1 Faculty Evaluation and Performance Compensation System Version 3 Revised December 2004
2 2 SUMMARY OF MAJOR CHANGES FROM EVALUATION SYSTEM, VERSION 1, , TO EVALUATION SYSTEM, VERSION 2, Original System 1. One observation by the department chairperson will be done for each faculty member in his or her department at least once each year as part of the annual system of faculty evaluation. Faculty members are encouraged to seek observations by other peers as part of the ongoing process of professional development. The reports based on any additional observations may be included in the materials supplied for the annual evaluation. A tenured faculty member from another department will observe chairpersons. In addition, chairpersons will include the written report of their observations in the annual evaluation of each faculty member. Chairpersons will discuss the results of the teaching observations, using the Classroom Observation Form (Appendix E) with the individual faculty member as part of the regular discussion of the Chairperson Evaluation Form (Appendix B). 2. Integration of technology and personal scholarship into courses where appropriate. Revised System 1. Every untenured faculty member is required to have his or her department chairperson (or a tenured peer in the case of chairpersons) observe and evaluate classroom teaching each year. All tenured faculty and those on term contracts are encouraged to arrange for chairperson or peer evaluation each year; the presence or absence of the reports of these observations will have a significant effect on salary decisions. Any faculty member who does not or cannot arrange for an observation and report through the department chairperson may do so through his or her dean. Faculty members are encouraged to seek observations by other peers as part of the ongoing process of professional development. The reports based on any additional observations may be included in the materials supplied for the annual evaluation. 2. Integration of available technology and personal scholarship into courses where appropriate. 3. Maintenance and renewal of certification in areas of expertise (addition to list of activities constituting scholarship/professional activity) 4. Preprints, reprints, or submitted manuscripts Announcements of performances or exhibits Materials documenting student scholarship Professional conference proceedings indicating presentation(s) by faculty member Drafts of work in progress Accepted or submitted grant proposals (under required supporting materials for scholarship) 4. Basic documentation of any professional accomplishment. The adequacy of the documentation will be judged by the Dean. (under required supporting materials for scholarship/professional activity) 5. Evaluation of Committee Chair by individual committee members Committee Chair Reports to the Dean on the work of individual committee (Deleted)
3 3 members (under required supporting materials for service) 6. Evaluation Steps simplified and re-ordered 7. Faculty member and department chairperson arrange chairperson classroom observations. (under evaluation steps ) 8. The Dean will evaluate submitted materials, which will include the student evaluations for each course. Based on this evaluation and using the weights for Teaching, Scholarship/Professional Activity, and Service to the College provided by each faculty member on the Professional Self-Report (Appendix A), the Dean will determine a weighted score for each faculty member, using a 100-point scale. The evaluation will be implemented using the following methods: Teaching (Weight 55-70%; for firstyear faculty, 60-85%) Student Evaluations: This component is weighted 40 % of the overall teaching assessment. Chairperson Evaluations: Chairpersons submit evaluations of members of their department members. This component is weighted 50% of the overall teaching assessment. Dean Evaluation: The Dean evaluates any other relevant information. This component will be weighted 10% of the overall teaching assessment. Scholarship and Professional Activity (Weight minimum 15%) The Dean will evaluate scholarship and professional activity. Service (Weight minimum 15%; first-year faculty weight 0%) 7. Faculty members and chairpersons are encouraged to observe classroom teaching (required for untenured faculty). Any faculty member who does not or cannot arrange for an observation and report through the department chairperson may do so through his or her dean The presence or absence of such reports will have a significant effect on salary decisions. (under evaluation steps ) 8. The Dean will evaluate submitted materials, which will include the student evaluations for each course. Based on this evaluation, the Dean will determine a weighted score for each faculty member. The evaluation will be implemented using the following levels of importance: Teaching (primary importance) Student Evaluations Chairperson Evaluations Dean Evaluation Scholarship and Professional Activity (secondary importance) The Dean will evaluate scholarship and professional activity. Service (secondary importance; not required for first-year faculty) The Dean will evaluate college service. NOTE: NUMERICAL WEIGHTS HAVE BEEN REMOVED FROM THE DOCUMENT. FACULTY MEMBERS WILL NOT BE ASKED TO PROVIDE NUMERICAL WEIGHTS FOR EACH OF THE THREE CATEGORIES. IN THE EVALUATION, THE DEAN WILL WEIGHT THE CATEGORY OF TEACHING AS THE AREA OF PRIMARY IMPORTANCE. EACH FACULTY MEMBER SHOULD INDICATE IN THE PERSONAL SELF- REPORT THE RELATIVE EMPHASIS HE OR SHE HAS PLACED ON THE LATTER TWO CATEGORIES DURING THE YEAR BEING EVALUATED.
