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A SYSTEM FACULTY EVALUATION FOR THE IMPROVEMENT OF FACULTY PERFORMANCE

EFFECTIVE FALL 1992

ALABAMA STATE UNIVERSITY MONTGOMERY, ALABAMA

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TABLE OF CONTENTS

FOREWORD .................................................................................................................... IV

GENERAL CRITERIA FOR APPOINTMENT, TENURE

AND PROMOTION .......................................................................................................1

SPECIAL CRITERIA BY RANKS.....................................................................................3

PROMOTION TO TENURE STATUS...............................................................................7

PROCEDURES FOR PROMOTION REVIEW .................................................................8

PROCEDURES FOR TENURE REVIEW .......................................................................12

FACULTY EVALUATION PROCESS............................................................................15

CLASSROOM OBSERVATION APPEALS PROCESS .................................................18

OVERALL PERFORMANCE RATING SYSTEM ELEMENTS.................................... 19

GUIDELINES FOR RATING SIR ELEMENTS..............................................................20

GUIDELINES FOR COMPUTING OVERALL RATING

SCORE AVERAGE..................................................................................................... .23

SUMMARY .......................................................................................................................26

TABLES ............................................................................................................................28

TABLE I: SYSTEM OF EVALUATION .............................................................28

TABLE II: TYPES OF EVALUATION.................................................................29

APPENDICES ...................................................................................................................30

SELECTED PERFORMANCE AREA PERCENTAGE WEIGHTS FORMS: APPENDIX A: ANNUAL

PERFORMANCE REVIEW FORM ..........................31

APPENDIX B: PROMOTION REVIEW FORM ..................................................32

APPENDIX C: TENURE REVIEW FORM ..........................................................33

APPENDIX D: EVALUATION INSTRUMENTS: CLASSROOM

OBSERVATION FORMS FOR

PROGRESS REVIEWS I AND 11...............................................................34

TEACHING EFFECTIVENESS ASSESSMENT FORMS FOR:

PROGRESS REVIEWS I AND II ...............................................................40

ANNUAL PERFORMANCE REVIEW......................................................42

PROMOTION AND TENURE ...................................................................47

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TABLE OF CONTENTS (cont'd)

APPENDIX D: (cont'd)

ASSESSMENT FORMS AND WORKSHEETS FOR:

ANNUAL PERFORMANCE REVIEW- RESEARCH AND

CREATIVE ACTIVITY ........................................................................50

ANNUAL PERFORMANCE REVIEW, PROMOTION, AND

TENURE- ACADEMIC CITIZENSHIP .............................................59

ANNUAL PERFORMANCE REVIEW, PROMOTION AND

TENURE- COMMUNITY SERVICE .................................................66

PROMOTION AND TENURE REVIEW- RESEARCH AND CREATIVE ACTIVITY

........................................................................71

APPENDIX E: PROMOTION AND TENURE CHECKLIST:

PROMOTION REVIEW CHECKLIST ....................................................85

TENURE REVIEW CHECKLIST ............................................................86

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FOREWORD

This is the first revision of the System of Faulty Evaluation for the Improvement of Faculty

Performance, originally published in 1986. The sections on Special Criteria by Rank and Promotion to Tenure Status

have been revised to be consistent with the 1989 Faculty Handbook sections 3.2.3 and 3.5.B. A classroom observation

appeals process has been added to allow a faulty member observed to appeal conflicting classroom observation reports

prepared by departmental observation committees and a Spring Observation report prepared by the department chairperson

during the same academic year. Guidelines for rating Student Instructional Report (SIR) scores on the Effectiveness as a

Library Professional Form for Annual Performance Review have been added to ensure uniformity and consistency in

rating SIR scores by department chairpersons.

The performance areas ( i . e . , e f fec t i ve nes s a s a l i b r a ry p ro fe ss io na l , a cad emic c i t i ze ns h ip ,

r e sea r ch and c r ea t ive a c t iv i t y , and co mmu n i t y se rv ice ) fo r eva l ua t io n o f a facu l t y me mb er ’s

co nt r ib u t io n to t he ach i eve me nt o f the mis s io n o f the U nive r s i t y r e ma in the same. However, a

few changes have been made in the instruments for measuring effectiveness as a library professional, academic

citizenship, and research and creative activity. Most notable among these changes are 1) the deletion of one item

from the Effectiveness as a Library Professional.

1

GENERAL CRITERIA FOR

APPOINTMENT, TENURE AND PROMOTION

General criteria for appointment, tenure and promotion are established in the following four (4)

areas:

A. EFFECTIVENESS AS A LIBRARY PROFESSIONAL

The individual will be rated upon the following:

1. Academic preparation in and the knowledge of the subject matter in the l i b rary field.

2. Organization of classroom instruction in accordance with syllabus.

3. Use of appropriate instructional resource materials.

4. Enthusiasm in the presentation of course material.

5. Effective oral and written communications skills.

6. Employment of effective l i b r a r i a n methodologies and techniques.

7. Development of course assignments appropriate for achieving course objectives.

8. Respect for the expression of student opinions and encouragement of class discussion.

9. Ability to attract and maintain the attention of the students.

10. Awareness of differing levels of student understanding of the subject matter. B. RESEARCH

AND CREATIVE ACTIVITY

1. Contribution to and discovery of new knowledge.

2. Synthesis and/or critical evaluation of existing knowledge.

3. Creation, performance and/or exhibition of artistic works.

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4. Performance in acquiring internal/external funding for research.

5. Recognition by respective professions of research and creative activities. C. ACADEMIC

CITIZENSHIP

1. Activity in giving guidance and direction to students and student organizations.

2. Contribution to the enhancement of academic programs, standards, and policies.

3. Contribution to own professional growth and stature within the discipline and the advancement of the

discipline itself.

4. Contribution to total University development and growth. D.

COMMUNITY SERVICE

1. Service on commissions or boards of community agencies and/or organizations.

2. Consultation with businesses, cultural, educational, or governmental activities, social services and

industrial organizations.

3. Participation in the development and implementation of public service programs, courses, workshops,

and seminars.

4. Formal presentations, performances, exhibitions, and demonstrations for community groups.

5. Participation and/or leadership in other activities designed to enhance the social, cultural and

economic development of the community. It is not expected that every individual will excel in all of the general criteria; neither is it expected that a member of

Alabama State University faculty will have a complete void in any of the four areas.

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SPECIAL CRITERIA BY RANK

The following criteria have been established with respect to rank, subject to the exceptions and modifications

specified on the last page of this section.

INSTRUCTOR

The instructor must have the master's degree in the assigned teaching field from an accredited college or

university.

ASSISTANT PROFESSOR

The assistant professor must have an earned doctorate (*or terminal degree) in the assigned teaching field from

an accredited college or university,

OR

The assistant professor must have a master's degree in the assigned teaching field plus three (3) academic years of

successful teaching experience in an accredited college or university, excluding teaching experience as a graduate

assistant (the three years must have been completed by the time the appointment becomes effective), AND forty-eight

(48) semester hours in a doctoral program must be in the assigned teaching field.

In addition, if the appointment constitutes a promotion in rank at the University, the assistant professor must have

completed within the previous year the Alabama State University Promotion Review with an overall performance

rating scores of at least 2.0. ASSOCIATE PROFESSOR

The associate professor must have an earned doctorate (*or terminal degree) in the teaching field from a regionally

accredited university

AND

five (5) academic years of successful teaching experience at an accredited college/university, excluding the teaching

experience as a graduate assistant. Three (3) of the years of experience must have been at the rank of assistant

professor, completed by the time the appointment/promotion become effective.

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In addition, if the appointment constitutes a promotion in rank at the University, the associate professor must have

completed within the previous year the Alabama State University Promotion Review with an overall performance rating

score of at least 3.0, AND the candidate must have received a score of at least 2.0 on any one of items 5, 6, 7 or 8 on

the Research and Creativity Assessment Form. **

PROFESSOR

The full professor must have an earned doctorate (*or terminal degree) in the assigned teaching field from a

regionally accredited university,

AND

ten (1 0) academic years of successful teaching experience at an accredited college/university, excluding the

teaching experience as a graduate assistant. Three (3) of the years of experience must have been at the rank of

associate professor, completed by the time the appointment becomes effective.

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In addition, if the appointment constitutes a promotion in rank at the University, the full

professor must have completed within the previous year the Alabama State University Promotion Review with an

overall performance rating score of at least 3.0, AND since attaining the rank of associate professor, the candidate must

have published scholarly works in a refereed journal or book and received a minimum score 2.0 on any one of items 5,

6, 7, or 8 on the Research and Creativity Assessment Form. **

EXCEPTIONS TO SPECIAL CRITERIA BY RANK

1. Upon recommendation of the Vice President for Academic Affairs, the President may recommend to the Board

of Trustees that time spent in full-time research appointments be accepted as the equivalent of teaching

experience.

2. Upon recommendation of the Vice President for Academic Affairs, the President may recommend to the Board

of Trustees the assignment of academic rank for a new member of the faculty who serves in a combination of

teaching and administrative roles.

3. Upon recommendation of the dean of the college involved and the Vice President for Academic Affairs,

the President may recommend to the Board of Trustees the assignment of academic rank for a new member

of the faculty solely on the basis of extraordinary and distinguished national service to the teaching field.

4. No faculty member teaching at the University shall be prevented from retaining his or her current rank solely

because he or she fails to meet criteria established with respect to such rank after the faculty member has been

assigned to said rank.

