Part 3

Part 3

Article 31 — Appointments, Reappointments, Promotion and Tenure Committees

 

31.1 Each Department must, by April 30 of each year, hold a meeting of its Faculty Members who hold regular academic appointments to select one of the following structures for making departmental recommendations on appointments, reappointments, promotions or tenure for the following Academic Year.

Departmental Committee Structures

31.2 A Department may choose a different structure for considering each of the following:

31.2.1 appointments;

31.2.2 reappointments;

31.2.3 tenure;

31.2.4 promotions to the rank of Associate Professor;

31.2.5 promotions to the rank of Professor;

31.2.6 promotions to the rank of Associate Teaching Professor; and

31.2.7 promotions to the rank of Teaching Professor.

31.3 Departmental committees must be structured in accordance with the following rules:

31.3.1 For cases in which tenure will be granted if the candidate is successful, only tenured Faculty Members may serve;

31.3.2 Except where the committee is considering joint appointments, Faculty Members holding regular academic appointments and elected by the Department must form the majority of the voting members of the committee;

31.3.3 The committee may have such additional members as the Department considers advisable and as are approved by the Dean; and

31.3.4 The Department may add non-voting members to the committee, as they consider appropriate in the circumstances.

31.4 Every Department must develop and approve procedures for the Appointments Committee of the unit. The Department may amend the procedures from time to time. The procedures (or any amendments to them) must be approved by the Dean of the Faculty and must contain provisions:

31.4.1 ensuring that the committee will be of a reasonable size;

31.4.2 governing voting procedures of the committee, including provisions to ensure that only those who have participated sufficiently in the interview and discussion processes can vote in the selection of the successful applicant;

31.4.3 setting reasonable rules for confidentiality of the committee’s procedures; and

31.4.4 outlining processes to ensure broad consultation within the Department.

31.5 Sections 32-42 inclusive do not apply to appointments processes, but only to reappointment, promotion and tenure.

31.6 In the case of a joint appointment (whether the appointment is shared by Departments in the same Faculty or in different Faculties or by a Department and a non-departmentalized Faculty), the composition of the committee will be determined by the Department that is or will be responsible for the reappointment, promotion, tenure and salary recommendation for the joint appointment but:

31.6.1 in addition to complying with section 31.4 the committee must include Faculty Members holding regular academic appointments elected from and by each Department to which the Faculty Member is or will be appointed and they must, together, form a majority of the committee; and

31.6.2 the number of Faculty Members from each Department should reflect the proportionate share of the joint appointment that each has.

31.7 In structuring any committee, the Department may decide to select its Faculty representatives to represent all ranks in the Department or may decide to require Faculty Members on the committee to be of a rank higher than that of the candidate to be evaluated or may adopt any other reasonable limit or requirement for membership that the Department decides.

Membership of Departmental Committee

31.8 A committee established under this section must have a minimum of three Faculty Members.

31.9 A Department Chair will appoint an elected alternate or, if no alternates have been elected, a Department may elect a replacement Faculty Member to serve on a committee when a regular Member is unable to serve.

31.10 A Faculty Member who is on leave is not eligible to serve as a Member of a committee under this section other than in exceptional circumstances and with the approval of the Dean.

31.11 The Chair of the Department is the chair of the departmental committee unless they are unable to serve as the chair in which case the committee will select another Member of the committee as its chair. The chair is a voting Member of the committee. The Dean of a Faculty without Departments is not eligible to chair the Faculty’s committee.

31.12 A Faculty Member who is a candidate for reappointment, tenure or promotion may, in accordance with section 31.13, question the composition of a committee on the grounds that:

31.12.1 a committee member has a conflict of interest, or the candidate has a reasonable apprehension that the committee member is biased against the candidate; or

31.12.2 the membership of the committee does not include a person who is knowledgeable with regard to either the candidate’ s methods or field of research, or the candidate’ s teaching methods.

31.13 A question under section 31.12 must be provided to the Dean in writing and must be made within ten working days after the Faculty Member has been advised of the composition of the committee, or of a change in the composition of the committee. If a Faculty Member does not raise a question regarding the composition of the committee within the time specified in this paragraph, the Dean may refuse to consider the question, and any later decision-maker may refuse to consider the composition of the committee on the grounds that the question was not raised in a timely fashion.

