Chapter 3 — Section 2
Chapter 3 — Section 2- 2.0 Type of reviews
- 2.1 Mandatory reviews
- 2.1.1 Extension of the tenure clock
- 2.1.2 Birth of a child or adoption of a child
- 2.1.3 Adverse events and unpaid leaves of absence
- 2.1.4 COVID-19
- 2.1.5 Part-time faculty
- 2.2 Nonmandatory reviews
- 2.2.1 Requesting a nonmandatory review
2.0 Types of reviews
2.1 Mandatory reviews
Mandatory reviews for probationary tenure track faculty include annual reviews, fourth-year reviews, and sixth-year reviews. For clinical/teaching/practice and research faculty, the probationary reappointment in the penultimate year is mandatory.
In accordance with Faculty Rule 3335-6-09, for probationary tenure track faculty with substantial clinical service responsibilities in the College of Medicine, the following exceptions exist:
- The maximum probationary period for assistant professors is 11 years (rather than six years) with mandatory review for promotion and tenure in the 11th year.
- The maximum probationary period for associate professors hired without tenure is six years (rather than four) with mandatory review for tenure in the final year of the probationary period approved for a particular faculty member in the letter of offer.
- Promotion to the rank of associate professor without the simultaneous award of tenure may take place subject to the existence of OAA-approved criteria for this action at both the unit and college level. Faculty who are promoted without the award of tenure must be considered for tenure no later than the mandatory review date or six years following promotion, whichever comes first.
2.1.1 Extension of tenure clock
Faculty Rule 3335-6-03(D) sets forth the conditions under which a probationary tenure-track faculty member may extend the probationary period, also referred to as “exclusion of time from the probationary period”. Under this rule, the maximum time that may be excluded from the probationary period is three years of service, except in extraordinary circumstances.
As stated in Faculty Rule 3335-6-03, an extension of the tenure clock (exclusion of time) from the probationary period in no way limits the right of the university to terminate a probationary appointment prior to the time of the mandatory review for promotion and tenure, should circumstances warrant such action.
An extension of the tenure clock (exclusion of time) results in a revised mandatory review year for promotion and tenure. A faculty member who has had time excluded from the probationary period may undergo promotion and tenure review prior to the revised mandatory review year, should the unit faculty judge such a review to be appropriate. Such action is at the discretion of the unit faculty, not the probationary faculty member.
A negative decision resulting from a promotion and tenure review occurring prior to the revised mandatory review year (i.e., a nonmandatory review) will not result in nonrenewal of the probationary appointment. The faculty member still has the option of undergoing promotion and tenure review in the revised mandatory review year.
Requests are to be made on the relevant form (see sections 2.1.2 through 2.1.4 for links to the forms) with supplemental information where relevant. The completed materials are to be submitted via DocuSign to the vice provost for academic policy and faculty resources. With the exception of the COVID-19 extension, all requests must be made within one year of the relevant event. In all cases, requests are to be made by April 1 of the mandatory review year (i.e., April 1, 2025 for a review occurring in Autumn 2025).
Annually, every unit should remind its continuing probationary faculty of this rule. A faculty member remains on duty regardless of extensions to the probationary period, and annual reviews are conducted in every probationary year regardless of time extended.
The Notification of Birth or Adoption of Child Form (Form 111) is used to inform the university that a probationary tenure-track faculty member has had or adopted a child while employed at Ohio State so that their tenure clock may be extended by one year. Candidates may inform their TIU head, dean, or OAA in writing of the birth or adoption.
2.1.3 Adverse events and unpaid leaves of absence
The Request for Exclusion of Service Time from Tenure Probationary Period Form (Form 112) is used to request to exclude time for an unpaid leave of absence, or factors beyond the faculty member’s control that hinder the performance of the duties associated with being a successful faculty member (see Faculty Rule 3335-6-03(D)(1)(b)). In addition to the form, the following items are required:
- TIU eligible faculty committee review;
- documentation of the adverse event leading to the request including, if not self-evident, why the adverse event was beyond the faculty member’s control, and how it interfered with productivity; and
- documentation of the faculty member’s productivity to date (usually a CV).
