College of Business Administration. The Faculty Retention, Tenure, and Promotion Handbook

College of Business Administration The Faculty Retention, Tenure, and Promotion Handbook 2018-2019 Updated 08/21/2018

Table of Contents Definition of Terms 3 Overview 4 When are tenured and tenure-track faculty reviewed? 4 Probationary faculty classification 5 What materials for the basis for review? 5 What is the time frame for materials? 5 Who prepares what? 6 Who evaluates the WPAF? 6 What is a rebuttal? 6 Appendices 7 Appendix A: Sample of Eligible Faculty 7 Appendix B: Working Personnel Action File 8 Appendix C: Personnel Action File 9 Appendix D: Sample 11 Steps of Review 10 Appendix E: Sample of File Closure Form 11 Appendix F: RTP Key Dates 12 Faculty Retention, Tenure, and Promotion Handbook 2

California State University, Sacramento College of Business Administration Definition of Terms ADFR: Associate Dean for Faculty and Research ARTP, sometimes called RTP: The procedures for the Committee on Appointment, Retention, Tenure and Promotion of the College of Business Administration are established to provide the means whereby the performance of individual faculty members and their contributions to department, college and university goals may be equitably documented and assessed. In the development of these policies and procedures, the College recognizes the uniqueness of individual faculty members, of the departments of which they are a part, and of their specific disciplines. Implicit in these procedures is an emphasis on evaluation that will help the candidate become a stronger and more effective teacher in keeping with the central mission of the university. At the same time, these procedures are designed to provide each Secondary Committee with sufficient material of a diverse nature to make an informed judgment on which to base its recommendation to the Dean and the Vice President for Academic Affairs. Area: The College of Business Administration is organized as a single unit delivering two degrees (BS and MBA/MSA) with a number of concentrations. The operational sub-units of the College are called Areas. Faculty are hired within these subunits and generally, these sub-units form the committees for primary level (Area) review, similar to departments in other program areas at Sacramento State. PAF: Personnel Action File is the faculty s permanent file containing documents related to initial hire, letters from previous reviews and other materials that are retained for the duration of the faculty member s employment at Sacramento State. The custodian of the PAF is the Associate Dean for Faculty and Research. Requests for copies must be submitted in writing. Primary Review Committee: The Primary Review Committee is the first level (Area) of review. This Committee usually consists of faculty from the Area or similar unit, although smaller 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. Secondary Review Committee: The Secondary Review Committee conducts the second level (College) of review. This committee consists of one faculty representative from each of the Areas in the College. UARTP: University Appointment, Retention, Tenure and Promotion. The UARTP policy sets forth the campus policies for the appointment, retention, tenure and promotion of faculty. WPAF: Working Personnel Action File is constructed for each review period per the UARTP 4.08E and contains materials from both the PAF, student evaluations, and selected materials chosen by the faculty member to meet the RTP evaluation criteria for that review. These materials are then returned to the PAF and the faculty member after the cycle has concluded. Faculty Retention, Tenure, and Promotion Handbook 3

