committees, chosen by the members of
each of the two Faculty Committees, shall represent the Determining Committees.
If either or both of the relevant Committees so wish, the Dean (or delegate)
may be accompanied by another faculty member, chosen by and from the Committee.
If the decision of the
Determining Committee(s) that is under appeal is the same as the recommendation(s)
made by the Department(s), then the Chair(s) of the Determining Committee(s)
or the delegate, as appropriate, may also be accompanied by another faculty
member chosen by and from the Department Committee(s).
7.
-
The appellant may be represented
at all hearings before the Appeal Tribunal by counsel or an agent, but
should
be present at all hearings.
-
The Tribunal and the Determining
Committee may wish also to engage counsel but in the event that they do
so, only the Determining Committee should have access to the services of
the University's Solicitor.
8. Subject to the agreement
of the appellant, a Faculty Association observer shall be permitted to
be present at all hearings of ad hoc appeal committees and to receive
all the documentation available to the appellant. Such an observer shall
be non-participating and subject to the "Guidelines Concerning the Role
of Faculty Association Observers at Appeal Hearings" (SPS
No. 21, Appendix C).
9. As its first task,
the Tribunal shall meet with the appellant and the representatives of the
Determining Committee and shall decide whether or not the hearings shall
be held in camera, in accordance with the requirements of the Statutory
Powers Procedure Act (see clause 5 above).
10. The Tribunal shall
review the evidence, both written and oral, upon which the decision was
based. The following rules shall apply:
-
When reviewing a case in which
a tenure-track appointment is being allowed to lapse, the Tribunal shall
consider any new evidence.
-
When reviewing any other case,
the Tribunal shall not consider any new achievements of the appellant subsequent
to the date of the Determining Committee's decision, but shall consider
any evidence that existed but was not presented to the Department, Faculty
or Senate committees during their deliberations and may obtain additional
assessments respecting the appellant's work.
-
If the Tribunal decides that the
cases of other faculty members are closely comparable to the case under
appeal, it shall be entitled to examine such documents as it believes likely
to be relevant and which were considered when a tenure and/or promotion
decision was taken in the cases of the other faculty members. The Tribunal's
use of such documents shall be at the discretion of the Tribunal. Neither
the appellant nor his or her counsel or agent shall have direct access
to such documents, but, upon request, they shall be provided with unattributed
copies of them. The Tribunal shall take adequate care to ensure that the
privacy of third parties is protected.
11. Access to reports and
assessments on the appellant which formed the basis of the Determining
Committee's decision shall be subject to the following regulations:
-
The appellant has the right to
see those Committee reports and Committee assessments regarding her or
him which were submitted to the Determining Committee. The Tribunal shall
take adequate care to ensure that the privacy of third parties is protected.
-
The appellant is entitled to have
received unattributed copies of those letters of reference which were submitted
on a confidential basis by referees from outside the University, under
Section III, clause 53(iii) above. On request by the appellant the Tribunal
shall provide him or her also with unattributed copies of any letters of
reference obtained from referees within the University .
12. The Tribunal shall decide,
either unanimously or by a majority, either to uphold or overturn the decision
of the Determining Committee. The Tribunal's decision shall be final and
it shall report its decision to the parties involved in the appeal and
to the Senate.
13. If the Tribunal's
decision is that the appellant is to be granted tenure and/or promotion,
the Senate shall thereupon forward the decision through the President to
the Board of Governors as a nomination for tenure and/or promotion. Once
the Board has acted upon the recommendation, the President shall inform
the appellant in writing of the decision.
14. If the Tribunal, while
bearing in mind the limitations on the length of such appointments that
are stipulated in Section II, clauses 7 and 14, recommends to the President
that a further tenure-track appointment be granted, the President shall
offer the candidate such an appointment.
15. If the Tribunal has
any other recommendations or comments to make (for example, with respect
to changes in policy or procedures), it shall make such recommendations
or comments to the appropriate University body in a separate document.
