PROCEDURES AND CRITERIA FOR PERFORMANCE REVIEW

AND PERIODIC EVALUATION

CHAPTER 1. PROCEDURES FOR PERFORMANCE REVIEW AND PERIODIC EVALUATION

I. PREAMBLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

II. EVALUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

A. TYPES OF EVALUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

B. GENERAL PROVISIONS OF EVALUATION . . . . . . . . . . . . . . . . . . . . . . 4

C. EVALUATION COMMITTEES: Composition and Function . . . . . . . . . . . 5

1. Department Evaluation Committees . . . . . . . . . . . . . . . . . . . . . . . 5

2. Department Part-Time Temporary Evaluation Committees . . . . .5

3. College Evaluation Committees . . . . . . . . . . . . . . . . . . . . . . . . . .6

4. University Evaluation Committee. . . . . . . . . . . . . . . . . . . . . . . . . 6

D. INSTRUMENTS OF EVALUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

1. Faculty Activities Report (FARs). . . . . . . . . . . . . . . . . . . . . . . . . . 7

2. Classroom Visitation Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

3. Student Evaluation of Teaching Effectiveness (SETE) or

Alternative Evaluation Instruments . . . . . . . . . . . . . . . . . . . ….. .10

4. Alternative Student Evaluation Instruments . . . . . . . . . . . . . . . . 11

E. FILES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

1. The Personnel Action File (PAF) . . . . . . . . . . . . . . . . . . . . . . . . .11

2. The Working Personnel Action File (WPAF). . . . . . . . . . . . . . . . 12

F. RECOMMENDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

G. DECISION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

III. PERFORMANCE REVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

A. DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

1. Performance Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

2. Probation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

3. Tenure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

4. Promotion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

5. Ranking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16

B. PARTICIPANTS IN PERFORMANCE REVIEW . . . . . . . . . . . . . . . . . . .16

C. PROCEDURES FOR PERFORMANCE REVIEW . . . . . . . . . . . . . . . . . 17

IV. PERIODIC EVALUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

A. DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

1. Periodic Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

2. Purpose of Periodic Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . .19

3. Result of Periodic Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

B. PROCEDURES FOR PERIODIC EVALUATION . . . . . . . . . . . . . . . . . . 19

1. Temporary Full-Time Faculty. . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

2. Temporary Part-Time Faculty . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

3. First, Third and Fifth Year Probationary Faculty . . . . . . . . . . . . . 20

CHAPTER 2. CRITERIA FOR PERFORMANCE REVIEW

I. PREAMBLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

II. AREAS OF EVALUATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

A. TEACHING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

1. Command of Subject Matter . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

2. Organization of Instructional Materials . . . . . . . . . . . . . . . . . . . . 22

3. Effectiveness in Instruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

4. Academic Assessment of Students . . . . . . . . . . . . . . . . . . . . . . 22

B. PROFESSIONAL GROWTH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

C. UNIVERSITY AND/OR COMMUNITY SERVICE . . . . . . . . . . . . . . . . . . 26

1. Scope of University and/or Community Service . . . . . . . . . . . . . 26

2. Evaluation of University and/or Community Service . . . . . . . . . .28

III. EVALUATION RATING SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

IV. APPLICATION OF CRITERIA AND RATING SYSTEM . . . . . . . . . . . . . . . . . . 29

A. GENERAL PROVISIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

B. COMPETENCY AND SUPERIORITY IN THE AREA OF TEACHING . . 30

1. At the rank of Assistant Professor . . . . . . . . . . . . . . . . . . . . . . . 30

2. At the rank of Associate Professor . . . . . . . . . . . . . . . . . . . . . . . 30

3. At the rank of Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

4. Superiority in the Area of Teaching . . . . . . . . . . . . . . . . . . . . . . .30

C. COMPETENCY AND SUPERIORITY IN THE AREA OF

PROFESSIONAL GROWTH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

1. At the rank of Assistant Professor . . . . . . . . . . . . . . . . . . . . . . . 31

2. At the rank of Associate Professor . . . . . . . . . . . . . . . . . . . . . . . 31

3. At the rank of Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

4. Superiority in the Area of Professional Growth . . . . . . . . . . . . . .31

D. COMPETENCY AND SUPERIORITY IN THE AREA OF

UNIVERSITY AND/OR COMMUNITY SERVICE . . . . . . . . . . . . . . . . . . 31

1. At the rank of Assistant Professor . . . . . . . . . . . . . . . . . . . . . . . 31

2. At the rank of Associate Professor . . . . . . . . . . . . . . . . . . . . . . . 32

3. At the rank of Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

4. Superiority in the Area of Service . . . . . . . . . . . . . . . . . . . . . . .. 32

CHAPTER 3. CRITERIA FOR PERIODIC EVALUATION

