Policy 77 – Tenure and Promotion of Faculty Members

1. INTRODUCTION

Universities exist to develop society's intellectual resources and to preserve its intellectual traditions. Their primary functions are to preserve, evaluate, develop, and transmit knowledge, intellectual skills and culture. The modern university is expected to provide intellectual leadership to society, to contribute in a major way to the coordination of knowledge and the development of artistic, philosophical, scientific, and technological ideas, and to provide a fertile intellectual environment in which new knowledge and ideas can evolve. To achieve these goals, faculty members must be effective and committed teachers and scholars, constantly striving to expand and communicate their knowledge, ideas and understanding for the benefit of society.

Tenure and Permanence
Tenure and Permanence are meant to provide institutional support for academic freedom (see the Article on Academic Freedom in the Memorandum of Agreement between the University and the Faculty Association). The pursuit and dissemination of knowledge and the attainment of understanding through scholarship and teaching, which are essential functions of a university, occur best in an atmosphere in which free inquiry and discussion are fostered. Free inquiry and dissemination of knowledge may at times bring a faculty member into conflict with society, governments or the University itself. Tenure and permanence provide security of employment against pressures that might arise from such conflicts, in the belief that the University and society at large benefit from honest judgments and independent criticisms rendered by scholars who are free from fear of possible consequences that might arise from giving offense to powerful individuals or groups.

Tenure and Permanence provide stability for both individual faculty members and the University. Tenure and Permanence provide a faculty member with an environment conducive to long-term scholarly work and development as an educator. The University, for its part, is assured of a continuing group of teachers and scholars committed to the University, around which it can plan and from whom it can draw its academic leadership.

Professional Conduct
All faculty members are expected to conduct themselves in relations with colleagues, staff and students across the University in such a way as to promote the academic well-being of all concerned. Faculty members should avoid denigrating the character and professional competence of others, and should pass judgment on the work of colleagues only in the proper academic forums. Further, they should refrain from actions that prevent others from pursuing their legitimate activities and should strive to be helpful, readily contributing their time and expertise for the overall benefit of the academic community.

2. PERFORMANCE STANDARDS

The standards outlined here guide all decisions made at each stage of a regular faculty appointment, beginning with the original decision to hire. Because these standards are intended to apply university-wide to faculty members engaged in complex intellectual endeavours, they cannot be expressed in absolute quantitative terms. Nonetheless, they do provide a framework around which qualitative judgments can be made by academic administrators and by those serving on tenure, permanence and promotion committees.

The University expects all faculty members to maintain high standards in all aspects of their university work. To this end, the University exercises judgments on performance in the basic areas of a faculty member's academic responsibilities. Such judgments must be made with the greatest possible care and fairness as they are reflected in decisions regarding salary, reappointment, tenure/permanence, and promotion.

It is the responsibility of department Chairs to assess the performance of each probationary or definite-term regular faculty member annually and each tenured or permanent faculty member every two years, to provide a written performance review, and to be available to discuss it upon request. Performance reviews are especially important in helping new faculty members gauge their progress towards meeting the standards for reappointment and tenure/permanence. Annual/Biannual performance reviews form part of the evidence in tenure/permanence and promotion considerations, together with reports from referees and more extensive career reviews carried out by the Department Tenure, Permanence and Promotion Committee (DTPPC).

Teaching
University teaching is informed and enriched by the research, scholarship and service of its faculty. The University expects its regular faculty members to keep academic programs and courses current with developments in their fields and, where appropriate, to communicate both their discoveries and their commitment to scholarship and research.

The purpose of teaching is to facilitate learning. Thus, effective teaching draws the strands of a field together in a way that provides coherence and meaning, places what is known in context, lays the groundwork for future learning, and opens the way for connections between the known and the unknown. Effective teaching is an important goal of the University and consists of much more than what happens in the classroom. As detailed in the University’s Framework for Teaching Effectiveness, and its Addendum.

University teaching encompasses a wide range of activities. It takes many different forms (e.g., undergraduate and graduate courses, graduate seminars, online education, project and thesis supervision), has many different components (e.g., synchronous lectures and tutorials, asynchronous learning elements, setting and grading of assignments and examinations, interaction with students outside the classroom, curriculum development), and can occur in many different environments (e.g., large lecture theatres, small seminar rooms, off-campus short courses and workshops, clinics, laboratories, one-on-one supervision, virtual platforms).