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*Upon the recommendation of the dean or director of the appropriate college, the Vice President for

Academic Affairs, and the President, the University will recognize as the equivalent of the doctorate an

earned terminal degree in a teaching field that is recognized nationally as the highest degree in the academic

area.

**An exception to this policy is made for faculty members in the disciplines of art, music, and theatre

and for faculty members engaged in computer software and media productions. These c a n d i d a t e s must

sho w consistent productivity that is professionally recognized beyond the immediate University community, whether

in juried shows (art); performance, direction, or design (theatre); or composition, direction or performance (music); or

in computer software and media productions. These candidates must also receive a score of at least 2.0 on any one

of the items in the Research and Creative Assessment Form that directly pertains to their faculty assignment.

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PROMOTION TO TENURE STATUS

Tenure appointments at the University are never automatic. Upon recommendation of the President and approval

by the Board of Trustees, tenure may be awarded to faculty holding probationary appointments as assistant

professors, associate professors, and professors. To be granted tenure, other requirements having been satisfied,

the faculty member will have completed the Alabama State University Tenure Review with an overall

performance rating score of at least 3.0 and a score of at least 2.0 on any one of items 5, 6, 7, or 8 in the

Research and Creativity Assessment form. The awarding of tenure is always based upon an affirmative judgment

of qualifications by the appropriate faculty and academic administrative officers. The above minimum scores

apply to persons hired after May 1988. Incumbent faculty members on the tenure track as of May 1988 must

achieve an overall performance rating score of 2.85 and minimum score of 2.0 on any one of items 5, 6, 7,

or 8 in the Research and Creativity Assessment Form to qualify for tenure consideration.*

*In regard to achieving a minimum score of 2.0 on any one of items 5, 6, 7, or 8 in the Research and

Creative Activity Assessment Form, an exception to this policy is made for faculty members in the

disciplines of art, music, and theatre and for faculty members engaged in computer software and media

productions. These c a n d i d a t e s must s h o w consistent productivity that is professionally recognized

beyond the immediate University community, whether in juried shows (art); performance, direction, or design

(theatre); or composition, d i r e c t i o n or p e r f o r m a n c e (music); or in c o m p u t e r software and

media productions. These candidates mus t also receive a score of at least 2.0 on any one of the items in the

Research and Creative Assessment F o r m that directly pertains to their faculty assignment.

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PROCEDURES FOR PROMOTION REVIEW

The following procedures are outlined for consideration of faculty members for promotion:

A. The name(s) of any candidate(s) to be considered for promotion must be presented to the appropriate d e a n or director

b y November 1 5 of the academic y e a r for consideration. Faculty members’ n a m e s may be placed in candidacy b y

themselves, their department chairperson or by another colleague in the department. The dean will then inform each

faculty member in that department of the names of all candidates in that department.

B. The department chairperson will receive a dossier prepared by the candidate that contains (1) a resume, (2) a copy of all

relevant Annual Performance Reviews and the supporting documentation for them, and (3) letters of recommendation.

The candidate will also submit a completed Faculty Evaluation Promotion Review: Selected Performance Area

Percentage Weights Form, showing the percentage weights in each of the four areas of the evaluation that will apply

in the promotion review. To the dossier may be added letters of reference solicited by the department chairperson

or submitted by faculty members in the department who wish to state their opinions on the candidate's

promotion. In the event that the applicant has not undergone a classroom observation by the chairperson during the

current academic year (in Progress Review I), the chairperson is required to make a classroom visit for the purpose

of evaluating the candidate's classroom performance.

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If the department chairperson is being considered for promotion, the dean of the college/school will be

responsible for receiving and c o m p l e t i n g that c h a i r p e r s o n ’ s dossier.

C. The department chairperson will then establish a promotion review committee consisting of the chairperson and

four faculty members. Three of the four faculty members should be members of the department, and one

should be from another department. The department chairperson will head this committee. All members of the

committee should hold rank at least equal to that proposed for the candidate. For these purposes, the School of

Music and the College of Business Administration will operate as a department and choose their committee

members from the total faculty.

The committee will review the candidate's dossier and, as a committee, complete the official Promotion

Review Assessment forms in the areas of teaching effectiveness, research and creative activity,

academic citizenship, and community service. The committee will compute an overall rating and make

its recommendation and dossier will then be forwarded to the dean of the college. The department/college

chairperson must provide the dean with a written recommendation, in addition to that of the committee.

In case of a department chairperson’s candidacy, the dean of the college will form a separate promotion

committee and serve as its chairperson.

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D. After the dean/director reviews all recommendations and dossiers for candidates for promotion, an advisory committee of

faculty members in the college will be appointed. These faculty members will indicate whether they have any

reason to question the fairness of procedures used and advise the dean on the merits of the evaluation. The dean will

then prepare a written recommendation for each candidate and submit the recommendations to the Vice President for

Academic Affairs. Recommendations concerning promotions must reach the Office of the Vice President for Academic

Affairs by March 15.

E. The Vice President for Academic will evaluate all information submitted, including dossiers if request, and provide

university-wide recommendations to the President of the University by April 15. The President will then make the

final recommendations to the Board of Trustees.

F. Promptly following the May meeting of the Board of Trustees, the Vice President for Academic Affairs will send a letter to

all candidates informing them of the final decisions on their requests for promotion. At the same time a written general

announcement of promotions will be made to the faculty. If promotion is not granted, the individual may request a

conference with the Vice President for Academic Affairs to discuss the reasons for the decision.

G. In the event that an individual wants to appeal the decision, that individual must file a grievance with the Committee on

Faculty Grievance within fifteen (15) working days after the receipt of the official notification of the disposition of the

application. The committee's recommendation on whether there is a valid grievance will be submitted to the Vice

President for Academic Affairs. The Vice President for Academic Affairs will

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evaluate the situation and submit a recommendation to the President for a final decision. If the President rules

in favor of the faculty member, a recommendation will be submitted to the Board of Trustees for consideration at

its next regular meeting.

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PROCEDURES FOR TENURE REVIEW

The following procedures are outlined for consideration of faculty members for tenure:

A. A faculty member who wishes to be reviewed for tenure during a specified academic year must file a request

with the dean of the college/school before the last day of September of that year. Tenure review is mandatory

for faculty members in their sixth probationary academic year. Before the end of October, the dean will send

written notification to the college/school faculty of the faculty members to be reviewed for tenure during

that academic year.

B. The faculty member(s) being reviewed for t e n u r e will s u b m i t to t h e d e p a r t m e n t chairperson a

dossier that contains (1) a resume, (2) a copy of all Annual Performance Reviews for the academic years of

probationary status and the supporting documentation for them, and (3) letters of recommendation. A

complete Faculty Evaluation T e n u r e Review: Selected Performance Area Percentage Weights Form should

also be submitted, showing the percentage weights in each of the four areas of the evaluation that will apply in

the tenure review. To the dossier may be added letters of reference solicited by the department chairperson or

submitted by faculty members in the department who wish to state their opinions on the individual 's

suitability for tenure. In the event that the applicant has not undergone a classroom observation by the

chairperson during the current academic year (in Progress Review 1), the chairperson is required to

make a classroom visit for the purpose of evaluating the candidate's classroom performance.

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If the d e p a r t m e n t chairperson is being considered for tenure, the dean of the college/school

w i l l b e r e s p o n s i b l e for r e c e i v i n g and c o m p l e t i n g that c h a i r p e r s o n ’ s dossier.

C. The faculty member's tenure review will be conducted by a departmental committee consisting of all tenured

members of the department and one tenured faculty member from another department, appointed to the

committee by the chairperson with the prior concurrence of the dean of the college/school. For these

purposes, the School of Music and the College of Business Administration will operate as a department and

choose their committee members from the total faculty.

In the event the department chair is being reviewed for tenure, the committee will consist of all tenured

members of the department/college and one tenured faculty member from another department, appointed to

the committee by the dean of the college. The dean will also chair the committee.

The committee members will separately review the faculty member's dossier and complete the

official Tenure Review Assessment Forms in the areas of teaching effectiveness, research and

creative activity, academic citizenship, and research and creativity activity, academic citizenship, and

community service. The committee members will then report their assessment to the committee and

collectively compute an overall rating and make its written recommendation on the official Tenure Review

Form. The recommendation and dossier will then be forwarded to the dean of the college. The department

chair must provide the dean with a written recommendation in addition to that of the committee. The written

departmental recommendations will be submitted to the dean of the college/school by March 5.

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D. After the dean receives all recommendations and dossiers for the faculty members being reviewed, written

tenure recommendations will be prepared and submitted t o the Vice President for Academic Affairs for all

persons within the college/school who have been reviewed for tenure. Recommendations concerning tenure

must reach the office of the Vice President for Academic Affairs by April 1.

E. The Vice President for Academic Affairs will evaluate all recommendations submitted, including dossiers if

requested, and make written recommendations to the President of the University by April 15. The

President will then make the final recommendation t o the Board of Trustees in time for consideration at its

May meeting.

F. Promptly following t he May meeting of the Board of Trustees, the Vice President for Academic Affairs will

send a letter to all persons reviewed for tenure informing them of the final decisions on their requests for

tenure. At the same time, a written general announcement o f wards of tenure will be made to the faculty.

If tenure is not to be granted to an eligible individual, the individual may request a conference with the

Vice President for Academic Affairs to discuss the reasons for the decision.

