700.00 Annual Review

 
  • Table of Contents
  • 702.00Definitions

  • 710.00Purpose of Review
  • 711.00 Purpose of Annual Review
  • 712.00 Letter of Hire/Faculty Role Statement

  • 720.00Procedures for Conducting Annual Reviews
  • 721.00 Responsibilities of the Department Head
  • 722.00 Procedures for Making Salary Recommendations

  • 730.00Faculty Rights Relative to Annual Review
  • 731.00 Right to Timely Review
  • 732.00 Right to Appeal Performance Evaluation
  • 733.00 Right to Remediation Plan
  • 734.00 Right to Appeal Remediation Plan

  • 740.00Annual Review of Academic Administrators
  • 741.00 Annual Review of Department Heads, Assistant Deans and Associate Deans
  • 742.00 Annual Review of College Deans
  • 743.00 Annual Review of Administrators

  • 750.00Annual Review of Academic Support Faculty and Researchers

  • 760.00Procedures for the Review of Extension Specialists, Faculty Directors/Center Directors and Other Faculty with Dual-Reporting or Jointly-Sponsored Assignments
  • 761.00 Policy -- Extension
  • 762.00 Procedures
  • 763.00 Right of Appeal
  • 764.00 Policy-- non-Extension
  • 765.00 Procedures
  • 766.00 Right of Appeal
 

702.00 Definitions

"Academic Department Head" means the head of the academic unit in which a faculty member's locus of tenure resides. If a faculty member's locus of tenure resides in a college rather than a department, the academic department head is the academic administrator of the college who conducts annual reviews of the faculty.

"Annual Review" is the yearly review of a faculty member's performance conducted by the faculty member's immediate supervisor such as department head, department executive committee or dean.

"Faculty with Dual-Reporting or Jointly Sponsored Assignments" means a faculty member who works for more than one academic or administrative department and whose locus of tenure resides in an academic department.

"Letter of Hire" means the initial letter offering a tenurable position to an employee. The letter of hire is intended as a temporary contract for the period from the date of hire until the issuance of the Board of Regents contract. The letter of hire specifies the initial terms, conditions, and expectations of the position.

"Non-Departmental Administrator" means the department head, dean or administrator who has funding responsibility for Extension specialists, faculty or center directors, or other faculty who have dual reporting or jointly sponsored assignments.

"Non-Departmental Supervisor" means the department head, dean or administrator who has supervisory responsibility for Extension specialists, faculty or center directors, or other faculty who have dual reporting or jointly sponsored assignments.

"Performance Rating" means the result of the faculty member's annual review.

"Personnel Records" means the confidential and public records which relate to an employee's personal and professional characteristics, record of experience, and evaluation of performance or potential.

"Salary Administration Plan" means the procedures by which faculty receive salary increases depending upon the budget resources available, the faculty member's annual performance rating, and market considerations.

Revised, July 1, 1999.


710.00 Purpose of Review

711.00 Purpose of Annual Review

Annual review assesses the faculty member's performance over the preceding calendar year and is based upon the faculty member's letter of hire, role statements, annual assignments, self-assessment, and the department head's evaluation of the individual's performance. Reviews must be completed by April 10 or the date specified by the Provost and Vice President for Academic Affairs. The annual review with ratings and any written appeals to the review shall be included in the candidate's personnel file.

Revised, July 1, 1998.

712.00 Letter of Hire/Faculty Role Statement

The letter of hire identifies the instructional or professional practice expectations of the faculty member's appointment. The faculty member and the department head are responsible for developing, and updating as necessary, the Role Statement which identifies the broad responsibilities each faculty member is expected to perform. Any substantive changes in the expectations and/or the role of the faculty within the department must be approved by the dean, department head.and the Provost and Vice President for Academic Affairs, after negotiation with the faculty member.

Annual reviews evaluate the faculty member's success in meeting expectations identified in the letter of hire and the role statement.