All faculty members from both streams are expected to contribute to undergraduate teaching. Where feasible, tenure stream faculty are expected to contribute to graduate teaching and to participate in project/thesis supervision. Where feasible and depending on the needs of their unit, Teaching Stream faculty are also eligible to contribute to graduate teaching and to participate in
project/thesis supervision.

For purposes of assessing teaching, it is useful to single out particular sorts of contributions to the quality of teaching and learning that extend beyond course instruction and supervision. Some such activities are those that improve an individual instructor’s performance, the quality of the classes they teach or the supervision they provide, while others (referred to as educational leadership activities) have a substantial positive impact on the quality of teaching and learning beyond the individual faculty member’s courses, the programs in which they teach, or the students they supervise.

In all of their teaching activities, faculty members are expected to be fair in the evaluation of student work and constructive in their comments. They are expected to be available to students for interviews and consultations outside the classroom at reasonable times. They must always respect the integrity of their students and carefully avoid any exploitation of them for private advantage. They must maintain strict confidentiality with regard to students' personal lives and political and religious views. They must comment on academic progress and provide judgments on character only to appropriate persons and in appropriate circumstances, and must always be as fair and as objective as possible when making assessments and providing letters of reference.

Scholarship
The University expects Tenure Stream faculty members to be active participants in the evolution of their disciplines and professions. Where feasible, faculty members are expected to seek external funding to support their scholarly work.

Scholarship may take several equally valuable forms. One is the discovery of new knowledge, which may differ from discipline to discipline, and includes the generation of new concepts, ideas, principles and theories. A second form involves the innovative coordination, synthesis or integration of knowledge. This type of scholarship seeks and promotes understanding in a broader context by organizing knowledge in a new and useful way, by illustrating new relationships between the parts and the whole, by relating the past in a new way to the present and future, or by demonstrating new and significant patterns of meaning. Scholarship may also be observed in new and useful applications. Indeed, significant new applications of knowledge to the problems of society represent important scholarly contributions. Novel applications may take many forms, such as creative writing, design, fine and performing arts, innovative clinical or professional practice, and the discovery, development and transfer of technology for societal benefit. Peer-reviewed research with respect to pedagogy and peer-reviewed research with respect to innovative teaching also constitute scholarly activity.

Although any of these scholarly activities may be carried out on a confidential basis, the expectation of the University is for communicated scholarship. In general, only work that is accessible for peer review or professional adjudication can be considered in assessing scholarship for performance reviews, tenure or promotion. Regardless of the discipline and type of scholarship, the key ingredients are the originality, quality and impact of the scholarly work.

Faculty members are expected to meet the ethical standards for scholarship in their particular fields of endeavour; to observe the University's guidelines and policies with respect to ethical conduct in research; and more generally, to act with integrity, truthfulness and honesty in the conduct and communication of their scholarly work.

Service
In addition to their primary duties of teaching and scholarship, regular faculty members have a responsibility to participate in the effective functioning of the University through service on committees, student advising, coordination of activities and in administrative positions. It is important that all faculty members be willing to assist with administrative duties when their help is needed. Many faculty members also provide valuable service to groups outside the University, such as disciplinary or professional organizations, conferences, journals and granting councils. Community service related to a faculty member's scholarly activities is normally considered as service to the University.

3. PERFORMANCE ASSESSMENT

Peer assessment forms the basis for determining the suitability of a faculty member for the granting of tenure/permanence or for promotion. Insofar as possible, tenure, permanence and promotion committees shall base their assessments on evidence that is first-hand and direct.

Assessment of Teaching
University teaching involves much more than “classroom performance”. As described in the University’s Framework for Teaching Effectiveness, teaching includes many dimensions, including Design, Implementation, Learning Experience, and Professional Development. It is normal that different dimensions are emphasized at different times in a teaching career. Hence, it is important to develop a fair assessment of effectiveness across the candidate's full spectrum of teaching activities. A holistic assessment of teaching effectiveness includes examining these various dimensions, as relevant, and using appropriate instruments in each case.

Teaching effectiveness should be assessed broadly using evidence gathered from multiple sources, often including self-reflection from the faculty member (often via a teaching dossier, annual/biannual performance reports, etc.), peer reviews of teaching, student course perception survey data and comments, evaluations of graduate supervision (where applicable), and possibly other sources. The opinions of former students can also be of value if solicited on a systematic basis.

