Appraisals of Probationary Faculty

Appraisals of Probationary Faculty

Questions concerning annual appraisals of probationary faculty should be directed to the Office of Faculty and Academic Affairs.

Appraisals of Probationary Faculty
Submission Date – 9 March 2018

Submission Instructions

Appraisals of probationary faculty are recorded on Form UM 12 - Appraisal of Probationary Faculty (pdf). This year's appraisals cover spring semester 2017, summer 2017 (when applicable), and fall semester 2017 (or fall semester 2017 only for new tenure-track appointees).

  • Continue Appointment. Appraisals of probationary faculty that include a recommendation to continue a probationary appointment are due in the Office of Faculty and Academic Affairs no later than Friday, 9 March 2018. Please upload signed, electronic copies of completed Form UM 12 - Appraisal of Probationary Faculty along with the unit head's written review of the probationary faculty member's progress towards satisfying the criteria for tenure to your unit's folder in the "Appraisals of Probationary Faculty" folder on the CLA Projects Drive (network drive P:).

All documents submitted to the CLA Projects Drive should adhere to the following naming conventions:

  • UNIT_Last Name, First Initial_Form 12_FY2018_YYYY-MM-DD (e.g., CLAA_Doe, J_Form 12_FY2018_2018-03-01)
  • Terminate Appointment. Appraisals that include a recommendation to terminate an appointment during the probationary period are subject to second-level review by the CLA Promotion and Tenure Review Committee. Please contact the Office of Faculty and Academic Affairs immediately if you anticipate a recommendation to terminate an appointment during the probationary period.

Governing Documents

Under the Regents Policy on Faculty Tenure, "the tenured faculty of each academic unit annually reviews the progress of each probationary faculty member toward satisfaction of the criteria for receiving tenure. The head of the unit prepares a written summary of that review and discusses the candidate's progress with candidate, giving a copy of the report to the candidate" (Faculty Tenure, Section 7. Personnel Decisions Concerning Probationary Faculty).

Appraisals of probationary faculty are conducted in accordance with the University’s Procedures for Reviewing Candidates for Tenure and/or Promotion: Tenure-Track and Tenured Faculty, specifically Section II.E. Annual review during the probationary period.

In CLA, the appraisals of probationary faculty may be coordinated with the annual review of faculty performance.

Elements of Appraisal Process

Procedures, Section II.E. Annual review during the probationary period

The process of reviewing a candidate's progress is continuous. It is intended to be encouraging and nurturing, although it is necessarily evaluative. Especially in the early years of the probationary period, the annual review of progress towards tenure is intended to point out to the candidate his or her strengths and weaknesses, so that the strengths can be built upon and the weaknesses remedied. Three elements are essential to this process: information gathering, deliberation, and consultation with the candidate. The review is always to be conducted in accordance with the unit statement required by subsection 7.12 of Faculty Tenure. (Procedures, Section II.E. Annual review during the probationary period).

Information Gathering 
Procedures, Section II.E.2. Collecting information on the candidate's performance

The unit head has the responsibility to ensure that the unit gathers data annually about the candidate's performance on all relevant criteria and must make the assembled file available to the candidate for his or her review. These functions must be performed by the unit head or by a designated member or committee of the tenured faculty and may not be delegated to staff or students, although they may play appropriate supporting roles. The unit head and the candidate must work together to ensure the accuracy and completeness of the assembled file.

As per the CLA Peer Review of Teaching guidelines:

  • In the case of tenure-track probationary faculty, peer reviews of teaching should be conducted annually in order to ensure that the faculty member has received feedback on her/his syllabi, assignments, teaching, student performance, and professional development during the probationary years.

Procedures, Section II.E.3. Annual review by the tenured faculty; effect of extension of the probationary period under subsection 5.5 of Faculty Tenure

The tenured faculty members of the unit must review the progress of each probationary faculty member towards tenure annually, either at the annual meeting to vote on tenure and/or promotion or at a separate meeting of only the tenured faculty. An annual review is required every year even if the probationary faculty member has extended the probationary period pursuant to subsection 5.5 of Faculty Tenure.

Consultation with Candidate
Procedures, II.E.4. Annual conference with the candidate

Following the annual review of the probationary faculty member by the tenured faculty of the unit, the unit head must discuss with the candidate his or her progress toward achieving tenure. The unit head also reports to the candidate the sense of the meeting of the tenured faculty, and any recommendations made by it. It is important that this conversation be candid and that the candidate be clearly told if there are areas in which performance needs to be improved. The candidate must be given a copy of the annual Appraisal of Probationary Faculty report (UM Form 12), which must reflect the major elements of this conversation, as well as a written summary of any additional matters discussed.

Joint Appointments

For probationary faculty with joint appointments or with shared teaching responsibilities in more than one department or program, please refer to CLA's guidelines on Joint Appointments - Tenured & Tenure-Track Faculty for current information on the allocation and evaluation of the teaching, research, and service. Units must adhere to the terms and conditions of any memorandum of understanding concerning how probationary faculty to be evaluated.

Extension of Probationary Period

Except as otherwise specified in subsection 5.5 of Faculty Tenure, an extension of the probationary period may be granted only upon approval of the senior vice president for academic affairs and provost.

Under subsection 5.5 of Faculty Tenure, a probationary faculty member may extend his or her probationary period for one year at a time for: 1) the birth, adoption, or foster placement of a child, 2) for caregiver responsibilities, or 3) for personal illness or injury.

Word docs are also available with the pdf in the Forms Library if an alternate file format is needed.

Effective Academic Year 2017/18