Faculty Affairs Committee
FSD 85-187v1.R16
PROCEDURES
AND CRITERIA FOR
PERFORMANCE
REVIEW AND PERIODIC EVALUATION
VOLUME I: INSTRUCTIONAL
FACULTY
SEPTEMBER 13, 2006
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
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 (
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. For all others (e.g., tenured faculty subject to periodic evaluation and full-time temporary faculty), all supporting documentation since the last FAR was submitted.
Faculty members may include professional activities carried out prior to appointment. Pre‑employment dates of such activities should be noted. The entire professional experience of the faculty member should be examined and considered, but primary consideration shall be given to the professional accomplishments during the appropriate time period as indicated above.
All
When a faculty member reports collaborative professional growth activities or accomplishments, a Joint Activities Report form should be submitted with the FAR for each joint activity.
2. Classroom Visitation Reports
Classroom Visitations shall be conducted for all probationary faculty members, tenured faculty members requesting consideration for promotion, full‑time temporary faculty members, and part‑time temporary faculty members. Classroom visitations shall be conducted when requested by tenured faculty. The following guidelines must be met:
a. Classroom visitations shall be performed according to the following plan: during the six probationary years, the number of annual visitations for tenure-track faculty shall normally be in the sequence 2 1 1 1 0 1. If a faculty member is to be considered for tenure or promotion, there shall be a visitation scheduled in the Fall of that academic year, regardless of this sequence. Over a period of time, visits should be scheduled in as many different courses as possible and by a variety of visitors. At the request of the faculty member, or the Department Evaluation Committee and the Department Chair jointly, or the College Evaluation Committee and the College Dean jointly, additional visitations may take place.
Full-time temporary faculty members shall be visited in the Fall of each academic year. Part‑time, temporary faculty members shall be visited the first time they teach a course. Subsequent visitations for temporary faculty may be scheduled whenever appropriate as determined by the Department Evaluation Committee or at the request of the temporary faculty member.
b. For probationary and tenured faculty, the course visitors and the course to be visited shall be selected jointly by the College Evaluation Committee and the College Dean in consultation with the Department Chair no later than during the third week of classes. The Department Chair shall in turn consult with the faculty member to be visited for concurrence before the formal assignment of visitors. For temporary faculty, course visitors and the course to be visited shall be selected jointly by the Department Evaluation Committee and the Department Chair.
All faculty members shall be informed in writing of planned visits. Notification shall take place not less than three days before the visitors have been notified of their assignments. All classroom visitation assignments should be completed by the end of the fifth week of classes.
c. Course visits for faculty in their first two probationary years shall be conducted by two tenured colleagues, of a rank equal to or higher than that of the faculty member to be visited. Where possible, at least one of the visiting colleagues should be from the discipline of the faculty member being visited. Normally both visitors shall visit the same course on the same date.
Course visits for all other probationary faculty and for tenured faculty applying for promotion shall be conducted by one tenured colleague, of a rank equal to or higher than that of the faculty member to be visited. Where possible, the visiting colleague should be from the discipline of the faculty member being visited. An additional visitor may be requested by the faculty member to be visited.
In the case of temporary faculty, one faculty member of the same or higher rank shall be assigned to visit.
There shall be mutual agreement between the visitor and the visitee regarding dates for classroom visits.
d. Classroom visitation forms will be sent by the College Dean's office to the visitors and the person to be visited prior to the pre‑visit conference. Prior to the visit, a pre‑visit discussion shall take place between the visitor(s) and the person visited. This discussion shall concern matters such as the course objectives, content and organization, approaches and methods used and the relevance of the class to be visited to the overall course plan. The visiting colleague(s) shall arrange all meetings. The colleague to be visited shall furnish copies of syllabi, exams and other materials to each visitor.
e. No later than two weeks after the visit, each visiting colleague shall complete the Classroom Visitation Report form and present it to the faculty member visited. At this time a post‑visit discussion shall take place concerning the contents of the report and suggestions for improvement. This stage of the evaluation process is intended to help the faculty member in the development of teaching capabilities and to enable him or her to benefit from the experience of colleagues.
f. The faculty member visited and the visiting colleague shall sign the Classroom Visitation Report. The original report for full-time faculty is transmitted by each visiting colleague with all materials to the College Dean's office, which in turn shall forward it to the Academic Personnel Office (APO) for inclusion in the PAF. The faculty member visited shall be given a copy of the report by the visitor.
