A. Faculty Evaluation Policy

SBHE 604.3 requires that all benefited university system employees undergo an annual performance review.
The primary purpose of faculty evaluation is the improvement of instruction. In addition, the evaluation may be used in making recommendations regarding salary, tenure, and promotion. Additional goals include

  • Recognizing superior performance.
  • Protecting students and faculty from unprofessional behavior
  • Providing a base for faculty career planning and professional development.
For a complete list of evaluation criteria see form AA-20 (Rubric for Faculty Evaluation, Tenure and Promotion).

Faculty are evaluated in the following contract areas:
  • Teaching or Primary Duties
  • Scholarship, Professional, and Creative Work
  • Service
In addition to the procedures outlined below, an evaluation may be conducted at any time at the request of the faculty member or any two of the following: the President of the University, the Vice President for Academic Affairs, the chair/dean of the department in which the faculty member is assigned.

B. Faculty Evaluation Procedures

1. Post-tenure evaluations

a.  All tenured faculty members (except those completing the promotion application process during the current year) must complete an annual self-evaluation ("Annual Faculty Report," AA-4), which is reviewed by their respective Department Chair/Dean.
b. The Department Chair/Dean will add comments to AA-4 regarding the faculty member’s contributions to the program, interactions with students, completion of contractual obligations, and effectiveness of instruction.
c.  The Department Chair/Dean will provide the faculty member with a copy of the completed AA-4 form. The faculty member may attach additional comments in response to the Chair/Dean assessment.
d.  The completed AA-4 form for each tenured faculty member is due in the VPAA office on the first Monday in June.
e.  The VPAA will meet biennially with each tenured faculty member to review the AA-4 forms from the prior two years to discuss faculty achievements, goals, and any concerns.
f.  The AA-4 originals and VPAA response/summary from each biennial review are retained in the VPAA office.

2. Pre-tenure evaluations

All pre-tenure faculty at Valley City State University will undergo a peer evaluation annually.

  • First-year faculty will be evaluated prior to the first Monday in April.
  • Pre-tenured faculty with 2-5 years of service will be evaluated during the Fall semester.
  • Only automatic promotions for terminal degree completion or additional qualifications for professionally qualified (see V605.01, B3) are permitted before the tenure year.
  • A faculty member undergoing tenure evaluation [generally year six] will complete the process described in policy V605.01.01, instead of the pre-tenure evaluation process described below.
In consultation with their respective Department Chairs/Dean, special appointment and adjunct faculty may choose to undergo either the peer evaluation outlined in 2a-d below OR the abbreviated process described in Part 3, below.

  • a. Process Initiation

1.  Each Department Chair/Dean will initiate the evaluation process at least one month before the evaluation materials are due in the VPAA office.
2. The Department Chair/Dean will appoint a departmental evaluation committee and name the committee chair. Membership will include three full-time, tenured faculty. The Department Chair/Dean may request the participation of a qualified faculty member outside the Department. Exceptions to this policy must be documented and approved by the VPAA.
3.  The Department Chairs/Dean may not serve on an evaluation committee in their respective departments. When the non-tenured faculty member being evaluated is a Department Chair, the Vice President for Academic Affairs or designee will assume the role defined for the Department Chair.
4. Peer review is an important responsibility, as the work of this committee has long-term effects on the delivery of curriculum, faculty performance, and tenure decisions. The committee should be supportive, specific, and cognizant of its responsibilities to promote performance improvement and guide entering faculty towards successful completion of their professional duties.

  • b. Pre-Observation Conference

1.  Members of the Departmental Evaluation Committee, the Department Chair/Dean, and the faculty member being evaluated will meet at a time and place determined by the Department Evaluation Committee Chair for the pre-observation conference. The Departmental Evaluation Committee Chair will review the procedures to be followed in the evaluation process and identify the appropriate forms; the Academic Affairs office will provide APAC with current version of the forms each year.
2.  The faculty member, committee members, and Department Chair/Dean will schedule class observations.
3.  The Department Chair/Dean will designate the deadline for submission of the Faculty Evaluation Self-Assessment portfolio.
4.  The department Chair/Dean will document all exceptions and meetings on AA-5a, and include this document as the cover page of the completed evaluation materials.

  • c. Observation and Evaluation

1.  The Department Chair/Dean and members of the Departmental Evaluation Committee will each observe at least one class session.
The committee will use the Class Observation form (AA-28) to organize feedback; these forms will be added to the faculty member’s portfolio. Committee members must meet individually with the faculty member after the observation to provide feedback and suggestions.
2.  The faculty member will develop a self-evaluation portfolio, following the guidelines provided in the e-Folio help document (AA-21) and Rubric (AA-20), and submit the completed self-evaluation portfolio to the Department Chair/Dean and the Departmental Evaluation Committee by the dates established at the pre-observation meeting. The Committee is responsible for ensuring that the self-evaluation document addresses the requisite criteria. If necessary, they may request revisions.
3.  After reviewing the portfolio materials, the Departmental Evaluation Committee will complete its evaluation, using form AA-5b. In reviewing student evaluations, the Departmental Evaluation Committee should keep in mind the level and student composition of the courses assessed.
4.  The chair of the Departmental Evaluation Committee will forward all evaluation materials to the Department Chair/Dean.
5.  The Department Chair/Dean will review the materials. If proper procedures were not followed and/or if sufficient data was not collected to substantiate the evaluation, the Department Chair/Dean will initiate procedures to adequately complete the process.
6.  The Department Chair/Dean will complete form AA-5c and forward draft forms AA-5b and c to the faculty member for review at least one day before the post-observation conference.