31.14 The Dean will determine within five working days whether a question raised by the Faculty Member under this section should result in a change to the composition of the committee after receiving submissions from the candidate, the Chair of the Department and, when applicable, any person whose membership on the committee has been questioned. While the Dean is considering the matter, the committee will not undertake any discussion of the candidate.

31.15 Where the Dean agrees that the composition of the committee should be changed under section 31.14, the Dean will direct the Department to replace the Faculty Member as allowed within the alternate committee structures provided by sections 31.2 and 31.3.

31.16 Where the Dean agrees that the composition of the committee needs augmentation under section 31.12, the Dean will direct the Department to add a member to the committee who is knowledgeable with regard to either the candidate’ s methods or field of research or the candidate’s teaching methods.

31.17 When an Academic Administrator will not be appointed to a Department, the Line Authority will form an appointments committee of which Faculty Members holding regular academic appointments will form the majority to provide advice on the appointment.

 

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Article 32 — Procedures for Candidates

 

32.1 By April 15 of the year preceding the academic year in which a Faculty Member must be considered for reappointment or tenure, the Chair of the Faculty Member’s Department must notify the Faculty Member of the documentation that the Faculty Member will be expected to submit and in the case of tenure that the Faculty Member is required to nominate referees by May 15 in accordance with section 33.5.

32.2 By April 15 of the year preceding the academic year in which a Faculty Member intends to apply for tenure or promotion, a Faculty Member must so notify the Chair of the Department in writing.

32.3 By May 15, a Faculty Member who must be considered for tenure in the next academic year or who intends to apply for tenure or promotion in the next academic year must nominate a minimum of six referees.

32.4 By June 1, following the nomination of the referees, the Faculty Member must select a minimum of two nominees from the committee’s list of nominees established under section 33.5 and notify the Chair in writing of this selection.

32.5 By June 15, a candidate may at the candidate’s discretion submit to the chair of the committee copies of or citations to scholarly or creative works that the candidate wishes to be made available to the referees prior to the date for distribution of materials as outlined in section 33.14. Subject to section 33.16, the chair of the committee will forward these works to a referee as soon as the referee agrees to serve.

32.6 By September 1, a Faculty Member who will be considered for reappointment, tenure or promotion conferring tenure (and by October 1, in the case of promotion only), must submit the following documentation to the Chair of the Department (with the exception of Assistant Teaching Professor’s third and subsequent reappointment under the provisions of the Memorandum of Understanding on transitional issues for Assistant Teaching Professors attached as Appendix L):

32.6.1 a curriculum vitae;

32.6.2 a teaching dossier;

32.6.3 copies of or citations to the scholarly or creative works that the candidate wants the committee and referees to consider (this must include but is not limited to those works provided under section 32.5);

32.6.4 a summary of the candidate’s major achievements during the period under review which at the option of the candidate may include a statement of any special circumstances during the period under review which may have affected the candidate’s achievements during the period under review; and

32.6.5 copies of other documents that the candidate wants the committee to consider.

32.7 A committee may not require a candidate to submit any material not in the candidate’s Official Performance File. The Faculty may establish guidelines for the organization of that material and for requiring the candidate to submit a summary of any part of the material to be submitted.

 

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Article 33 — Referees

 

33.1 Letters of reference are used primarily to gain an external assessment of the scholarly achievements of candidates for promotion and tenure; however, they may also be relevant to the assessment of teaching effectiveness, professional achievement, and other criteria.

33.2 A minimum of three letters of reference is required for all applications for tenure and promotion. A Faculty may by resolution specify a higher minimum for some or all types of applications.

33.3 All referees who are requested to submit a letter of reference in support of an application for tenure or promotion must be established scholars or artists within the candidate’s academic discipline or profession, or within a related discipline. Referees who have a demonstrated record of excellence in scholarship related to teaching or curriculum development may also be nominated in appropriate cases. One or more referees whose familiarity with the candidate’s work does not arise through extensive prior contact with the candidate should be included.

