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Clickable index for this bill:

The CriterionFour Categories For:Process Roles of:Other Items
Quality Instructional Faculty
Librarians
Counselors
Coaches
Athletic Trainers 		Candidate
Department and DEC
Dean (or equivalent)
P and T Committee
ECSU President 		Timetable
 
PTC Composition
 
Professional Assessment

SB 03/04-1

Bill Clarifying the Criterion and Procedures for
Renewal, Tenure, and Promotion Evaluation and
Professional Assessment of
AAUP Bargaining Unit Members

Preamble

It is essential to a university that clear standards for evaluation and assessment be consistently applied to all. Candidates for renewal, tenure, promotion evaluation and professional assessment must know the outcome at each stage of the assessment process directly, clearly, and promptly. The criterion, categories, and procedures for that process are contained in this bill in tandem with the AAUP-BOT/CSU Collective Bargaining Agreement (CBA) provisions (especially Article 4.11). The provisions of this bill replace those of SB 91/92-7 after they have been adopted by the University Senate and signed by the University President. They will then be included in the Faculty Handbook (printed and/or electronic) and made available to all evaluating and assessing entities involved in renewal, tenure, promotion, and professional assessment processes.

The policies and procedures contained in this document are based on and consistent with the CBA, and pertain only to full-time members of the ECSU-AAUP bargaining unit. All evaluating and assessing entities must follow the timetable found in the CBA (Table 1). Citations of the CBA and some provisions of this bill may have to be adjusted in the light of subsequent AAUP-BOT/CSU Collective Bargaining Agreements. Review of these policies and procedures to ensure ongoing consistency with the CBA currently in force is herewith mandated. Individuals and committees at every stage of the promotion/tenure process are urged to keep in mind the fact that expectations undergo changes over time, and are urged to take into account the standards in effect in earlier periods.

Policies and Procedures

I. The Criterion for Renewal, Tenure, and Promotion: Quality

Positive actions on renewal, tenure, and promotion are based upon the candidate's professional contributions to the university, the profession, and non-university public. Quality, not quantity, is what matters. A positive renewal, tenure or promotion decision asserts the university's judgment that the candidate has met the standards of excellence of the university as well as her or his discipline and department. There is only one evaluation procedure through which this judgment is made. The procedure is outlined in article 4 of the CSU-AAUP/BOT Collective Bargaining Agreement (CBA). A successful candidate has demonstrated both professional growth and the capacity to adapt to changes in the profession and the institution. The four categories in which the candidate makes contributions are weighted in the order they appear in the CBA. Depending upon the candidate being evaluated, these categories are found in articles 4.11.9.1-4, 6.8.1-4, 6.9.1-4, 7.3.1.1-4, or 8.3.1.1-4 of the CBA.

A. Evaluation Categories for Instructional Faculty (4.11.9.1-4)

1. Teaching and Other Load Credit Activity:

Teaching is the highest priority. The key question is how well the candidate integrates professional preparation with classroom, laboratory, and fieldwork, the objectives of assigned courses, and the nature, needs, and interests of students. Among other things, quality teaching includes activities and accomplishments which develop student capacities, such as laboratory and field investigations pursued with student help, performances and exhibitions which draw on student skills, document searches and interviews carried out with student assistance, and student assisted projects which contribute to the cultural and intellectual life of the Eastern Connecticut State University community. Teaching includes, but is not limited to:

Activities performed under reassigned time granted to teaching faculty shall be described in terms of load credits reassigned and evaluated for quality of performance under this category.

2. Creative Activity:

Creative activity is the exercise of one's professional skills and knowledge to enrich one's capacity to teach, one's field, and the culture at large. The following is a partial list of activities that belong in this category:

3. Service:

Service to the department and the university is an important element in a record of professional growth. Service to the department and university includes such activities as:

4. Other Professional Activity

B. Evaluation Categories for Librarians (8.3.1.1-4)

1. Load Credit Activity-Professional Library Service:

Professional effectiveness in providing library service is the highest priority. The key question is how well the candidate integrates professional responsibilities with serving the student, faculty, and community needs in her/his assigned duties. Among other things, high-quality library service includes activities and interactions that integrate the resources of the modern library into the learning environment. Librarians engage in all aspects of the university's mission by supporting the students' intellectual development, scholarly pursuits, and cultural awareness. The dynamic nature of libraries, librarianship, and higher education results in ever-changing roles for librarians. Professional library service includes, but is not limited to:

Activities performed under reassigned time granted to librarians shall be described in terms of load credits reassigned and evaluated for quality of performance under this category.