4 4 The Dean will evaluate college service. 9. The VPAA, working with the Deans, will formulate salary recommendations based on the score supplied by the appropriate Dean and any other relevant information. Salary determinations are based on three factors: a base increase, a performance evaluation, and any necessary equity adjustments. The base increase will be paid to all faculty members except for faculty members who have not submitted performance material. Whenever possible, the base will approximate the CPI for the preceding year. The performance factor will be determined by evaluating the individual performance assessments. Equity adjustments will be made in exceptional cases, where salary compaction or other factors require special adjustments. 9. The VPAA, working with the Deans, will formulate salary recommendations. Salary determinations are based on two factors: a performance evaluation and any necessary equity adjustments. The performance factor will be determined by evaluating the individual performance assessments. Equity adjustments will be made in exceptional cases, where salary compaction or other factors require special adjustments. 10. There is no guaranteed salary increase for any faculty member in any given year. The Deans and the VPAA will adjust any recommendations for increases as deemed appropriate. (addition to and modification of calculation of salary increases ) 11. The VPAA notifies each individual faculty member of the following information: Evaluation for each of the system components (i.e., teaching, scholarship, and service) as described above, together with any comments or suggestions from the Dean. Faculty members will be notified of their component and cumulative scores if they express a desire for such notification by checking the appropriate box at the top of the Professional Self Report (Appendix A). Faculty not checking this box will not receive their scores but will receive the full narrative evaluation supplied to all faculty members. Increase for the faculty member (actual dollar amount). 11. The VPAA notifies each individual faculty member of the following information: evaluation for each of the system components (i.e., teaching, scholarship, and service) as described above, together with any comments or suggestions from the Dean. 12. All forms (appendices) have been simplified
5 and rewritten, in line with the changes in the evaluation system. 5
6 6 INTRODUCTION The Need Converse College must have a clear, coherent, and substantive system by which faculty performance can be evaluated and compensated. This document presents a proposed system of faculty evaluation and performance compensation that attempts to meet this need. As faculty members who profess a commitment to excellence, we should support and embrace a system of evaluation that will recognize and encourage constant improvement and superior performance in our professional lives. A Beneficial Activity While there will always be some disagreement over the details of any proposed system, we must recognize the importance of the concept of an evaluation system that both informs and compensates. We cannot hope to become better teachers and scholars if we do not have a mechanism by which we can measure our performance. Thus, we should view a system of evaluation and performance compensation as beneficial to our students, to the College as a whole, and to each faculty member individually. A Clearly Articulated Approach Most importantly, our system must be clear, relate equally to all, and uphold the fundamental educational values of the College. In addition, it must be a system that functions consistently and continuously. Our proposed approach is one in which all faculty members will be evaluated according to the following three criteria: Teaching (the most important part of our jobs); Scholarship and Professional Activity; Service to the College Community. The Importance of Teaching TEACHING One of the most generally held values at Converse College is that teaching is the most important of the three categories (teaching, scholarship and professional activity, and service) used to measure faculty performance. The Evaluation of Teaching Of the three areas of faculty performance, teaching is the most difficult to measure. Nevertheless, it is possible to evaluate an individual faculty member s teaching performance. This system introduces to Converse a new way of evaluating teaching performance using multiple sources of information, described below: Faculty members themselves Students Deans Peers Chairpersons Teaching performance will be evaluated using a variety of items and measures from these sources. Professional Self-Report The Professional Self-Report gives each faculty member the opportunity to reflect on each aspect of his or her professional performance, including teaching. Each faculty member should give careful consideration to the