Assessment of Scholarship
The University relies primarily on external referees and members of the DTPPC to judge a candidate's scholarly record. Although the University looks for evidence of active continuing scholarship, the volume of scholarly output is less important than its quality, originality and impact.

A candidate for tenure, permanence or promotion with a non-zero scholarship weighting must provide examples of their scholarly work for examination by referees and the DTPPC. The candidate is responsible for documenting contributions made to team research and jointly authored work. Joint work with students supervised by the candidate should be identified. The candidate must also provide an overview of their scholarly work to date, information about work in progress and a general indication of future plans.

High quality contributions to the synthesis of knowledge (e.g., books, monographs, review articles) and to non-traditional forms of scholarship (e.g., artistic exhibitions and performances, innovative design) can provide direct evidence of effective scholarship. Consulting reports and planning documents that are accessible for peer review and evidence of having produced improvements in clinical or professional practice may also be submitted as evidence of a candidate's scholarly contributions.

Other evidence of activity and standing as a scholar includes supervision of student research, invitations to present "keynote" addresses, election to and awards received from professional and disciplinary societies, service as a referee for journals and granting councils, and membership on government or professional committees.

The primary assessment of quality, originality and impact is made by referees and DTPPC members on the basis of examining examples of the candidate's work. Other less direct indicators include the rigour of the review processes for journals and conferences in which the candidate has published, the standards of publishing houses for books, and the extent to which other scholars have made reference to the work. In areas such as the fine and performing arts, similar information may be derived from the prestige of exhibitions and performances to which the candidate has contributed, professional reviews and the receipt of awards or prizes.

Assessment of service
Candidates for tenure/permanence or promotion shall provide information on their service activities in sufficient detail to allow the DTPPC to assess its quantity and quality. Where necessary, the DTPPC should obtain statements from those who have personally observed the candidate's service contributions both internal and external to the University. In the case of those positions with higher than typical assignment of duties for service (i.e. weighting of 40% or more), it is especially important to ensure sufficient evidence to evaluate the quality and quantity of service activity of a tenure/permanence or promotion candidate. Some service activities, such as chairing a curriculum committee or editing a professional society journal, may also provide indirect evidence for scholarship or teaching.

4. TIMING AND CRITERIA

Candidates for tenure/permanence and promotion must apply to the department Chair not later than June 1 in order that their applications can be considered by the DTPPC and FTPPC during the fall term.

Consideration for tenure/permanence
A faculty member holding a second probationary Tenure Stream appointment is entitled to formal consideration for tenure, and a faculty member holding a second probationary Teaching Stream appointment is entitled to formal consideration for Permanence, which normally occurs during the second year of the second probationary appointment. However, the candidate may choose to postpone consideration until the third year. Employment as a regular faculty member beyond the second probationary appointment is possible only if tenure/permanence has been granted.

In exceptional circumstances, for instance where extensive experience was acquired at UW or elsewhere prior to the probationary appointment at UW, an individual may be considered for tenure/permanence earlier than the second year of the second probationary appointment. Such early consideration requires the agreement in advance of the candidate and the DTPPC plus the written agreement of the Dean. If either the DTPPC or the FTPPC recommends against tenure/permanence, early tenure/permanence consideration shall cease and the candidate must wait for tenure/permanence consideration until the final year of the second probationary appointment.

The granting of tenure to a probationary Assistant Professor carries with it appointment at the rank of Associate Professor, and the granting of permanence to a probationary Assistant Professor, Teaching Stream carries with it appointment at the rank of Associate Professor, Teaching Stream.

For Tenure Stream faculty members, the expectations for the granting of tenure are: a record as a good teacher committed to academic and pedagogical excellence; a record of high-quality and peer-assessed scholarly or creative work (normally demonstrated by publication or presentation in suitable academic or artistic forums); and a record of professional, university or community service. See sections II. and III. The granting of tenure normally will require a record of strong performance in both scholarship and teaching, with satisfactory performance in service. However, a candidate may also qualify for appointment as a tenured Associate Professor by virtue of very strong performance in scholarship or teaching with at least satisfactory performance in the other two areas.

Tenure is not a right: it must be earned by a record of good performance. By the time candidates are considered for tenure they will have had ample opportunity to develop their teaching skills and to make original contributions to their fields of endeavour. These original contributions must be of sufficient magnitude to give witness to a candidate's depth of understanding and scholarly and professional competence. Committees and external referees will be concerned not so much with the volume of scholarly output as with the depth of understanding and degree of scholarly competence it demonstrates. Particular attention will be paid to assessing the likelihood that candidates will continue their scholarly activities once tenure has been awarded.