33.4 Unless the Dean of the Faculty has granted approval, a referee must not hold an academic appointment at the University; have been the supervisor of the candidate’s PhD or equivalent academic degree or the supervisor of the candidate’s post-doctorate program; or be a co-author of any of the candidate’s publications or a co-investigator on any of the candidate’s research projects where the work will form a significant portion of the candidate’s work that will be reviewed by the referee.

33.5 Where a Faculty Member must be considered for tenure in the next academic year, or a Faculty Member intends to apply for tenure or promotion in the next academic year, the candidate and the departmental committee must each nominate a minimum of six referees and simultaneously exchange their lists by not later than May 15.

33.6 The candidate may challenge the inclusion of referees on the committee’s list on the basis of conflict of interest, or apprehension of bias; or on the basis that the nominee is not qualified to assess the scholarly achievements of the candidate.

33.7 The committee may challenge the inclusion of referees on the candidate’s list on the basis of conflict of interest, or apprehension of bias; or on the basis that the nominee is not qualified to assess the scholarly achievements of the candidate.

33.8 Where a challenge to the inclusion of a referee has been made and the nominator refuses to nominate a substitute, the challenger must state the grounds of the challenge in writing and request the Dean to determine the legitimacy of the challenge.

Selection of Referees and Disclosure

33.9 By June 1 following the nomination of the referees, the candidate must select a minimum of two nominees from the Committee’s list of nominees and notify the Chair of the Committee in writing of this selection. A Faculty may by resolution specify a higher minimum for some or all types of applications.

33.10 After the Committee has received the candidate’s written notice under section 33.9 and before June 15, the committee must select a minimum of two nominees from the candidate’s list of nominees and notify the candidate in writing of this selection. A Faculty may by resolution specify a higher minimum for some or all types of applications.

33.11 Consideration of the candidate does not include the selection of the referees.

33.12 The candidate will disclose any previous or current relationship between the candidate and a person nominated as a referee including being a co-author or co-investigator. The candidate will provide a written statement of the extent of the relationship and the reason why each such referee the candidate nominates or intends to select should be used.

Invitation to Referees to Serve and Material Sent to Referees

33.13 Where a nominee who is invited to serve as referee either declines the invitation or does not by August 31 signify her or his willingness to serve as a referee, a replacement will be selected from the same list from which the initial nominee was selected. The refusal of a person to serve as a referee must not be construed as a negative assessment of the candidate’s scholarly achievements or teaching effectiveness.

33.14 By September 15 in the case of tenure (or promotion that will confer tenure), and by October 15 in the case of promotion, the chair of the committee will send to the referees who have signified their willingness to serve as a referee the information provided by the candidate as specified in section 32.6 (except the candidate’s teaching dossier), a statement of whether the candidate is seeking tenure or promotion or both and a copy of the applicable criteria and any relevant standards for the aspect or aspects of the decision on which the referee is asked to advise.

33.15 In cases where teaching performance is put forward by the candidate as the primary consideration, a copy of the candidate’s teaching dossier and any other relevant evidence of teaching performance will also be sent to appropriate referees.

33.16 Where the candidate and the chair of the committee cannot agree on the scholarly or creative work or the evidence of teaching performance that the referees will be requested to review, the referees will be sent copies of or citations to the scholarly or creative work and evidence of the candidate’s teaching performance that have been selected by both the candidate and by the chair of the committee.

 

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Article 34 — Information Considered

 

34.1 Where an application has been received, the Chair of the Department will provide the candidate with a list of all documents other than those referred to in the candidate’s dossier that will be submitted to the committee for consideration in relation to the candidate’s application. The list will include annual performance reviews and any responses to them under section 20. This list must be provided to the candidate at least ten (10) days prior to a meeting at which the candidate’s application will be considered.

34.2 If, subsequent to the delivery of the list of documents to the candidate, additional documents are identified that will be considered by the committee in relation to the candidate’s application, an addendum to the list of documents together with a copy of any additional documents must be provided to the candidate not less than ten (10) days prior to the meeting of the committee at which the additional documents will be considered.

