Promotion and Tenure Workshop 1

Evaluation Procedure There is only one evaluation procedure leading to recommendations regarding promotion, tenure and renewal for full-time members in accordance with procedures developed by the Senate and approved by the President. There is only one evaluation procedure leading to recommendations regarding promotion, tenure and renewal for full-time members in accordance with procedures developed by the Senate and approved by the President. 2

The Evaluation Process Counseling, Librarian and Teaching Faculty are evaluated: Counseling, Librarian and Teaching Faculty are evaluated:  For Promotion and / or  For Tenure and / or  Renewal or  For Professional Assessment 3

Routing for Renewal (teaching faculty) 4 DECChairDean Provost

Routing for Renewal (Counselors and Librarians) DEC Spokesperson (Librarians) DirectorProvost 5

DECChair Routing for Promotion and Tenure (teaching faculty) 6 DeanP&TProvost

Routing for Promotion and Tenure (Counselors and Librarians) 7 DEC Spokes- person Librarians only DirectorP&TProvost

The Role and Responsibilities of the DEC 8

What is the DEC? The elected dept evaluation committee (DEC) conducts evaluations for renewals promotion and tenure. The elected dept evaluation committee (DEC) conducts evaluations for renewals promotion and tenure. Only tenured members may serve on the DEC. Only tenured members may serve on the DEC. Request in writing for a “hardship” DEC goes to the University President and Provost before June 15 th. HR will provide the department with the membership of the hardship DEC. 9

DEC Ethics In no case shall persons under consideration for promotion serve on the DEC during any deliberations on promotion. In no case shall persons under consideration for promotion serve on the DEC during any deliberations on promotion. 10

How Does the DEC know Who to Evaluate? Human Resources provides spreadsheets to assist the DEC’s in determining eligibility for renewal, promotion, and tenure, as well as professional assessments for tenured faculty. Human Resources or AAUP can assist DECs with interpreting the spreadsheets. Human Resources provides spreadsheets to assist the DEC’s in determining eligibility for renewal, promotion, and tenure, as well as professional assessments for tenured faculty. Human Resources or AAUP can assist DECs with interpreting the spreadsheets. 11

The Written Evaluation ( ) After deliberations, the DEC must make written evaluation and recommendation with supporting reasons based upon the evaluation criteria. After deliberations, the DEC must make written evaluation and recommendation with supporting reasons based upon the evaluation criteria. Each recommendation must be signed by all members of the DEC. If a DEC member elects to write a minority report, it must be appended to the DEC’s report. 12

The Written Evaluation contd. Recommendations shall include a summary using one of the following phrases: Recommendations shall include a summary using one of the following phrases:  “Do Not Recommend”  “Recommend with Some Reservation”  “Recommend”  “Strongly Recommend”  “Very Strongly Recommend” 13

Evaluations should be candidly and clearly written. They should include: Specific examples illustrating the quality of performance. Specific examples illustrating the quality of performance. Constructive, specific suggestions for improvement where needed. Constructive, specific suggestions for improvement where needed. Practical guidance for how to address any concerns identified by the DEC. Practical guidance for how to address any concerns identified by the DEC. 14

Important Points Be honest. Be honest. A negative recommendation should not come as a surprise to the candidate. A negative recommendation should not come as a surprise to the candidate. Follow the contractual procedures, the Faculty Senate document timetable, and your Departmental Bylaws. Follow the contractual procedures, the Faculty Senate document timetable, and your Departmental Bylaws. 15

CAUTION! No document shall be placed in an evaluation or assessment file without the knowledge of the faculty member being reviewed. No document shall be placed in an evaluation or assessment file without the knowledge of the faculty member being reviewed. 16

Transmittal to the Member (teaching faculty) A copy of the DEC, Chairperson, and Dean Evaluation and recommendation, with supporting reasons, must be given to the member 4 days prior to transmitting to the next evaluative body. A copy of the DEC, Chairperson, and Dean Evaluation and recommendation, with supporting reasons, must be given to the member 4 days prior to transmitting to the next evaluative body. A member shall have 4 days to append comment to the evaluation. A member shall have 4 days to append comment to the evaluation. 17

