Conditions of Faculty Service
Kellogg School of Management

I. Appointments

a. All appointments to the faculty shall be consistent with the University's policy on non-discrimination: "It is the policy of Northwestern University not to discriminate against any individual on the basis of race, color, religion, national origin, sex, sexual orientation, marital status, age, handicap, or veteran status in matters of admissions, employment, housing, or services or in the educational programs or activities it operates, in accordance with civil rights legislation and University commitment."

b. Initial appointments may be at any level. The requirements for initial appointment to a given rank shall be the same as for promotion of one already on the faculty to that rank.

c. Generally, individuals without a doctor's degree will be appointed as instructors, and individuals who have only recently received their doctorate will be appointed as assistant professors. However, in exceptional cases involving unusual achievement and experience, such individuals may be appointed at a higher rank. Individuals appointed as instructors will be promoted to assistant professor upon documented completion of the doctorate. Under University policy the six-year probationary appointment period commences with the appointment as instructor. (See Faculty Handbook, 1993.)

d. In all cases where feasible, a faculty candidate will meet with the available faculty of the interested department(s) before an offer of employment is made. The chairperson of the department most involved will be responsible for arranging the time, place and agenda for the meeting, as well as for the general care and entertainment of the candidate during this campus visit. In general, the agenda for the meeting with departmental faculty will include the presentation of a paper by the candidate. Following such visit and meeting, the department chairperson will report to the Associate Dean for Academic Affairs concerning the faculty's recommendation as to whether an appointment offer should or should not be extended to the candidate.

e. Direct responsibility for determining faculty needs and for recruiting and screening faculty candidates rests with the Associate Dean for Academic Affairs. In fulfilling this responsibility, the Associate Dean will work closely with the respective department chairpersons. In all cases where an appointment is being considered, the Associate Dean for Academic Affairs will report to the Dean all recommendations from the faculty and the department chairpersons. The Associate Dean for Academic Affairs will make a recommendation to the Dean as to whether or not the appointment should be made, and if made, at what salary and rank.

f. Whenever the appointment is at the professor level, or otherwise carries tenure, or is not departmentally based, the Personnel Committee will consider the appointment and make a formal recommendation to the Dean. The department, through the department chairperson, will make recommendations to the Dean on non-tenure appointments for departmentally based faculty at the rank of lecturer, instructor, assistant professor, and associate professor, without requiring Personnel Committee consideration.

g. Within Kellogg, the final decision with respect to faculty appointments, including salary and rank, rests with the Dean. In making each decision, the Dean will carefully weigh and consider the recommendations of the faculty, the department chairperson, the Associate Dean for Academic Affairs, and, where appropriate, the Personnel Committee (see paragraph 1.f.). If the Dean's decision differs from the majority recommendation of the Personnel Committee, the chair of the candidate's ad hoc Appraisal Committee along with the Dean and the Associate Dean for Academic Affairs will present the merits of the case to the Provost. In no case, however, will the Provost's office be provided with the materials relating to a candidate until after the Personnel Committee has made its recommendation to the Dean.

II. Promotions and Reappointments

a. A Personnel Committee of the School will be appointed each year by the Dean. The voting members of this committee will be six tenured professors, one from each department, serving staggered two year terms. Thus three members of the Committee are replaced each year. A member of the Personnel Committee will not ordinarily be reappointed to serve two consecutive terms. Department chairpersons will not ordinarily serve on the Personnel Committee. Two non-tenured faculty members, normally one assistant and one associate professor, will serve as non-voting observers of the Personnel Committee. The Dean will serve as non-voting Chair. The Associate Dean for Academic Affairs will assist.

b. Early in the Fall and again in the Spring of each year the Personnel Committee will meet to identify cases needing attention.

These will include:

i. Assistant and associate professors who will complete the term of their contracts during the academic year.

ii. Instructors and other assistant or associate professors selected for special consideration by the Personnel Committee, or recommended for special consideration by department chairpersons, or by the Dean's Office.

c. For each faculty member selected for attention as provided in 2.b. above, an ad hoc appraisal committee of three faculty members will be appointed by the Dean. Each ad hoc appraisal committee will be chaired by a Personnel Committee member who is from outside the department of the person being appraised. The other members will be from different departments of the School, but will include one from the candidate's department. Ordinarily, the ad hoc appraisal committee chairperson's identity will be made known to the candidate being appraised, but other committee members will remain anonymous to all but the Personnel Committee.

d. To avoid a conflict of interest, an individual will absent him or herself from that portion of the Personnel Committee deliberative meeting in which his or her own promotion, evaluation, or continuance is to be discussed. The chairperson of the Personnel Committee will be responsible for monitoring this process.

e. Each ad hoc appraisal committee will prepare a written report summarizing its appraisal of the candidate's performance. This report will describe the committee's investigation and justify its appraisal in accordance with the criteria in paragraph 2.f. below. The ad hoc appraisal committee will convey its report to the Personnel Committee and will meet with the Personnel Committee when the candidate is being discussed.