SECTION V
Suspension of a Faculty Member
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Suspension as a form of disciplinary
action involves relieving a faculty member of all of his/her University
duties and denying him/her access to University facilities and services,
for a stated period of time, with or without pay. Suspension does not refer
to those other forms of disciplinary action that may involve relieving
a faculty member of only some of his or her duties (for example, teaching
or supervisory assignments or participation in a research project). Nor
does it refer to periods of leave occasioned by special circumstances (for
example, illness, incarceration, political service or secondment).
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The President shall exercise his/her
authority to suspend a faculty member when a tribunal, acting in accordance
with an approved University policy, has made a finding of just cause and
has decided and recommended to the President that a suspension is the appropriate
form of disciplinary action against the faculty member concerned. The President
shall decide upon the terms of the suspension (period of time and with
or without pay) and shall be guided in this decision by any recommendations
on these matters made by the tribunal; in no case shall the terms decided
upon be more severe than those recommended by the tribunal.
-
Notwithstanding clause 2 above,
in exceptional circumstances (for example, if a faculty member poses a
real and present danger to the safety of any member of the University community,
or a serious and immediate threat to the functioning of the University),
and after consultation with the appropriate academic administrative officers,
the President may suspend a faculty member pending the outcome of a hearing
on charges of misconduct against the faculty member concerned. In such
circumstances, where the President's action in suspending a faculty member
is not preceded by a decision of a University tribunal, the suspension
shall be with pay and the Provost shall ensure that a hearing into the
allegations of misconduct against the faculty member concerned, if not
already underway, is commenced within 10 working days of the start of the
suspension.
-
The President, in suspending a
faculty member, shall advise the faculty member in writing of the terms
of the suspension and the details of the cause for the action. This notice
shall be sent to the faculty member's home address by registered mail.
A copy of the letter shall be sent to members of the Faculty Appointments
Committee.
-
A decision by a duly constituted
tribunal and/or by the President to suspend a faculty member shall not
be grievable under the Faculty General Grievance Procedure.
-
The above clauses in this Section
shall constitute the University policy on the suspension of faculty members
appointed under the terms of this policy and shall take precedence over
any or all other statements on the subject.
SECTION VI
Procedures for Removal
1. "Removal" means
the termination by the University of the appointment of a faculty member
on a tenured appointment without the consent of the appointee before his
or her retirement, or the termination by the University of the appointment
of a faculty member on a tenure-track appointment or contractually limited
appointment before the end of its stated period without the consent of
the appointee. It follows that the non-renewal of a contractually limited
appointment or the decision not to grant tenure at the end of a tenure-track
appointment does not constitute removal. Further, the lapsing of an appointment
by reason of the time limitations on contractually limited and tenure-track
appointments, which are stipulated in Section II, clauses 7, 12(b) and
14 above, does not constitute removal.
2. Under the terms of
The
McMaster University Act, 1976, only the Board of Governors has
the power to remove a faculty member and the Act stipulates that the Board
may exercise this power only after consulting the Senate. The Senate, through
its Senate Committee on Appointments, shall exercise its authority under
the Act to recommend the removal of a faculty member only when adequate
cause has been established by the Hearing Committee according to the procedures
described in this Section. The Senate and the Board of Governors and their
committees shall be bound by the findings, in regard to the establishment
of adequate cause, of the Hearing Committee referred to in clauses 9 and
10 below.
3.
-
In general terms "adequate cause"
for removal exists if it has been established that a faculty member has
unreasonably neglected his or her academic responsibilities, or has been
guilty of such unethical academic behaviour as to impair his or her usefulness
as a member of the University. However, it is understood that the words
"adequate cause" must necessarily be interpreted in the context of each
removal case. The subsequent paragraphs of this Section specify a sequence
of procedures to be followed which will assure that the question of what
constitutes "adequate cause" for removal will have careful consideration
in the circumstances of each removal case.
-
Physical or emotional inability
to carry out reasonable duties shall not be a reason for removal.
-
For purposes of this document,
"adequate cause" for removal shall not be construed as including the University's
financial difficulties or lack of money to pay the faculty member's salary.
4. If the President intends
to initiate action leading to the removal of a faculty member, he or she
shall first notify the member in writing of this intention together with
the reasons for such action, and invite the faculty member to a meeting
to discuss the reasons and the intended action.