Transmittal to Member (Counselors and Librarians) A copy of the DEC, Spokesperson, and Director Evaluation and recommendation, with supporting reasons, must be given to the member 4 days prior to transmitting the next evaluative body. A copy of the DEC, Spokesperson, and Director Evaluation and recommendation, with supporting reasons, must be given to the member 4 days prior to transmitting the next evaluative body. A member shall have 4 days to append comment to the evaluation. A member shall have 4 days to append comment to the evaluation. 18

Transmittal to the Chairperson (Spokesperson) renewal only In the case of renewal the DEC must transmit its written evaluation and recommendations with supporting reasons to the Chairperson, together with all materials submitted to and considered by the DEC in accordance with the dates in the Faculty Senate documents. In the case of renewal the DEC must transmit its written evaluation and recommendations with supporting reasons to the Chairperson, together with all materials submitted to and considered by the DEC in accordance with the dates in the Faculty Senate documents. 19

Transmittal to the Dean or Director In accordance the dates in the Faculty Senate documents, the DEC, in the cases of promotion and tenure, and the Chairperson must transmit their written evaluation and recommendations with supporting reasons to the Dean or Director, together with all materials submitted to and considered by the DEC (in the cases of promotion and tenure) and Chairperson. In accordance the dates in the Faculty Senate documents, the DEC, in the cases of promotion and tenure, and the Chairperson must transmit their written evaluation and recommendations with supporting reasons to the Dean or Director, together with all materials submitted to and considered by the DEC (in the cases of promotion and tenure) and Chairperson. 20

Grievances and/or Lawsuits You may be concerned about being named in a grievance or lawsuit if you serve on the DEC. You may be concerned about being named in a grievance or lawsuit if you serve on the DEC. Unless you are acting outside of the scope of your authority, you are generally insulated from personal liability. Unless you are acting outside of the scope of your authority, you are generally insulated from personal liability. 21

Will the State defend and indemnify a DEC member? Under State law (CGS 5-141d), the State will hold harmless and indemnify you if you are sued, even if you act negligently in performing you official duties, as long as you actions or you failure to act are not wanton, reckless, and malicious. Under State law (CGS 5-141d), the State will hold harmless and indemnify you if you are sued, even if you act negligently in performing you official duties, as long as you actions or you failure to act are not wanton, reckless, and malicious.  The “Wanton, reckless, and malicious” standard is a high standard:  “such conduct tends to take on the aspect of highly unreasonable conduct, involving an extreme departure from ordinary care, in a situation where a high degree of danger is apparent.” 22

Just do your Job There is no absolute assurance of indemnification, but good faith in the discharge of your professional responsibilities should be enough to protect you. There is no absolute assurance of indemnification, but good faith in the discharge of your professional responsibilities should be enough to protect you. The State Attorney General’s office will represent you in a lawsuit. The State Attorney General’s office will represent you in a lawsuit. If you act beyond the scope of your authority and you act with reckless disregard for the consequences of your actions, you may lose your statutory protections and be held personally liable. If you act beyond the scope of your authority and you act with reckless disregard for the consequences of your actions, you may lose your statutory protections and be held personally liable. 23

Qualified Privilege DEC and other evaluators are entitled to a “qualified privilege”: DEC and other evaluators are entitled to a “qualified privilege”:  Qualified privilege is a defense to an action of defamation  It is a privilege that protects persons with a legitimate interest in, or duty regarding the mater  Must be exercised properly  Evidence of bad faith (actual malice) or mixed motives may defeat the privilege 24

Good Faith and Reasonable Care in what you communicate to the candidate Stay away from rumor, hearsay, and innuendo Stay away from rumor, hearsay, and innuendo Gratuitous, subjective evaluations of character or personality (as opposed to the contractual evaluation standards) have no place in the process. Gratuitous, subjective evaluations of character or personality (as opposed to the contractual evaluation standards) have no place in the process. DEC members should only communicate their findings to people who have an interest in the matter. DEC members should only communicate their findings to people who have an interest in the matter. 25