G. In the event that the individual wa n t s to appeal the decision, that individual must file a

grievance w i t h the Committee on Faculty Grievance w i t h i n fifteen (15) working days after the receipt of

the official notification of the disposition of the application. The committee's recommendation o n whether

there is a valid grievance will be submitted to the Vice President for Academic Affairs. The Vice President for

Academic Affairs will evaluate the situation and submit a recommendation to the President for a final

decision. If the President rules in favor of the faculty member, a recommendation will be submitted to the

Board of Trustees for consideration at its next regular meeting.

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FACULTY EVALUATION PROCESS

The System of Faculty Evaluation is designed to review annually each faculty member in the areas of teaching

effectiveness, academic citizenship, research and creative activity, and community service. The proportionate

w e i g h t of the faculty member’s effort in each of these areas may vary from year to year within certain ranges. The

annual review process for faculty members with temporary or probationary contracts consists of three steps: Progress

Review I, completed between October and November; Progress Review II, completed between January and February;

and the Annual Performance review, completed between April 1 and May 15. The annual review process for

tenured faculty member consists of the Annual Performance Reviews,

also completed between April 1 and May 15.

The f o l l o w i n g evaluation procedures a r e o u t l i n e d for f a c u l t y members at A l a b a m a State University:

I. During the first two weeks of the academic year, department chairpersons will meet with each probationary

and tenured faculty member to agree on a plan for the faculty member's distribution of professional

activities during the coming academic year, using the Performance Area Projections/Selected Percentage

Weights Form.

2. PROGRESS REVIEW I: Required for faculty members with adjunct, annual temporary or probationary

a p p o i n t me n t s . During October and November, the department chairpersons will observe and rate the

classroom performance of al faculty members in their departments who hold adjunct, annual temporary or

probationary appointments. Where appropriate, t h e chairpersons w i l l also review and evaluate a l l syllabi

and test materials being used. The chairperson will hold a conference with each faculty member

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reviewed t o discuss t h e evaluation. The faculty member may add comments to the written report and

will sign the report as an acknowledgement of having reviewed its contents.

3. PROGRESS REVIEW II: Required for faculty members with adjunct, annual temporary or probationary

appointments . In September, each department chairperson wi l l appoint an e v a l u a t i o n committee

from among tenured members of t h e d e p a r t m e n t . The chairperson will not be a member of this

committee. The responsibility of the committee is to conduct, between January and February, Progress Review

II.

Each member of the committee w i l l observe and rate the classroom p e r fo r mance of all faculty members

in the department who hold adjunct, annual temporary or probationary appointments. Where appropriate, the

committee members will also review and evaluate all syllabi and test materials being used. The committee

will hold a conference with each faculty member reviewed to discuss the results of the evaluation. The

faculty member may add comments to the written reports and will sign them as an acknowledgement of

having r e v i e w e d the c o n t e n t s . The c o m p l e t e d reports will be t r a n s m i t t e d to t h e

chairperson of the department.

4. SPRING CLASS OBSERVATION REPORT: In the Spring, before completing the Annual Performance

Review for faculty members, the department chairperson will observe and rate the classroom performance

of all faculty members who have received unsatisfactory ratings in ether Progress Review I or II during the

current academic year. If such observation i s made, t he chairperson w i l l hold a conference w i t h the

faculty

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member t o discuss t h e report. The faculty member ma y add comments to the report and will sign it as

acknowledgement of having reviewed i t s contents.

5. ANNUAL PERFORMANCE REVIEW: Required for al probationary and tenured faculty member

and for annual temporary faculty members, if re-employment is being considered. Each Spring,

before May 15, department chairperson will compete an Annual Performance Review for the

probationary and tenured faculty members in their departments, using as a base document the faculty

members' agreed upon plan for the distribution of professional activities during the current academic

year. After conferring with the chairperson, a faculty member may add comments to the written report and

will sign the r e p o r t as a n a c k n o w l e d g e m e n t o f h a v i n g reviewed its c o n t e n t s .

Annual Performance Review reports will be transmitted to the dean o f the college/school wh o will either

concur wi th or dissent from the rating given. When there is dissent, the dean will provide a written

explanation to the faculty member and department chairperson, confer with them about the matter,

and permit either or both to add comments to the report. Annual Performance Review reports will be

filed in the dean's office. Summary faculty ratings will be transmitted to the O f f i c e o f the Vice

P r e s i d e n t for A c a d e m i c Affairs.

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CLASSROOM OBSERVATION APPEALS PROCESS

Appeals of Classroom Observation Reports are limited to situations in which there is a disagreement between observation

reports prepared by departmental classroom observation committees and a Spring Observation Report prepared by the

department chair during the same academic year. Only the faculty member observed may institute an appeal. The

appeal must be submitted in writing to the Dean of the College within two weeks of the time the Spring

Observation Report has been distributed.

The Dean will appoint a committee of the department chair and two tenured faculty members to conduct a formal

classroom observation of the faculty member, preferably in the course that give rise to the challenge. One of the

faculty members chosen should be knowledgeable in the subject of the course; the other should be especially

knowledgeable of librarian techniques. This committee's classroom observation report will be made known to the

faculty member and the departmental classroom observation committee. Its rating is to be used for item three of the

Effectiveness as a Library Professional Assessment Form for the individual's Annual Performance Review.

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OVERALL PERFORMANCE RATING SYSTEM ELEMENTS

A. General Evaluation Criteria (Performance Areas)

1. Effectiveness as a Library Professional

2. Research and Creative Activity

3. Academic Citizenship

4. Community Service

B. Average Performance Rating Scores (Range 0-4) C. Percentage

Weights Selected

(Weights Selected Prior to Annual Performance Review, Promotion, and Tenure

Evaluations- Based Upon Predetermined Minimum/Maximum Weights for each Area of

Performance and Each Type of Evaluation)

D. **Rating Points

(Derived by Multiplying Area Performance Rating By Respective Selected Weight)

E. Overall Rating Point Average

(Derived by Dividing Total of Selected Percentage Into Total of Rating Points) F. Rating Scale

Descriptive

4 - Excellent

3- Above Average

2 - Average

1 - Fair

0- Poor

G. Minimum Standards for Recommendations

3.0 - Tenure

2.0 - Instructor to Assistant Professor

3.0 - Assistant to Associate Professor

3.0- Associate to Full Professor

H. Levels of Merit

2.0 - 2.4: Level I

2.5 - 2.9: Level II

3.0-3.4: Level III

3.5 -4.0: Level IV

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GUIDELINES FOR RATING SIR SCORES ON ITEM 5 OF THE TEACHING

EFFECTIVENESS ASSESSMENT FORM FOR ANNUAL PERFORMANCE REVIEW

1. SIR items 18, 21-23, and 26-31 should not be considered in determining the Effectiveness as a Library

Professional Assessment Form Item 5 rating score for SIR scores. These items are not direct indicators of

teaching effectiveness.

2. SIR mean scores range from 1 to 4 on all items except 32-39, on which they range from 1 to 5. The

higher the mean scores, the more positive the student ratings.

3. For SIR items with mean scores ranging from 1 to 4, the following equivalent Effectiveness as a Library

Professional Assessment Form for Annual Performance Review Item 5 scale values apply:

(SIR Items 1-17; 19-20; 20-25)

SIR Mean Score

Interval

Item 5

Scale Values

3.50 - 4.00

3.00 - 3.49

2.50 - 2.99

2.00 - 2.49

1.00 - 1.99

4

3

2

1

0

4. For SIR items with mean scores ranging from 1-5, the following equivalent Effectiveness as a Library

Professional Assessment Form for Annual Performance Review Item 5 scale values apply:

(SIR item 1-17; 19-20; 24-25)

SIR Mean Score

Interval

Item 5

Scale Values

4.50 - 5.00

3.50 -4.49

2.50-3.49

1.50-2.49

1.00 - 1.49

4

3

2

1

0

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5. For each applicable SIR mean score, determine the equivalent Item 5 scale value.

Compute the sum of all equivalent Item 5 scale values and divide the sum by the total number of SIR items

for which the mean score was considered; Round the computed value to the nearest whole number. This

number should be circled on Item 5 of the Effectiveness as a Library Professional Form for Annual

Performance Review.

Sum of Equivalent Item 5

Scale Values = Item 5 Rating Score

Total Number of SIR Mean

Scores Considered

(See example on following page)

SIR

EXAMPLE

Equivalent

Items Mean Scores Item 5 Scale Values

1.