For part-time faculty, the classroom visitation report remains in the College Dean=s office or the department office for inclusion in the PAF.
All classroom visitation reports are due in the college office by the date grades are due for that term.
g. The faculty member visited may submit to the College office a written statement of response or rebuttal to be attached to the report(s). This response or rebuttal shall be submitted within seven days following the post-visit.
h. The Classroom Visitation Report is not a recommendation regarding retention, promotion or tenure decisions.
3. Student Evaluation of Teaching Effectiveness (SETE) or Alternative Evaluation Instruments.
First year probationary faculty shall have all their first quarter classes SETEd. These shall not be placed in their WPAF. In the subsequent two quarters of that first year, two classes per quarter shall be SETEd. For years two and three, probationary faculty will have five courses SETEd each year. For probationary faculty in their fourth, fifth, and sixth years of service, SETEs shall be obtained in a minimum of three courses annually. SETEs for tenured faculty members shall be obtained in two courses annually on a prearranged, regular schedule. A faculty member may request additional evaluations. SETEs shall be obtained for all temporary faculty members in all classes taught. The following guidelines should be met:
a. Senate‑authorized forms shall be used.
b. Whenever possible, the course selected for visitation should also be selected for student evaluation.
c. Courses to be SETEd shall be jointly determined in consultation between the faculty member being evaluated and the department chair no later than the fourth week of classes. In the event of disagreement, each party shall select 50% of the total courses to be evaluated, on an annual, academic-year basis. SETEs shall be conducted in classes representative of the range of a faculty member's teaching assignments.
d. The person teaching the course shall not be present when student evaluation is conducted.
e. No earlier than the end of the quarter in which the student evaluation is administered, faculty shall receive a summary of results and shall have access to the original forms.
f. Both the results of student evaluation and the original forms will be included in the faculty member's PAF.
4. Alternative Student Evaluation Instruments.
Based on departmental guidelines, additional evaluation instruments such as student evaluations of supervision effectiveness (SESEs) may be used as supplements or alternatives to SETEs.
E. FILES
1. The Personnel Action File (PAF)
a. A PAF shall be maintained for each
faculty member. PAFs for tenured
professors are kept at the college office.
PAFs for part-time temporary faculty are kept at the college or
department office. PAFs for all other
faculty are kept at the
b. A faculty member shall have the right to submit additional materials to his/her PAF and shall have the right to submit a written rebuttal to any material in his/her file. Only material identified by source may be placed in the PAF. Identification shall indicate the author, the committee, the campus office, or the name of the officially authorized body generating the material. The faculty member shall be provided with a copy of any material to be placed in the PAF at least five days prior to the placement.
c. A faculty member shall have the right of access to all material in his/her PAF, exclusive of pre‑employment materials, except when the pre‑employment materials are used in personnel actions.
d. The PAF may be inspected by the faculty member upon request to the appropriate office. A copy of all materials requested shall be provided within fourteen days of the request. If the faculty member believes that any portion of the file is not accurate, a correction or deletion of those materials may be requested. If the request is denied, the faculty member shall have seven days to submit the request to the President or designee. Within twenty‑one days of the request to the President or designee, the President or designee shall provide to the faculty member a written response. If the President or designee grants the request, the record shall be corrected or the deletions made, and the faculty member shall be sent a written statement to that effect. If the President or designee denies the request, the response shall include the reason(s) for denial.
e. The PAF shall be held in confidence. Access to a faculty member's file shall be limited to persons with official business. The appropriate office shall log all instances of access to a PAF. This record shall be a part of the file.