720.00 Procedures for Conducting Annual Reviews

The following procedures should be used in conducting annual reviews:

A.
The faculty member and department head annually review the faculty member's performance relative to the faculty member's role and responsibilities. Evaluations are expected to recognize the requirements and expectations of the position and the proportionate time and resources officially allocated to particular activities.
B.
The department head rates the performance of each faculty member and submits the rating card to the college dean using the rating system prescribed by the Salary Review Committee SRC).
C.
The faculty member must sign the card on which the rating is communicated to the SRC. The signature of a faculty member does not indicate concurrence with the rating; rather it signifies that he or she has seen the rating. If the faculty member refuses to sign the card, the card shall be forwarded with the notation that the faculty member refused to sign it.
D.
Copies of all annual reviews and the performance ratings of each faculty member shall be maintained in the faculty member's file in the department. These files shall be kept confidential and maintained in conformity with 453.00.

721.00 Responsibilities of the Department Head

The department head shall assign each faculty member the specific duties and responsibilities which meet department needs and enable the faculty member to fulfill the responsibilities of the position. The department head shall ensure that, taken collectively, the assignments of the faculty shall meet the department's and college's obligations to the University. The department head and the faculty member shall annually review the faculty member's role within the department and make any modifications as may be necessary, after consultation with the faculty member. Any substantial modification of the faculty member's role within the department must be approved by the department head,dean and Provost and Vice President for Academic Affairs, after consultation with the faculty member.

722.00 Procedures for Making Salary Recommendations

Merit increases are based on the faculty member's performance as assessed in the annual review process. Salary recommendations are not guarantees; the faculty member's actual salary may be changed by the SRC, by the President, or the Board of Regents.

The department head shall submit a proposed salary recommendation for each faculty member to the non-departmental administrator, if applicable and the college dean for the academic department.

In the case of Extension faculty, the salary recommendation is also sent to the Vice Provost and Director of Extension, and both the college dean for the academic department and the Vice Provost and Dean of Extension will, together, approve or modify the salary recommendation.

The salary recommendation is then submitted to the Salary Review Committee by the established deadline. Written notice of the salary recommendation will be given to the faculty member by the college dean of the academic department.

Revised, July 1, 1999.

722.01 Recommendations of the Salary Review Committee

The Salary Review Committee shall be appointed and charged according to 253.00. The Committee shall review all salary recommendations for conformity in the application of the standards of the University's salary administration plan and forward them to the President.


730.00 Faculty Rights Relative to Annual Review

Tenurable faculty shall be involved in the review of administrators.

731.00 Right to Timely Review

A faculty member who is not reviewed or does not receive a copy of the written annual review with performance rating by April 11 may bring the matter to the attention of the dean. The faculty member should inform the dean in writing, no later than April 15. (See 461.00.)  In the special case of a faculty member receiving an annual review after an unsatisfactory rating the previous year, the new written annual review with performance rating is due to the faculty member no later than March 15; this early deadline helps expedite the lengthy post-tenure review process (See Sec. 618.00).

Revised July 1, 2003.

732.00 Right to Appeal Performance Evaluation

A faculty member who disagrees with a performance evaluation or rating should follow the procedures outlined in 462.00.

733.00 Right to Remediation Plan

A faculty member who receives one performance rating of "unsatisfactory" will be given a remediation plan, developed by the primary administrative reviewer in consultation with the faculty member. This plan will document the specific actions required to obtain a performance rating higher than "unsatisfactory" on the following annual review. The plan should be in place - approved and signed onto by both parties - no later than one (1) month after the faculty member ahs received the "unsatisfactory" evaluation; or, in the case of an appeal, no later than ten (10) days after the decision of the administrator at the next higher level.

A faculty member who receives two consecutive "unsatisfactory" performance ratings will be subject to Post-Tenure Review of Faculty (See Sec. 618.00).

734.00 Right to Appeal Remediation Plan

A faculty member who disagrees with the remediation plan developed by the primary administrative reviewer should follow the procedures outlined in Sec. 463.00.


740.00 Review of Academic Administrators

741.00 Annual Review of Department Heads, Assistant Deans and Associate Deans

A. Criteria and standards for the annual performance evaluation of department heads and assistant and associate deans shall be established by the college dean. Procedures must include the solicitation of written evaluations from the faculty. These evaluations shall be kept confidential; summaries may be shared with the administrator being reviewed as long as the names and other identifying characteristics are removed.

B. The college dean shall evaluate the department head and assistant and associate deans and submit a written review and salary evaluation to the Provost and Vice President for Academic Affairs. The review must be signed and dated by both the reviewee and dean. The reviewee's signature indicates the administrator has read the document but does not necessarily indicate agreement.