Candidates for tenure should have demonstrated their willingness to participate in service activities as described in Section II. However, service expectations are lower for probationary faculty than for tenured faculty, and service is not weighted as heavily as scholarship or teaching in tenure considerations.

Standards for Promotion
The standards to which faculty members strive for the granting of permanence and promotion on the Teaching Stream are broadly parallel to those on the Tenure Stream, but with important differences that reflect the different roles that faculty members on the two streams serve.

The expectations for the granting of permanence are: a record as a strong teacher committed to academic and pedagogical excellence; and a record of satisfactory professional, university or community service. While the default weights for a Teaching Stream faculty member are 80% Teaching and 20% Service, there are Teaching Stream faculty members with lower Teaching weights due to a higher Service load. For Teaching Stream faculty members with a service weighting of at least 40%, expectations for Service are higher than “Satisfactory” and increase as the weighting increases, because of the prominence of this part of their roles. Notwithstanding this higher service weight, as Teaching Stream faculty members, the expectation is still that a record as a strong teacher is maintained, regardless of their Teaching weight, recognizing that those with less than 80% Teaching may have less opportunity to demonstrate the quality of their teaching as those with 80% Teaching.

In exceptional cases, an Assistant Professor, Teaching Stream may have a non-zero Scholarship weighting as part of their appointment. In such cases, the granting of permanence normally will require a record of strong performance in teaching and good performance in scholarship, in addition to a record of service as described earlier. However, a candidate may also qualify for appointment as a permanent Associate Professor, Teaching Stream by virtue of very strong performance in teaching with at least satisfactory performance in scholarship, in addition to a record of service as described earlier. Generally, the expectations for the quality of scholarship will be the same as that for promotion to Associate Professor in the Tenure Stream, though the expectations for quantity must be moderated to recognize the time and opportunity their appointment provides to pursue scholarship.

Consideration for promotion to Professor
In principle, a tenured Associate Professor may apply in any year for promotion; however, it is unusual for such a promotion to occur prior to five years of full-time service in the rank of Associate Professor. If an application for promotion is unsuccessful, the candidate becomes eligible to reapply two years thereafter.

Promotion to the rank of Professor recognizes a high order of achievement in both scholarship and teaching by tenured Associate Professors, together with satisfactory performance in service. Although evidence of strong teaching performance is required, normally the greatest emphasis is placed on scholarship and achievement within an individual's discipline. However, in exceptional cases, a tenured Associate Professor may be promoted on the basis of an outstanding teaching record accompanied by a continuing and long-standing record of satisfactory or better scholarship and service.

A continuous program of scholarship with positive peer review by nationally and internationally recognized scholars is essential for promotion to Professor. For clinical faculty, the relevant scholars will often be nationally and internationally recognized practitioners in the relevant fields, and may not have academic appointments. The candidate's record is to be judged in comparison with the records of faculty members recently promoted at UW and other universities of comparable standing. Promotion to Professor is not an assured step in the career of a Tenure Stream faculty member, and some will not attain this rank.

Consideration for promotion to Professor, Teaching Stream
In principle, a permanent Associate Professor, Teaching Stream, may apply in any year for promotion; however, it is unusual for such a promotion to occur prior to five years of full-time service in the rank of Associate Professor, Teaching Stream. If an application for promotion is unsuccessful, the candidate becomes eligible to reapply two years thereafter.

Promotion to the rank of Professor, Teaching Stream recognizes a high order of achievement in teaching and educational leadership by permanent Associate Professors, Teaching Stream, together with at least satisfactory performance in service. (Associate Professors, Teaching Stream with service weightings at least 40% must demonstrate at least strong service.)

A continuous record of strong teaching and of impact beyond the classroom via educational leadership activities is essential for promotion to Professor, Teaching Stream. The candidate's record is to be judged in comparison with the records of faculty members recently promoted at UW and other universities of comparable standing. Promotion to Professor, Teaching Stream is not an assured step in the career of a faculty member, and some will not attain this rank.

In exceptional cases, an Associate Professor, Teaching Stream may have a non-zero Scholarship weighting as part of their appointment. In such cases, promotion to Professor, Teaching Stream normally will require a record of high order of achievement in teaching and good performance in scholarship, in addition to a record of service as described earlier. However, a candidate may also qualify for promotion to Professor, Teaching Stream by virtue of outstanding performance in teaching together with long-standing satisfactory performance in scholarship, in addition to a record of service as described earlier.