7 descriptive and evaluative elements of the self-evaluation. Chairpersons and the Deans will use the Professional Self-Report in evaluating faculty members. Course Syllabi Department Chairs should review syllabi for every course taught by members of the department. Complete syllabi include (among other things) the learning objectives of the course, the readings and other course materials to be used, the number and type of assignments, instructor contact information, office hours, and the method of evaluating student performance. (For a complete statement of required information, please refer to the Faculty Handbook.) Chairpersons and the Dean will use the components listed above to evaluate syllabi. Classroom Observations Every untenured faculty member is required to have his or her department chairperson (or a tenured peer in the case of chairpersons) observe and evaluate classroom teaching each year. All tenured faculty and those on term contracts are encouraged to arrange for chairperson or peer evaluation each year; the presence or absence of the reports of these observations will have a significant effect on salary decisions. Any faculty member who does not or cannot arrange for an observation and report through the department chairperson may do so through his or her dean. Faculty members are encouraged to seek observations by other peers as part of the ongoing process of professional development. The reports based on any additional observations may be included in the materials supplied for the annual evaluation. Student Evaluations Previous systems of measuring teaching quality were limited in that they depended too heavily on student evaluations. While our new evaluation system works to correct this problem by using other measures of teaching performance in addition to student evaluations, we will continue to use student evaluations as a key means of judging teaching effectiveness. 7 Normal Expectations for All Faculty Members Students evaluate all courses every semester Meet all class sessions except under special circumstances approved by the department chairperson and/or Dean Continual revision of course material Integration of available technology and personal scholarship into courses where appropriate. Hold office hours consistently throughout the academic year Active advising, and availability for student conferencing as necessary beyond office hours. Department chairperson encouraged to visit at least one class for each member of his or her department at least once each year, varying from year-to-year the courses visited for each faculty member Required Supporting Materials Professional Self-Report form Student evaluations for all courses Chairperson evaluations Classroom observation reports for untenured faculty members (no specific form) Forms See the appendixes for the following forms used in evaluating teaching Professional Self-Report (Appendix A) Chairperson Evaluation Form (Appendix B)
8 SCHOLARSHIP AND PROFESSIONAL ACTIVITY 8 The Importance of Scholarship and Professional Activity Professional activity is essential to the mission of the College. Scholarship and professional activity are fundamental to meeting our obligations as faculty members at Converse College. The proposed system of faculty evaluation and performance compensation reflects this priority by including scholarship and professional activity as a necessary component of our job and thus as a consideration in evaluation. Scholarship contributes significantly to our commitment to and satisfaction with our positions as faculty members of Converse College. By engaging in an integrated and well-planned professional program we stay motivated and enthusiastic. We share this enthusiasm with our students, thereby enhancing our teaching. We discuss our latest scholarly activities with each other, thereby promoting the sharing of knowledge within our community. Such pursuit of scholarship provides us with a sense of accomplishment and dedication to continue to excel not only as scholars, but also as teachers, as members of the Converse community, and as contributing members of society. What Constitutes Scholarship/Professional Activity? Given the diversity of disciplines and areas of interests that faculty pursue, no evaluation system can state all activities that constitute scholarship. The activities that do typically constitute scholarship and professional development include Peer reviewed publications, performances, or exhibits, including books, book chapters, journal articles, musical performances, and art exhibitions or performances Peer reviewed entries in reference works or reviews Major editorial responsibilities or reviewer with a nationally or internationally recognized journal or other publication Major role in conference or scholarly event organization Offices in professional organizations and elected/nominated memberships Reviewer or editorial board member Grant writing and acquisition Professional conference presentations and invited addresses Non-peer-reviewed activities, including musical performances, art exhibitions or performances, reference works, and reviews Student involvement in faculty scholarship or supervision of student scholarship Work submitted but not yet accepted for publication or showing Drafts of work in progress with documentation Attendance at conferences or workshops New course development or major revision of existing courses Maintenance and renewal of certification in areas of expertise Normal Expectations for All Faculty Members Although the activities designated as comprising scholarship and professional activity are not presumed to be comprehensive, at a minimum, all professional activity must show some outcomes on a yearly basis. Faculty members are expected to engage in professional activity that aims toward publications, presentations, performances, or exhibits. Also, it is expected that faculty, where applicable, either in their own work or through the supervision of student s independent work, will involve students in scholarship. Required Supporting Materials Professional Self-Report form Basic documentation of any professional accomplishment. The adequacy of the documentation will be judged by the Dean.