California State University, Sacramento College of Business Administration Information for Retention, Tenure, and Promotion Faculty 2018-19 Overview: This guide is intended to provide information regarding the procedures and deadlines for the Sacramento State, College of Business (CBA) tenure-track and tenured faculty who are taking part in the RTP (retention, tenure, promotion) process. The policies governing RTP are: The Collective Bargaining Agreement for faculty. This can be found on the Web at http://www.calstate.edu/hr/employee-relations/bargaining-agreements/ contracts/cfa/index.shtml The University Appointment, Retention, tenure and Promotion Policy (UARTP). This can be found on the Web at http://www.csus.edu/umanual/hr/hrs-0131.pdf The CBA ARTP Policy (Secondary Level Review). This can be found on the For Faculty website at http://www.csus.edu/cba/_forfaculty/documents/secondarycommitteedocument _final_001.doc The Area ARTP Policies. This can be found on the v: drive at v:\adfr\rtp\artp\area policies-current Early in the Fall Semester, the ADFR office will notify eligible faculty of their status review. A list of eligible faculty will be posted on the bulletin board opposite the ADFR office, Tahoe 2130 (See Appendix A) Probationary faculty requesting early tenure and promotion must inform the ADFR office and primary committee in writing at this time. Tenured faculty preparing for Post-Tenure Review (PTR) may request a postponement of review for promotion to Full Professor at this time, however the PTR must be conducted as scheduled whether or not a faculty elects to apply for promotion. Faculty on non-protected leave during their fifth year must prepare their WPAF accordingly. Faculty on protected leave (FMLA, Sick Leave, Disability leave, etc.) at any point during the review period should consult with the ADFR and Dean s office during this phase of the review cycle for clarification of the review process (see page 3 for classification information). How often are Tenured and Tenure-Track faculty reviewed? Ordinarily, faculty hired as Assistant Professors have a six (6) year probationary period, during which time they will be reviewed annually for retention for the subsequent year. Each year during their probationary period (years 1-6), faculty will submit a Working Personnel Action File (WPAF) for review. The WPAF is a temporary file compiled from the faculty members permanent Personnel Action Files (PAF) (See Appendices B and C) and additional materials submitted by faculty member for that cycle of review (see page 5 for detailed information about the WPAF). After being granted tenure and promotion to Associate Professor, faculty will be reviewed in five (5) year cycles (Post-Tenure Review, or PTR). The first of these cycles is the review for promotion to Full Professor. The cycles of review begin each fall, except for post tenure non-probation review, which takes place in the spring. *For faculty hired with credit toward tenure and promotion, the probationary period is shortened accordingly. Those with one (1) year credit are effectively in their second probationary year. Those who arrive with two (2) years credit are in their third probationary year. In both of these cases, the first year involves an informal review by the Dean or Dean s Designee. Faculty Retention, Tenure, and Promotion Handbook 4

Probationary Faculty Classification: P1 P2 P3 P4 P5 P6 This classification designates newly hired probationary faculty members without credit towards tenure. This classification designates probationary faculty in their second year. At this level WPAFs are reviewed beginning in the Fall. * This classification also designates faculty members who were given one (1) year of credit toward tenure at the time of appointment. These faculty members will receive an informal periodic evaluation by the ADFR/Dean in the Spring semester. This classification designates probationary faculty in their third year. At this level WPAFs are reviewed beginning in the Fall semester. * This classification also designates faculty members who were given two (2) years of credit toward tenure at the time of appointment. These faculty members will receive an informal periodic evaluation by the ADFR/Dean in the Spring semester. This classification designates probationary faculty in their fourth year. At this level WPAFs are reviewed beginning in the Fall semester. Final decisions for retention at this level rest with the Provost. This classification designates probationary faculty in their fifth year. At this level WPAFs are reviewed beginning in the Fall semester. This classification designates probationary faculty in their sixth year. At this level WPAFs are reviewed beginning in the Fall. Faculty in this classification must be reviewed for tenure and promotion. This marks the final pre-tenure review. Final decisions for tenure and promotion rest with the Provost. What materials form the basis for review? A temporary file (the WPAF) is composed of documents from the faculty member s permanent Personnel Action Files (PAF) and additional materials submitted by faculty member for review. These materials are to be filed in a specific order and include: A complete updated Curriculum Vitae A copy of all letters of appointment (provided by ADFR Office) Narratives addressing the following areas: Teaching Effectiveness, Scholarly and Creative Activities, and Service A copy of all course evaluations for the period of review (provided by ADFR Office) A list of all scholarly and creative activities, institutional service and community service conducted during the period under review. For each listing provide clarification of your role (e.g.: editor, author, co-author, choreographer, producer, etc.) and complete citations (e.g.: titles, dates, publishers, venues, galleries, etc.). Indicate whether each was professionally refereed or invited A list of works-in-progress or works under submission but which have not yet been accepted. These should be listed separately For a full list of materials forming the basis for review, please see Appendix B. Copies, excerpts, photos, efiles, etc. of the most significant or revealing of these may be included. Digital files should be submitted on a USB Drive and must be clearly labeled. What is the timespan for faculty s materials included in the WPAF? Materials submitted must reflect activities that occur within the specified time-period. Retention through Tenure and Promotion (P1-P6): Materials submitted/received since date of initial appointment through the current WPAF closure date. Subsequent Promotions/Reviews: Materials submitted/received since date of last Promotion/Review through the current WPAF closure date. Faculty Retention, Tenure, and Promotion Handbook 5