2. Professional Activity

Professional activities help the academic librarian learn new skills and gain exposure to current information and emerging trends in librarianship, including, but not limited to:

3. Service:

Service activities help academic institutions and community organizations function with wider input. Service to the J. Eugene Smith Library and the university are important elements in a record of professional librarianship. Such activities include, but are not limited to:

4. Creative Activity:

Creative activity appropriate to academic librarianship is the exercise of skills and knowledge to make significant contributions to the body of scholarship. Creative activity for professional librarians includes, but is not limited to:

C. Categories for Counselors (7.3.1.1-4)

1. Load Credit Activity-Professional Counseling Services

Professional counseling services is the highest priority. The key question is how well the candidate integrates professional preparation with clinical work with clients. How well the counselor meets the nature, needs, and interests of the students is to be evaluated. Among other things, high quality counseling services includes activities and accomplishments which develop student capacities, coping strategies, and, when necessary, integrate campus assistance with off-campus agencies. Providing assistance while maintaining professional confidentiality is critical. Interviews with clients are carried out with sensitivity to the cultural psychosocial and educational backgrounds of students at Eastern Connecticut State university community. Counseling services includes, but is not limited to:

Activities performed under reassigned time granted to counselors shall be described in terms of load credits reassigned and evaluated for quality of performance under this category.

2. Professional Activity

3. Service:

Service to the department and the university is an important element in a record of professional growth. Service to the department and university includes such activities as:

4. Creative Activity:

Creative activity is the exercise of one's professional skills and knowledge to enrich one's capacity to serve as a counselor for students on campus and for the counseling community at large. The following is a partial list of activities that belong in this category:

D. Categories for Coaches (6.8.1-4)

1. Administration and Conduct of Assigned Sport:

For coaches, coaching is the highest priority. The key question is how well the candidate integrates professional preparation with the conduct of the assigned sport. This area includes but is not limited to:

Activities performed under reassigned time granted to coaches shall be described in terms of load credits reassigned and evaluated for quality of performance under this category.

2. Relationship with student athletes:

For coaches, the coach-athlete relationship is critical to the development of the athlete. Maintaining a positive and supportive environment for the team and the individual athlete is one indicator of quality in this relationship. The following is a partial list of the activities that belong in this category:

3. Record of student athletes in competitive performance:

One hallmark of a well-coached sport is solid competitive performance. The record includes but is not limited to:

4. Service to the department and university:

Service to the department and the university, is an important element in a record of professional growth. Service to the department and university includes such activities as:

Professional service to the world beyond the campus includes such activities as:

E. Categories for Athletic Trainers (6.9.1-4)

1. Management of the health care of student athletes:

An athletic trainer is a professional whose highest priority is preventing injury of student athletes in practice and performance. However, when an athlete is injured in sport, the athletic trainer's focus moves to minimizing trauma, applying appropriate first aid, deciding upon the next steps in treatment, and integrating treatment plans with physicians, surgeons, and therapists. Management of athlete health care includes but is not limited to:

Activities performed under reassigned time granted to athletic trainers shall be described in terms of load credits reassigned and evaluated for quality of performance under this category.

2. Demonstrated level of care and professionalism:

As the health of athletes is entrusted to athletic trainers at critical points in injury and recovery, the trainer must demonstrate appropriate professional concern and care for the student athlete. This category includes but is not limited to:

3. Record of continued educational growth and service to the profession

4. Service to the department and the university:

Service to the department and the university, and to the world beyond the campus is an important element in a record of professional growth. Service to the department and university includes such activities as:

Professional service to the world beyond the campus includes such activities as:

II. Procedures for Renewal, Tenure, and Promotion

Participants in the process for renewal, tenure, and promotion include the candidate, the departmental evaluation committee (DEC), the promotion and tenure committee (PTC: not involved in renewal), appropriate deans and other appropriate administrative personnel (when contractually required), the president, and the CSU Board of Trustees. All participants in the evaluation process are bound by the timetable for evaluation published in the CBA (Table 1) including its pertinent footnotes. While many sections of Article 4 correspond to all candidates, there are special provisions found in Articles 6, 7, and 8 for certain candidates. All evaluating bodies shall conform to the policies and procedures established in the CBA for the candidate being evaluated.