2. Working Personnel Action File (WPAF)
a. The WPAF refers to the portion of the Personnel Action File used during the time of periodic evaluation or performance review of a faculty member. The WPAF shall include, where required, the following:
1. A FAR (and the Index of Attachments to the FAR) reflecting the cumulative record in all areas of evaluation;
2. Classroom Visitation Reports;
3. Student Evaluations of Teaching Effectiveness (SETEs) or alternative student evaluation instruments (summary reports and completed forms);
4. Responses and rebuttals;
5. Faculty authored reports from sabbatical leaves, difference-in-pay leaves, minigrants, and other internal CSUSB grants;
6. All other evaluation materials appropriately included in the PAF;
7. All current and previous summary statements and recommendations resulting from the evaluation process.
b. Materials submitted to the WPAF by a faculty member for evaluation purposes shall be deemed incorporated by reference in the PAF, but need not be physically placed in the file. An index of such materials shall be prepared by the
faculty member and submitted with the materials. Such an index shall be permanently placed in the PAF.
c. SETEs (or alternative student evaluations) shall be retained
in a faculty member’s WPAF for a period of at least five
years. After a tenure-track faculty member is promoted and
tenured, the raw forms more than five years old shall be
returned to the faculty member. In the case of a tenured
faculty member, the raw forms more than five years old shall
be returned to the faculty member after each periodic
evaluation is completed. In the case of a temporary faculty
member, the raw forms more than five years old shall be
returned to the faculty member after each range elevation.
F. RECOMMENDATIONS
Recommendations shall be made following a thorough review of the WPAF relative to each applicable criterion. All participants who make recommendations shall, in addition, ensure that criteria are applied equally for each faculty member evaluated. If there are omissions of documentation, information or recommendations in the materials submitted for review, the materials may be returned for amplification. Any such amplification shall be provided in a timely manner.
G. DECISION
The President or designee shall receive the WPAF, review its contents and recommendations, and reach a decision. The President's or designee's decision shall be communicated in writing to the faculty member and shall state the reasons for the decision.
III. PERFORMANCE REVIEW
A. DEFINITIONS
1. Performance Review
Performance review is the process whereby decisions concerning retention, promotion, and tenure are made. Performance reviews are based upon information obtained from students, peers, and administrators in the manner described in this document. Upon completion of deliberations at each level of performance review, a copy of the recommendation shall be forwarded to the faculty member, who may respond in writing within seven days after receipt of the recommendation and/or request a meeting with the recommending party.
2. Probation
The normal period of probation shall be six years of credited service or full‑time probationary service. A year of service for a faculty member in an academic year position is three consecutive quarters of employment within an academic year. Any deviation from the normal six year probationary period shall be the decision of the President or designee, following consideration of recommendations from the Department Evaluation Committee, the Department Chair (if applicable), the College Evaluation Committee, the College Dean, and/or the University Evaluation Committee.
A probationary faculty member in the second year of service shall be notified by the President or designee of a final decision on retention no later than February 15. A probationary faculty member who has served more than two years of probation shall be notified by the President or designee of a final decision on retention or a terminal year appointment no later than June 1.
3. Tenure
Tenure is the right of a faculty member to continue permanent employment at the campus except when such employment is voluntarily terminated, or terminated by the employer pursuant to the provisions of a collective bargaining agreement or law.
The President or designee may award tenure to a faculty member after a six‑year probationary period. Upon application by a candidate and consideration of positive recommendations from evaluation committees, Department Chairs, and/or College Dean, the President or designee may award tenure before the end of the six‑year probationary period. Tenure shall be effective at the beginning of the academic year succeeding the year in which tenure is awarded.
4. Promotion
Promotion is the advancement to a higher rank of a probationary or tenured faculty member. A probationary faculty member shall not normally be promoted during probation. A probationary faculty member shall normally be considered for promotion at the same time he/she is considered for tenure. Probationary faculty members shall not be promoted beyond the rank of Associate Professor.