3.62

4

2. 3.21 3

3. 2.85 2

4. 1.21 0

22

5. 3.56 4

6. 3.87 4

7. 2.58 2

8. 3.22 3

9. 3.50 4

10. 3.50 4

11. 1.89 0

12. 3.29 3

13. 3.50 4

14. 3.21 3

15. 3.41 3

16. 2.95 2

17. 3.40 3

19. 2.59 2

20. 3.10 3

24. 3.56 4

25. 3.61 4

32. 4.21 3

33. 4.56 4

34. 4.10 3

35. 3.99 3

36. 3.74 3

37. 4.84 4

38. 4.64 4

39. 3.65 3

Sum of Equivalent Item 5

Scale Values = 88

= 3.03

Total Number of SIR Mean 29

Scores Considered

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GUIDELINES FOR COMPUTING OVERALL

RATING SCORE AVERAGE FOR TENURE

A. Average Rating Scores from Tenure Review Assessment Forms:

Effectiveness as a Library Professional

Research and creative Activity

Academic Citizenship Community

Service

B. Percentage Weights from Tenure Review: Selected

Performance Area Percentage Weights Form:


Research and Creative Activity

Academic Citizenship

Community Service

C. Complete Table Below:

Area of Performance

Ratings From A

X

Weights From B

Rating Points

Effectiveness as a Library

Professional

X

=

Research & Creative Activity

X

=


X

=

Community Service

X

=

Total 100% =

D. Compute Overall Tenure Review Rating Point Average: Rating

Point Average =Total Rating Points

100

NAME ------------------------

Year

24

ACADEMIC CITIZENSHIP X =

GUIDELINES FOR COMPUTING OVERALL RATING

SCORE AVERAGE FOR ANNUAL PERFORMANCE

REVIEW

A. Average Rating Scores from Annual Performance Review Assessment Forms:




Service

B. Percentage Weights from Annual Performance Review: Selected Performance Area

Percentage Weights Form:




Service

C. Complete Table Below:

AREA OF PERFORMANCE RATINGS FROM A X WEIGHTS

FROMB

RATING

POINTS

EFFECTIVENESS AS A

LIBRARY PROFESSIONAL

RESEARCH & CREATTVE

----------- X -----------

=

ACTTVITY -----------

X ----------- =

-- -- ------- -----------

COMMUNITY SERVICE -----------X =

TOTAL 100% =

D. Compute Overall Annual Performance Review Rating Point Average

Rating Point Average = Total Rating Points

100

NAME -------------------------

Year

25

GUIDELINES FOR COMPUTING OVERALL

RATING SCORE AVERAGE FOR PROMOTION IN

RANK

A. Average Rating Scores from Promotion Assessment Forms:




Service

B. Percentage Weights from Promotion Review: Selected Performance Area Percentage

Weights Form:




Service

c. Complete Table Below:

AREA OF PERFORMANCE RATINGS X WEIGHTS = RATING

FROM A FROMB POINTS

EFFECTIVENESS AS

A LIBRARY PROFESSIONAL X

RESEARCH & CREATIVE

ACTIVITY X

ACADEMIC CITIZENSHIP X =

COMMUNITY SERVICE X

TOTAL 100% =

D. Compute Overall Promotion Review Rating Point Average

Rating Point Average = Total Rating Points

100

NAME ___________________________________________ YEAR ____________________

26

SUMMARY

This System of Faculty Evaluation contained in this d o c u m e n t provides procedures and instruments for

measuring the contributions of faculty m embers to the achievement of the mission and goals of Alabama State

University. The system is designed to generate data for decision making in regard to faculty development needs,

retention, promotion, tenure, and awards of merit. The primary objective of the System of Faculty Evaluation is to

help faculty members perform at progressively higher levels of excellence.

The System of Faculty Evaluation includes five types of evaluation and four performance criteria for evaluation. The

five types of evaluations are (1) Progress Review I, (2) Progress Review II, (3) Annual Performance Review, (4)

Promotion Review, and (5) Tenure Review. The four performance criteria for evaluation are (I) effectiveness as a library

professional, (2) research and creative activity, (3) academic citizenship, and (4) community service.

Progress Reviews I and II are designed to assess the effectiveness as a library professional performance of probationary,

temporary annual and adjunct faculty members. Progress Review I is conducted by the department chairperson and

completed between October and November. Progress Review II is conducted by the departmental evaluation committee

and completed b e t we e n January and February.

The Annual Performance Review I is designed to measure performance in the areas of effectiveness as a library

professional, research and creative activity, academic citizenship, and community service for all faculty members.

Department chairpersons have the responsibility of c o n d u c t i n g Annual Performance Reviews, and there reviews are

to be completed between April 1 and May 15. Promotion and tenure reviews are designed for faculty who meet certain

minimum criteria as specified in the Faculty Handbook and who submit an application for promotion or tenure

review. In the case of tenure, however, all sixth year probationary faculty members must be reviewed for tenure.

Candidates for promotion or tenure are assessed on all performance criteria specified in the System of Faculty

Evaluation. Departmental committees are appointed for both types of reviews and their recommendations are

forwarded to the dean of the appropriate college/school.

Each of the system's evaluation instruments contains items that are rated on a scale of 0 (low) to

27

4 (high). Guidelines and formulas have been established for computing overall performance score for each type of

review. Overall performance scores for the Annual Performance Review, Promotion Review, and Tenure Review take

into account performance area percentage weights that faculty members are permitted to select within certain ranges prior

to the initiation of the respective review.

Finally, the System of Faculty Evaluation provides minimum scores for making promotion and tenure recommendations

and sets parameters for other decisions.

28

SYSTEM OF FACULTY EVALUATION

EVALUATIONS PERFORMANCE AREAS RATIONALE(S) PARTICIPANTS DATE

KINDS

EFFECTIVENESS

AS A LIBRARY

PROFESSIONAL

ACADEMIC

CITIZENSHIP

RESEARCH AND CREATIVE

ACTIVITY

COMMUNITY

FOR WHAT

FOR WHOM

BY WHOM

PERIOD

PROGRESS

REWIEW I

X

Assessment of Current Strengths and

Limitations;

Suggestions for

Improvement; and

Retention Decisions

Probationary, Temporary Annual, a nd Adju nct Faculty

Chairperson October to November

PROGRESS REVIEW II

X


Limitations; and

Progress toward Tenure

Status; Suggestions for

Improvement; and

Retention Decisions

Probationary Faculty and

Adjunct and Temporary

Annual Faculty, If

Contract Renewal

is Planned

Departmental Committee

January to February

ANNUAL RERFORMANCE REVIEW

X

X

X

X


Limitations; Suggestions for

Improvement;

Retention Decisions for Probationary and

Temporary Annual Faculty

All Faculty Chairperson April 1 to May 15

TENURE REVIEW

X

X

X

X

Tenure Recommendation

61 Year h Probationary

Faculty and others

who Request Tenure Review

Departmental Tenure Committee,

Chairperson,

Dean

September 30 to April I

PROMOTION

REVIEW

X

X

X

X

Promotion Recommendation

All Eligible Faculty who

Request Review

for Promotion in

Rank

Departmental Promotion Committee,

Chairperson,

Dean

November 15 to March 15

29

TYPES OF EVALUATION AND

MINIMUM- MAXIMUM EVALUATION WEIGHTS

GENERAL EVALUATION CRITERIA PERFORMANCE REVIEW

MIN. MAX

TENURE

MIN. MAX.

PROMOTION

MIN. MAX EFFECTIVENESS AS A LIBRARY PROFESSIONAL

40 75

40 60

40 60

RESEARCH AND CREATIVE ACTIVITY

10 55

15 35

15 35

ACADEMIC CITIZENSHIP

5 50

20 40

20 40

COMMUNITY SERVICE 0 30 5 25 5 25

30

APPENDICIES

31

FACULTY EVALUATION

ANNUAL PERFORMANCE REVIEW

PERFORMANCE AREA PROJECTION/ SELECTED PERCENTAGE WEIGHTS

Academic Year

(Form to be Completed During the First Two Weeks of the Academic Year)

NAME RANK

COLLEGE/SCHOOL/DIVISION DEPARTMENT


*Percentage Weight

Range 40-75%

Academic Citizenship Activities:

Range 5-50%

Research/Creative Activities:

Range 10-55%

Community Service Activities:

Range 0-30%

Total Percentage 100%

*Percentage weights selected must fall within the percentage range associated with the performance area and selected

percentage weights must total 100%.

32

FACULTY EVALUATION

PROMOTION REVIEW


Academic Year

(Form to be Completed When Application is submitted for Promotion Review)

NAME RANK

COLLEGE/SCHOOL/DIVISION ____________ DEPARTMENT ______________

*Performance Area *Percentage Weight


Range 40-60%

Research/Creative Activity

Range 15-35%


Range 20-40%

Community Service

Range 5-25%




33

FACULTY EVALUATION

TENURE REVIEW


Academic Year

(Form to be Completed on Initiating Tenure Review)

NAME RANK

COLLEGE/SCHOOL/DIVISION ____________ DEPARTMENT _______________

*Performance Area *Percentage Weight


Range 40-60%

Research/Creative Activity

Range 15-35%


Range 20-40%

Community Service

Range 5-25%




34

OBSERVATION FORM FOR

PROGRESS REVIEWS I AND II

NAME RANK


TYPE OF APPOINTMENT TEMPORARY ANNUAL PROBATIONARY

TIME DATE EVALUATOR

DIRECTIONS:

This rating scale is to be used to evaluate the effectiveness of a library professional. The

scale range is 0 (low) to 4 (high). Circle the number that best indicates the faculty member’s performance on each item. If the

item could not be observed, circle “NA”. Add the circled numbers and insert the total points earned in the space provided below.