A. Candidate's Roles and Responsibilities

  1. Each candidate for promotion or for tenure consideration prior to the penultimate year must inform the DEC by the appropriate date of her/his interest in being evaluated.
  2. By the appropriate date, each candidate shall provide her/his DEC with appropriate documentation of the quality of her/his performance in the categories specified in the pertinent sections of the CBA. Although the candidate may choose the manner s/he regards as best in presenting materials for evaluation, a clearly divided and labeled application should be prepared. This might include, but is not limited to:
  3. All documents used in the evaluation of a faculty member for any purpose shall be available to the candidate for review or copying. All information used in the evaluative process must be in written or other tangible form.
  4. At each step of evaluation (DEC, Dean, PTC), a written recommendation will be prepared and will be sent to the candidate as it is sent to the next step of evaluation. The candidate may rebut the recommendation at each step, and may submit appropriate clarifying materials, so designated, for consideration at subsequent steps.

B. Departmental and DEC Roles and Responsibilities (note: 7.3.1 for counselors)

  1. Departments must elect DECs by September 10 each year. Attendance at DEC meetings shall take precedence over all other meetings. All deliberations on personnel matters shall be confidential.
     
    Departments in the position of having fewer than three (3) tenured DEC members may adopt one of the following alternatives:
    1. DECs may be constituted with at least two (2) tenured members of the department, or
    2. DECs may be constituted with eligible DEC members and at least one (1) tenured faculty member from another department selected by the department concerned, or
    3. DECs may be constituted with eligible DEC members and at least one (1) tenured member from the instructional faculty of the Senate personnel policies committee selected by the department concerned.
       
  2. By the appropriate date, the DEC shall notify in writing any full-time member who is eligible for consideration for renewal, promotion and/or tenure. Members who wish to be considered for promotion or tenure consideration prior to the penultimate year must notify the department chair and the DEC in writing by the appropriate date. In addition, a promotion recommendation for an eligible member may be initiated by the DEC (§4.11.3 and §5.3.5).
  3. Each department shall devise procedures and criteria for peer and student evaluations to be conducted each semester, consistent with the CBA and senate/university bylaws, and shall stipulate them in the department bylaws. In particular, departmental criteria shall not exceed those outlined in the CBA and this document, but may be more detailed in pertinence to the individual department. The results of student evaluations in a given semester shall be communicated to the member promptly in the next semester.
  4. The DEC shall make sure that the candidate's evaluation dossier contains evidence of peer and student evaluation. All evidence of student evaluation will be available to the DEC (and provided to the candidate) for use in developing supporting reasons for their recommendation.
  5. If the DEC judges a dossier to be incomplete, it may, after informing the candidate, seek additional written documentation from any source pertinent to the evaluation process. A copy of any and all such additional documentation shall be provided to the candidate, who may comment on it in writing.
  6. After deliberation on the candidate's dossier, the DEC shall prepare a written recommendation concerning renewal tenure, or promotion, with supporting reasons, based on its evaluation of the criterion of quality in the four categories pertinent categories specified in the CBA, and weighted in the order presented in the CBA. The recommendation shall be signed by each member of the DEC. The most helpful DEC recommendation letter includes reasons for its evaluation in each category and judges the quality of the evidence the candidate has submitted. The DEC might comment upon items such as, but not limited to: All members of the DEC must sign the DEC written evaluation and recommendation. A member or members of the DEC may elect to write a minority report, and shall also sign the minority report. Any minority report shall be appended to the signed DEC written evaluation and recommendation.
  7. By the appropriate date, the DEC shall transmit its written evaluation and recommendation to the dean or other appropriate administrator, together with all materials submitted to and considered by the DEC. At the same time, copies of the recommendation and supporting reasons shall be sent to the candidate as well as to the candidate's personnel file.
  8. The candidate may rebut the DEC's recommendation by submitting clarifying data pertinent to her/his application to the dean and sending a copy of this material to the DEC. This rebuttal must be submitted within three calendar days of the DEC's decision for first-year renewals. This rebuttal must be submitted within seven calendar days of the DEC's decision for all other DEC evaluations and recommendations. The DEC may react to such clarifying data in writing and shall submit such reaction to the Dean within one week.