5. TENURE, PERMANENCE AND PROMOTION COMMITTEES

Department Tenure, Permanence and Promotion Committee (DTPPC)
The DTPPC shall be chaired by the department Chair and shall include four to six tenured or permanent faculty members elected by the tenured, permanent and probationary faculty of the department. The Chair and elected members shall be voting members of the DTPPC. Normally, a majority of the DTPPC’s voting members should be from the tenure stream; a majority of the DTPPC’s voting members should be at the rank of Professor or Professor, Teaching Stream; the DTPPC should include both men and women; and the DTPPC should include at least one member from the Teaching Stream. In addition, the Dean may appoint a non-voting advisor to the DTPPC.

In small departments or where there are too few faculty members at the rank of Professor or Professor, Teaching Stream to constitute a majority on the committee, or where there are insufficient appropriate Teaching Stream faculty members available to serve on the committee, the Dean, after consultation with the department and with the written approval of the Vice-President, Academic & Provost, may make other arrangements respecting the size and composition of the DTPPC. Nevertheless, if Teaching Stream faculty are likely to be evaluated for permanence or promotion, the Dean should strongly consider inviting a Teaching Stream faculty member from a related discipline to join the DTPPC.

In departments that include clinical faculty, when such faculty are likely to be evaluated for tenure or promotion, the DTPPC should include members with the requisite expertise to evaluate the scholarly contributions of the clinical faculty. Where this is not possible, a department, in consultation with the Dean, should strongly consider inviting a faculty member with such expertise from a related discipline to join the DTPPC.

By May 1 each year the Chair shall report the DTPPC membership to the Dean and to the department's tenured, permanent and probationary faculty, and shall invite those who wish to be considered for tenure/permanence or promotion to apply by June 1.

Faculty Tenure, Permanence and Promotion Committee (FTPPC)
The FTPPC shall be chaired by the Faculty Dean and shall include at least five tenured or permanent faculty members broadly representative of Faculty program areas and elected by the tenured, permanent and probationary members of the Faculty. A majority of the FTPPC’s elected members shall be from the tenure stream and a majority shall be at the rank of Professor or Professor, Teaching Stream. The FTPPC should include both men and women and include at least one member from the Teaching Stream. FTPPC members may not serve simultaneously on a DTPPC in the same Faculty.

The Dean and elected members shall be voting members of the FTPPC, and the Vice-President, Academic & Provost shall appoint an additional voting member who shall be a tenured or permanent faculty member from outside the Faculty. The University Tenure, Permanence and Promotion Advisory Committee (UTPPAC) shall appoint a non-voting advisor from amongst its members. The Dean shall report the membership of the FTPPC to the Vice-President, Academic & Provost and to the Faculty's regular faculty.

University Tenure, Permanence and Promotion Committee (UTPPC)
The UTPPC shall be chaired by the Vice-President, Academic & Provost and shall include the Faculty Deans, the Associate Vice-President, Graduate Studies and Postdoctoral Affairs and the Vice-President, University Research and International. In addition, the UTPPC shall include two non-voting student members, one undergraduate and one graduate, appointed by the Vice- President, Academic & Provost in consultation with the President of the Federation of Students and the President of the Graduate Student Association. The UTPPC shall be advisory to the President on individual tenure, permanence and promotion cases, and on the comparability of standards across the University.

University Tenure, Permanence and Promotion Advisory Committee (UTPPAC)
The UTPPAC shall consist of the Chair plus six additional tenured or permanent faculty members jointly appointed by the Vice-President, Academic & Provost and the FAUW President for three-year terms. A majority of the UTPPAC’s appointed members shall be from the tenure stream and at least five shall be at the rank of Professor or Professor, Teaching Stream. Additionally, the committee should include both men and women and should include at least one member from the Teaching Stream. The UTPPAC Chair shall appoint a member of UTPPAC to each FTPPC, with no member serving on the FTPPC in their own Faculty. Otherwise, members of UTPPAC may not serve on any DTPPC or FTPPC.

The UTPPAC is advisory to Senate through the Vice-President, Academic & Provost concerning tenure, permanence and promotion standards, policies and procedures, and may recommend changes to the Vice-President, Academic & Provost. UTPPAC shall report to Senate annually on its activities.