C. If there is disagreement, the administrator under review may append to the review a written statement of the reasons for disagreement. This statement shall be forwarded to the Provost and Vice President for Academic Affairs and a copy shall be retained in the administrator's personnel file.

742.00 Annual Review of College Deans

The performance of college deans is reviewed and evaluated by the Provost and Vice President for Academic Affairs using procedures analogous to those described in 741.00.

743.00 Annual Review of Administrators

Administrators, including the President, Provost and Vice President for Academic Affairs, Vice Presidents, Associate and Assistant Vice Presidents and designated directors shall be reviewed according to the procedures established by the President and Faculty Senate.


750.00 Annual Review of Academic Support Faculty and Researchers

The performance of faculty on academic support appointments and research appointments shall be evaluated annually according to procedures established by the department and the college. (See 330.03 and 340.01.)

760.00 Procedures for the Review of Extension Specialists, Faculty Directors/Center Directors and Other Faculty with Dual-Reporting or Jointly-Sponsored Assignments

761.00 Policy -- Extension

The head of the academic department to which an Extension Specialist is assigned shall conduct the annual reviews. The review of a faculty member will incorporate input from the Extension, using an evaluation instrument or other form of written input agreed upon in advance by the Vice Provost and Director of Extension, the academic department heads, and the Extension Specialists involved. This input from Extension shall be made available to the faculty member being reviewed and included in the academic department head's written annual review and be a factor in the annual performance rating.

Effective July 1, 1999.

762.00 Procedures

A. Before conducting the review of a faculty member who has dual reporting or jointly sponsored assignments, the academic department head shall request input about the faculty member's performance from Extension.

B. The academic department head will reference and include the input from Extension in the written annual review of the faculty member and factor that evaluation into the faculty member's annual performance rating. The academic department head shall send a copy of the written review and rating to the non-departmental administrator.

Effective July 1, 1999.

763.00 Right of Appeal

A faculty member who disagrees with the written annual review or the performance rating has the following rights of appeal:

A. If he or she disagrees with the written annual review or performance rating of the academic department head, the faculty member shall follow the procedures outlined in Section 462.00.

B. If he or she disagrees with the input from Extension, the faculty member shall write a response, with copies to the academic department head and the Vice Provost and Director of Extension. The response becomes a part of the faculty member's personnel file and shall be forwarded with the faculty member's other annual review documents in any dossier submitted for retention, promotion, or tenure.

Effective July 1, 1999.

764.00 Policy -- non-Extension

The head of academic department to which a faculty or center director, or other faculty member with dual reporting or jointly sponsored assignments is assigned shall conduct the annual reviews. The review of a faculty member will incorporate written evaluation by his or her non-departmental administrator. This review shall be included in the academic department head's written annual review and be a factor in the annual performance rating.

Effective July 1, 1999.

765.00 Procedures

A. Before conducting the review of a faculty member who has dual reporting or jointly sponsored assignments, the academic department head shall request input about the faculty member's performance from the non-departmental administrator.

B. The academic department head will reference and include the non-departmental administrator's evaluation in the written annual review of the faculty member and factor that evaluation into the faculty member's annual performance rating. The academic department head shall send a copy of the written review and rating to the non-departmental administrator.

C. If the non-departmental administrator believes that the faculty member's written annual review does not accurately reflect his or her evaluation, he or shall submit a separate written review to the faculty member, with a copy to the academic department head. The non-departmental administrator's review becomes part of the faculty member's personnel file and shall be forwarded with the faculty member's other annual review documents in any dossier submitted for retention, promotion or tenure.

Effective July 1, 1999.

766.00 Right of Appeal

A faculty member who disagrees with the written annual review or the performance rating has the following rights of appeal:

A. If he or she disagrees with the written annual review or performance rating of the academic department head, the faculty member shall follow the procedures outlined in Section 462.00

B. If he or she disagrees with a non-departmental administrator's written review, the faculty member shall write a response, with a copy to the academic department head. The response becomes a part of the faculty member's personnel file and shall be forwarded with the faculty member's other annual review documents in any dossier submitted for retention, promotion, or tenure.

Effective July 1, 1999.


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