C. Dean's (or appropriate administrator's) Roles and Responsibilities

  1. By the appropriate date, the dean (or appropriate administrator) shall review and consider all of the material submitted and make a recommendation based primarily on that material to the PTC for tenure and promotion cases, or to the appropriate vice-president for renewal cases. The recommendation shall be accompanied by all previously submitted material, and all material used by the dean (or appropriate administrator). A copy of any material other than that submitted by the candidate or the DEC shall be provided to the candidate and to the members of the DEC concerned. Upon issuance of the dean's (or appropriate administrator's) recommendation, copies of the recommendation shall be sent to the candidate and to the candidate's personnel file.
  2. For promotion or tenure considerations, within seven calendar days of the dean's decision, candidates may respond to or rebut the recommendation of the dean (or appropriate administrator), and submit material to the PTC reacting to or rebutting the dean's (or appropriate administrator's) recommendation.
  3. For renewal considerations, the candidate may respond to or rebut the recommendation of the dean (or appropriate administrator) and submit material to the appropriate vice-president or president as applicable subject to the time constraints of the CBA.

D. PTC Roles and Responsibilities

  1. The Promotion and Tenure Committee (PTC) is constituted by mandate of the CBA in article 4.11.13. Its composition and procedures are determined by the senate and approved by the President under additional constraints within that article. This bill specifies PTC procedures here, and the composition under part III below.
  2. The PTC is involved in Promotion and Tenure evaluations, but is not involved in Renewal evaluations nor in Professional Assessment.
  3. Additional operating rules pertinent to the PTC established here include:
    1. No PTC member shall participate in discussion, recommendation, or ranking of a member of her/his own department, or of a member of another department currently assigned to teach or team-teach with her/him.
    2. No person elected to the PTC shall serve on the committee in a year when a member of her/his family (as defined in the CBA) is an applicant for promotion.
    3. A PTC member shall be subject to recall upon petition of ten (10) per cent of the instructional faculty and a subsequent majority vote of the instructional faculty.
    4. The University President or her/his designee shall convene the first meeting of the PTC each year and preside until a chairperson is elected.
    5. The committee will establish procedures at its first meeting and deposit these among the web pages of the University Senate.
    6. Attendance at PTC meetings shall take precedence over all other meetings. All deliberations on personnel matters shall be confidential. A minimum of five members must participate in all deliberations and decisions of the PTC.
  4. The PTC shall notify each candidate of the opportunity to appear before the PTC prior to making its recommendation.
  5. The PTC shall, after considering all previously submitted material and recommendations, prepare a recommendation based on the stated criterion and pertinent categories, and shall be signed by each member present and voting.
  6. By the appropriate date, the PTC shall transmit its recommendation to the president, ranking its positive promotion recommendations, together with supporting reports and all materials submitted to and considered by the DEC, the dean, or other appropriate administrator, and the PTC. Upon issuance of the recommendation, copies shall be sent to the candidate and to the candidate's personnel file. In addition to the narrative report, the PTC shall provide each promotion candidate receiving a positive recommendation with a report indicating her/his position relative to all other candidates in the same academic rank, without revealing the names of the other candidates. In the case of candidates not recommended, the PTC shall identify the category(-ies) under the pertinent CBA article where the candidate did not sufficiently demonstrate quality warranting a positive recommendation.
  7. For a period of fourteen (14) days from the date of the notification from the PTC, a candidate for promotion and/or tenure may respond to or rebut the recommendation of the PTC and may submit material to the president rebutting the PTC recommendation. The candidate is not permitted to contest the ranking of candidates.