5. Subject to the agreement
of the faculty member against whom removal proceedings have been instituted,
a Faculty Association observer shall be permitted to be present at any
meetings between the two parties, including the meetings described in clauses
4 and 6 and at the hearing described in clauses 12 and 13 and to receive
all the documentation available to the faculty member. Such an observer
shall be non-participating and subject to the "Guidelines for Faculty Association
Observers at Removal Proceedings" (SPS No. 22,
Appendix C).
6. The meeting referred
to in clause 4 above shall be held under the following conditions:
-
By mutual agreement, it shall take
place on a date which will not be fewer than seven and not more than twenty-one
days from the date of mailing of the President's letter (as indicated in
paragraph 4), and failing mutual agreement, on a date to be set by the
President.
-
Those present, besides the President
and the faculty member concerned, shall be:
-
one member of the academic administration,
to be chosen by the President;
-
the Chair or Acting Chair of the
faculty member's Department;
-
an adviser, counsel or an agent,
chosen by the faculty member concerned if he or she wishes such a person
to be present;
-
a disinterested Professor or Associate
Professor with tenure, acceptable to the President and the faculty member
concerned, if one can be found by the date set for the meeting.
-
If the faculty member fails or
declines to attend the meeting, the meeting shall nevertheless take place,
and the President, after the meeting, may proceed as set out in clause
7 below.
7. If, after this meeting,
the President still intends to proceed with the action, the President shall
within fourteen days of the date of the meeting so inform the member in
writing, communicating at that time, a precise description of the charges
against the member in sufficient detail to enable the faculty member to
prepare a defence.
8. After the meeting described
in clauses 4 and 6 above, or at any subsequent stage in the proceedings
the President may, at his or her discretion, temporarily suspend the faculty
member until the matter has been decided. Unless a tribunal has recommended
otherwise, the suspension shall be with pay.
9. The faculty member
shall have fourteen days from the date of mailing of the President's letter
mentioned in clause 7 above to decide whether to contest the action and
to so inform the President. If the faculty member informs the President
that he or she intends to contest the action, or if the faculty member
informs the President that he or she does not intend to contest the action,
but does not submit at the same time his or her resignation from the University,
or if the faculty member fails to communicate with the President by the
deadline specified herein, the President shall so inform the Senate and
the Senate shall proceed immediately to establish a Hearing Committee.
10. Recommendations concerning
the membership of the Hearing Committee shall be made to Senate by the
Tenure and Promotion Appeals Nominating Committee of Senate. The
Hearing Committee shall be composed of three tenured, full-time Professors
of the University who are at "arm's length" from the faculty member concerned,
from the President and from any other administrator who may be involved.
The Hearing Committee shall normally consist of one Professor from the
faculty member's Faculty and two from outside of it. Both the faculty
member and the President shall be informed of the names under consideration
by the Nominating Committee and shall express to it independently, in writing,
any objections that they may have concerning any of the proposed members
of the Hearing Committee. The Nominating Committee shall consider
carefully any such objections before forwarding its recommendations on
the membership of the Hearing Committee to the Senate for approval.
11. In Senate's approval
of the Hearing Committee membership and in all subsequent deliberations
of the Senate Committee on Appointments and of the Board (or its designated
committee), having to do with the case for removal that is under consideration,
the President shall not participate in the discussion nor cast a vote.
12. The Hearing Committee,
once chosen, shall begin its proceedings as soon as possible. The Hearing
Committee may engage counsel but shall not engage the University's Solicitor
for this purpose.
13. The proceedings of
the Hearing Committee shall be conducted expeditiously and in strict fairness
to the University and the faculty member concerned. As its first task the
Hearing Committee shall meet with the faculty member concerned and a representative
of the President to decide whether or not the proceedings shall be held
in camera, as permitted by the Statutory Powers Procedure Act.
If both parties agree, the proceedings shall be held in camera throughout.
The following procedures shall
also be observed:
-
The members of the Hearing Committee
shall select one of their number to act as Chair. The Chair shall have
primary responsibility for the orderly conduct of the proceedings.
-
The University shall be represented
during the proceedings by the President or a faculty member chosen by the
President as his or her representative.
-
The Secretary of the Senate shall
serve as Secretary and shall be responsible for notifying all persons concerned
of the time and place of the proceedings.
