A. Evaluation Overview
Membership in the Academic Faculty carries with it special responsibilities to the College, the students, and the profession. For Faculty in tenure-track positions, and Faculty in pro-rata part-time positions, a probationary period is instituted in order to give
Faculty members time to prove themselves, and to give their colleagues time to observe and evaluate on the basis of their performance in the teaching position rather than on the basis only of their education, training, and recommendations. For tenured Faculty, ongoing evaluation assists them in their professional development. For this reason, all Faculty members are subject to evaluation according to the following schedule:
1. Evaluation Timetable
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Faculty Rank
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Review Period
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Reviewers
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Instructor
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Annually
Biannually
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Chair
Chair, PSC, Provost (all)
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Assistant
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Annually until tenured
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All
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(Clinical – Tenure Track)
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Annually until tenured
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All
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(Clinical – Non-Tenure Track)
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Annually
Biannually
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Chair
All
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Pro-Rata Part Time
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Annually (first five years)
Every third year (after five years)
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All
All
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Visiting Faculty
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Annually
Biannually
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Chair
All
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Tenured
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Every five years
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All
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This Chart incorporates the information provided under the Definitions of the Ranked Faculty. The brackets for Clinical Tenure-Track and Clinical Non-Tenure Track indicate that this position needs further discussion.
a. Faculty members will be advised by the Provost and Vice President for Academic Affairs and their respective Division Chairs, at the time of initial appointment, of the substantive standards and procedures generally employed in decisions affecting renewal and, as applicable, tenure.
b. All non-tenured Faculty will annually complete the Guidelines for Faculty Performance (Form 3) document articulating the specific expectations and evaluation criteria for the position. All non-tenured Faculty have the right to performance review and evaluation as specified.
c. Unless otherwise noted, the formal evaluation of Faculty will begin in January each year. Faculty will submit Form 5 Faculty Self-Evaluation to the Office of Academic Affairs and their Division Chairs by Jan. 5. The Division Chair will submit his or her evaluation by Feb. 5, the Professional Standards Committee will submit its recommendation to the Office of Academic Affairs by March 5, and the Provost will submit his or her recommendation to the President by April 15. The Division Chair or Faculty member may request formal review by the Professional Standards Committee and Provost and VPAA at any time.
d. No later than Oct. 15, the Professional Standards Committee will notify those members who are scheduled for review in January for reasons of reappointment, promotion, tenure, or five-year post-tenure reviews, as well as the appropriate Division Chairs. This notification will include the due date for submission of materials to the Office of Academic.
e. Tenured Faculty will be reviewed informally each year by the Division Chair and formally every five years by the Division Chair, Professional Standards Committee, and Provost and Vice President for Academic Affairs as part of the Post-Tenure Review Process. In addition, the Faculty member may request a formal review by the Professional Standards Committee and the Provost at any time. The Division Chair may also initiate a Triggered Review, as described under the Post-Tenure Review Policy section.
f. The College reserves the right to terminate non-tenured Faculty for unsatisfactory performance reviews. The College reserves the right to terminate non-tenured Faculty for cause.
g. Faculty who have been granted tenure can be terminated only for adequate cause, as determined by the Faculty Liaison Committee in consultation with Human Resources, or under extraordinary circumstances, or because of financial exigencies. (AAUP 1995, p.4). See SEPARATION AND SANCTIONS below.
NOTE: In all cases where notice of reasons, standards, and criteria relative to the probationary period are involved, the Faculty member is to be guided by the additional principles as set forth in the 1971 Statement on Procedural Standards in the Renewal or Non-Renewal of Faculty Appointment formulated by the American Association of University Professors and adopted by the Faculty and the Board of Trustees of the institution.
2. Length of the Probationary Period
a) Probationary appointments may be for one year, or for other stated periods, subject to renewal. The terms and status of a probationary appointment will be stated in the initial contract.
b) The probationary period before granting of tenure is normally six contract years for a Faculty member who has had no teaching experience before appointment to the College Faculty. For candidates with no reduction of the probationary period, the tenure consideration and evaluation takes place in the sixth year. If tenure is granted, it is effective at the start of the eighth year.
c) For tenure-track probationary appointments, the total period of full-time service prior to the acquisition of continuous tenure will not exceed seven years, including all previous full-time service with the rank of instructor or higher in other institutions of higher learning; however, in the case of a Faculty member called from another institution, it may be required that he/she serve in a probationary status for a period not to exceed four years, even though thereby his/her total probationary period in the academic profession is extended beyond seven years.
d) Time spent on a leave of absence will not count toward completing the probationary period.
3. Reducing the Probationary Period
Credit Toward Tenure: At the time of initial appointment to a tenure-track position, a person may be accorded, upon agreement of the Provost and the Division Chair, credit toward reduction of the standard six-year probationary period for appropriate professional experience. This credit must be noted in the original appointment letter, which will indicate when the Faculty member is eligible for tenure consideration. Normally, a person may receive up to two years’ credit toward tenure. Only in exceptional circumstances may more credit be granted. The PSC may play a consultative role upon the request of the Faculty member, Division Chair, or Provost. Faculty with credit toward tenure will be reviewed according to the standards identified for second- or third-year faculty, in keeping with the number of years granted by the Provost and Vice President for Academic Affairs. Third-year Faculty must achieve a minimum rating of Effective in all three areas of Faculty performance: Teaching, Professional Development/Scholarly Activity, and Institutional/Community Service.