Who prepares what? The Associate Dean s staff will provide a binder with tabbed dividers. Please make an appointment with the appropriate staff member before the closure date to complete the placement of material into the WPAF and sign the verification form. The faculty member is responsible for organizing the supporting materials and placing them in the appropriate section of the binder. Consultation with the Associate Dean and/or area faculty is advised as areas may require certain submissions for use in the evaluation process. Supporting materials must reflect the time period being reviewed. Who evaluates the WPAF? The WPAF is evaluated by: Your Area s Primary ARTP Committee CBA Secondary ARTP Committee College Dean Provost as required (P4, P6 and Promotion to Full Professor) Each level of review results in a written evaluation which becomes a permanent part of the WPAF. For each written evaluation, the faculty member being reviewed will have ten (10) calendar days to provide a rebuttal (see below) which will also become a permanent part of the WPAF. For each review cycle, the ranking administrator (Dean or Provost) makes the final decision regarding retention and/or promotion. What is a rebuttal? For each level of review, the faculty member will have ten (10) days to consider and submit an optional rebuttal or response to the content of the review. This ten (10) day period begins from time of receipt of the review document. For assistance with this level of review consult the ADFR. At all levels of review, before recommendations are forwarded to subsequent review level, faculty unit employees shall be given a copy of the recommendation and the written reason therefore. The faculty unit employees may submit a rebuttal statement or response in writing and/or request a meeting to be held to discuss the recommendation within ten (10) days following receipt of the recommendation. A copy of the response or rebuttal statement shall accompany the WPAF and also be sent to all previous levels of review. This section shall not require the evaluation timelines be extended. *Section 9.010X of the University ARTP this can be found on the Web: https://www.csus.edu/umanual/hr/hrs- 0131.pdf Faculty Retention, Tenure, and Promotion Handbook 6

Appendix A Sample of Eligible Faculty RTP Classification of Faculty Members 2018-2019 College of Business Administration First Year Fall Performance Review P-1 Regular faculty members serving in the first full-time year of employment to be considered for Periodic Evaluation (New Hire Listed) Retention Performance Review P-2 Regular faculty members serving in the second full-time year of employment to be considered for reappointment. (Second Year Listed) P-3 Regular faculty members serving in the third full-time year of employment to be considered for reappointment. (Third Year Listed) P-4 Regular faculty members serving in the fourth full-time year of employment to be considered for reappointment (Provost Transfer Jan 5, 2018). (Forth Year Listed) P-5 Regular faculty members serving in the fifth full-time year of employment to be considered for reappointment. (Fifth Year Listed) Tenure and Promotion Appointees Performance Review P-6 Regular faculty members serving in the sixth full-time year of employment to be considered for tenure and promotion (Provost Transfer April 6, 2018). (Sixth Year Listed) Early Tenure & Promotion to Associate or Full Performance Review Provost Transfer April 6, 2018). (As requested by Faculty Listed) Promotion to Full Performance Review Provost Transfer April 6, 2018). (As requested by Faculty Listed) * Hired as Associate Professor Faculty Retention, Tenure, and Promotion Handbook 7