-
The charges against the faculty
member shall be restricted in substance to those recorded in the President's
letter mentioned in paragraph 7.
-
The onus shall be on the University
to demonstrate that adequate cause exists for removal of the faculty member.
-
Although it is possible that at
the meeting referred to at the beginning of this paragraph there was no
agreement to conduct all of the review in camera, this shall not
preclude the opportunity for the Hearing Committee to conduct a particular
session or sessions in camera, if, in its opinion, the interests
of any person indicate the desirability of such a procedure. The Committee
shall not make such a decision, however, until it has consulted with the
faculty member concerned and the representative of the President.
-
No formal transcript of the proceedings
of the Hearing Committee shall be kept; however, the Committee shall have
the authority to require that a logged audio tape of all or part of the
proceedings be kept. All parties concerned shall have access to the tape.
The Hearing Committee has final
authority on its own procedures within the limits of Section VI.
14. After the conclusion
of the hearing(s), the Hearing Committee shall review and adjudicate the
evidence and shall decide, either unanimously or by a majority of the Committee,
whether or not adequate cause for removal has been established.
The Hearing Committee shall
prepare a written report of its findings of fact, its judgement on the
adequacy of the cause, its decision and the justification for that decision.
15. If the Committee decides
that adequate cause for removal has been established, it shall so inform
the faculty member, the President and the Senate Committee on Appointments.
The Senate Committee shall forward the decision to the Board (or its designated
committee) as a recommendation that the faculty member be removed. When
such a recommendation has been received by the Board (or its designated
committee), it shall immediately act upon it as follows.
-
The Board (or its designated committee)
shall invite the faculty member and/or his or her advisor to appear before
it to make representations having to do with process of the earlier hearing(s).
The substantive findings of the Hearing Committee in regard to the establishment
of adequate cause shall not be subject to review in any such meeting between
the Board (or its designated committee) and the faculty member and/or advisor.
-
If as a result of the meeting described
in clause (a) above, the Board (or its designated committee) decides that
there have been procedural error(s) in the earlier stage(s) of the case,
it shall refer the matter back to the Senate Committee on Appointments
for advice and comment.
-
On the basis of the Hearing Committee's
report, the representations, if any, made by the faculty member under clause
(a) above, and any advice received from the Senate Committee on Appointments
under clause (b) above, the Board (or its designated committee) shall decide;
-
i) to remove the faculty member
from the teaching staff of the University, or
-
ii) to refer the recommendation
back to the Senate Committee on Appointments on procedural grounds.
The decision of the Board (or its
designated committee) shall be conveyed in writing to the faculty member
concerned, as soon as possible by registered mail, by the Chair of the
Board of Governors. The President and the Chair of the Senate Committee
on Appointments also shall be informed immediately of the decision.
A short written summary of the
case and the decision, including the findings of the Hearing Committee,
shall be prepared by the Secretary of the Board and forwarded to the Senate
and the Board of Governors. The summary shall be available for public release
if necessary.
16. If the decision under
14 above is that adequate cause for removal has not been
established then the Hearing Committee shall decide, either unanimously
or by a majority, whether or not the continuation of the faculty member's
appointment shall be subject to any stated terms and conditions. If the
Committee decides that the continuation of the appointment shall be so
restricted, but is unable to reach a majority decision on the question
of what should be the terms and conditions, then the following procedure
shall be followed. Two members of the Hearing Committee, neither of whom
is the Chair, shall each submit in writing to the Chair of the Committee
the terms and conditions he or she believes are appropriate. The Chair
shall select one of these two proposals as the Committee's decision. If
the Hearing Committee decides that some such terms and conditions shall
apply then the following actions shall be taken.
-
If the terms and conditions include
some form of suspension, the Hearing Committee shall so inform
the faculty member, and shall forward the corresponding recommendation
to the President for action.
-
If the terms and conditions are
of some other form, then they shall be conveyed in writing to the President
and to the faculty member concerned. The appropriate University officers
also shall be so informed by the Hearing Committee, and shall ensure that
the terms and conditions are met.