6. TENURE AND PROMOTION PROCEDURES

Application for tenure or promotion to Professor
The candidate shall inform the department Chair in writing by June 1, and shall meet with the Chair to discuss the procedures to be followed.

Candidate's brief
For candidates in the Tenure Stream, by July 1 the candidate shall submit a brief supporting the application for tenure or promotion. The brief must include a curriculum vitae, copies of relevant scholarly work, a summary of the candidate's contributions in scholarship, teaching and service, and any other relevant information the candidate feels may be useful to the DTPPC and FTPPC. The candidate must also submit, by July 1, the names of at least three arms-length external referees who can assess their published work.

For candidates in the Teaching Stream, by July 1 the candidate shall submit a brief supporting an application for permanence or promotion. The brief must include a curriculum vitae, a summary of evidence of the candidate’s contributions in teaching, in service, and in scholarship (where relevant), along with a teaching dossier and other relevant information the candidate feels may be useful to the DTPPC and FTPPC. The candidate must also submit, by July 1, the names of at least three referees, as described in more detail later in this Policy.

The teaching dossier should include the following sections:

• Teaching Responsibilities
• Statement of Teaching Philosophy
• Strategies Used to Teach Effectively
• (Optional) Scholarship
• Educational Leadership (required for promotion to Professor, Teaching Stream)
• Evidence of Teaching Effectiveness
• Goals in Future Teaching along with Appendices

Annual Performance Reviews
The Chair shall provide the DTPPC with copies of all written assessments made of the candidate within the department.

Referees for Tenure Stream candidates
For candidates in the Tenure Stream, external opinions of a candidate's scholarly contributions are sought in all tenure and promotion cases; normally at least three external reviews are obtained. External referees shall be both external to UW and at arms-length from the candidate.

The DTPPC shall consider the candidate's list of referees and normally will suggest additional names. After consulting with the Dean, the Chair shall inform the candidate of the pool of potential referees. The candidate may challenge, in writing to the DTPPC, a potential referee for bias, apprehension of bias, perceived conflict of interest or unsuitability. If the DTPPC and the candidate do not agree on the pool of potential referees, at least half of the referees contacted must be from those approved by the candidate.

Letters soliciting comments from referees shall be sent by the Dean. Referees shall be sent copies of this Policy, and shall be asked to assess the candidate's scholarly work and, if possible, to compare it with the scholarly achievements of others recently tenured at their own institutions or others of similar standing. Informal contacts with potential external referees by the department Chair, DTPPC or FTPPC members, or the candidate are inappropriate.

Referees for Teaching Stream candidates
For candidates in the Teaching Stream, confidential and objective assessments of the candidate’s contribution in teaching are sought in all permanence and promotion cases. Normally at least three such reviews are obtained.

Appropriate expertise to evaluate a candidate in the Teaching Stream will generally require a substantial understanding of the culture of teaching at Waterloo and the opportunities for taking part in teaching activities both inside and outside of formal course-based teaching available to Waterloo faculty members. Where a referee is required for the assessment of educational leadership, this assessment will generally depend less on Waterloo-specific factors, although it will also benefit from an understanding on the referee’s part of the opportunities that are available to faculty members at Waterloo. Since teaching contribution includes both activities that are part of formal course-based teaching and activities outside of formal teaching, as detailed in the University’s Framework for Teaching Effectiveness and Addendum, the expertise required to evaluate a teaching contribution will be somewhat specialized and possibly highly variable. Those who count as appropriate referees will vary depending on the nature of the teaching contribution the candidate has made. For candidates for permanence, at least two of the three referees will come from outside the candidate’s department, though possibly from within their Faculty. For promotion to Professor, Teaching Stream, at least two of the referees must be from outside of the candidate’s Faculty, one of which can be internal to the University and one of which must be external to the University.

The DTPPC shall consider the candidate's list of referees and normally will suggest additional names. After consulting with the Dean, the Chair shall inform the candidate of the pool of potential referees. The candidate may challenge, in writing to the DTPPC, a potential referee for bias, apprehension of bias, perceived conflict of interest or unsuitability. If the DTPPC and the candidate do not agree on the pool of potential referees, at least half of the referees contacted must be from those approved by the candidate.

In the cases of Assistant Professors, Teaching Stream or Associate Professors, Teaching Stream with a non-zero Scholarship weighting, a total of at least four referee letters must be obtained, at least two of which are from qualified external referees who provide an assessment of the candidate’s contributions to Scholarship. If they are qualified and well-placed to do so, these referees may also be asked to assess the candidate's teaching.