  • d. Post-Observation Conference

1.  At the post-observation conference, the members of the Departmental Evaluation Committee, the Department Chair/Dean, and the faculty member will discuss the evaluation.
2.  The faculty member and the committee members may agree to updates or changes in the draft form (AA-5b).
At the end of this meeting, form AA-5b is signed by the committee members and the faculty member.
The faculty member’s signature indicates participation in the post-observation conference and receipt of the materials, not agreement with the assessment. A copy of the signed form AA-5b and c should be given to the faculty member.
3.  After the post-observation meeting, the faculty member will have two working days to consider the data collection, recommendations, and comments of the Department Chair/Dean and the Departmental Evaluation Committee. Candidates can respond in writing. The response will be become an addendum and will be submitted with forms AA-5b and 5c.

  • e. Administrative Recommendations

1. The Department Chair/Dean will forward the signed, hard copy evaluation forms (AA-5a, AA-5b, AA-5c), to the Vice President for Academic Affairs between November 1 and the last day of the fall semester exam week, depending on departmental timelines and the need for portfolio revision.
2. The Vice President for Academic Affairs will review each evaluation. He/She may request additional information from the Departmental Evaluation Committee, the Department Chair/Dean, or the faculty member under evaluation. The Vice President for Academic Affairs may direct the Department Chair/Dean to review and repeat portions of the evaluation process if the supporting documentation fails to substantiate the recommendation of the Department Chair/Dean.
3. The Vice President for Academic Affairs will record his/her comments and recommendation on form AA-5d and will forward the hard copy forms and all supporting data to the President of the University.
4. The President of the University will review the recommendations and complete form AA-5d which will then be placed with the supporting data in the personnel file of the faculty member. (Contract information is housed in the President's office; evaluation materials are located in the VPAA office.)
5. VPAA will meet with each pre-tenured faculty member and provide a copy of the completed form AA-5d.

f.  Special Review

During Probationary Year 3, all pre-tenure faculty will undergo special review. This review will recognize and reinforce areas of strength, and help identify areas needing improvement in preparation for tenure and promotion.

  1. The University Tenure and Promotion Committee will review the completed evaluation files for all third year, pre-tenure faculty. The comments of the committee will be summarized by the VPAA and included in form AA-6a prior to submission to the President.
  2. This feedback, and any recommendations, will be communicated to the faculty member by the VPAA during the annual meeting (2.e.5, above).
  3. Pre-tenure faculty entering with 2 years granted toward tenure may request a one year delay of the special review

3. Adjunct and Special Appointment Faculty

Adjunct and Special Appointment faculty evaluations are based on the duties and responsibilities outlined in their contracts. In consultation with their respective Department Chairs/Dean, these faculty may choose to undergo the peer evaluation outlined above in Section 2 a-d or use the process outlined below:

a.  Each year, adjunct and special appointment faculty members will complete form AA-29 and submit it to their Department Chair/Dean, along with the student evaluation for each course taught.
b.  The Department Chair/Dean will meet with the faculty member to discuss the materials submitted.
c.  The Department Chair/Dean will provide comments on form AA-29 and file it (and supporting documentation) in the VPAA office, where it will be placed in the faculty member’s personnel file.
d.  Completed evaluations are due at the end of the contract term, no later than January 30 for Fall-only part-time faculty, or the first Monday in June for full year and spring-only faculty.

Forms required:
AA-4 Annual Faculty Report (tenured faculty only)
AA-5a Faculty Evaluation, Tenure, Promotion Cover Page
AA-5b Faculty Departmental Committee Recommendation
AA-5c Departmental Chair/Dean Recommendation
AA-5d Administrative Recommendations
AA-6a Third-Year Review (UTP Recommendation)
AA-29 Report on Part-Time Faculty (Special Appointment and Adjunct Faculty)

Help documents:
AA-20 Evaluation, Tenure and Promotion Rubric
AA-20A Service Guidelines (Addendum to AA-20)
AA-21 Portfolio Help Document
AA-28 Classroom evaluation form

Dates:
Annual Faculty Report (tenured faculty) due June 1
AA-5a-c (Pretenure, years 2-5) due Nov. 1-last day of terms, at discretion of committee
AA-5a-c (Pretenure, year 1) due April 1
AA-29 (special appointment and adjunct faculty) due at end of semester (either January or June, depending on contract dates).

This policy replaces V702.2 (Initially Approved by Faculty Senate, 1984)

Sponsor: Faculty Association
Approved: January 2011
Revised: December 2012
Revised:  March 2015
Revised:  February 2018