17. If the Hearing Committee's
decision under clauses 14 and 16 above is that adequate cause for removal
has not been established and that no sanctions
need be imposed, then it shall so report to the President, the faculty
member concerned, the relevant Faculty Appointments Committee, and to the
Senate, through the Senate Committee on Appointments, and the Chair of
the Board. The matter of removal then shall be dropped.
18. If the Hearing Committee
has any other recommendations or comments to make, (for example, with respect
to changes in policy or procedures), it shall make such recommendations
or comments to the appropriate University body in a separate document.
19. If the Hearing Committee
decides that adequate cause for removal has not been established during
the proceedings and that the continuation of the faculty member's appointment
shall not be subject to any terms and conditions (see clause 17 above),
the reasonable legal expenses incurred by the faculty member shall be borne
by the University. If the Hearing Committee decides that some such terms
and conditions shall apply to the continuation of the faculty member's
appointment, the Hearing Committee shall decide whether the reasonable
legal expenses incurred by the faculty member shall be borne by the faculty
member, or whether some or all of such expenses shall be borne by the University.
20. A decision of the
Hearing Committee shall not be grievable under the Faculty General Grievance
Procedure.
SECTION VII
Implementation, Promulgation and Revision
1. When the document,
"McMaster University Revised Policy and Regulations with Respect to Academic
Appointment, Tenure and Promotion (1998)" is adopted, the University shall
send a copy of it to all persons who are full-time members of the teaching
staff and to all full-time members of the teaching staff who are subsequently
appointed.
2. The "McMaster University
Revised Policy and Regulations With Respect to Academic Appointment. Tenure
and Promotion (1977) and (1992)", are hereby repealed, except as provided
for in clause 3 (a) below.
3.
-
Any faculty member on a term appointment
on the day prior to the implementation of the 1992 policy may elect to
be considered for tenure and for promotion to the next higher rank under
the terms of the 1977 policy (and the guidelines of the Senate Committee
on Appointments that relate to the 1977 policy).
Each such faculty member shall
inform his or her Department Chair, in writing, under which document the
faculty member wishes to be considered. This written notice must be received
prior to the faculty member's review for either tenure or promotion to
the next higher rank.
-
The linking of tenure and promotion
to Associate Professor (see Section III, clause 17 of this policy) shall
not apply to those persons who, at the time of implementationof the 1992
policy, have tenure (or Continuing Appointment without Annual Review) and
hold the rank of Lecturer or Assistant Professor. The case for the promotion
of any such person must be considered, as in the past, by the Departmental
and Faculty Committees and the Senate Committee on Appointments. The Departmental
Committees shall review all cases where tenure was granted without promotion
from Assistant to Associate Professor, within one year of the implementation
of the 1992 document.
4. Proposals for amending
this document may be made by the administration, The Senate, or the Faculty
Association.
When such proposals are made
there shall be consultation among these parties and, if appropriate, an
ad
hoc drafting committee shall be established. The drafting committee,
which shall consist of members named by the Senate Committee on Appointments
and by the Faculty Association, shall review the proposed amendments and
formulate revisions for submission to the Senate and the Board of Governors
for approval. During the course of its work, the drafting committee shall
ensure that the parties mentioned in the first sentence of this clause
are kept fully informed of any proposed revisions and that their views
on any such changes are properly considered.
Approved by
Senate - April 12, 2000
Approved by Board of Governors
- April 27, 2000
For implementation on -
July 1, 2000
APPENDIX A
Pertaining to the Faculty of Health Sciences
The Faculty of Health Sciences
is governed by the policy and procedures related to academic appointment,
tenure and promotion that are described in the main body of this document.
The Faculty, however, is different in two important respects:
-
most of the operating funds for
the Faculty come from sources that are different from those upon which
the University depends and, therefore, a significant number of its faculty
members are appointed in the "special tenure-track" and "continuing appointment
without annual review" categories (see categories 4[iv] and [v], Section
II), and
-
in many of the appointments, both
for contractually limited periods and tenure-track, there is a requirement
that clinical work be performed or that major administrative responsibilities
in the health care delivery system be discharged, and effective performance
of these requirements and responsibilities may substitute for scholarly
achievement when such an appointee is being considered for tenure or promotion.
In those appointments where such special conditions apply they shall be
clearly stated in the letter of appointment.