Letters soliciting comments from referees shall be sent by the Dean. Referees shall be sent copies of this Policy and links to the University’s Framework for Teaching Effectiveness and Addendum. Since a scholarship weighting greater than zero is unusual, in such cases the Dean will explain the size, duration, and reason for the scholarship weighting to facilitate fair assessment of the candidate’s scholarly contribution by the referee. Informal contacts with potential external referees by the department Chair, DTPPC or FTPPC members, or the candidate are inappropriate.

Tenure, permanence or promotion file
The tenure, permanence, or promotion file for a candidate consists of: all evidence considered by the DTPPC, the FTPPC or the President; the DTPPC assessment of the candidate's performance in teaching, scholarship (where relevant) and service; the outcome of deliberations by the DTPPC, the FTPPC and the President. The file shall also include the numerical record of votes taken, plus any written statements, including reasons, by DTPPC or FTPPC members who do not agree with the majority recommendation. If the file is provided to the candidate, it shall include all internal or external letters of assessment with the names of the authors and other identifying references deleted, unless the authors have expressly consented to being identified.

Conflict of interest
A member of a tenure, permanence and promotion committee who has a conflict of interest in a particular case shall declare the conflict and shall be absent from the portion of committee meetings dealing with that case. In particular, no DTPPC or FTPPC member may attend those portions of meetings at which their own case is being considered (except when appearing as a candidate). If the Committee Chair has a conflict of interest, the committee shall elect another of its members to serve as Chair pro tem during the absence of the Chair.

Challenges
Prior to consideration of a case, a candidate may challenge in writing any member or members of a DTPPC or FTPPC for bias, apprehension of bias or perceived conflict of interest. The committee, excluding the member challenged, shall decide whether the challenge is well-founded. If so, the challenged member shall not attend those portions of committee meetings dealing with the specific case. If the committee decides that a challenge is not well-founded, the challenged member shall participate, but the challenge becomes part of the record for any subsequent consideration or appeal.

Procedures at the Department Level
The DTPPC shall meet to consider all applications from the department for tenure/permanence or promotion. It shall prepare an assessment of each candidate's performance in teaching, scholarship and service for Tenure Stream candidates. It shall prepare an assessment of each candidate’s teaching and service (and, exceptional cases, scholarship) for Teaching Stream candidates. It shall decide whether to recommend tenure/permanence or promotion. The assessment should state clearly, and in detail, the evidence considered, the criteria applied to the evidence, the evaluation of the candidate in each of the relevant areas, and the emphasis placed on each area.

If a candidate's work intersects significantly with work in another academic unit, the Chair will normally ask an appropriate member or members of that unit for comment. The Chair shall forward to the DTPPC any written submissions assessing the candidate's qualifications for tenure/permanence or promotion.

If members of the DTPPC express significant reservations that could result in a negative recommendation, the Chair shall provide the candidate with a complete, suitably anonymized, copy of the tenure, permanence or promotion file, together with a written explanation of the nature of the reservations in sufficient detail to allow the candidate to respond. Within ten working days the candidate shall provide their written response (including any relevant new evidence) to the Chair for distribution to the DTPPC. The candidate may also choose to appear before the DTPPC and may choose to be accompanied by a UW academic colleague. The DTPPC shall not finalize its recommendation until the candidate has been given the opportunity to respond, as described above.

When the DTPPC has completed its deliberations, the Chair shall inform the candidate in writing of the outcome (including the basis for it, if negative), and shall forward the tenure, permanence or promotion file to the Dean for consideration by the FTPPC. When a negative recommendation has gone forward, the Chair shall inform the candidate that the FTPPC will review the case unless the candidate chooses to withdraw it.

Procedures at the Faculty Level
The FTPPC shall consider all positive tenure, permanence and promotion recommendations from a DTPPC to ensure that the DTPPC has acted carefully and appropriately in its deliberations, that its recommendations are sound and that comparable standards are being applied from department to department. Negative DTPPC recommendations will also be reviewed unless the candidate has chosen to withdraw their case.

The FTPPC shall base its deliberations primarily on the report forwarded by the DTPPC. The DTPPC Chair (or delegate) normally will present the DTPPC recommendations to the FTPPC and will be available to answer questions, but shall not otherwise participate in the proceedings. In exceptional circumstances, the FTPPC may decide to contact additional referees; if such additional referees were not in the original pool of potential referees developed by the DTPPC, the candidate's right to challenge must be respected, as specified above.