9 9 Forms See the appendices for the following forms used in evaluating scholarship: Professional Self-Report (Appendix A) SERVICE TO THE COLLEGE COMMUNITY The Importance of Service to the College Community The faculty of Converse College is committed to serving the College community. Each individual faculty member is expected to make a positive and constructive contribution to the College by way of service that goes above and beyond teaching and scholarship. What Constitutes Service to the College Community? We recognize that service comes in many shapes and forms. The following description of what constitutes service to the College community is by no means exhaustive. College service provides important benefits to our community and must be encouraged. Faculty members are encouraged to engage in more than the minimum requirements for service to the College community and are encouraged to represent Converse College in the larger world through service to the broader community. However, faculty should not over emphasize service to the college at the expense of teaching and professional activity, nor should faculty be unduly burdened with service work that impairs their ability to meet the minimal expectations of teaching and scholarship. The activities that do typically constitute service to the College community include: Governance and Administration Participating in faculty and departmental meetings Advising and counseling of students Committee membership (including chairing committees) Acting as faculty advisor to student organizations Attending Admissions functions Co-curricular Activity and Student Life Sponsoring speakers or other public events that enrich the intellectual life of the campus Participating in formal college ceremonies Speaking to community groups or serving community groups as a recognized representative of the College and thereby enhancing the public image of the college Hosting informal student gatherings, such as dinners Attendance at student activities Normal Expectations for All Faculty Members Serve on at least one Converse College committee, attend committee meetings, and participate actively in the work of committees (with the exception of faculty in their first year of service) Participate in at least one Admissions function over the course of the academic year Participate in departmental and faculty meetings Participate in formal college ceremonies Be available for departmental, service and committee work throughout the week Required Supporting Materials Professional Self-Report
10 10 Any supporting documentation of participation, involvement, or role in any service event Forms See the appendices for the following forms used in evaluating service: Professional Self-Report (Appendix A) EVALUATION STEPS The following procedures should be used for yearly faculty evaluations. 1. The Dean will announce a deadline for faculty evaluation materials. 2. Faculty Member Arranges Teaching Assessment Faculty member administers student evaluations for each course. Faculty members and chairpersons are encouraged to observe classroom teaching (required for untenured faculty). Any faculty member who does not or cannot arrange for an observation and report through the department chairperson may do so through his or her dean The presence or absence of such reports will have a significant effect on salary decisions. 3. Department Chairperson Receives Student Evaluations and Other Data (several times each year) Completed undergraduate student evaluations will be sent to the respective department chairperson, reviewed by the chairperson, and then forwarded to the faculty member. Completed graduate (including double-listed graduate/undergraduate) evaluations will be reviewed by the Dean of Graduate Studies. Graduate course evaluations will be forwarded to the faculty member. Evaluations for double-listed courses will be forwarded from the Dean of Graduate Studies to the department Chair, who will forward them to the faculty member. 4. Faculty Member Completes Personal Self-Report All faculty members will submit a completed Personal Self-Report (PSR) and supporting materials to their Department Chairpersons (or designated other person, should there be no Chairperson) at least two weeks prior to the deadline. 5. Department Chairperson Evaluates Faculty Member Chairpersons will complete a Chairperson Evaluation Form (CEF; Appendix B), evaluating each faculty member in the department. Chairpersons should review and discuss with department faculty members the important section of the PSR entitled Personal Goal-Setting. Chairs and department members should use these goals as a basis for future evaluations of the faculty members work. Chairpersons will share and discuss the CEF with the faculty member. Both the faculty member and the chairperson will sign the CEF. The faculty member signs the CEF in agreement or in contention, using the latter should he or she disagree with the chairperson. The CEF and any explanatory letter from the individual faculty member will then be submitted along with the PSR and supporting materials to the Dean by the deadline. 6. Dean Evaluates Materials from Chairperson and Peer Evaluators - CEF and PSR The Dean will evaluate submitted materials, which will include the student evaluations for each course. Based on this evaluation, the Dean will determine a weighted score for each faculty member. The evaluation will be implemented using the following levels of importance: Teaching (primary importance) Student Evaluations Chairperson Evaluations Dean Evaluation