Accordingly, the policy and regulations
for the Faculty of Health Sciences include the following amendments or
exceptions to the text of the preceding main document.
1. Section II, Clause
12(a) and (b), [reproduced below] is amended by the addition of sub-section
(c) below.
Contractually limited appointments
may be renewed under the following terms.
-
If the position is to be continued
for a further period the decision whether to renew the individual's appointment
or not shall be made on the basis of an academic assessment by the appropriate
Faculty Appointments Committee.
-
Normally the maximum period which
such appointments shall cover is six years. But there may be exceptional
circumstances that require the extension of an appointment beyond six years.
Any such extension shall be approved by the Senate Committee on Appointments
on the recommendation of the Faculty Appointments Committee and reported
to Senate.
-
Contractually limited appointments
that involve major clinical and/or administrative responsibilities in the
health care delivery system may be renewed beyond six years; all such extensions
shall be approved by the Faculty Appointments Committee and reported to
the Senate Committee on Appointments.
2. Section III. The
requirements for tenure and promotion in Health Sciences are interpreted
as follows.
A necessary but not sufficient
condition for the awarding of tenure and/or promotion in the Faculty of
Health Sciences is effective participation in, and contribution to, the
education programme(s) of the Faculty and the candidate's teaching ability
shall be assessed in the appropriate context(s). In the majority of cases,
it shall be expected also, as is spelled out in the main body of this document,
that the candidate has demonstrated a commitment to high-quality scholarship
and is making the results of this work available in the public domain for
peer review. But there will be cases where, as a result of special conditions
attaching to the initial appointment to the teaching staff, the candidate's
involvement in scholarship, as it is described in Section III of this document,
may be minimal and effective performance in clinical service and/or special
administrative duties in the health care delivery system serves as the
second major criterion for the awarding of tenure and/or promotion. These
cases shall be identified clearly in the submissions to the various committees.
Inasmuch as some contractually
limited appointments in Health Sciences may be renewed beyond six years,
then there will likely be cases where persons on such contractually limited
appointments are recommended by their Departments for promotion. Hence,
in this Faculty only, the case for promotion to Associate Professor may
be considered quite independent of the issue of tenure (for which such
contractually limited appointees are ineligible).
All recommendations for promotion
to either Associate Professor or Professor of persons on contractually
limited appointments in Health Sciences shall be considered by the Faculty
Tenure and Promotion Committee and the Senate Committee on Appointments.
The criteria described in Section III of this document along with the interpretation
given in the first paragraph of this clause shall apply.
3. Section III, Clause
30 (c) The first sentence of this clause is amended to read as follows:
The Departmental Committee
shall inform itself on the teaching abilities, scholarly achievements,
clinical performance and administrative effectiveness, as appropriate,
of any candidate under consideration for re-appointment, tenure and/or
promotion.
APPENDIX B
Reduced Workload Provisions While On
A Tenure-Track Appointment
(see Appendix C, SPS No. 23
for provisions governing tenured faculty members)
-
A faculty member may, during the
period of mutual appraisal, apply for a future reduced workload. Such reduced
workload may be requested in order to accommodate family responsibilities,
re-direction of research, or other circumstances.
-
In this context, normal workload
includes teaching, research and university responsibilities. In some cases,
however, the faculty member's letter of appointment may specify the normal
workload to include a different set of activities.
-
A workload may be reduced up to
a maximum of 50% of normal workload. The reduction must be proportionate
in each area of activity.
-
Reduced workload cannot be arranged
for less than six months, must normally begin on January 1 or July 1, and
may not cumulatively amount to more than thirty-six months (in the case
of an Assistant Professor) or twenty-four months (in the case of an Associate
Professor or a Professor).
-
Reduced workload entails a proportionate
reduction and adjustment in remuneration.
-
When applying for a reduced workload,
the faculty member shall submit a proposal in writing to the Department
Chair normally at least 3 months ahead of time. The written application
for reduced workload should specify the amount of reduction requested,
(e.g., 25% of total obligations), the duration of the reduced workload,
(e.g., for one year) and the details of its implementation, (e.g., by dropping
two half courses, cutting back on research, and limiting other responsibilities
to one specified committee membership). The arrangement negotiated between
the faculty member and the Department Chair must have the endorsement of
the Faculty Appointments Committee. Such endorsement is not automatic.
