1. Retention, Tenure and Promotion Appendix J August 26, 2016 Colleen Mullery Sr. Associate Vice President, Faculty Affairs & Human Resources

2. RTP ABCs  Appendix J – RTP Policies and Procedures  CBA – Collective Bargaining Agreement  CPC – College Personnel Committee  eWPAF – Electronic Working Personnel Action File  IUPC – Initiating Unit (Dept) Personnel Committee  PAF – Personnel Action File  PDP – Professional Development Plan  PDS – Personnel Data Sheet  RTP – Retention, Tenure, Promotion  UFPC – University Faculty Personnel Committee  WPAF – Working Personnel Action File 2

3. Topics  Committee/Administrative Reviews  Department (IUPC)  College (CPC)  University (UFPC)  Chair  Dean  Provost  President  Areas of Performance 3

4. Topics  Performance Reviews  WPAF/eWPAF Performance Review  Continuing Faculty Seeking RTP  Modified Performance Review  New Faculty Seeking Retention/Reappointment  Evaluation  Periodic Evaluation  Continuing Faculty with 2-year Reappointments  Post-Tenure Review 4

5. 5 Required to submit an electronic file:  Probationary faculty unit employees hired effective AY 2014/15 or later  Tenured faculty unit employees submitting files for promotion during AY 2017/18 or later  Temporary lecturers undergoing Range Elevation review May choose to submit an electronic file:  Probationary faculty unit employees hired prior to AY 2014/15  Tenured faculty unit employees submitting files for promotion during AY 2016/17 Who submits an Electronic RTP File?

6. Committee/Administrative Reviews Committee/Administrative Reviews Responsibilities  Peer and administrative reviews should recommend either a one or two-year reappointment for probationary faculty seeking retention  Reviewers (Dept Chairs or Committee Members) may not serve on two levels of review  Candidates for promotion are ineligible for service on promotion or tenure peer review committees (15.43) 6

7. Committee/Administrative Reviews Committee/Administrative Reviews Responsibilities (continued)  All reviewers must review each candidate’s WPAF and sign log; electronic log “signature” will be generated within Interfolio for eWPAFs  Faculty committee members may write collegial letters in addition to RTP recommendation letter  Committee recommendations approved by simple majority  Confidential deliberations 7

8. Retention Period a)Any evaluation committee or appropriate administrator may request that the President or her/his designee grant a one-year retention period for a candidate he/she deems would benefit from an additional Performance Review. [emphasis added] b) The President or her/his designee may grant a one-year retention period for a candidate he/she deems would benefit from an additional performance review. Appendix J §VII.B.5. Recommendation Letters 8

9.  Committee letters addressed to next reviewing level  For WPAF:  Provide copy to candidate  Provide copy to previous review levels  Insert original signed letter into Section 5  For eWPAF:  Upload signed letter into Section 5  Email a copy of the letter to the College designee  College designee will forward to the candidate and previous review levels 9

10. Candidate Response/Rebuttal to Recommendation Letters  Candidate may submit a response and/or request a meeting to discuss any recommendation  Responses may not be used as a means to insert additional materials into the WPAF  Written response or meeting must be completed prior to the file’s move to the next review level  Response statements are placed into Section 5 of WPAF or uploaded into Section 5 of eWPAF by College designee  For WPAF, hard copy letters are sent to all previous reviewers; for eWPAF, College designee will email a copy to previous reviewers 10

11. Dept. Personnel Committee (IUPC) Dept. Personnel Committee (IUPC) Responsibilities  Minimum three-member committee composed of higher rank tenured faculty  When there are insufficient eligible members, the dept shall elect members from a related discipline.  Assist and Advise candidate on WPAF preparation  Department Personnel Committee (IUPC) chair or designee reviews Personnel Action File (PAF) in College Office to ensure that all pertinent documents are incorporated into the WPAF/eWPAF before file close date  Insert IUPC Procedures into Section 3 of WPAF, or provide to candidate to upload into Section 3 of eWPAF  Confidential deliberations 11

12. Dept. Personnel Committee (IUPC) Dept. Personnel Committee (IUPC) Responsibilities (Continued)  Invite collegial letters from all faculty in dept.  Dept. Faculty at rank of Professor are expected to write collegial letters  Collegial letters should be based on direct observation and/or review of scholarly work – see suggested observation template on APS site  Department Chairs may write collegial letters in addition to Dept Chair recommendation letter  Solicit letters from students on the faculty member’s behalf  Faculty may not solicit letters directly from their current students or student assistants  Faculty may solicit letters from alumni, but best practice is for IUPC to do so  Invite students to meet with committee  Submit or summarize in writing student comments, identified by name 12

