FACULTY RETENTION, TENURE AND PROMOTION HANDBOOK Page | - 20 -
The
Faculty Retention,
Tenure, and Promotion
Handbook
College of Business
CSU, SAcramento
2014-2015
Table of Contents
Introduction 2
Overview 3
RTP Process 4
The PAF & WPAF 6
Time Frame for Submitted Materials 7
Who Prepares What 8
Working PAF Verification 9
WPAF Index Preparation 10
Criteria and Related Values 12
Calendar 13
RTP Key Dates 18
Classification 20
Secondary Policies and Procedures 21
Introduction
The Senior Associate Dean’s staff of the College of Business Administration prepared this material. This information incorporates policies and procedures found in the Memorandum of Understanding (MOU); the University Appointment, Retention, Tenure and Promotion (UARTP) Policy; The College of Business Administration Policy and Procedures for the Secondary Level ARTP Review; and individual Area faculty evaluation process. The MOU can be found at http://www.csus.edu/fas/faculty.htm and the University ARTP policy, which is part of the University Manual, is located at http://www.csus.edu/admbus/umanual/. Hard copies of the College faculty evaluation process and the individual Area level policies are available on the CBA W drive at the following link: w: Faculty/ARTP documents/Area Policies.
OVERVIEW
The RTP process is the review process by which you are evaluated for retention, tenure, or promotion purposes. The review starts in the first year of your appointment. The process is yearly until tenure has been achieved. (Note: Tenure is usually sought in the 6th year of credited service.) You are eligible for promotion when: “A probationary faculty unit employee shall normally be considered for promotion at the same time he/she is considered for tenure.” (MOU 14.2) Tenured faculty shall normally be considered for promotion during their fifth year of full-time service in their current rank.
The material that is considered for review is called the Working Personnel Action File (WPAF) and consists of material from the Personnel Action File (PAF) and supporting documents which you provide. (See WPAF on page 6). The deadline for completion of the file is dependent upon the RTP classification in which you belong. For classification and calendar of deadlines see pages 13-19.
The Primary Committee is the first level of review. This Committee usually consists of faculty from your Area, although small areas may request the participation of faculty from other Areas. This request usually occurs when there are insufficient numbers of tenured and/or full professors in a particular Area.
The Secondary Committee conducts the second level of review. This committee consists of one faculty representative from each of the Areas in the College. The Dean conducts the third level of review. This is the final review for faculty who are in their 1st, 2nd, 3rd, and 5th year of retention. The files for faculty who are in their 4th or 6th year (tenure) of retention or up for promotion are forwarded to the Vice President for Academic Affairs (Provost) for final evaluation. Each review level summarizes its findings in a memo that is placed in the WPAF (and is available for the next level of review). These reviews are ultimately placed in the PAF when the current evaluation cycle is complete (See the flowchart below for a visual representation of the RTP process). When the whole process has been completed, the file returns to Tahoe 2130 where the PAF portion of the file is stored and the WPAF portion of the file is returned to the faculty member.
RTP Flow Process
(Note: For faculty not on first year performance review)
RTP Flow Process
First Year Performance Evaluation Appointment chart
CUSTODIAN
The Senior Associate Dean, as the Dean’s designee, is the custodian of the PAFs. He/she is the only person, besides you, who can decide what materials will be put in the file. You will be given a copy of any material he/she selects for inclusion at least (10) days prior to its placement in the file. During this (10) day period, you can submit a rebuttal to the Senior Associate Dean. Please keep in mind that although this file is a record of your employment at CSUS, it is the property of the university.
FILE LOCATION
The files are kept in Tahoe 2130 and are accessible to you during normal business hours. Faculty may request in writing a copy of their PAF or portion thereof. All copies will be provided within 14 days.
THE PAF
The Personnel Action File (PAF) contains the permanent record of the RTP process for each faculty member. It consists of (by section):
Section 1 - Current year’s RTP Review Letters (Letters from each level of review)
Section 2 - Previous years’ RTP Review Letters (Letters from all previous reviews)
Section 3 - Student Evaluations (See Area RTP policy for specific requirements)
Section 4 - Other PAF letters (Letters that have been accepted for placement in the file by the custodian or by you).
Section 5 - Index
Section 6 - Curriculum Vitae (CV)
Section 7 - Initial appointment letter
______
THE WPAF
The Working Personnel Action File (WPAF) is constructed for each review period. Material inserted by the custodian includes:
The materials that originate from the PAF and are placed in your file by the Senior Associate Dean staff are denoted with (SAD). The items that must be prepared by the faculty member are denoted with (FM).