34.3 If requested by a candidate, the Chair of the Department will provide the candidate with a copy of any document on the Department’s list of documents other than a document referred to in the candidate’s dossier within three working days of the candidate’s request. Where the request is for a confidential letter of reference or evaluation report, the candidate will be provided with a copy of the letter in a form that does not identify the author. If this is not possible, a summary should be prepared in a manner that is unlikely to disclose the identity of the author. Where the author agreed that the letter or report may be made available to the candidate and attributed to the author, the full letter or report may be provided to the candidate.

34.4 The committee cannot consider letters, documents or information with regard to any complaint that has been determined not to require investigation or that has not been investigated.

34.5 A candidate may submit a written response to the complete list of documents by delivering the response to the chair not later than five days after receiving the list of documents to be considered by the committee. Where an additional document is delivered to the candidate under section 34.2, the candidate will have at least three working days in which to prepare and deliver a written response to the committee prior to the committee’s consideration of the candidate. The chair will provide a copy of the candidate’s written response to each member of the committee prior to the meeting to consider the candidate’s application.

34.6 A candidate is entitled to make an oral presentation to the committee if the candidate gives written notice to the chair not later than five days after receiving the list of documents to be considered by the committee. Where an additional document is delivered to the candidate under section 34.2, the candidate will have at least ten days in which to give notice to the chair of the committee that the candidate is exercising their right to make an oral submission to the committee.

34.7 The committee may invite a candidate to meet with the committee.

34.8 A candidate may be assisted in making their oral presentation at a meeting with the committee by another Member chosen by the candidate.

 

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Article 35 — Voting

 

35.1 The committee will determine its recommendation with regard to each applicant by means of a secret ballot of its members who are entitled to vote.

35.2 All members of the committee who are eligible to vote with regard to an application must vote either in favour of or against the application. No proxy or absentee votes are allowed.

35.3 To be eligible to vote, a committee member must have been present during:

35.3.1 the whole of a candidate’s oral presentation and any meeting between the candidate and the committee; and

35.3.2 all of the committee’s deliberations concerning a candidate.

35.4 The chair of the committee must record in writing the results of the ballot conducted with regard to each application. The record must include:

35.4.1 the number of votes in favour of the candidate’s application; and

35.4.2 the number of votes against the candidate’s application.

35.5 The chair of the committee will retain the ballots until the application has been granted or denied and any additional proceedings have been determined.

 

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Article 36 — Confidentiality of Departmental Committee Proceedings

 

36.1 All discussions by members at meetings of a departmental committee are confidential. Members of a departmental committee must not disclose or discuss the committee proceedings, opinions expressed during the committee’s proceedings, or the committee’s recommendations except as otherwise provided in this Agreement or as required by law.

 

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Article 37 — Written Statement from Department

 

37.1 Immediately after conducting the ballot that determines the Department’s recommendation, the chair of the committee (where appropriate with the assistance of the members of the committee) must prepare a draft statement that accurately records the opinion of both the majority and the minority of members of the committee. In a case where there are an equal number of votes in favour of recommending a candidate and against recommending a candidate, the chair of the committee must prepare a balanced report that reflects the opinions of the members of the committee.

37.2 Prior to sending the written statement of reasons to the candidate, the chair will send to each member of the committee a copy of:

37.2.1 the record showing the number of votes in favour of the recommendation and the number of votes against the recommendation; and

37.2.2 the draft statement of reasons with an invitation to propose changes to the draft statement of reasons.

37.3 After considering any changes to the draft statement of reasons proposed by the members of the committee, the committee will agree on the final statement. The chair will sign that final statement of reasons as the Department’s reasons and send copies to the candidate and to each member of the committee.

 

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Article 38 — Deadlines for Departmental Report

 

38.1 The Chair of a Department or the committee must send to the Dean the Department’s written report and copies of all the documents considered by the departmental committee by the following applicable date:

38.1.1 reappointment and Assistant Teaching Professor or Associate Teaching Professor continuing appointment: October 15 of the candidate’s final contract year;

38.1.2 tenure: November 15 of the Academic Year in which the application is made;

38.1.3 promotion which will also confer tenure: November 15 of the Academic Year in which the application is made; and

38.1.4 promotion: January 15 of the Academic Year in which the application is made.