Upon application by the candidate and following consideration of positive recommendations from evaluation committees, the Department Chair, and/or College Dean, probationary faculty members may be promoted to the rank of Associate Professor.
Promotion of a tenured faculty member shall normally be considered during his/her fifth year of service in the same rank. Upon application, and following consideration of positive recommendations from evaluation committees, Department Chairs, and/or College Dean, a tenured faculty member may be promoted to the rank of associate professor or professor prior to the fifth year of service in the same rank.
The President or designee shall notify the faculty member in writing of the final decision on promotion no later than June 15. Such notification shall include the reasons for approval or denial and shall indicate the effective date of the promotion.
5. Ranking
All faculty members recommended for promotion shall be ranked in order of preference. The same criteria will be utilized in ranking that were used in recommendations for promotion.
Associate Professors on College Evaluation Committees shall only be involved in the ranking of those recommended for promotion to Associate Professor.
In all instances, ranking for promotion provides a recommendation to the President or designee for action to be taken in the event of inadequate funds. Where faculty members are not promoted due to lack of funds, they shall be automatically considered recommended for promotion and shall be given first priority when funds for promotion next become available.
B. PARTICIPANTS IN PERFORMANCE REVIEW
1. Faculty members. Performance review applies to all second, fourth and sixth year probationary faculty members, tenured faculty members applying for promotion, and probationary faculty members applying for early tenure and/or early promotion. Third and fifth year probationary faculty members may also be subject to performance review upon notification by the President or designee.
2. Department Chairs
3. Department Evaluation Committees
4. College Evaluation Committees
5. College Deans
6. University Evaluation Committee
7. President or designee
C. PROCEDURES FOR PERFORMANCE REVIEW
The performance review process is composed of a number of steps involving the accumulation of materials to be evaluated and the determination of recommendations at various levels of peer and administrative review.
1. Procedures governing performance review for faculty
a. Faculty members complete FAR forms and submit these to the Academic Personnel Office (APO).
Prior to the beginning of the review process, the faculty unit employee subject to review shall be responsible for the identification of materials he/she wishes to be considered and for the submission of such materials as may be accessible to him/her. Evaluating committees and administrators shall be responsible for identifying and providing materials relating to evaluation not provided by the employee.
A specific deadline before the recommendation is made at the first level of evaluation shall be established by campus policy at which time the WPAF is declared complete with respect to documentation of performance for the purpose of evaluation. Insertion of material after the date of this declaration must have the approval of the Department Evaluation Committee and shall be limited to items that became accessible after this declaration. Material inserted in this fashion shall be returned to the initial evaluation committee for review, evaluation and comment before consideration at subsequent levels of review. If, during the review process, the absence of required evaluation documents is discovered, the WPAF shall be returned to the level at which the requisite documentation shall have been provided. Such materials shall be provided in a timely manner.
b.
The
Department Evaluation Committees and Department Chairs
for concurrent review and recommendations. In the event a
department chair withdraws voluntarily or is asked by the
College Dean to withdraw from the evaluation process due to conflict of interest, the faculty member involved may choose to select the names of three department chairs within the college and submit these names to the College Dean. The College Dean shall select one of the nominated department chairs to prepare a substitute chair recommendation.
c. College Evaluation Committees and College Deans concurrently review WPAFs, prepare recommendations, and rank those recommended for promotion. In the event a college dean withdraws voluntarily or is asked to withdraw from the evaluation process by the Provost due to conflict of interest, the faculty member involved may choose to select the names of two college deans and submit these names to the Provost. The Provost shall select one of the nominated college deans to prepare a substitute dean's recommendation.
d. If recommendations from the Department Evaluation Committees, Department Chairs, College Evaluation Committees and College Deans are unanimous, and do not involve non-retention or denial of tenure or promotion, the WPAFs are submitted directly to the President or designee for a decision. The President or designee may request a recommendation from the University Evaluation Committee in other cases as needed.
For all those cases involving disagreements between the recommending parties or for non-retention or denial of tenure or promotion, the WPAFs are submitted to the University Evaluation Committee for review and recommendation.