If members of the FTPPC express significant reservations that could result in a negative recommendation, the Dean shall provide the candidate with a complete, suitably anonymized copy of the tenure, permanence or promotion file, together with a written explanation of the nature of the reservations in sufficient detail to allow the candidate to respond. Within ten working days the candidate shall provide their written response (including any relevant new evidence) to the Dean for distribution to the FTPPC. The candidate may also choose to appear before the FTPPC and may choose to be accompanied by a UW academic colleague. The FTPPC shall not finalize its recommendation until the candidate has been given the opportunity to respond, as described above.

When the FTPPC has completed its deliberations, the Dean shall inform the candidate in writing of the outcome (including the basis for it, if negative). For positive recommendations, the Dean shall forward the tenure, permanence or promotion file to the President. Negative promotion recommendations by both the DTPPC and FTPPC shall result in the promotion file being closed for that particular year. Otherwise, negative FTPPC recommendations will be forwarded to the President unless the candidate chooses to withdraw the case.

The President
The President shall consider all tenure, permanence, or promotion recommendations forwarded by the FTPPC, together with the advice of the UTPPC.

If the President decides in favour of promotion, they shall inform the candidate and report the promotion to Senate and the Board of Governors for information. If the President supports the granting of tenure or permanence, they shall inform the candidate, recommend approval to the Board of Governors, and subsequently report the granting of tenure or permanence to Senate for information.

If the President decides against tenure, permanence or promotion, they shall inform the candidate in writing with reasons. In the event of a negative tenure, permanence or promotion decision, the candidate's appointment shall be extended as necessary to provide 12 months' notice from the date the candidate is informed.

7. TENURE, PERMANENCE AND PROMOTION APPEALS

A negative tenure, permanence or promotion decision by the President may be appealed. Within ten working days of being informed of the negative decision, the candidate must submit written notice of intent to appeal to the UTPPAC Chair, who shall establish a three-person Tribunal to hear the appeal.

Members of the Tribunal normally shall be or shall have been Associate Professors or Professors at the University of Waterloo in the candidate's discipline or a related discipline. For cases involving Teaching Stream faculty members, Associate Professors, Teaching Stream or Professors, Teaching Stream in the candidate’s discipline or a related discipline are also appropriate. They shall not have had any prior connection with the particular tenure, permanence or promotion consideration nor have had a close professional or personal relationship with the candidate.

The candidate and the President shall each propose at least three possible Tribunal members in accordance with the above criteria, and shall be given the opportunity to challenge in writing the names proposed by the other party with respect to the criteria or for bias, apprehension of bias or perceived conflict of interest. The UTPPAC Chair normally shall appoint the three Tribunal members from the names proposed, including at least one member proposed by each of the parties, and shall name one of the members as the Tribunal Chair.

If the UTPPAC Chair judges that it is not possible to establish an internal Tribunal meeting with the above requirements, one or more of the three Tribunal members may be external to the University of Waterloo. External members shall be or shall have been tenured Associate Professors or Professors at another Canadian university in the candidate's discipline or a closely related discipline. In cases involving Teaching Stream faculty members, Associate Professors Teaching Stream, Professors, Teaching Stream, or those holding equivalent ranks at another Canadian University may also be appropriate candidates. They shall not have had any prior connection with the particular tenure, permanence or promotion consideration nor have had a close professional or personal relationship with the candidate. The candidate and the President shall be given the opportunity to propose external Tribunal members and to challenge in writing external members proposed by the other party or by the UTPPAC Chair.

The Tribunal shall conduct its proceedings in accordance with the principles of natural justice. The Tribunal shall be provided with the complete tenure, permanence or promotion file, and shall schedule a hearing at which the parties may present arguments and submissions, and may call, examine and question witnesses. The candidate is entitled to be accompanied by a UW colleague. The burden of proof shall be on the candidate to demonstrate that the criteria for tenure, permanence, or promotion have been met.

The Tribunal shall decide by majority vote on the basis of the evidence submitted to it whether the criteria for tenure, permanence or promotion have been met. The Tribunal Chair shall forward a written decision, with reasons, to the candidate and the President, with copies to the UTPPAC Chair and the FAUW President. The decision of the Tribunal is final and binding on the candidate and the University, except that an alleged failure of the Tribunal to comply with the above procedures may be grieved under the grievance and arbitration provisions of the Memorandum of Agreement between the Faculty Association and the University.