4. Extending the Probationary Period
a) Tenure-track Faculty granted credit towards tenure may seek to reduce their initial credit towards tenure by one year by written notice to the Provost and Vice President for Academic Affairs. This notice should include a brief explanation of the circumstances leading to the request. Such notice must be made before Dec. 1 of the term before their scheduled tenure review. The Provost shall notify the Professional Standards Committee and the appropriate Division Chair of any reduction in credit years toward tenure.
b) A pre-tenured Faculty member who becomes a parent by birth, emergency foster care placement, or adoption before the tenure documentation is due shall be granted the option of a one-year extension to the tenure probationary period upon providing written notice of each birth or adoption to the Division Chair and provost within six months of the birth, foster care placement, or adoption and (when applicable) before the tenure documentation is due. The Provost and HR Office will coordinate the notification of this option to faculty members.
c) An extension of the tenure probationary period shall be provided to tenure-track Faculty who apply for and are granted an approved leave of absence. The extension of the probationary period shall be for a minimum of one year.
d) In extraordinary cases, tenure-track Faculty may request an extension of the probationary period if there have been reasons beyond the Faculty member's control that he or she has been deprived of reasonable opportunity to demonstrate his or her ability and potential as a teacher-scholar before the sixth year when the tenure decision is normally made (e.g., extenuating or unforeseen personal circumstances; conditions that fall under the Family Medical Leave Act; short- or long-term disability; and/or a man-made or natural disaster) which affects performance in the three pillars of Faculty responsibility.
e) Requests for extensions of the probationary period must be submitted to the Division Chair as soon as possible after the extraordinary circumstances justifying such a request have occurred but, in any case, no later than 90 days prior to the scheduled review for reappointment or promotion to tenure. The request should include sufficient information to identify the circumstances to evaluate the request for an extension and how their performance has been adversely impacted by the circumstances. The Faculty member is not required to disclose detailed private or personal information. The Division Chair forwards the request, along with his/her written recommendation, to the Provost. The Provost shall review the request and Division Chair recommendation and make a determination. The Faculty member and Division Chair will be notified in writing of the extension decision and in the case of a positive decision, the projected tenure review date. The Professional Standards Committee will also be informed of the new tenure review date.
f) Documentation associated with extensions of the probationary period for a pre-tenured Faculty member as described within this section shall be maintained in the Provost’s office and access to it shall be governed by the College policy on Access to Faculty Personnel Files.
5. Faculty Evaluation Process
In order to ensure an effective evaluation system, certain guidelines must be followed. The criteria listed below explains the process used at Keuka College:
a. Administrators, Chairs, and Faculty must have accurate knowledge about the obligations, rights, and responsibilities of all faculty members.
b. Each non-tenured Faculty member should be provided with a written statement as to his/her responsibilities. The annual Guidelines for Faculty Performance (Form 3) document, which is written in consultation with the Division Chair, should therefore become a jointly written agreement that clearly describes the institution’s expectations of each Faculty member’s duties for that year.
c. Since no two Faculty positions are identical, there should be flexibility in the responsibilities assigned.
d. The Division Chair will informally evaluate new Faculty members during their first semester. Consultation with the Faculty member will occur as needed over the course of the semester.
e. Multiple evaluation sources should be used by each evaluator, and each evaluator should be properly trained in the use of Faculty evaluation instruments. Evaluators at all levels – the Division Chair, the Professional Standards Committee, and the Provost and Vice President for Academic Affairs – have access to the same information in the Faculty member’s evaluation and SEI file.
f. Each evaluator should reach an independent decision.
g. Evaluations should be regularly scheduled, follow due process, and be based on complete, cumulative, and documented information.
h. The results of performance evaluations should be promptly given to Faculty members.
i. Specific and valid reasons should be given to Faculty members for adverse decisions.
j. Faculty members have the right to respond in writing to an evaluation in regard to accuracy, relevance and completeness, and must do so within ten (10) business days of receiving the evaluation by email or mail.
k. Differing decisions should be discussed between the groups making decisions, with the understanding that the Board of Trustees is responsible for the final decision.
6. Implementation of the Faculty Evaluation Procedure
It is the responsibility of the Division Chair to observe and evaluate non-tenured Faculty members, to give advice and assistance as they strive to improve performance, and to provide them an opportunity for regular review of their progress and qualifications for renewal of appointments.
In the interest of good practice and fairness to non-tenured Faculty members, the Professional Standards Committee may request that, in addition to regular evaluation of candidates for re-appointment, an interim or updated evaluation be submitted by the Division Chair and, if necessary, the Division Chair meet with the Faculty member to discuss and assess his/her performance. The purpose of such periodic reviews is to aid Faculty members during the probationary period in improving their professional work at the College.