-
When such a reduced workload arrangement
has been approved by the Faculty Appointments Committee, the Dean of the
Faculty shall convey the Committee's decision in writing to the faculty
member, with copies to the President and to the other members of the Committee.
The Dean's letter shall specify the terms of the reduced workload arrangement,
including
-
matters of salary and benefits,
-
how the reduced workload period
will be counted toward the time limits specified in Section II, clause
6 of the main policy,
-
and the timing of the academic
assessments spelled out in Section III, clauses 22(a), 24 and 25 of the
main policy, including when the individual must be reviewed for tenure.
-
Depending on the length of the
reduced workload, tenure shall be conferred or the tenure-track appointment
shall lapse,
-
for an Assistant Professor, at
the end of six, seven, or eight years from the date of the person's first
tenure-track appointment.
-
for an Associate Professor, at
the end of four, five, six, seven or eight years from the date of the person's
first tenure-track appointment.
-
for a Professor, at the end of
three, four or five years from the date of the person's first tenure-track
appointment.
APPENDIX C
Supplementary Policy
Statements
APPOINTMENTS
-
Procedures for
New Faculty Appointments
-
Guidelines for
the Recruitment and Selection of Faculty Members
-
Protocol for
Conversion of an Individual Faculty Appointment From Contractually Limited
to Tenure-Track or Special Appointment
-
Procedures for
Part-time Appointments (Except in Health Sciences)
-
Policy re
Joint Appointments and Associate Membership
-
Senate Policy
governing Associate Memberships
-
Policy re
Part-time Instructors and Supervisors of Graduate Work
-
Policy re
Academic Appointment of Relatives
-
Guidelines for
Re-appointment of Part-time Faculty at a Higher Rank and for Promotion
of Part-time Faculty
27.
Spousal
Hiring Issues
ACADEMIC ASSESSMENTS
-
University
Policy on the Encouragement of Teaching Excellence by means of the Evaluation
of Teaching
-
Statement on
Academic Collaborators in Tenure and Promotion Proceedings
-
Procedures
for Selection of and Communication with External Referees
-
Guidelines
for External Referees
-
Material Required
by Senate Committee on Appointments on Recommendations re Tenure &
Promotion
-
SPS 15
-
Curriculum
Vitae Guidelines
-
Preparation
of Dossiers for Tenure and/or Promotion
LEAVE POLICIES and GUIDELINES
-
Research Leave
Policy, Research Leave Grants--Financial Procedure
-
Guidelines
on Banking of Teaching in Relation to Research Leave
-
Guidelines
Regarding Leave and Career Progress
-
Pregnancy/Parental/Paternity
Leave Policy for Faculty
APPEALS and REMOVAL PROCEDURES
-
Guidelines
for Ad Hoc Appeal Tribunals. These guidelines include:
-
suggested procedures for appeal
hearings;
-
Senate policy re information
to be included in Appeal Tribunal reports;
-
Senate policy re availability
of Appeal Tribunal reports and what to do when comments made about individuals
other than the parties involved; and
-
Senate policy re release
of Appeal Tribunal records in the event of a human rights complaints.
-
Guidelines
Concerning the Role of Faculty Association Observers at Appeal Hearings
-
Guidelines
for Faculty Association Observers at Removal Proceedings
REDUCED WORKLOAD PROVISIONS for TENURED FACULTY
-
Faculty Reduced
Workload Policy
OTHER
-
Senate-approved
Statement on Academic Freedom
-
Guidelines
for Faculties that Wish to Develop a Phase-out Policy for CAWAR Faculty
Who Lose External Salary Support
-
see above under Appointments
Statement
on the Appointment of Persons from the Special Appointment or Continuing
Appointment without Annual Review (CAWAR) Categories to Tenure-Track or
Tenured Appointments [SPS # to be assigned]
Principles
Governing Contractually Limited Appointments (CLA) at McMaster University
[SPS# to be assigned]
Teaching-Stream
Faculty [SPS # to be assigned]
Contact Department: University
Secretariat
MUFA - pdk
January 2007