The Roll of the Dean or Director 26

Promotion and Tenure A copy of the Dean or Director’s evaluation and recommendation shall be sent to the member 4 days prior to transmitting to the University wide Promotion &Tenure Committee. A copy of the Dean or Director’s evaluation and recommendation shall be sent to the member 4 days prior to transmitting to the University wide Promotion &Tenure Committee. A member shall have 4 days to append comment to the evaluation. A member shall have 4 days to append comment to the evaluation. The Dean or Director shall transmit his/her evaluation, recommendation and the candidate's file to the University wide P&T Committee on the date specified in the Faculty Senate document. The Dean or Director shall transmit his/her evaluation, recommendation and the candidate's file to the University wide P&T Committee on the date specified in the Faculty Senate document. 27

Sealing of the P&T Files Each candidate will have the opportunity to “close” their file the Thursday and Friday of Fall finals week. Each candidate will have the opportunity to “close” their file the Thursday and Friday of Fall finals week.  Candidates can examine their files and ensure that contents are in the proper order.  Candidates can add additional materials to their files.  Candidates have an opportunity to schedule an interview.  Candidates need to bring 15 copies of the “Candidate Information Form” 28

University wide Promotion and Tenure Committee The first week of the spring semester, candidates will have the opportunity to appear before members of the university wide P&T Committee. This is your opportunity to “sell” yourself and present any updates. The first week of the spring semester, candidates will have the opportunity to appear before members of the university wide P&T Committee. This is your opportunity to “sell” yourself and present any updates. By March 5, the University wide P&T Committee will submit their recommendations to the Provost, simultaneously informing the candidate By March 5, the University wide P&T Committee will submit their recommendations to the Provost, simultaneously informing the candidate 29

The Role of the Provost The Provost consults with the President, takes required action and informs the member by deadline dates in the Faculty Senate documents. The Provost consults with the President, takes required action and informs the member by deadline dates in the Faculty Senate documents. 30

The Member and Evaluation 31

The Member and Renewal or Professional Assessment In accordance with the date specified in the Faculty Senate documents, the DEC Chairperson will inform each person the fact and purpose of the evaluation, the opportunity to submit materials and the opportunity to appear before the DEC. In accordance with the date specified in the Faculty Senate documents, the DEC Chairperson will inform each person the fact and purpose of the evaluation, the opportunity to submit materials and the opportunity to appear before the DEC. 32

The Member and Promotion In accordance with the date specified in the Faculty Senate documents the DEC must notify faculty who meet the standards for promotion in Article 5. In accordance with the date specified in the Faculty Senate documents the DEC must notify faculty who meet the standards for promotion in Article 5. Candidates wishing to be considered for promotion must notify the DEC Chair and Dept. Chair in writing ( acceptable) by date specified in the Faculty Senate documents. Candidates wishing to be considered for promotion must notify the DEC Chair and Dept. Chair in writing ( acceptable) by date specified in the Faculty Senate documents. Supporting evidence shall be included for those seeking promotion under comparable standards. (5.3.3) Supporting evidence shall be included for those seeking promotion under comparable standards. (5.3.3) 33

The Member and Tenure In accordance with the date specified in the Faculty Senate document, the DEC must notify faculty in their 6 th year that a tenure decision is mandatory. In accordance with the date specified in the Faculty Senate document, the DEC must notify faculty in their 6 th year that a tenure decision is mandatory. Candidates prior to their 6 th year wishing to be considered for tenure must notify the DEC chair in writing ( acceptable). Candidates prior to their 6 th year wishing to be considered for tenure must notify the DEC chair in writing ( acceptable). 34

Notice of Withdrawal A candidate may withdraw after the promotion or tenure process starts. A candidate may withdraw after the promotion or tenure process starts. A withdrawal waives all claims for promotion during that year. A withdrawal waives all claims for promotion during that year. 35

Eligibility for Promotion Assistant - Assistant -  Earned doctorate or terminal degree, or  At least 3 years of full-time service at rank of instructor or above plus a master’s degree and an additional full year of study above the master’s level. 36

Eligibility for Promotion cont. Associate – Associate –  Doctorate or terminal degree plus at least five years experience at rank of assistant or above. Professor – Professor –  Doctorate or terminal degree plus at least 8 years of full time service including at least 5 years at rank of assistant or above. 37