INDICATORS OF EFFECTIVENESS OF A LIBRARY PROFESSIONAL

1. Provide access to information and materials through an understanding related to IL, software systems, document

delivery, resource sharing, archiving, preservation, a n d physical access

0 1 2 3 4 NA

2. Communicate and interact effectively with Library users and personnel through the conducting of for example:

reference interviews; interdepartmental, library- related communications; extra- library communications with library-

related entities (e.g. vendors, library consortia, professional organizations, governing bodies, etc)

0 1 2 3 4 NA

3. Develop and/or apply appropriate techniques to the development, acquisition, cataloging, classification, and

organization of Library resources in all formats

0 1 2 3 4 NA

4. Train, supervise, and evaluate l ib r ary p er so nne l inc lud ing student assistants in an effective manner

0 1 2 3 4 NA

5. Incorporate a new technology into the operations of the Library

0 1 2 3 4 NA

35

6. Develop and/or implement a technical operation and/or service that supports instructional and research programs

(e.g. LMS maintenance, fiscal and collection management/development, digitization and archiving, etc)

0 1 2 3 4 NA

7. Develop bibliographies, subject indexes, and other bibliographic aids in accord with established standards into the Library

0 1 2 3 4 NA

8. Develop Library resources for the undergraduate, graduate and research programs of the

University

0 1 2 3 4 NA

9. Manage, through planning strategies, current and/or anticipated use of Library facilities or resources

0 1 2 3 4 NA

10. Develop and conduct an information literacy session(s) for a class, department, or University community (online

or classroom)

0 1 2 3 4 NA

11. Coordinate and promote programming and public relations activities in the Library

0 1 2 3 4 NA

12. Perform administrative assignments related to the formulation, implementation and/or audit of library policy as it

relates to facilities and/or functions

0 1 2 3 4 NA

13. Prepare original displays that publicize the Library or promote its use

0 1 2 3 4 NA

14. Rece ip t o f s pecial awards, recognitions, citations for effectiveness as a librarian

0 1 2 3 4 NA

NUMBER OF ITEMS RATED_ TOTAL POINTS EARNED

EFFECTIVENESS OBSERVATION = TOTAL POINTS EARNED = = NUMBER OF

ITEMS RATED

AVERAGE RATING SCORE

36

Evaluator’s Comments: Strengths:

Limitations:

Evaluator’s Signature Date

Faculty Member’s Comments:

Faculty Member’s Signature Date

Your signature indicates that you have read and discussed the contents of this report with the evaluator(s). It

does not imply agreement with the evaluation.

37

OBSERVATION FORM EXPLANATIONS

Quantity and Quality of work

A. Selection, evaluation, acquisition, and preservation of Library materials

B. Analysis, cataloging, classification, description, and indexing of materials to

provide access to the collections

C. Design and development of new electronic resources

D. Development of instructional materials in print as well as electronic formats

E. Development and implementation of programs that encourage information literacy in our users

Knowledge and work performance

A. Reference service; interpretation of the Library's collections, procedures, and services to library users; and related

public service functions, such as exhibits, newsletters and other library publications

B. Effective point-of-use instruction with library users through reference desk assistance, office consultations,

electronic assistance etc.

C. Creation of user assistance materials that serve curricular objectives, such as bibliographies, subject guides, web

pages, and other tangible information products

D. Instruction of library users in research methods and in the selection and evaluation of relevant information resources

E. Effectiveness in providing access to materials and information, primary and secondary

F. Application of bibliographic techniques to the acquisition, cataloging, classification and organization of library resources

Attitude

A. Employee’s behavior is consistently positive

B. He/She clearly understands the impact of behavior on performance, co-workers and the customer(s)

C. Employee smiles, is approachable, cheerful, and willing to assist internal and external customers

D. Employee emphasizes what they “can do” for the customer, instead of sharing what they “can’t do”

E. Employee is consistently responsive to internal and external customers

Accountability

A. Effective management of library collections, in any media, through selection and de- selection activities

B. Effective management of library staff and operations, especially in terms of the effects on university teaching

and research

C. Ability to document effective outcomes and best practices in librarianship and archival management.

Professionalism

A. Leadership in administrative and operational responsibilities

B. Organization and retrieval of information

Communication

A. Development and/or presentation of workshops and lectures on the Library's resources and programs

B. Development of productive liaison relationships with the faculty and students of

Designated departments

C. Communicates in a clear and concise manner

D. Written and oral communications are clear, accurate and well-planned

Policies and Procedures

A. Development and implementation of effective methods for organizing, classifying, or cataloging information resources

38

B. Policies and procedures are understood and followed

C. Employee understands the importance of following policies and procedures in successfully executing his/her job

responsibilities

Source: Trinity University (http://lib.trinity.edu/libinfo/tenure/criteria.pdf)

University of Illinois Library (http://www.library.illinois.edu/staff/promotionandtenure.html)

ASU Non-Instructional Performance Appraisal (2011)

http://lib.trinity.edu/libinfo/tenure/criteria.pdf)

http://www.library.illinois.edu/staff/promotionandtenure.html)

39

OBSERVATION REGULATIONS

1. At the beginning of each semester during which an observation is to be made, the department head will notify the employee

that observation will occur during the term.

2. Observation reports are to be signed by those individuals making the observation.

3. When an observation yields an unsatisfactory average rating score, a second observation may be made before the

rating report is completed.

4. Prior to becoming part of the official record, all observations and effectiveness as a library professional reports prepared by

the chairperson and committee must be shown to and discussed with the right to prepare a written comment to be attached

to the report.

40

EFFECTIVENESS AS A LIBRARY PROFESSIONAL ASSESSMENT FORM FOR

PROGRESS REVIEWS I AND II

NAME RANK


TYPE OF APPOINTMENT: TEMPORARY ANNUAL PROBATIONARY

PROGRESS REVIEW

EVALUATOR(S)

DATE:

A. Observation Average Rating Score

B. Evaluator Comments:


C. Faculty Member’s Comments:


Your signature indicates that you have read and

discussed the contents of this report with the evaluator(s).

It does not imply agreement with the evaluation.

Evaluator’s Signature

41


D. Faculty Member’s Comments:




42



NAME RANK


TYPE OF APPOINTMENT: PROBATIONARY TENURED

EVALUATOR

DIRECTIONS:

This rating scale is to be used to evaluate the effectiveness of a library professional. The scale range is 0 (low) to 4 (high).

Circle the number that best indicates the faculty member’s performance on each item. If the item could not be observed,

circle “NA”.

Because some of the items are unequal, the items carry a weighting factor. The weight for a given item appears in the

left margin. Multiply the circled score by the weighting factor to obtain the value for the item. Place this value in the

space at the right of the relevant item.

Add the weights of the items rated and then add the weighted scores and insert the total points earned in the space below.

Weight Items Weighted

Score

2 1. Fall Observation and Progress Report I

0 1 2 3 4 NA

2 2. Spring Observation Report

0 1 2 3 4 NA

3 3. Quantity & Quality of Work

0 1 2 3 4 NA

3 4. Knowledge & Work Performance

0 1 2 3 4 NA

2 5. Attitude

0 1 2 3 4 NA

3 6. Accountability

0 1 2 3 4 NA

43

1 7. Professionalism

0 1 2 3 4 NA

2 8. Communication

0 1 2 3 4 NA

3 9. Policies & Procedures

0 1 2 3 4 NA

** 10. Other, specify:

0 1 2 3 4 NA

**Evaluator sets weight within the range of 1-3

Sum of Weights of Rated Items Total Weighted Point Earned

Effectiveness as a Library Professional = Total Weighted Points Earned = = Average Rating

Score Sum of Weights for Rated Items

Evaluator Comments:


44

Faculty Member’s Comments:


Your signature indicates that you have read and discussed the contents of this report with the evaluator(s). It does

not imply agreement with the evaluation.

45

GUIDELINES FOR EVALUATORS

Effectives as a Library Professional: Assumes academic preparation in the field of library

& information science or museum and archival studies; an ability to communicate with

students and a firm commitment to both instructional and student excellence; involves presentation of knowledge and information by

methods that include technology, customer service, strategic planning, research, bibliographic techniques etc.

Track & Document Performance

• Proper documentation increases the likelihood that an employee will understand his/her rating.

• Provide specific accomplishments or examples

• Review records for the entire year to prevent “recency effect” error

• Documentation should be accurate and specific.

• Cite distinct examples of performance, both positive and negative, including the

context in which they occurred, the behavior or inaction, and the outcome or consequence.

• Documentation should focus on facts, which are events, behaviors or results.

Examples of documentation could include copies of employee work product, notes of discussions between the employee and

supervisor, copies of communications between the employee and supervisor, and observations of the supervisor.

Based upon this documentation, you will make a determination for each area listed on the appraisal form. The work behaviors listed

on the appraisal form are only examples and

are not intended to reflect all aspects of a position at the University. They are to be used as a guide.

Establish goals and action plan - Goals and an action plan to achieve the goals should be established with the employee. Goals

should be consistent with the job responsibilities, the employee's career aspirations, the departmental and University’s priorities,

and the reviewed strengths and weaknesses. The plan can be staged if necessary with short, medium and long-term aspects, but

the goals must be realistic.

Establish specific objectives - These are the specific steps that must be accomplished in order to achieve the goals. These must

adhere to the SMART rules - specific, measurable, agreed, realistic, & time-bound.

Evaluate and establish resources - These resources are essential for the employee to achieve the objectives, and can include

coaching, mentoring or anything relevant and helpful that will help the person develop towards the standard and agreed task.

46

REGULATIONS

1. If a faculty member receives an unsatisfactory observation rating on a Progress Review 1 or II Report, in the Spring, the

department head will make an observation report before preparing the Annual Performance Review Report.

2. Students will evaluate each Information Literacy class or other assigned class of each faculty member at least once per

academic year, but more frequently if it is feasible and practical to do so. The once per academic year minimum student

assessment of teachers will be accomplished between January and February using SIR or some other appropriate form.

3. Written evaluation reports should identify the elements that influenced a judgment made and, if needed for clarity offer a

brief explanation.