13.  May add materials after file submission but prior to close date  For WPAF:  Candidate may not add materials after file submission due date  IUPC may add collegial and student letters  IUPC may add relevant documents from the PAF  Index need not be updated to reflect added materials  For eWPAF:  Candidate may not add materials after file submission due date, except for collegial and student letters and relevant documents from the PAF as identified by the IUPC  No materials may be added by the candidate after the file closes Dept. Personnel Committee (IUPC) Dept. Personnel Committee (IUPC) Responsibilities (Continued) 13

14.  Write evaluative, not advocacy, letter grounded in evidence  Include summary analysis of student evaluations  Positive recommendations should specify either one- or two-year reappointment  Letter addressed to College Personnel Committee  For WPAF, copy to candidate and insert original in Section 5  For eWPAF, upload letter in section 5 and email copy to College Designee who will send to candidate Dept. Personnel Committee (IUPC) Dept. Personnel Committee (IUPC) Responsibilities (Continued) 14

15. Where not obvious, the value of contributions in the scholarly/creative activities and service areas of performance should be indicated and explained by the candidate and evaluated by the faculty and/or members of the initiating unit personnel committee. For example, in cases where candidates receive weighted teaching units for their non-teaching duties (i.e., coaching, theatrical design, conducting, etc.) the initiating unit personnel committee shall explain how the assignment of weighted teaching units contributes to the scholarly/creative activities and service areas of performance. Appendix J: Section IX.A.3 Dept. Personnel Committee (IUPC) Dept. Personnel Committee (IUPC) Responsibilities (Continued) 15

16. College Personnel Committee (CPC)  Recommend to UFPC  Ensure that IUPCs carry out their responsibilities  Insert CPC procedures into Section 3 of WPAF; provide procedures to College designee for insertion into Section 3 of eWPAF 16

17. University Faculty Personnel Committee (UFPC)  Endorse retention recommendation if agreement at lower levels  Full review of tenure/promotion files  Review lower-level committee procedures to ensure compliance  Comment on areas of improvement (all files)  Recommend to Provost (Retention) or President (Tenure/Promotion) 17

18. Administrative Review  Department Chair recommends to the College/Library Dean  College/Library Dean or Director of Counseling & Psych Services recommends to the Provost or VP of Enrollment Management & Student Affairs  Provost recommends to the President on Tenure/Promotion files; makes final decision on retention files  President consults with UFPC prior to making final decision on Tenure/Promotion files 18

19. Areas of Performance The general criterion for any decision regarding RTP shall be academic competence of candidates as judged by their performance in the areas of: (1) Teaching/Librarianship/Counseling Effectiveness, (2) Scholarly/Creative Activities, and (3) Service with attention to the value of the candidates currently and in the reasonably foreseeable future to the instructional program of the University. Appendix J: Section IX 19

20. Department RTP Criteria and Standards  Simplify and add specificity to University RTP Policy  Establish clear requirements for documenting quality and significance of faculty achievements  Do not substitute for University’s policy on RTP  Are inserted or uploaded into Section 3 if they have been approved 20

21. Teaching Effectiveness  Demonstrated excellence is essential for tenure and promotion  Assessed primarily through collegial evaluation of classroom teaching and summary analysis of student evaluations by peers  Collegial letters from within discipline documenting direct observation is essential  “Sound academic advising” may be considered  Student evaluations are important 21

22. Scholarly/Creative Activities  Faculty are expected to engage in ongoing program of scholarly/creative activities  Collegial/peer review appropriate to the discipline is required  Works in progress weigh less heavily than works completed 22

23. Service All faculty shall offer reasonable contributions to the university, the profession and/or the community as defined by department/unit RTP criteria and standards. In the area of participation in professional organizations, documented evidence of participation and leadership roles shall be considered more significant than mere membership. Appendix J 23

24. Performance Review (WPAF) Performance Review (WPAF) Who submits a WPAF or eWPAF?  Faculty applying for Tenure and/or Promotion  Faculty in the second year of a two-year reappointment  Faculty with a one-year reappointment  Faculty hired in prior year 24

25. Working Personnel Action File (WPAF)  Each of the 9 sections of the WPAF are described in Appendix J: § V.E.  Contains all required forms and documents, candidate generated material, evaluative materials, recommendations, and candidate’s rebuttals, if any 25