The adverse event providing the basis for the request must be clearly beyond the experience of most probationary faculty. For example, most faculty who conduct laboratory-based research must purchase equipment, obtain various kinds of approvals (drug licenses or animal research protocols), and obtain funding before they can begin their research. To the extent that such delays are normal, they do not constitute a basis for an extension of the tenure clock (exclusion of time) from the probationary period.
Form 112 is also used to request exclusion of time because of personal illness or care of a seriously ill or injured person (see Faculty Rule 3335-6-03(D)(1)(b)). In addition to the form, the following items are required:
- TIU head review;
- Documentation deemed necessary by Ohio State’s Office of Human Resources and the TIU head;
2.1.4 COVID 19
Probationary tenure-track faculty who were in their probationary period during Spring 2020, Summer 2020, Autumn 2020, or Spring 2021 may use the Automatic Notification of Extension of Tenure Clock due to COVID-19 form (Form 116) to request a one-year extension of the tenure clock (exclusion of time) from their probationary period. This request will be automatically approved by their TIU head, dean, and OAA.
Faculty who have not yet completed their Fourth-year review may:
- Continue with their mandatory Fourth-year review in the originally scheduled year and move their mandatory tenure review by one year; or
- Move both their mandatory Fourth-year review and their mandatory tenure review by one year.
Faculty who choose one of the options above, but later decide that they do not need the additional year in their probationary period, may request a nonmandatory promotion and tenure review following the procedures outlined in each unit’s Appointments, Promotion, and Tenure document. Once a Fourth-year review has been moved (option 2 above), it cannot be moved back. However, a Fourth-year review and a nonmandatory promotion and tenure review can occur simultaneously.
Probationary tenure-track faculty whose appointment is less than full-time (but 50% FTE or greater) may request an extension of the tenure clock (exclusion of time) from the probationary period in accordance with Faculty Rule 3335-6-03 (D)(1)(c). The exclusion shall be for an integral number of years based on the principle that the usual probationary period represents full-time service. The maximum permissible exclusion under this paragraph is one year for a probationary instructor, three years for a probationary assistant professor (including time spent at the rank of instructor), and two years for a probationary associate professor or professor.
OAA policy does not approve exclusions in advance. During the second year of a faculty member’s reduced appointment, OAA will approve an exclusion of one year, for example, in recognition of two years of service at 50% FTE. At the appropriate time, the TIU head forwards a letter via DocuSign requesting approval of the exclusion to the dean and then OAA.
The TIU head’s letter to the dean should state all relevant information (the amount of the reduction, when it will take effect, and whether it is permanent or temporary). For probationary tenure-track faculty, the letter should include a projected revision of the review schedule and projected year in which the adjusted “Fourth-Year” review would fall, if the Fourth-Year Review has not already occurred.
For additional information on reduction of FTE, see the Faculty Appointments Policy.
2.2 Nonmandatory reviews
Nonmadatoru reviews are all reviews that are not required to occur on a particular timeline. Examples include nonmandatory promotion and nonmandatory promotion and tenure reviews.
2.1.1 Requesting a nonmandatory review
Faculty Rule 3335-6-04(3) indicates that a faculty member may request a nonmandatory review at any time and that the tenure initiating unit may deny a nonmandatory review. A probationary faculty member may be denied a nonmandatory review every year up to the mandatory review year. A non-probationary faculty member may be denied a nonmandatory review only once. If the review is allowed and the outcome is negative, the tenured faculty member continues at the rank they held at the start of the review.
Once a request has been made by the faculty member, the tenure initiating unit is to follow the process detailed in the unit’s APT document. If a formal review is denied, it is best practice to provide the candidate with written feedback identifying the reason for the denial and areas for improvement. It is reasonable and appropriate for a unit to deny a formal nonmandatory review if the candidate has not collected and/or maintained the documentation necessary to support a fully informed evaluation.