Access Log and File Closure Verification Form (SAD)
1. Current Year’s ARTP Review Letters (Review Committees/Dean)
2. Previous Year’s ARTP Review Letters (SAD)
3. Student Evaluations (SAD)
4. Other PAF Insertions (SAD)
5. Index (FM)
Supporting Materials*
a. Teaching Effectiveness (FM)
b. Contributions to the Institution (FM)
c. Scholarly Achievement/Contributions (FM)
d. Contributions to the Community (FM)
6. Curriculum Vitae (FM)
7. Initial Appointment Letters (SAD)
*Supporting materials are returned to the faculty member following the completion of the review cycle.
Time Frame for Submitted Materials
Materials submitted must reflect activities that occur within specific time periods
· Retention through Tenure: Materials submitted/received since date of initial appointment through the current evaluation period’s file closure date.
· First Promotion: Materials submitted/received since date of initial appointment through the current evaluation period’s file closure date.
· Subsequent Promotions: Materials submitted/received since the date the files closed immediately prior to the evaluation which resulted in the last promotion.
Who Prepares What?
The faculty member is responsible for organizing the supporting materials and placing them in the appropriate section of the binder. Consultation with the Senior Associate Dean and/or faculty in your Area is advised as Areas may require certain submissions for use in the evaluation process. Supporting materials must reflect the time period being reviewed.
The Senior Associate Dean’s staff will provide a binder with tabbed dividers to the faculty member. They also place the student evaluations, “current PAF” letters, and “other PAF” documents in the binder. You must make an appointment with the appropriate staff member before the closure date to complete the placement of material into the WPAF. A copy of the verification form that you must sign and which signifies the completion of your file for the current time period is shown below.
VERIFICATION OF WORKING PERSONNEL ACTION FILE CONTENTS
Candidate's Name:
______
(Type or Print)
By signing below, I certify that my Working Personnel Action File has been satisfactorily completed and is ready to be released to the review committees for evaluation and appropriate recommendations. I also certify that references made in my current Index are supported by documentation and that those documents, which did not accompany the Index, are readily available in my faculty office should the material be called for at any review level.
*******************************************************************
2014-2015 Review Cycle
______
Candidate Signature Date
PREPARATION OF THE WPAF INDEX
Please make note of the following:
Materials that you place in the file for the current period’s evaluation have an asterisk (*) placed next to them. Activities that are simply listed in the index for the record do not have an asterisk placed next to them. You are not limited to include only the examples shown on the WPAF index given to you. For example, you may include a statement of teaching and/or research philosophy, or you may include a statement that discusses your student evaluations. The criteria and relative values approved by the College faculty are shown after the WPAF index.
Materials from non-state supported teaching or from outside institutions are not part of your teaching performance evaluated through this process.
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CALIFORNIA STATE UNIVERSITY, SACRAMENTO
College of Business Administration
WORKING PERSONNEL ACTION FILE (WPAF) INDEX
(Relevant review time period placed here)
NAME: ______
FACULTY RANK: ______
This Index is a record of activities and materials submitted for use in my periodic evaluation and performance review. The asterisk indicates those materials, which are to accompany my WPAF as it advances through the evaluation levels.
All other materials available upon request.
SIGNATURE: ______
1. TEACHING PERFORMANCE
a. Input from students (standardized student evaluation results, written or other testimony optional, signed student letters can be included here).
b. Input from professional colleagues (if appropriate).
c. Input from faculty members (e.g., course outlines).
2. SCHOLARLY OR CREATIVE ACHIEVEMENTS
a. Accomplishments in research and/or creative projects.
b. Publication of articles, books, reviews, or research papers.
c. Unpublished manuscripts.
d. Membership and appropriate participation in activities of
professional organizations.
e. Presentation of professional lectures.
3. CONTRIBUTIONS TO THE COMMUNITY
a. Office or directorship on a volunteer basis (national, state, local).
b. Volunteer or paid consultant.
c. Participation on committees of agencies or organizations (national, state, local).
d. Participation in the mass media.
e. Community honors and awards.
f. Other.
4. CONTRIBUTIONS TO THE INSTITUTION
a. Contributions to faculty member's area.
b. Contributions to College of Business Administration.
c. Contributions to the University.