I. TEMPORARY FULL-TIME FACULTY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

II. TEMPORARY PART-TIME FACULTY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

III. FIRST, THIRD AND FIFTH YEAR PROBATIONARY FACULTY . . . . . . . . . . . 33

CHAPTER 4. PERIODIC EVALUATION OF TENURED FACULTY

I. PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

II. PROCEDURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

III. CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

IV. EXCLUSION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

V. DELAYS IN REVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36

CHAPTER 5. DEPARTMENTAL GUIDELINES FOR THE EVALUATION OF PROBATIONARY AND TENURE TRACK FACULTY

I. OVERVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

II. GUIDELINES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

A. Teaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

B. Professional Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

C. Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

III. PROCEDURE FOR APPROVAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

IV. DISTRIBUTION OF GUIDELINES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

APPENDICES LIST . . . . . . . . . . ... . . . . . … . . . . . . …… . . . . . . . . . . . . . . . . . … . . . 39

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FSD 85-187v1.R15

Faculty Affairs Committee April 2004

PROCEDURES AND CRITERIA FOR

PERFORMANCE REVIEW AND PERIODIC EVALUATION

VOLUME I: INSTRUCTIONAL FACULTY

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CHAPTER 1

PROCEDURES FOR PERFORMANCE REVIEW AND PERIODIC EVALUATION

I. PREAMBLE

The purpose of evaluation is to develop and maintain high quality faculty who are intellectually and professionally active and who communicate effectively with students.

Peer judgment is vital to any evaluation process designed to maintain high academic standards. Student evaluation is necessary for assessment of teaching effectiveness. Accordingly, the following sources of information are used in the process of evaluation:

A. Faculty Activities Report (FAR),

B. Student Evaluation of Teaching Effectiveness (SETE) and/or Senate-approved alternative student evaluation instruments, and

C. Classroom Visitation Reports.

Peer evaluation occurs at the Department, College and the University level. In addition, evaluation includes administrative review.

The evaluation process is designed to provide constructive guidance to the faculty member in achieving intellectual growth and professional development to ensure the protection of faculty, student, and institutional interests.

Procedures contained in this document are in accordance with the Collective Bargaining Agreement (CBA). The CBA uses the term "Faculty Unit Employees" to refer to all persons in Bargaining Unit 3. In this Volume, the term "faculty" shall refer to all faculty unit employees who are instructional faculty. Faculty in the “Faculty Early Retirement Program” (FERP) are not eligible to serve on evaluation committees. In any case where disagreement occurs between this Volume and the CBA, the CBA shall prevail.

II. EVALUATION

A. TYPES OF EVALUATION

There are two types of evaluation. First is performance review, which is applicable to all probationary faculty members for purposes of determining retention, tenure, and/or promotion. Performance review is also applicable to all tenured faculty requesting consideration for promotion.

The second type of evaluation is periodic evaluation, which is applicable to all faculty members not subject to performance review.

B. GENERAL PROVISIONS OF EVALUATION

Several general provisions apply to both periodic evaluation and performance review.

1. Only tenured faculty members and academic administrators may engage in deliberations and make recommendations regarding the evaluation of other faculty members. Evaluation criteria and procedures shall be available to faculty members before the evaluation process begins. No changes may be made during the evaluation process.

2. At all levels of review, before recommendations are forwarded to the next evaluation level, faculty members shall be given a copy of each recommendation stating in writing the reasons for the recommendation. Faculty members have the right to respond or submit a rebuttal within seven days following receipt of the recommendation. A copy of the response or rebuttal statement shall accompany the Working Personnel Action File (WPAF), and shall also be sent to any previous levels of review. Upon request, the faculty member may be provided an opportunity to discuss the recommendation with the recommending party. This provision shall not require that evaluation time lines be altered.

3. Personnel recommendations or decisions relating to retention, tenure, promotion, termination, or any other personnel action shall be based primarily on material contained in the Personnel Action File (PAF). If a personnel recommendation or decision is based on reasons not contained in the Personnel Action File, the party making the recommendation or decision shall commit those reasons to writing and this signed statement shall be placed in the Personnel Action File and a copy provided to the faculty member.

4. In cases of promotion, evaluation committee members must have a higher rank than those being considered for promotion.