Members of the ad hoc appraisal committee may conduct whatever investigation they consider appropriate to determine the candidate's merits, but the investigation will include:

i. A departmental evaluation and secret ballot vote by all departmental faculty of appropriate rank, to be summarized by the department chairperson. The voting subgroup for each decision will be constituted as follows:

Candidate's Current Status Decision Participants

Assistant Professor Retain/Terminate All Associate Professors and Professors
Associate Professor All Associate Professors without Tenure and Professors

Associate Professor Tenured Associate with Tenure Professors and Professors
Professor (Carries Tenure) Professors

Associate Professor Retain/Terminate All Associate Professors Without Tenure and Professors

Retain with Tenure Tenured Associate Professors and Professors

Professor (Carries Tenure) Professors

Associate Professor Professor Professors With Tenure

In General:

(a) Only tenured and tenure track faculty are involved in faculty promotion, tenure and retention decisions.

(b) Only tenured faculty are involved in tenure decisions or decisions relating to tenured faculty.

Only faculty holding a rank above the candidate's current rank and equal to or higher than that for which the candidate is being considered are involved in these decisions.

Other faculty may communicate their evaluation of the candidate's performance, based on the criteria in paragraph 2.f. below, by writing a confidential letter to the candidate's ad hoc appraisal committee chairperson.

(c) The department's representative on the Personnel Committee will attend the departmental meeting and may provide information on policy and procedures. The department's Personnel Committee representative, however, may not vote or engage in substantive discussion of the candidate's merits.

ii. The department chairperson's individual recommendations are to be submitted in a separate letter.

iii. Written recommendations of Northwestern and other University's faculty.

iv. Reading and appraisal of the individual's publications.

v. The candidate's teaching evaluations.

f. The objective of the ad hoc appraisal committee's investigation will be to advise the Personnel Committee with respect to the candidate's qualifications. The Personnel Committee and the Dean will make their determinations on the basis of the candidate's (1) research contributions to the advancement of knowledge; (2) quality of teaching; and (3) professional activities and contributions to the Kellogg mission.

i. Research

Faculty members are expected to conduct research and produce publications which are recognized as contributions to the advancement of knowledge.

Consistent productivity in research is essential, not merely as an end in itself, but as the basis for excellence in teaching throughout a faculty member's career.

The Kellogg Graduate School of Management seeks to maintain a faculty distinguished in both research and teaching. Each of these activities supports the other, and achievement in either one alone is insufficient as a basis for promotion or tenure.

ii. Teaching

Evidence of teaching performance, as reflected in both student and colleague evaluations, will be expected of all faculty members. Beyond this, reasonable availability for student consultation outside the classroom is integral to the teaching responsibility.

Department chairpersons will assign courses within their departments, and faculty so charged must ensure that materials are available for the courses they are assigned to teach. In fulfillment of their teaching responsibility, the faculty member will develop any necessary teaching materials (cases, computer programs, etc.) not otherwise available.

Where faculty members publish textbooks or other materials intended for general use in teaching management-related courses, such works may be appraised as research. They will be appraised as research, however, only if they are of high quality and are recognized as a contribution to the advancement of knowledge.

iii. Professional Activities and Contributions to the Kellogg Mission

The reputation of a faculty member among his or her colleagues at Kellogg and Northwestern, and among his or her peers internationally will be one of the factors considered in promotions. This factor will be particularly important in deliberations involving the award of tenure and in promotion to professor.

Faculty members are expected to contribute to their professions through membership and leadership roles in professional associations, on government panels, and on journal editorial boards.

In addition, faculty members are expected to serve Kellogg and the University through participation on committees, conferences and seminars for the benefit of alumni and others, student advisory work, student-faculty social functions, and alumni relations. Both the quality and extent of such activities will be considered in the appraisal of the faculty member's performance.

g. A date for the Personnel Committee's deliberative meetings will be set early in the Fall Quarter and again in the spring of each academic year. The meetings usually will be scheduled so that the Dean can make a decision and secure the Provost's approval in each case involving retention, promotion, or tenure no later than December fifteenth and June fifteenth.

At the December and April/May meetings, each candidate's ad hoc appraisal committee chairperson will present the ad hoc appraisal committee's report, and the full appraisal committee will appear to answer questions. When the presentation is complete, the Dean will ask appraisal committee members other than the ad hoc chairperson to leave before the Personnel Committee deliberates on its recommendation to the Dean. After deliberation, the Personnel Committee will vote by secret ballot on its recommendation, and the Dean will make a decision in each case.

If the Dean's decision differs from the majority recommendation of the Personnel Committee, the chairperson of the candidate's ad hoc appraisal committee along with the Dean and the Associate Dean for Academic Affairs will present the merits of the case to the Provost.

In all cases, the Dean will convey final decisions as recommendations to the Provost. However, the Provost's office will not be provided with materials relating to the candidate until after the Personnel Committee has made its recommendation to the Dean. The Dean will inform each candidate of the Personnel Committee's and his own recommendation to the Provost as soon as possible after the Personnel Committee has met, but he will indicate that the final decision is subject to the approval of the Provost.

III. Salary Adjustments

The salary of each faculty member will be reviewed at least once a year by the Dean and the Associate Dean for Academic Affairs, and the Dean shall determine, subject to the limitation of the School's budget, any adjustments for the following year. Factors considered in determining salary adjustments will be the same as those considered for promotion as described above. Promptly after the School's budget for the year is approved, the Dean will notify all faculty members of their salaries for the coming year.

Summary of Promotion and Salary Factors

In summary, every faculty member will be expected to engage in scholarly research, to teach effectively, and to contribute to the advancement of Kellogg's mission, as set forth in paragraph 2.f. of the Conditions of Faculty Service.