CRITERIA & RELATIVE VALUES
ASSIGNED WEIGHTS FOR FACULTY EVALUATION
APPROVED BY THE COLLEGE FACULTY
RETENTION / TENURE / PROMOTIONCompetent Teaching Performance / .53 / .52 / .51
Scholarly or Creative Achievement / .30 / .31 / .32
Contribution to the Institution / .10 / .10 / .10
Contribution to the Community / .07 / .07 / .07
TOTAL / 1.00 / 1.00 / 1.00
Fall 2014 – Spring 2019
(Weights valid for five years)
Updated: 9/22/14
FACULTY RETENTION, TENURE AND PROMOTION HANDBOOK Page | - 20 -
2014-15 RTP CalendarRetention
College of Business Administration
(Dates subject to modifications)
August 27, 2014 / Academic Year Begins (Faculty)
August 28, 2014 / RTP Workshop (11:30am – 2:00 pm), Deans Conference Room
September 01, 2014 / Labr Day (campus closed)
September 02, 2014 / Fall 2014 Instruction Begins
September 12, 2014 / Retention Working Personnel Action File (WPAF) closure date (4:00 pm)
PLC Review Cycle (All)
September 15 29, 2014 / PLC review and deliberation of retention WPAFs
September 30, 2014 / PLC retention recommendation due to faculty under review
October 10, 2014 / Faculty rebuttal to PLC retention recommendation due to the Senior Associate Dean office
Important Dates - P-4 Faculty
SLC Review Cycle (P-4)
October 13 23, 2014 / SLC review and deliberation of retention WPAFs (P-4)
October 31, 2014 / SLC retention recommendation due to faculty under review (P-4)
November 12, 2014 / Faculty rebuttal to SLC retention recommendation due to the Senior Associate Dean office (P-4)
Dean’s Review Cycle (P-4)
November 13 – December 11, 2014 / Dean reviews retention WPAFs (P-4)
November 10, 2014 / Veteran’s Day (campus closed)
November 27 - 28, 2014 / Thanksgiving Holiday (campus closed)
December 11, 2014 / Dean’s retention recommendation due to faculty under review
(P-4)
December 12, 2014 / Last day of Fall instruction
December 15 19, 2014 / Finals Week
December 19 20, 2014 / Winter Commencement
December 22, 2014 / Faculty rebuttal to Dean’s retention recommendations due to the Senior Associate Dean office (P-4)
December 25, 2014 January 01, 2015 / Campus Closed
January 02, 2015 / Last day of Fall 2014 semester
December 22, 2014 / Faculty rebuttal to Dean’s retention recommendations due to the Senior Associate Dean office (P-4)
Provost’s Review Cycle (P-4)
January 02, 2015 / Transfer of Retention candidate files to Provost (P-4)
January 05 February 06, 2015 / Provost review of retention files (P-4)
January 19, 2015 / Martin Luther King, Jr. Day (Holiday observed)
January 21, 2015 / Beginning of Spring 2015 semester(Faculty)
January 26, 2015 / Spring 2015 Instruction Begins
February 13, 2015 / Provost letter due to Retention candidates (P-4)
2014-15 RTP Calendar
Retention
College of Business Administration
(Dates subject to modifications)
Important Dates - P-2, P-3, & P-5Faculty
SLC Review Cycle (P-2, P-3, & P-5)
October 02 – November 10, 2014 / SLC review and deliberation of retention WPAFs (P-2, P-3, & P-5)
November 11, 2014 / Veteran’s Day (campus closed)
November 27 28, 2014 / Thanksgiving Holiday (campus closed)
Tuesday, November 14, 2014 / SLC retention recommendation due to faculty under review
(P-2, P-3, & P-5)
November 24, 2014 / Faculty rebuttal to SLC retention recommendation due to the Senior Associate Dean office (P-2, P-3, & P-5)
December 12, 2014 / Last day of Fall instruction
December 19 20, 2014 / Winter Commencement
December 25, 2014 January 01, 2015 / Campus Closed
January 02, 2015 / Last day of Fall 2014 semester
Dean’s Review Cycle P-2, P-3, & P-5)
December 12, 2014 / Last day of Fall instruction
January 05, 2015 February 06, 2015 / Dean reviews retention WPAFs (P-2, P-3, & P-5)
December 19 20, 2014 / Winter Commencement
December 25, 2014 January 01, 2015 / Campus Closed
January 02, 2015 / Last day of Fall 2014 semester
January 19, 2015 / Martin Luther King, Jr. Day (Holiday observed)(Campus Closed)
January 21, 2015 / Beginning of Spring 2015 semester (Faculty)
January 26, 2015 / Spring 2015 semester instruction begins
February 06, 2015 / Dean’s retention recommendation due to faculty under review
(P-2, P-3, & P-5)
February 16, 2015 / Faculty rebuttal to Dean's retention recommendation due to the Senior Associate -Dean office (P-2, P-3, & P-5)
Retention Review Cycle (First Year Faculty Spring Performance Review)