47


PROMOTION OR TENURE REVIEW

NAME RANK


TYPE OF APPOINTMENT: Probationary Tenured

PURPOSE OF ASSESSMENT: Promotion Tenure

NAME OF EVALUATOR:

DIRECTIONS:


There are two items on the form. Item 1. for Promotion review based on an examination of all available ASU data on the

faculty member’s effectiveness (observation reports, work products) since the last promotion in rank and excluding the current

year or prior years in which the faculty member was subject to an Annual Performance Review, rate the faculty member by

circling the number that the committee thins best indicates the faculty member’s performance on the item; for Tenure Review,

follow the same procedures as indicated for Promotion Review but examine all available ASU effectiveness as library

professional data for all years of probationary status excluding current year or prior years in which the faculty member was

subject to an Annual Performance Review. Item 2 for Promotion, list Annual Performance Review Scores for all years since

appointment to present rank. For Tenure, list Annual Performance Review scores since appointment to probationary faculty

status.

NOTE:

If the faculty member has Annual Performance Review scores for a the number of years to be considered in the Promotion &

Tenure Review, use only item 3 and obtain the Annual Performance Review Score. This score is the overall effectiveness

score.

48

ITEMS

1. Effectiveness as library professional performance for relevant years prior to implementation of the Annual

Performance Review.

0 1 2 3 4 NA

2. Effectiveness Annual Performance Review Score for:

YEAR SCORE

2013-2014

2014-2015

2015-2016

2016-2017

2017-2018

2018-2019

2019-2020

2020-2021 Total Score ___________________

AVERAGE = Total Score = = SCORE # of

Scores

Obtain Total points earned by adding item 1 score and item 2 average score

Effectiveness= Total Points Earned = Average

Rating Score 2

Evaluator’s General Comments:

Evaluator’s Signature

= Date

49

Faculty Member’s Comments: (Annual Performance Review Only)


Your signature indicates that you have read and discussed the contents of this report with the evaluator(s). It does

not imply agreement with the evaluation.

50

RESEARCH AND CREATIVE ACTIVITY ASSESSMENT FORM FOR


NAME RANK


TYPE OF APPOINTMENT: PROBATIONARY TENURED

DATE

EVALUATOR

DIRECTIONS:

Based upon evidence on research and creative activities reported on the attached worksheet, rate the faculty member’s

performance by circling the appropriate number 0 (low) to 4 (high).

Please note that all member of faculty should be involved in some facet of research or creative activity and, therefore, the item

below is applicable to all faculty members.

Research and Creative Activities 0 1 2 3 4

Evaluator’s Comments: Strengths: Limitations:


51

Faculty Member’s Comments: (Annual Performance Review only)




52

WORKSHEET FOR RESEARCH AND CREATIVE ACTIVITY

INDICATORS FOR RESEARCH

1. Funded Internal Research Proposals

NAME OF PROPOSAL DATE FUNDED DOLLAR VALUE

2. Funded External Research Proposals

NAME OF PROPOSAL FUNDING AGENCY DATE FUNDED DOLLAR VALUE

3. Presentation Before Scholarly Organizations

TITLE OF PRESENTATION ORGANIZATION DATE

4. Scholarly Writings - Unpublished Manuscripts

TITLE INTENDED

PUBLISHER/AUBIENCE DATE

5. Scholarly Writings -Published Books

TITLE AUTHOR/CO-AUTHOR PUBLISHER DATE

53

6. Scholarly Writings - Chapters in Published Books

TITLE TITLE OF BOOK PUBLISHER DATE

7. Scholarly Writings -- Refereed Articles in International and National Journals

TITLE OF ARTICLE NAME OF JOURNAL DATE

8. Scholarly Writings - Refereed Articles in Regional, State, and Local Journals


9. Computer Software and Documentation

TITLE OF SOFTWARE PUBLISHER DATE

10. Book Reviews

TITLE PUBLISHER DATE

11. Editorship of Scholarly Journal

JOURNAL TITLE PUBLISHER DATE

12. Membership on Scholarly Editorial Beards - National

NAME OF PUBLICATION DOLLAR VALUE

13. Membership on Scholarly Editorial Boards- Regional

NAME OF PUBLICATION DATE OF SERVICE

54

14. Awards and Prizes for Research

NAME OF AWARD/PRIZE LOCAL/REGIONAL ORGANIZATION DATE

NATIONAL

15. Online or distance education course

TITLE OF COURSE CREDIT HOURS DELIVERY PLATFORM DISCIPLINE DATE

16. Preparation of original scholarly displays

DISPLAY TITLE LOCATION ORGANIZATION DATE

17. Creation of research-based technical tools including webpages/curricula guides/online tutorials

TITLE OF TECHICAL TOOL LEVEL/TYPE INTENDED AUDIENCE DATE

18. Creation and teaching of original outreach non-credit classes that teach special subject matter

TITLE OF CLASS INTENDED AUDIENCE SUBJECT MATTER DATE

and training modules for e-learning

55

19. Poster sessions at local, regional, national levels at scholarly organizations

TITLE OF POSTER LOCATION ORGANIZATION DATE

20. Formulate and teach a credit-granting course

TITLE OF COURSE CREDIT HOURS DISCIPLE DATE

21. Development of bibliographies, subject indexes, finding aids and other

bibliographic aids in accord with established professional standards

TITLE TYPE DATE

22. Creation of a scholarly journal or research driven news media publication

TITLE INTENDED PUBLISHER/AUDIENCE DATE

23. Original work to create authority records, metadata files, and other indexing and classification tools that adhere to

professional standards

TITLE TYPE DATE

24. Development of digitization techniques, processes, and activities that adhere to professional standards and enhance access to

information

TITLE TYPE DATE

25. Research based academic consulting and demonstration through assessment of student learning outcomes

NAME OF GROUP NATURE OF CONSULTION ASSESSMENT MEASURE DATE

56

INDICATORS OF CREATIVE ACTIVITY

1. Created Objects

TYPE OF OBJECT INTENDED AUDIENCE DATE

2. Works Created for Performance

TYPE OF WORK TITLE DATE

3. Artistic Performance – National Level TYPE OF PERFORMANCE AUDIENCE DATE

4. Artistic Performance – Regional Level

TYPE OF PERFORMANCE AUDIENCE DATE

5. Artistic Performance – State and Local Level


57

6. Recognition of Created Works Through Performance

TYPE OF PERFORMANCE SOURCE OF RECOGNITION DATE

7. Director of Conductor of Artistic Performance – National Level


8. Director of Conductor of Artistic Performance – Regional Level


9. Director of Conductor of Artistic Performance – State and Local Level


10. Art Work Selected for National Exhibitions

NAME OF EXHIBIT LOCATION DATE

11. Art Work Selected for Regional Exhibitions


58

12. Solo Exhibitions in Galleries and Museums


13. Published Writing – Individual essays, short stories, and poems

GENRE TITLE PUBLICATION DATE

14. Published Writing – Collection of essays, short stories, and poems


15. Published Writings – Novels


16. Awards and Prizes for Creative Activity

NAME OF AWARD/PRIZE PUBLISHER DATE

*Claims for credit in each area of Research and Creative Activity must be sustained by written documentation.

59

ACADEMIC CITIZENSHIP ASSESSMENT FORM

NAME _________________________________________ RANK________________

COLLEGE/SCHOOL_________________________ DEPARTMENT_____________

TYPE OF APPOINTMENT: TEMPORARY ANNUAL: PROBATIONARY

TENURED

PURPOSE OF ASSESSMENT: ANNUAL PERFORMANCE: PROMOTION

TENURE DATE

NAME OF

EVALUATOR (S)

DIRECTIONS:

This rating scale is to be used to evaluate the academic citizenship performance of the

faculty member. The faculty member must be evaluated on a minimum of five (5)

academic citizenship items. Items 3, 9, and 12 are mandatory. The faculty member

must select at least two additional items on which to be evaluated. The scale range is 0

(low) to 4 (high). Circle the number that best indicates the faculty member's performance

on the mandatory items and the items selected. If an item is not selected, circle NA. Add

the circled numbers and insert the total points earned in the space provided below.

INDICATORS OF ACADEMIC CITIZENSHIP

1 Advisement of Students (Information literacy consultation, tutoring, and learning

assistance activities) Quarterly academic advisement, career counseling, informal

tutorial assistance

0 1 2 3 4 NA

2 Advisement of Student Organizations. Hornet Tribune, Yearbook, international

student organizations, SGA, departmental clubs, honor and Greek societies, etc.

0 1 2 3 4 NA

3 Departmental, college/school, and university-wide committee service. Curriculum,

research, as hoc, planning, faculty affairs, academic affairs, academic standards,

affirmative action, grievance, search committees, etc.

0 1 2 3 4 NA

4 Development of new courses, new tests and testing approaches, or

recommendation of new programs, courses, policies, procedures, and/or activities

for action by appropriate bodies, coordinating workshops and seminars,

60

information literacy sessions, e-learning, tutorials or other new learning

programs, etc.

0 1 2 3 4 NA

5 Advisement of Students (Information literacy consultation, tutoring, and learning

assistance activities) Quarterly academic advisement, career counseling, informal

tutorial assistance

0 1 2 3 4 NA

6 Grants for training and program development. Funded proposals for training and program

development purpose

0 1 2 3 4 NA

7 Service on faculty bodies and university councils. Faculty Senate, Graduate Council,

General Faculty Assembly, Administrative Council, Athletic Council, Teacher Education,

etc.

0 1 2 3 4 NA

8 Participation in university development and public relations activities and/or

participation in student recruitment. Participation in fund-raising or other promotional

activities, recruitment trips and presentations, alumni affairs, touring performance, guest

lectureships, etc.