Working Personnel Action File (WPAF): Appendix B What s in the WPAF? The WPAF is composed of the materials that originate from the PAF are placed in your file by the Associate Dean s staff (1-5 and 7.A.1) are denoted with (ADFR) and items prepared by the faculty member are denoted with (Faculty). While it is the faculty member s right to include any materials they believe demonstrates their professional achievement, they should strive for balance between comprehensiveness and representation (i.e., choose those materials that most effectively convey the nature and value of the work). (WPAF Sections, in this specific order) 1. Access log (ADFR) 2. Verification of WPAF contents (ADFR) 3. CV/resume {current CV/resume and CV/resume from either the original appointment (for tenure and promotion to Associate Professor) or from the last time the faculty member was promoted (for promotion to Full Professor)} (Faculty-current/ADFRoriginal) 4. Current RTP Evaluations (ADFR) 5. Past RTP Evaluations (ADFR) 6. Narratives/summaries/reflective statements/personal action plan (as appropriate for each College) addressing: A. Teaching effectiveness (Faculty) B. Scholarly and creative activities (Faculty) C. Service (contributions to the community and to the institution) (Faculty) 7. Index of all faculty achievements (A-E) A. Teaching effectiveness 1. Student evaluations (ADFR) 2. Peer evaluations, if any (Faculty) 3. Syllabi (at least one for each course taught) (Faculty) 4. Other evidence of teaching effectiveness (Faculty) B. Scholarly and creative activities (Faculty) For example: 1. Published books 2. Conference presentation 3. Journal Articles C. Institutional service (Area/College/University) (Faculty) D. Community service (Faculty) E. Other materials (Faculty) 8. Letters of appointment per college ARTP policy not included elsewhere (ADFR) Faculty Retention, Tenure, and Promotion Handbook 8

Appendix C Personnel Action File (PAF): The Personnel Action File (PAF) contains the permanent record of the RTP process for each faculty member. The permanent custodian of the PAF is the Associate Dean for Faculty and Research. It consists of: 1. Access Log 2. Current year s RTP Review Letters (Letter from each level of review) 3. Previous years RTP Review Letters (Letter from all previous reviews) 4. Student Evaluations (See Area RTP policy for specific requirements) 5. Other PAF letters (Letter that have been accepted for placement in the file by the custodian or by you). 6. Index 7. Curriculum Vitae (CV) 8. Initial appointment letter Faculty Retention, Tenure, and Promotion Handbook 9

Appendix D Sample of 11 Steps of Annual Review 1. ADFR notifies eligible faculty with deadline for response 2. ADFR post current year s RTP list (Performance Review, Tenure and Promotion Appointees, Early Tenure and Promotion, Promotion to Full, Post Tenure Review) 3. Faculty prepares index materials for parts 3 (except original CV), 6 (a-c), and 7 (all except evaluations) 4. Faculty and Faculty Personnel Analyst meet for final review, add appropriate sections from PAF to WPAF, approve verification of contents, and close the file. 5. Primary committee deliberates, votes and provides recommendation letter to the ADFR for distribution to faculty member 6. ADFR notifies faculty member and rebuttal period begins (10 days) 7. Secondary Committee deliberates, votes and prepares letter of recommendation to the ADFR for distribution to faculty member 8. ADFR notifies faculty member and rebuttal period begins (10 days) 9. Dean carries out independent review and prepares letter of recommendation to the ADFR for distribution to faculty member 10. ADFR notifies faculty member and rebuttal period begins (10 days) 11. As appropriate to Provost (P4, P6, promotion to Associate and promotion to Full) Faculty Retention, Tenure, and Promotion Handbook 10

Appendix E Sample of File Closure Form California State University, Sacramento College of Business Administration Working Personnel Action File (WPAF) Index Hire date to Current file closure date (e.g. 8/22/2018-10/6/2018) (For Retention) or Last file closure date to Current file closure date (e.g. 10/7/2014-10/6/2018) (For Promotion/Post-Tenure) 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 included in my WPAF as it advances through the evaluation levels. All other materials available upon request. SIGNATURE: 6. Narratives/summaries/reflective statements/personal action plan (as appropriate for each College) addressing: A. Teaching effectiveness (Faculty) B. Scholarly and creative activities (Faculty) C. Service (contributions to the community and to the institution) (Faculty) 7. Index of all faculty achievements (A-E) A. Teaching effectiveness 1. Student evaluations (ADFR) 2. Peer evaluations, if any (Faculty) 3. Syllabi (at least one for each course taught) (Faculty) 4. Other evidence of teaching effectiveness (Faculty) B. Scholarly and creative activities (Faculty) For example: 1. Published books 2. Conference presentation 3. Journal Articles C. Institutional <Area/College/University> service (Faculty) D. Community service (Faculty) E. Other materials (Faculty) Faculty Retention, Tenure, and Promotion Handbook 11

Appendix F 2018-2019 RTP Key Dates (Dates subject to modifications, except file closure dates.) Faculty Retention, Tenure, and Promotion Handbook 12