26. When is the WPAF submitted?  Personnel Action Dates: 2016-2017  Continuing Probationary Faculty seeking Retention (Groups III and IV) : August 24 or January 13 (check reappointment letter for your group)  Probationary Faculty applying for Tenure/Promotion, including Early Tenure (Group V) : September 20  Tenured Faculty applying for Promotion (Group VI) : October 27 26

27. Modified Performance Review Modified Performance Review Process  Required to reappoint new tenure-line faculty to academic year following initial appointment  Only time during RTP that Dean has reappointment authority  Reappointment may be for one-year only, not two-years 27

28. Modified Performance Review Modified Performance Review Minimum Required Elements  Professional Development Plan (PDP) which is completed during fall semester  Student Evaluations from fall semester 28

29. Modified Performance Review Modified Performance Review Appendix J Appendix J: §IV.G. All newly appointed probationary faculty seeking second year retention shall undergo a Modified Performance Review, including those awarded service credit upon appointment to the university. 1. The Modified Performance Review shall include submission of a A. reviewed Professional Development Plan, B. evaluations of teaching performance, C. Initiating Unit Personnel Committee (IUPC) review, and D. review by the College/Library Dean. 2. The IUPCs shall consider teaching/librarian/counseling effectiveness and address possible problem areas in making a recommendation to the College Dean, the Dean of the University Library or the Director of Health and Counseling Services. 3. After the Modified Performance Review for second year retention, subsequent terms of retention prior to tenure and promotion normally shall be two years. 15.32 29

30. Modified Performance Review Modified Performance Review Reviewers  Initiating Unit/Department Personnel Committee (IUPC)  Retention recommendation – one year only  Department Chair may write separate letter if not a member of a peer review committee  College/Library Dean – Retention Decision Authority 30

31. Retention Period After the Modified Performance Review for second year retention, subsequent terms of retention prior to tenure and promotion normally shall be two years. Appendix J: § IV.G.3. 31

32. Modified Performance Review Modified Performance Review Due Date  Personnel Action Dates (PAD): 2016-2017  New Faculty appointed Fall 2016 (PAD Group I):  Wednesday, January 11 32

33. Periodic Evaluation  Continuing faculty during 1 st year of a 2-year reappointment  Evaluative only – no personnel action since faculty member has a 2-year reappointment  Evaluate teaching effectiveness  Comment on PDP 33

34. Periodic Evaluation Periodic Evaluation Required Elements  Current Professional Development Plan (PDP)  Student Evaluations that were not reviewed in most recent WPAF submission (typically fall of current year, and fall and spring of previous AY) 34

35. Periodic Evaluation Periodic Evaluation Due Date  Continuing Faculty during 1 st year of a two-year appointment (PAD Group II):  Monday, January 30 35

36. Post-Tenure Review (CBA 15.32)  Intervals no greater than five years  FERP faculty are not subject to Post-Tenure Review  Tenured Assistant and Associate Professors are subject to Post-Tenure Review in five-year intervals if they are not applying for Promotion  Colleges determine due dates  Review Periodic Evaluation of Tenured Faculty Policy for required elements 36

37. You SHALL Sign the Log  FINAL REMINDER:  All faculty/administrators who review either a PAF in the College Office or a hard copy WPAF must sign the Log Sheet every time the File is reviewed.  A log will automatically be created when an eWPAF is accessed. 37

38.  HSU Faculty Handbook Appendix J: http://www.humboldt.edu/aavp/faculty-handbook http://www.humboldt.edu/aavp/faculty-handbook  APS RTP Web Page: http://www.humboldt.edu/aps/faculty/retention.html http://www.humboldt.edu/aps/faculty/retention.html  RTP Handbook  WPAF/eWPAF – 9 sections described  WPAF and RTP Workshop PowerPoint presentations  Professional Development Plans (PDPs) described  Department RTP Criteria and Standards  Personnel Action Dates  Templates and info on electronic RTP processes  Interfolio guides  UFPC Web Site: http://www2.humboldt.edu/senate/ufpchttp://www2.humboldt.edu/senate/ufpcResources 38

39. Questions? Colleen Mullery Colleen.Mullery@humboldt.edu Academic Personnel Services http://www.humboldt.edu/aps academicpersonnel@humboldt.eduacademicpersonnel@humboldt.edu or aps@humboldt.edu aps@humboldt.edu Siemens Hall 212 826.5086 39