E. University President's Role and Responsibilities

  1. The president shall meet in executive session with the PTC to consult (§1.9) prior to making her/his final tenure or promotion recommendation to the Board of Trustees (BOT/CSU).
  2. By the appropriate date, the president shall make recommendations for promotion and tenure awards to the BOT/CSU. A president who disagrees with the recommendation of the PTC and who denies tenure after the completion of a member's sixth (6th) year of service, shall provide the PTC and the candidate with a written explanation. A president who disagrees with the PTC and awards tenure shall provide the PTC with a written explanation. The president's explanation shall be held in confidence by the PTC subject to applicable statutes.
  3. After the president of the university has made her/his recommendation to the CSU Board of Trustees, the candidate's promotion and or tenure materials (other than those which are part of the official personnel file) shall be maintained in the designated secure area of the Administration Building until September 1 of the next academic year. If a candidate decides to withdraw an application at any stage, the file shall be returned to the candidate immediately.
  4. The BOT/CSU shall announce its actions by the appropriate date and shall inform candidates promptly. The current practice is to grant promotion and tenure at the beginning of the subsequent semester following the decision.
  5. In the Renewal process, the President makes the final University decision and informs the member of her/his renewal outcome. The dossier of renewal materials is returned to the member 30 days after the date of the final decision.

III. Promotion and Tenure Committee Composition.

  1. The committee shall be composed of tenured instructional faculty, librarians, and counselors. Four regular and one alternate full professors, librarians, counselors, coach or athletic trainer shall be joined by three regular and one alternate associate professors, librarians, or counselors.
  2. These members shall be nominated and elected at-large from among the full-time instructional faculty, librarians, counselors, coaches, and athletic trainers under the supervision of the Organization Committee of the University Senate. In no case shall there be more than one member from any department, nor more than one librarian, nor more than one counselor. A member of the AAUP bargaining unit applying for promotion and/or tenure is not eligible to serve.
  3. The term of office shall be for two years with members elected on a rotating basis. Upon completion of two consecutive full terms, members will not be eligible to stand for re-election to another term as a regular member or alternate member for at least the duration of a full term. Alternate members may be elected as regular members immediately following a partial or full term as an alternate providing the member's service does not exceed two consecutive full terms.
  4. The provisions on composition are mandated by the contract to be approved by the senate and signed by the president, which is why they are codified in this bill. Once this bill is adopted, the Senate Bylaws provisions pertaining to the PTC must remain compliant with those given in this bill. Any amendments to Senate Bylaws provisions pertaining to the PTC require an amendment to this bill. Attached to this bill is a proposed bylaws amendment that will put the current Senate Bylaws into compliance with this bill.

IV. Matters Concerning Professional Assessment

  1. ECSU conforms to the procedure and process for Professional Assessment outlined in article 4.12 of the CBA.
  2. When a faculty member is granted tenure, a six-year clock for Professional Assessment commences. The member must be assessed during the sixth year, or earlier should the member request promotion prior to the expiration of the clock.
  3. The assessment process shall conform to the timetable in the CBA (Table 1).

  4. Assessment is neither a promotion nor a tenure evaluation, so it does not follow the same process or timetable as either promotion or tenure.
  5. The DEC may specify the materials deemed appropriate for an assessment dossier. However, a sufficiently detailed curriculum vitae divided into the categories specified in the CBA, and the departmental teaching student opinion survey results may be considered sufficient materials for assessment of teaching faculty. A selected set of supporting materials may be considered appropriate, but in no case is the assessment dossier to exceed one one-inch binder.
  6. By the appropriate date, the DEC shall make its written assessment based on materials submitted. Part of this assessment shall include establishing the date for the next professional assessment. The next assessment must be scheduled during or before the sixth year after the current assessment cycle. If the member is being evaluated for promotion in the same semester as a professional assessment, then the DEC must issue both a promotion evaluation and a professional assessment. These two separate DEC documents follow different pathways and timetables as specified in the CBA.
  7. The member being assessed shall have an opportunity to review the assessment, and shall have at least two (2) days to append comment to the assessment before the assessment is sent to the dean (or appropriate administrator) for review. The assessment sent to the dean shall be accompanied by all materials reviewed by the DEC, and any comments appended by the member.
  8. By the appropriate date, the dean reviews the assessment made by the DEC.
  9. By the appropriate date, the appropriate vice-president and the president shall review the assessment made by the DEC, and the DEC's assessment shall be forwarded to the member's personnel file.
  10. The university's chief personnel officer shall note the date for the next professional assessment that the DEC has scheduled, and shall remind the DEC of that impending date in September of the corresponding academic year.

This bill was passed October 21, 2003 by the ECSU Senate and signed on October 28, 2003 by the ECSU President, David Carter.

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