The probationary Faculty member may also request a meeting with the PSC to discuss her/his performance.
a. Upon employment, or prior to the beginning of the academic year, full and pro-rata part-time tenure-track faculty, instructors, clinical faculty, and visiting professors will meet with their respective Division Chairs and review the listing of potential responsibilities in the annual Guidelines for Faculty Performance (Form 3) document. The Chair will remind the Faculty member that all areas in Teaching are required of all full-time teaching Faculty members. The remainder of the document is flexible, and duties should be agreed upon depending upon the nature of the position. These duties shall be considered the minimal responsibilities for the position. Other responsibilities may be assumed by the Faculty member, and this additional work will be considered in the evaluation process assuming that the minimal responsibilities are effectively met. (See Form 3 Guidelines for Faculty Performance)
1) When the document is fully agreed upon, it will be signed by the Faculty member and the Chair, and submitted to the Office of the Provost and Vice President for Academic Affairs. The Chair, the Faculty member, and the Provost and Vice President for Academic Affairs will each receive a copy.
2) During the year, the document may be revised if circumstances warrant. A revised document will be submitted to the Provost and Vice President for Academic Affairs for placement in the evaluation file.
b. The Faculty member is responsible for providing the PSC all necessary information and materials, to include:
1) A self-evaluation, including Form 5a Self-evaluation Cover Sheet. (See Form 5: Directions for Self-Evaluation for Promotion and Tenure in the PSC portal.)
2) The names of at least three colleagues submitting letters, if required (tenure and promotion), preferably selecting people familiar with the Faculty member’s responsibilities as outlined in the Guidelines for Faculty Performance document, so that all three evaluation categories are covered.
i) Each colleague will write a narrative evaluation based on the responsibilities and send it to the Office of the Provost and Vice President for Academic Affairs for inclusion in the evaluation file in accordance with the deadlines established by the PSC.
ii) Letters of reference will be considered confidential if the Faculty member under review signs a waiver to that effect when she/he submits the names of colleagues who will provide them except as noted above (Access to Policy on Faculty Files, Section VI.A.2).
iii) The candidate will inform each colleague of the deadline when these letters of references must be completed and submitted to the Office of the Provost and Vice President for Academic Affairs.
3) An updated resume/curriculum vitae, if required (tenure and promotion).
i) Materials submitted by the Faculty member, Chair, and colleagues will be sent to the Academic Affairs’ Office to be added to the evaluation file.
ii) The evaluation file provides the basis for a systematic analysis sufficient to determine a positive or negative recommendation by all evaluators. The evaluation file may include, but is not limited to, the following:
1) all past and current evaluation materials
2) all prior letters of reappointment
3) all syllabi
4) grade distribution data
5) classroom observation reports
6) all resumes/ curricula vitae
iii) The Division Chair will read all materials in the evaluation file. The Chair will write a narrative evaluation using the format provided by the Professional Standards Committee. The Chair will share her/his evaluation recommendation with the Faculty member, who will sign the document before it is sent to the evaluation file. (See Form 6, Evaluation of Faculty Members, in the PSC portal.)
iv) The Faculty member has the right to submit a statement of her/his own and any additional documentation or supporting evidence if s/he wishes to supplement or differ with the opinions of the Chair. This statement should be sent to the Provost and Vice
President for Academic Affairs’ Office to be added to the evaluation file by the end of ten (10) business days after receipt of the Chair’s evaluation.
v) The Professional Standards Committee will read all materials in the evaluation file and PSC file and reach a determination. If the Committee’s overall determination is in disagreement with the Chair, consultation must take place between the PSC and the Chair. The PSC must initiate the consultation with the Chair prior to the submission of the PSC recommendation. The PSC will submit its narrative recommendation to the Provost, with copies to the Faculty member, the appropriate Division Chair, and the Faculty member’s evaluation file.
vi) The Faculty member has the right to submit a statement of her/his own and any additional documentation or supporting evidence if s/he wishes to supplement or differ with the opinions of the PSC. This statement should be sent to the Provost and Vice President for Academic Affairs’ Office to be added to the evaluation file by the end of ten (10) business days after receipt of PSC evaluation.
vii) The Provost and Vice President for Academic Affairs will review all materials in the evaluation file and make a recommendation to the President of the College. If her/his determination is in overall disagreement with the PSC and/or the Chair, consultation must take place between the Provost and Vice President for Academic Affairs, the PSC, and/or the Chair. The Provost and VPAA must initiate this consultation prior to the submission of a recommendation to the President.
viii) In cases of reappointment, promotion and tenure, copies of all recommendations from the Division Chair, Provost and Vice President for Academic Affairs, and the PSC will be sent to the President for his/her review and final decision. If the President’s final overall determination is in disagreement with the Provost and Vice President for Academic Affairs, the PSC, and/or the Chair, consultation must occur between the relevant dissenting parties. The President must initiate this consultation prior to submitting a recommendation to the Board of Trustees.