 

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Article 39 — Documents Provided to Candidate

 

39.1 The chair of the committee will provide a candidate with:

39.1.1 a copy of the chair’s record of the votes in favour of the candidate’s application and the votes against the candidate’s application;

39.1.2 the Department’s statement of reasons;

39.1.3 a copy of the body of the letter sent to referees requesting a letter of reference; and

39.1.4 a list of all documents that have been considered by the committee in formulating its recommendation.

 

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Article 40 — Candidate's Acknowledgement and Response

 

40.1 The candidate will acknowledge receipt of the recommendation and the documents referred to in section 39 by signing a copy of the committee’s report and returning it to the chair. The candidate’s signature of the recommendation only constitutes an acknowledgement of the receipt of the committee’s report and the documents referred to in section 39.

40.2 The candidate may send to the Dean a written response no later than 10 calendar days after receipt of the recommendation.

 

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Article 41 — Post-Departmental Processes for Reappointment, Continuing Status, Promotion and Tenure

 

Dean’s Recommendation

41.1 The Dean must consider the decision of the departmental committee for each application for reappointment, continuing status, tenure, and promotion and make their own recommendation to the President whether the Dean agrees or disagrees with the recommendation. The Dean will give detailed reasons for this recommendation and, if the Dean disagrees with the Department’s recommendation, must address the reasons for that disagreement.

41.2 In making this assessment, the Dean will consider only the materials forwarded by the Department and any response of the candidate. The Dean will apply the standards set out in the Agreement and in the Faculty and Departmental Evaluation Policies and will give substantial weight to the judgment of experts in the relevant discipline, including both peers at the University and external referees.

41.3 If the recommendations of the Dean and the departmental committee are both positive, the Dean must transmit both recommendations to the President, and to the Faculty Member who is a candidate for reappointment, continuing status, tenure or promotion, not later than:

41.3.1 reappointment and continuing appointment: November 15 of the candidate’s final contract year;

41.3.2 Tenure: December 15;

41.3.3 Promotion which will also confer tenure: December 15; and

41.3.4 Promotion: February 15.

41.4 If the recommendations of the Dean and the Departmental committee are not both positive, then the Dean will, by the dates set out in section 41.3, transmit the recommendations and all the material forwarded by the departmental committee to the University Academic Appointments Committee (UAAC) and to the candidate.

41.5 The candidate may submit a written response to the Dean’s recommendation, sent either to the President or to the UAAC, as appropriate, no later than 10 working days after receipt of the Dean’s recommendation.

University Academic Appointments Committee

41.6 The University Academic Appointments Committee (UAAC) consists of:

41.6.1 one Faculty Member and an alternate elected by October 15 of each year by and from each Faculty other than the Faculty of Graduate Studies; and

41.6.2 a Chair appointed jointly by the President of the University and the President of the Association.

41.7 To be eligible to serve on the UAAC, a Faculty Member must have tenure or must be an Associate Teaching Professor with a continuing appointment and must have normally served for a minimum of two years on a committee that has considered promotion or tenure decisions. One seat on the UAAC must be filled by a Teaching Professor or an Associate Teaching Professor. If no Faculty elects a Teaching Professor or an Associate Teaching Professor to the UAAC, the President of the Association and the Vice-President Academic and Provost will appoint a Teaching Professor or an Associate Teaching Professor to sit on the committee in addition to the elected members.

41.8 UAAC members will absent themselves from any deliberations on any case where they have sat on the departmental committee that considered that case or where they are in a conflict of interest with respect to the particular candidate. The candidate may raise a question about any member of the UAAC on the basis that the Member is in a conflict of interest or that the candidate has a reasonable apprehension that the member of the UAAC is biased. In that case, the procedures for raising a question about a member of the departmental committee will be followed, substituting the Vice-President Academic and Provost for the Dean.

41.9 In the event a UAAC member cannot serve on a particular case, the alternate member for the Faculty will serve.

41.10 The UAAC will determine its recommendation by means of a secret ballot of members who are entitled to vote. The chair has a vote.

41.11 All members of the UAAC eligible to vote must vote on the UAAC’s recommendations. No abstentions, absentee or proxy votes are permitted. To be eligible to vote, a UAAC member must have been present in person or by teleconference during the whole of the proceedings of the UAAC relevant to the decision.

