Mid-Probationary (Third-Year) Review

Purpose

The third-year or "mid-probationary" review typically occurs in the Spring semester of a tenure-track faculty member's third year in probationary status. [See also Extensions of the Probationary Period.] The third-year review is conducted by the department--or departments--and should consist of a full review of the faculty member's research, teaching, service, and overall progress toward tenure and promotion. The responsibility for overseeing the third-year review rests with the faculty governing body (Budget Council or Executive Committee) and Chair.

The purpose of this article is to provide COLA staff with college-specific procedures for this review, as well as to share the related policy information and any resources.

Relevant Definitions

Tenure-track: In COLA, tenure-track faculty almost exclusively hold the faculty rank "Assistant Professor." New tenure-track faculty who have not received their Ph.D. before their start date are occasionally hired into the Instructor title, which is also tenure-track.

• Instructors who are able to complete their Ph.D. within their first year of tenure-track employment at UT can be 'promoted' to the rank of Assistant Professor effective their second year.
  • After the second year of service, a department must send any recommendation to terminate a tenure-track faculty member through the promotion review process (unless a faculty member is being dismissed for cause). If the final decision of the president is to terminate, the individual will be given a terminal year. Note that under this scenario the faculty member would serve a total of four years in a probationary status and could request reconsideration in the terminal year.
  • See also Notice of Non-Renewal to Non-Tenured Faculty Members (Regents Rule 31002)
• Per Regents Rule 31002: For those in the first year of probationary service, notice must be given by March 1 of the first year that the appointment will not be renewed the following year. For those in the second year of probationary service, notice must be given by December 15 of the second year. Departments should submit a request to send a notice of non-renewal within the first two years to the dean and the provost for approval.
• Some colleges hire tenure-track Associate Professors or Professors, but COLA does not.

Probationary Status: Tenure-track faculty are considered to be in a probationary status as they have not yet earned a continual faculty appointment (a.k.a., tenure) but have the opportunity to work toward earning tenured employment. (See also Extensions of the Probationary Period.)

COLA: COLA HR Team; specifically Ann Kelble

Process:

Due Date: April 15

1. The Dean's Office will typically reach out to departments in the early Spring semester (~February) to ask about expected faculty reviews for the upcoming academic year. Specifically, COLA will ask whether the department expects to have anyone undergoing promotion and tenure review (P&T), post-tenure review (CPR), or third-year review (TYR) in the upcoming year. 
   1. This is an opportunity for the department and college to align their faculty records.
2. Assistant Professors in their second year of probationary status are expected to be reviewed in their third year and should be notified of this upcoming review prior to March 31 of the second year. (Per Step 1, COLA and Department touch base, then once verified, department ought to notify all of the affected faculty members.)
   1. E.g., Dr. Zhivago is hired in August 2021 as an Assistant Professor. Would expect that department would notify them by March 31, 2023 (in second year, FY22-23) that they will be reviewed in FY23-24 (third year). 
   2. COLA will notify the Provost Office which faculty will be undergoing reviews in the upcoming academic year by the established deadline (usually late Spring semester).
   3. If circumstances occur that change the preferred timing of the third-year review, the Department Chair and/or Dept. Manager shall contact COLA (Ann Kelble) to notify them of the change in timing – ideally with as much advance notice as possible (thank you!).
      1. E.g., If a faculty member receives approval for an extension of their probationary period (EPP), this will not automatically alter the timing of their third-year review. However, departments can ask that the TYR be delayed one year due to the EPP. We just need this to be stated in writing (email) so as to have a record clarifying why the timing changed.
3. Because the third-year review is largely a department process, the college does not specify how the process itself is carried out. Departments are expected to establish consistent practices for these reviews, including, at a minimum:
   1. What materials* are required to be submitted by faculty member for the review.
   2. What materials* will be provided/assembled by the department for the review.
   3. One or more peer teaching observations (with accompanying reports, to be kept on file by department).
   4. Internal timeline for review:
      1. When does Assistant Professor need to turn in materials?
      2. When will review take place?
      3. When will the results be communicated?
   5. Who will conduct the review? Is it a special committee? The governing body?
   6. Wouldn't hurt to communicate general purpose for the review, the department's approach, what to expect, etc.
4. COLA will send a Summary of CIS Report and the Report on Graduate Committees (if/when applicable) to the department to accompany the other review materials – usually in November? (Send COLA HR an email if you haven't received.)
5. Once the review has been completed, the evaluating body (BC/EC with Chair) shall produce a short written report summarizing the review and findings.
   1. The review ought to indicate whether the Assistant is making satisfactory or unsatisfactory progress towards tenure and promotion.
   2. More important than a rating: helpful guidance and/or feedback about the individual's strengths as well as areas of improvement needed to be successfully promoted.
6. Generally, the department chair will schedule a meeting with the Assistant Professor to discuss the written report and to provide feedback on the Assistant's overall performance and trajectory.
7. A copy of the finished report should be given to the Assistant Professor, a copy should be kept on file in the department, and a copy (plus current CV) shall be uploaded for the College's records on/before April 15.
8. COLA will share completed third-year review reports with the Dean for their review.
9. Note: The Assistant Professor has the right to respond in writing to their written report and to have the response kept on file, along with the review. Please refer to the Provost site for additional details regarding CCAFR oversight and overall policy.

*Materials usually consist of, but are not limited to: CV; faculty activity reports; copies of publications or other evidence of scholarly activity; information on academic advising, service, or honors; a research statement; and any other documentation that the Assistant Professor wishes to include. The department will add peer teaching evaluations and course-instructor survey results to these materials before submitting to the evaluating body.

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Related Policies:

HOP 2-2010: Academic Titles and Tenure 

HOP 2-2020: Extensions of the Tenure-Track Probationary Period

HOP 2-2060: Recommendations Regarding Faculty Compensation, Faculty Promotion, Tenure, Renewal of Appointment, or Nonrenewal of Appointment

Regents Rule 31002: Notice of Nonrenewal to Nontenured Faculty Members

Other Related Links:

Provost Office (Faculty Affairs) Site on Mid-Probationary Review 

Extensions of the Tenure-Track Probationary Period

Promotion and Tenure Review