0 1 2 3 4 NA

9 Participation in professional associations. Membership and leadership in general

professional organizations as well as special subject-related organizations

0 1 2 3 4 NA

10 Coordination and direction of and participation in collateral functions of academic

programs such as art shows, interdisciplinary programs, etc.

0 1 2 3 4 NA

11 Participation in the planning and assessment of programs and policies and the assessment of

faculty performance

0 1 2 3 4 NA

12 Professionalism exhibited in relations with colleagues. Works constructively with

colleagues; shows respect for colleagues; concerned with issues, not personalities

0 1 2 3 4 NA

Number of Items Rated ______

Academic Total Points Earned =

Number of Items Rated

61

Citizenship

Average Rating

Score

Total Points Earned

Total Points Earned = Number of Items Rated

Evaluator’s Comments: Evaluator’s _ Date Signature Faculty Member’s Comments: (Annual Performance Review Only) Faculty Member’s Signature Date Your signature indicates that you have read and discussed the contents of this report with the evaluator(s). It does not imply agreement with the evaluation.

62

*ACADEMIC CITIZENSHIP ASSESSMENT WORKSHEET

1. Advisement of Students

NATURE OF ADVISEMENT

2. Advisement of Student Organizations

NAME OF GROUP

3. Committee Service

NAME OF COMMITTEE

DATE

OF

ADVISEMENT

NATURE

OF

ADVISEMENT

LEVEL OR

TYPE

ESTIMATE

OF

TIME SPENT

PERIOD OF

ADVISEMENT

POSITION

63

4. Course, Syllabus, Test, etc., Recommendation/Development

ITEM NAME TYPE OF ACTIVITY

5. Faculty Development and Ad-Hoc Administrative Assignments

ADOPTION

ORIGIN OF

ACTIVITY TYPE OF

ACTIVITY

ASSIGNMENT

6. Grants for Training and Program Development

ACTIVITY NAME TYPE OF

ACTIVITY

GRANT PERIOD

7. Service on Faculty Bodies and University Councils

NAME

LEVEL

OF

SERVICE

DATE OF SERVICE

64

8. University Development, Public Relations, and Recruitment

ACTIVITY NAME

9. Participation in Professional

Associations

NAME

TYPE

OF

INVOLVEMENT

TYPE

OF

PARTICIPATION

DATE OF

SERVICE

DATE

10. Collateral Functions of Academic Programs

ACTIVITY NAME

11. Planning and Assessment Activities

PURPOSE OF ACTIVITY

LEVEL

OF

INVOLVEMENT

TYPE

OF

ASSIGNMENT

DATE OF

SERVICE

TYPE OF

INVOLVEMENT

65

12. Comments on Professionalism:

*CLAIM FOR CREDIT IN EACH AREA OF ACADEMIC CITIZENSHIP MUST BE

SUBSTANTIATED BY WRITTEN DOCUMENTATION

66

COMMUNITY SERVICE ASSESSMENT FORM

NAME RANK

COLLEGE/

SCHOOL

DEPARTMENT

TYPE OF APPOINTMENT: TEMPORARY ANNUAL

PROBATIONARY TENURED

PURPOSE OF ASSESSMENT: ANNUAL PERFORMANCE

_________PROMOTION _____TENURE

DATE

NAME OF EVALUATOR (S)

DIRECTIONS:

This rating scale is to be used to evaluate community service performance of the faculty

member. The faculty member to be evaluated is required to select a minimum of three (3)

community service items on which to be evaluated. The scale range is

0 (low) to 4 (high). Circle the number that best indicates the faculty member's

performance on each of the items selected. If an item is not selected, circle NA. Add the

circled numbers and insert the total points earned in the space provided below.

INDICATORS OF COMMUNITY SERVICE

I. Service on commissions or boards of community agencies and/or

organizations, such as the United Way , YMCA, Easter Seal Drive, and

similar groups

0 1 2 3 4 NA

2. Consultation with business, cultural, educational, governmental, social service, and

industrial organizations

0 1 2 3 4 NA

3. Participation in the development and implementation of public service programs,

courses, workshops, and seminars, or new community service programs that are

designed to respond to a significant community need

0 1 2 3 4 NA

4. Formal presentations, performances, exhibitions, and demonstrations for community

groups

0 1 2 3 4 NA

67

5. Participation and/or leadership in other activities designed to enhance the social,

cultural, and economic development of the community, such as tutorial programs,

charitable and fund-raising activities, work with youth groups, neighborhood

organizations, civic or service clubs

0 1 2 3 4 NA

Number of items

Rated

Total Points

Earned

68

Community Service = Average Rating Score

Total Points Earned = =

Number of Items Rated

Evaluator's Comments:

Evaluator's

Signature

Date

Faculty Member's Comments: (Annual Performance Review Only)

Faculty Member's

Signature

Your signature indicates that you have read and discussed the contents of this report with the

evaluator(s).

It does not imply agreement with the evaluation.

69

*COMMUNITY SERVICE ASSESSMENT WORKSHEET

1. Service on boards of community agencies and/or organizations

NAME OF GROUP

SCOPE

(LOCAL/STATE/

REGIONAL/

NATIONAL)

LEVEL OF

PARTICIPATION

(MEMBER/

COMMITTEE

CHAIR/OFFICER)

2. Consultation with community agencies and/or organization

NAME OF

ORGANIZATION

SCOPE (LOCAL/STATE/

REGIONAL/

NATIONAL)

TYPE

(COMPENSATED/

NON-

COMPENSATED)

3. Participation in the development and implementation of continuing education programs,

courses, workshops, and seminars, or new community service programs that are designed

to respond to a significant community need or problem.

70

NAME OF ACTIVITY AUDIENCE

LEVEL OF

INVOLVEMENT

(PRIMARY

SPONSORSHIP/ CO-

SPONSORSHIP/GROUP

SPONSORSHIP)

4. Formal presentations, performances, exhibitions, and demonstrations for community

groups

TITLE

TYPE

(INDIVIDUAL/GROUP) AUDIENCE

71

5. Participation in other activities designed to enhance the social, cultural, and

economic development of the community

NAME OF ACTIVITY TYPE OF

ACTIVITY

LEVEL

OF

INVOLVEMENT

*CLAIMS FOR CREDIT IN EACH AREA OF COMMUNITY SERVICES MUST BE

SUBSTANTIATED BY WRITTEN DOCUMENTATION.

72

RESEARCH AND CREATIVE ACTIVITY ASSESSMENT FORM FOR

PROMOTION OR TENURE REVIEW

NAME RANK


PURPOSE OF ASSESSMENT: Promotion Tenure

DATE

EVALUATOR

DIRECTIONS:


There are two items on the form. Item 1. for Promotion review based on an examination of all available ASU data on the

faculty member’s effectiveness (observation reports, work products) since the last promotion in rank and excluding the current

year or prior years in which the faculty member was subject to an Annual Performance Review, rate the faculty member by

circling the number that the committee thins best indicates the faculty member’s performance on the item; for Tenure Review,

follow the same procedures as indicated for Promotion Review but examine all available ASU effectiveness as library

professional data for all years of probationary status excluding current year or prior years in which the faculty member was

subject to an Annual Performance Review. Item 2 for Promotion, list Annual Performance Review Scores for all years since

appointment to present rank. For Tenure, list Annual Performance Review scores since appointment to probationary faculty

status.

NOTE:

Candidates for tenure or promotion in rank to associate or full professor must receive a score of at least 2.0 on any of items 5,

6, 7, or 8 in the Research and Creative Activity Assessment From. An exception to this policy is made for faculty members in

the disciplines of the art, music, and theatre and for faculty members engaged in computer software and media productions.

These candidates must show consistent productivity that is professionally recognized beyond the immediate University

community, whether in juried shows (art); performance, direction, or design (theatre); or composition, direction or performance

(music); or in computer software and media production. These candidates mush also receive a score of at least 2.0 on any one

of the items in the Research and Creative Assessment Form that directly pertains to their faculty assignment.

73

INDICATORS OF RESEARCH ACTIVITY

Weight Items Weighted

Score

1 1. Funded Research Proposals

0 1 2 3 4 NA

3 2. Funded External Research Proposals

0 1 2 3 4 NA

1 3. Presentation(s) Before Scholarly Organizations

0 1 2 3 4 NA

1 4. Scholarly Writings—Unpublished Manuscripts (reviews, abstracts, indexes)

0 1 2 3 4 NA

5 5. Scholarly Writings—Published Books

0 1 2 3 4 NA

3 6. Scholarly Writings—Chapter(s) in Book(s)

0 1 2 3 4 NA

*3/5 7. Scholarly Writings—Articles in Professional Journals

0 1 2 3 4 NA

**2/4 8. Scholarly Writings—Articles in Regional, State, and Local Journals

0 1 2 3 4 NA

3 9. Computer Software Documentation

0 1 2 3 4 NA

1 10. Book Reviews

0 1 2 3 4 NA

5 11. Editorship of Scholarly Journal

0 1 2 3 4 NA

4 12. Membership on Scholarly Editorial Boards-National

0 1 2 3 4 NA

2 13. Membership on Scholarly Editorial Boards-Regional

0 1 2 3 4 NA

3 14. Awards and Prizes for Research

0 1 2 3 4 NA

1 15. Online or distance education course developed 0 1 2 3 4 NA ____________ ____________

1 16. Preparation of original scholarly displays

0 1 2 3 4 NA ____________ ____________

74

1 17. Creation of research-based technical tools including webpages/curricula guides/online tutorials and training

modules for e-learning

0 1 2 3 4 NA

1 18. Creation and teaching of original outreach classes that teach special subject matter

0 1 2 3 4 NA

1 19. Poster sessions at local, regional, national levels at scholarly organizations

0 1 2 3 4 NA

2 20. Formulate and/or teach a credit-granting course

0 1 2 3 4 NA

1 21. Development of bibliographies, subject indexes, finding aids and other


0 1 2 3 4 NA

1 22. Creation of a scholarly journal or research driven news media publication

0 1 2 3 4 NA

2 23. Original work to create authority records, metadata files, and other indexing and

classification tools that adhere to professional standards

0 1 2 3 4 NA

3 24. Development of digitization techniques, processes, and activities that adhere to professional

standards and enhance access to information

0 1 2 3 4 NA

1 25. Research based academic consulting and demonstration through assessment of learning

outcomes

0 1 2 3 4 NA

*3 for one to three articles; 5 for four or more articles

**2 for one to three articles; 4 for four or more articles

75

INDICATORS FOR CREATIVE ACTIVITY

3. 1. Creative Objects – Books, Ceramics, Jewelry, Metal Work, Paintings, Media Productions, ect.