Eligibility for Promotion cont. Comparable Standards – a candidate who does not meet the above standards may also apply for promotion to a rank listed above provided the candidate has credential and/or experience substantially comparable to the listed standards and is positively recommended by the DEC. Comparable Standards – a candidate who does not meet the above standards may also apply for promotion to a rank listed above provided the candidate has credential and/or experience substantially comparable to the listed standards and is positively recommended by the DEC. Members who have served at least 10 years in the current rank. (5.4) Members who have served at least 10 years in the current rank. (5.4) 38

Preparing a file for promotion or tenure Primary files shall not exceed one 3-inch loose leaf binder. Supplemental information may be placed in a second binder. Primary files shall not exceed one 3-inch loose leaf binder. Supplemental information may be placed in a second binder. 39

What Candidates must include Candidate information sheet. Candidate information sheet. Original letter of appointment. Original letter of appointment. Evaluation letters from previous steps Evaluation letters from previous steps CV CV Personal Statement (if desired) Personal Statement (if desired) Copies of syllabi Copies of syllabi Evidence of primary load credit activity Evidence of primary load credit activity 40

What Candidates must include cont Physical documentation of creative activity Physical documentation of creative activity Copies of university-tabulated student opinion surveys Copies of university-tabulated student opinion surveys Dates of activities Dates of activities 41

What Must the DEC Consider? The DEC must consider all materials supplied by the candidate, and may solicit additional information pertinent to the categories of evaluation, however, the information must be in writing and a copy of the materials must be supplied to the candidate. The DEC must consider all materials supplied by the candidate, and may solicit additional information pertinent to the categories of evaluation, however, the information must be in writing and a copy of the materials must be supplied to the candidate. 42

Evaluation Criteria and Categories 43 Quality is Key

Has the Department defined “Quality” in the evaluation categories? The DEC must understand and apply the criteria in the contract. The DEC must understand and apply the criteria in the contract. The DEC mush have a collective understanding of what constitutes evidence of quality in each category The DEC mush have a collective understanding of what constitutes evidence of quality in each category 44

The criterion for evaluation shall be the quality of service in the following categories for teaching faculty Load credit activity (weight = 10) Load credit activity (weight = 10) teaching as well as non-teaching assignments as part of credit load Creative activity (weight = 5) Creative activity (weight = 5) 45

Criterion for Teaching faculty cont Productive Service to the Department and University (weight = 4) Productive Service to the Department and University (weight = 4) Professional Attendance and Participation (weight = 2) Professional Attendance and Participation (weight = 2) Years in rank. Years in rank. 46

Categories of Evaluation for Counselors and Librarians Load credit activity (weight = 10) Load credit activity (weight = 10)  Quality of Professional Competence Professional attendance and Participation (weight = 5) Professional attendance and Participation (weight = 5) Productive Service to the Department and University (weight = 4) Productive Service to the Department and University (weight = 4) Creative activity (weight = 2) Creative activity (weight = 2) Years in rank. Years in rank. 47

Any special conditions in the appointment letter must also be considered in the evaluation process. Any special conditions in the appointment letter must also be considered in the evaluation process. 48

Access to Personnel Files DEC members may review the personnel files of members to be evaluated. DEC members may review the personnel files of members to be evaluated. Files will contain all prior evaluations for renewal, promotion and tenure. Files will contain all prior evaluations for renewal, promotion and tenure. Call ? In HR x to arrange a time to review the files. Call ? In HR x to arrange a time to review the files. Members should review their own files periodically. Members should review their own files periodically. 49

Appropriate Information The DEC shall seek and use appropriate information relating to all elements of the member’s duties. The DEC shall seek and use appropriate information relating to all elements of the member’s duties. Peer review through observation of load credit activity Peer review through observation of load credit activity Data from student opinion surveys. Data from student opinion surveys. 50

Student Opinion Surveys The evaluation should be administered by a third party The evaluation should be administered by a third party Students must be appraised of the process and assured the completed survey will not be viewed by the instructor until after grades are posted. Students must be appraised of the process and assured the completed survey will not be viewed by the instructor until after grades are posted. 51

52 Questions?