41.12 The chair must record in writing the results of the ballot conducted with regard to the recommendation. The record must include the number of votes in favour and the number of votes against.

41.13 All discussions by members at meetings of the UAAC are confidential. Members must not disclose or discuss the committee proceedings, opinions expressed during the committee’s proceedings, or the committee’s recommendations except as otherwise provided in this Agreement or as required by law.

41.14 The University Secretary must retain the records of the committee, including any ballots cast, as required by University policies.

41.15 When the UAAC reviews a case, the UAAC reviews the entire file of the candidate, including any responses to the departmental committee’s or the Dean’s recommendations, and will make a recommendation to the President as to whether, based on the criteria of the Agreement and the Faculty and Departmental Evaluation Policies, the candidate has met the standard required to receive the reappointment, continuing appointment, tenure or promotion for which the candidate is applying. The recommendation of the UAAC will include detailed reasons for its decision and will be copied to the candidate.

41.16 The candidate is entitled to make an oral presentation to the UAAC if the candidate gives written notice to the UAAC not later than five working days after receiving the Dean’s statement of reasons. If the candidate chooses not to make an oral presentation, the UAAC may invite the candidate to meet with the committee, upon giving five working days’ notice to the candidate. The candidate may be assisted in making any oral presentation to the UAAC by a representative of the Faculty Association.

41.17 After receiving the reasons and recommendation of the UAAC, the candidate may provide a written response to the UAAC report. The candidate’s response must be sent within ten working days of receiving the UAAC report. The response must be sent to the President, copied to the Vice-President Academic and Provost.

41.18 The UAAC will forward its report to the President, copied to the candidate, the Dean and the Vice-President Academic and Provost, by the following dates:

41.18.1 reappointment and continuing appointment: December 15 of the candidate’s final contract year;

41.18.2 tenure and promotion that will confer tenure: January 30; and

41.18.3 promotion: March 15.

President’s Recommendation

41.19 The President will consider the recommendations of the Department, the Dean and, where applicable, the UAAC, in making a decision.

41.20 Where the candidate’s file has not been considered by the UAAC, the President will notify the candidate of the President’s recommendation by the following applicable date:

41.20.1 reappointment and continuing appointment: December 15 of the candidate’s final contract year;

41.20.2 tenure: January 30;

41.20.3 promotion which will also confer tenure: January 30; and

41.20.4 promotion: March 15.

41.21 Where the candidate’s file has been considered by the UAAC, the President will notify the candidate of the President’s recommendation by the following applicable dates:

41.21.1 reappointment and continuing appointment: January 15 of the candidate’s final contract year;

41.21.2 tenure and promotion that will confer tenure: February 28; and

41.21.3 promotion: April 15.

41.22 Where the President recommends reappointment, continuing status, tenure or promotion, the
President will forward this positive recommendation to the Board of Governors and notify the
candidate accordingly.

41.23 Where the President does not recommend reappointment, continuing status, tenure or promotion, the President must notify the candidate and provide the candidate with written reasons for the decision. Where a candidate for reappointment, continuing status, tenure or promotion is a respondent or defendant in a proceeding that is pending before a court, a tribunal established pursuant to federal or provincial legislation, or a University tribunal, the President may defer making a final recommendation until the proceeding has been completed and the President will provide the candidate with written reasons for the deferral.

Grievance

41.24 Where the candidate is not satisfied with the recommendation of the President, the Association may grieve the decision not to award reappointment, continuing status, promotion, or tenure pursuant to the provisions of section 59 and any arbitration resulting from the grievance will be referred in accordance with section 59.23-59.25.

 

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Article 42 — Action of Board of Governors

 

42.1 Unless a notice of intent to appeal has been filed, the President must notify the candidate of the Board of Governor’s action with regard to each application for reappointment, tenure and promotion by not later than:

42.1.1 reappointment or continuing appointment: February 15 of the candidate’s final contract year;

42.1.2 Tenure: March 15;

42.1.3 Promotion which will also confer tenure: March 15; and

42.1.4 Promotion: June 30.

 

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