0 1 2 3 4 NA

3 2. Works Created for Performance-Musical Compositions, Dance, Plays, ect.

0 1 2 3 4 NA

3 3. Artistic Performances- Musical, Dance or Dramatic Performances at the National Level

0 1 2 3 4 NA

2 4. Artistic Performances- Musical, Dance or Dramatic Performances at the Regional Level

0 1 2 3 4 NA

1 5. Artistic Performances- Musical, Dance or Dramatic Performances at the State/Local Level

0 1 2 3 4 NA

2 6. Recognition of Created Works Through Performance

0 1 2 3 4 NA

3 7. Director or Conductor of Artistic Performances-at the National Level

0 1 2 3 4 NA

2 8. Director or Conductor of Artistic Performances-at the Regional Level

0 1 2 3 4 NA

1 9. Director or Conductor of Artistic Performances-at the State/Local Level

0 1 2 3 4 NA

3. 10. Art works selected for National Exhibitions.

0 1 2 3 4 NA

2 11. Art works selected for Regional Exhibitions

0 1 2 3 4 NA

2 12. Solo Exhibitions in Galleries and Museums

0 1 2 3 4 NA

2 13. Published Writings- Individual essays, short stories, and poems

0 1 2 3 4 NA

76

4 *14. Published Writings-Collection of essays, short stories, and poems

0 1 2 3 4 NA

5 15. Published Writings- Novels

0 1 2 3 4 NA

3 16. Awards and Prizes for Creative Activity

0 1 2 3 4 NA

Sum of Weights for Rated Items Total Weighted Points Earned

Research/Creative Activity = Total Weighted Points Earned = =

Average Rating Score Sum of Weights for Rated Items

These Writings are not to include self-publications.

77

Evaluator's Comments:

Evaluator's

Signature

Date

Faculty Member's Comments: (Annual Performance Review Only)

Faculty Member's

Signature

Your signature indicates that

you have read and discussed the

contents of this report with the

evaluator(s). It does not imply

agreement with the evaluation.

78

*WORKSHEET FOR RESEARCH AND CREATIVE ACTIVITY

INDICATORS FOR RESEARCH

1. Funded Internal Research Proposals

NAME OF PROPOSAL DATE FUNDED DOLLAR VALUE

2. Funded External Research Proposals

NAME OF PROPOSAL FUNDING AGENCY DATE FUNDED DOLLAR VALUE

3. Presentation Before Scholarly Organizations

TITLE OF PRESENTATION ORGANIZATION DATE

4. Scholarly Writings - Unpublished Manuscripts

TITLE INTENDED

PUBLISHER/AUBIENCE DATE

5. Scholarly Writings -Published Books

TITLE AUTHOR/CO-AUTHOR PUBLISHER DATE

79

6. Scholarly Writings - Chapters in Published Books

TITLE TITLE OF BOOK PUBLISHER DATE

7. Scholarly Writings -- Refereed Articles in International and National Journals


8. Scholarly Writings - Refereed Articles in Regional, State, and Local Journals


9. Computer Software and Documentation

TITLE OF SOFTWARE PUBLISHER DATE

10. Book Reviews


11. Editorship of Scholarly Journal

JOURNAL TITLE PUBLISHER DATE

12. Membership on Scholarly Editorial Beards - National

NAME OF PUBLICATION DOLLAR VALUE

13. Membership on Scholarly Editorial Boards- Regional

NAME OF PUBLICATION DATE OF SERVICE

14. Awards and Prizes for Research

80

NAME OF AWARD/PRIZE LOCAL/REGIONAL ORGANIZATION DATE

NATIONAL

15. Online or distance education course

TITLE OF COURSE CREDIT HOURS DELIVERY PLATFORM DISCIPLINE DATE

16. Preparation of original scholarly displays

DISPLAY TITLE LOCATION ORGANIZATION DATE

17. Creation of research-based technical tools including webpages/curricula guides/online tutorials

TITLE OF TECHICAL TOOL LEVEL/TYPE INTENDED AUDIENCE DATE

18. Creation and teaching of original outreach non-credit classes that teach special subject matter

TITLE OF CLASS INTENDED AUDIENCE SUBJECT MATTER DATE

and training modules for e-learning

81

19. Poster sessions at local, regional, national levels at scholarly organizations

TITLE OF POSTER LOCATION ORGANIZATION DATE

20. Formulate and teach a credit-granting course

TITLE OF COURSE CREDIT HOURS DISCIPLE DATE

21. Development of bibliographies, subject indexes, finding aids and other


TITLE TYPE DATE

22. Creation of a scholarly journal or research driven news media publication

TITLE INTENDED PUBLISHER/AUDIENCE DATE

23. Original work to create authority records, metadata files, and other indexing and classification tools that adhere to

professional standards

TITLE TYPE DATE

24. Development of digitization techniques, processes, and activities that adhere to professional standards and enhance access to

information

TITLE TYPE DATE

25. Research based academic consulting and demonstration through assessment of student learning outcomes

NAME OF GROUP NATURE OF CONSULTION ASSESSMENT MEASURE DATE

82

INDICATORS OF CREATIVE ACTIVITY

1. Created Objects

TYPE OF OBJECT INTENDED AUDIENCE DATE

2. Works Created for Performance

TYPE OF WORK TITLE DATE

3. Artistic Performance – National Level TYPE OF PERFORMANCE AUDIENCE DATE

4. Artistic Performance – Regional Level


5. Artistic Performance – State and Local Level


83

6. Recognition of Created Works Through Performance

TYPE OF PERFORMANCE SOURCE OF RECOGNITION DATE

.

7. Director of Conductor of Artistic Performance – National Level


8. Director of Conductor of Artistic Performance – Regional Level


9. Director of Conductor of Artistic Performance – State and Local Level


10. Art Work Selected for National Exhibitions


11. Art Work Selected for Regional Exhibitions


84

12. Solo Exhibitions in Galleries and Museums


13. Published Writing – Individual essays, short stories, and poems


14. Published Writing – Collection of essays, short stories, and poems


15. Published Writings – Novels


16. Awards and Prizes for Creative Activity

NAME OF AWARD/PRIZE PUBLISHER DATE

*Claims for credit in each area of Research and Creative Activity must be sustained by written documentation.

85

PROMOTION CHECKLIST

Candidate

ASSISTANT PROFESSOR

Earned doctorate or

Master’s degree plus 48 semester hours in doctoral program

3 years teaching experience

Overall Performance Score (PRS) of 2.0

ASSOCIATE PROFESSOR

Earned doctorate

5 Years teaching experience

(3 years at assistant professor rank)

Overall PRS of 3.0

*Research and Creativity Score (R&CS) of 2.0 for any one of items 5, 6, 7, or 8

Check Appropriate Boxes

Scholarly Writings- Published Books

Scholarly Writings- Chapter(s) in Books

Scholarly Writings- Referred Articles in International and National Journals

Scholarly Writings- Referred Articles in Regional, State, and Local Journals

PROFESSOR

Earned doctorate

10 Years teaching experience

(3 years at assistant professor rank)

Overall PRS of 3.0

Published in referred journal or a published book

R&CS for any one of items 5, 6, 7, or 8

Check Appropriate Boxes





Verified by Date

86

*Attach documentation

TENURE CHECKLIST

Candidate

Assistant Professor

Associate Professor

Professor

Probationary Status

7th Year 5th Year

6th Year

Affirmative Recommendations from

Department Committee Collegiate Committee Chair Dean

*Overall Tenure Performance Rating Score (PRS) of 3.0 or Above

Yes No

**Research and Creativity (R&CS) of 2.0 and above for any one of the items 5, 6, 7, or 8

Check Appropriate Box(es)





Four Years at ASU by End of Current Academic Year

Yes No

Teaching Field

Discipline of Highest Degree

***Highest Degree

Highest degree in Teaching Field

Are the Required Degree(s) from Accredited Colleges or Universities?

Yes No

Date of Initial Appointment to the ASU faculty

Verified by Date

*Tenure Track appointees prior to May 1988 must have an overall Tenure Performance Rating Score (PRS) of 2.85.

**Attach documentation

87

***For assistant professor without terminal degrees, identify the discipline in which the Master’s degree and the forty-eight hours in doctoral program were earned.

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