 5. Recommendations shall be confidential except that the affected faculty member, the designated administrators, the President, and the peer review committee members shall have access to written recommendations.

6. Timetables for performance review and periodic evaluation are prepared at the beginning of each academic year by the Associate Provost for Academic Personnel and submitted to the Faculty Senate for approval.

C. EVALUATION COMMITTEES: Composition and Functions

1. Department Evaluation Committees

a. Composition: A Department Evaluation Committee shall be composed of three tenured elected faculty, two of whom must be at the rank of Professor and the third shall be a Professor or an Associate Professor who is not presently being considered for promotion. The committee shall elect a chair who shall hold the rank of Professor. Annually, the members of the department shall nominate and elect committee members from within the department or from related academic disciplines. The list of nominations shall be publicly posted in the department as they are received. If, after nominations are closed, there are two or more candidates per position from within the department, nominations will not be accepted for persons outside of the department. The call for nominations shall run for at least five working days. A member of a department evaluation committee cannot serve concurrently as a member of a College Evaluation Committee or the University Evaluation Committee, but may serve concurrently on other department evaluation committees.

b. Functions: This committee shall conduct performance reviews at the departmental level as well as periodic evaluations for first, third and fifth year probationary faculty, full- and part-time temporary faculty, and tenured faculty who have not been considered for promotion during the past five years.

2. Department Part-Time Temporary Evaluation Committee

A department may form a Department Part-Time Evaluation Committee, the sole purpose of which shall be the periodic review and evaluation of part-time temporary faculty. The decision on whether to form such a committee shall be made annually by a vote of the tenure track faculty of the department. This committee will be composed of at least three but at most five tenured elected faculty from within the department.

3. College Evaluation Committees

a. Composition: A College Evaluation Committee shall be

composed of four tenured full‑time senior faculty members. At least three shall hold the rank of Professor and one may be an Associate Professor who is not presently being considered for promotion. The committee shall elect a chair who shall hold the rank of Professor. Department Chairs or Associate Deans may not serve on this committee. Members shall be elected to staggered two year terms by the faculty of the college. In the case of college committees, no more than one member may come from a single department. A member of a college evaluation committee cannot serve concurrently as a member of a Department Evaluation Committee or the University Evaluation Committee.

b. Functions: This committee shall conduct performance reviews at the college level.

4. University Evaluation Committee

a. Composition: The University Evaluation Committee shall be composed of one tenured Professor elected from each College by the tenure‑track faculty of the College; one tenured Librarian elected by the tenure‑track librarians; and one tenured SSP,AR elected by the tenure-track SSP,ARs. Department Chairs or Associate Deans may not serve on this committee. Library Evaluators may serve on this committee but must withdraw whenever a librarian they evaluate is evaluated. Members shall serve two-year staggered terms. The Committee shall elect a Chair. A member of this committee cannot serve concurrently as a member of any evaluation committee at a lower level.

 b. Functions: This committee shall conduct performance review for faculty members at the University level in cases where recommendations from the Department, Department Chair, College and Dean are not unanimous as well as in cases involving non-retention and denial of tenure or promotion. This committee shall also serve as the higher level peer review committee for librarians and SSP,ARs. In addition, the committee shall rank faculty in promotion cases, basing their rankings primarily on previous recommendations and rankings.

D. INSTRUMENTS OF EVALUATION

1. Faculty Activities Reports (FARs)

FARs shall be submitted by all faculty members subject to performance review and by probationary and full‑time temporary faculty members subject to periodic evaluation. These shall cover all three areas of evaluation: teaching, professional growth and University and/or community service. The faculty Activities Report should cover the following periods of time:

a. For all probationary faculty being considered for retention or tenure, the FAR should be cumulative since appointment.

b. For faculty applying for promotion, the FAR should be cumulative since the last promotion or since initial appointment, whichever is most recent.

c. For all others (e.g., tenured faculty subject to periodic evaluation and full-time temporary faculty), the FAR should be cumulative since the last evaluation.

Supporting documentation for activities must be attached to this report (for example, course descriptions, reprints of publications, appropriate evidence regarding speeches, consultations, performances, exhibitions, work in progress, etc.) as follows:

1. For probationary faculty being considered for retention, all supporting documentation since the last performance review.

2. For probationary faculty being considered for tenure and/or promotion, all supporting documentation since appointment.

3. For tenured faculty applying for promotion, all supporting documentation since the last promotion or since initial appointment, whichever is most recent.

4.      &n