11 11 Scholarship and Professional Activity (secondary importance) The Dean will evaluate scholarship and professional activity. Service (secondary importance; not required for first-year faculty) The Dean will evaluate college service. 7. Calculation of Salary Increases The VPAA, working with the Deans, will formulate salary recommendations. Salary determinations are based on two factors: a performance evaluation and any necessary equity adjustments. The performance factor will be determined by evaluating the individual performance assessments. Equity adjustments will be made in exceptional cases, where salary compaction or other factors require special adjustments. The dollar amount of the performance adjustment for an individual faculty member will depend upon (1) the total pool of money available for performance increases and (2) the results of the faculty evaluation. The calculation involves two steps. These steps are described below. Calculation of Average. The total pool of budgeted performance compensation is divided by the total number of faculty members. The resulting average is the per capita performance pay available that year. For example, if $100,000 was budgeted for performance pay in 2004 and 70 faculty members were eligible for such payment, the per capita available is $1, Adjustment Based on Performance. The per capita average is then adjusted for the results of the faculty assessment. Performance pay will be distributed by ranking faculty members on the basis of the results of the assessment process. Faculty will be grouped using the most appropriate method (according to the Deans and VPAA) for each year s assessment results and the level of resources available for compensation increases. These groupings may include terciles, quartiles, quintiles, or other appropriate methods of distribution. In no case will the performance adjustment be distributed as an across-the-board increase. As an example of the performance adjustment, a distribution based on terciles could be calculated as follows: First tercile average plus 45% $1,429 plus $643 for total $2,072 Second tercile average $1,429 Third tercile average minus 45% $1,429 minus $643 for total $786 This example is used to illustrate possible calculations for a tercile distribution. Both the grouping of the distribution and the dollar amounts are merely illustrations and not necessarily reflective of any year s actual increases. There is no guaranteed salary increase for any faculty member in any given year. The Deans and the VPAA will adjust any recommendations for increases as deemed appropriate. 8. Final Compensation Determination The VPAA and the appropriate Dean work together to formulate compensation recommendations. The VPAA sends compensation recommendations to the President for review. The President s decisions are final. The VPAA notifies each individual faculty member of the following information: evaluation for each of the system components (i.e., teaching, scholarship, and service) as described above, together with any comments or suggestions from the Dean.
12 Appendix A: PROFESSIONAL SELF-REPORT 12 This self-report should help you reflect on your own professional development, as well as help your department chair and the Dean form an accurate picture of your objectives and accomplishments. Please submit one copy of your report to your department chair, who will forward a chair s evaluation and your materials to the Dean. Please retain copies for your own records. The reason we have asked such extensive questions is that we want to enable you to discuss every important contribution you have made as an academic professional. It is certainly possible that some questions may not apply to you and can be ignored. But you must answer those questions that apply to you. Please supply your chair with the specific documentation and data requested. The chair will forward the material to the Dean. NAME: 1. Teaching Service Please include the following items: Teaching Evaluations. Please include copies for all courses taught in the previous calendar year of teaching. Self-evaluation to include the following items: a. Data: Please list courses taught during this time period and enrollment figures for each. If you taught overloads, please list them as such and give brief explanations for why you taught them. b. New Approaches: Describe any new courses that you have introduced into the curriculum or any innovative approaches to student learning that you have introduced into your teaching. How would you assess the success of these innovations? c. Integration: Describe how you may have attempted to integrate your own scholarly activity and development into your teaching endeavors. d. Achievement: How would you assess the overall success of these courses in meeting your goals as an instructor, in meeting student expectations, and in developing the educational abilities of Converse students? Please list specific outcomes (graduate schools, employment, awards, etc.), including names whenever possible, for students you have taught. e. Advising: What assessment of your role as adviser do you have? 2. Scholarship and Professional Accomplishments Please include basic documentation of any claims to professional accomplishment 3. College and Community Service Please indicate the committees of which you have been a member and any other special uncompensated services that you have performed for the college in the previous calendar year. You should certainly describe any special assignments that you have carried out in this regard. Identify any leadership responsibilities you have carried out. 4. Outside Employment (You must complete this section if it applies to you.)
13 13 If you have been employed outside Converse College, either as an employee or consultant, or if you have owned or directed any business/consulting enterprises in the previous calendar year, please describe such employment and the number of hours per week devoted to it. Please explain how such work benefits your teaching and/or professional development. 5. Personal Goal-Setting You are encouraged to describe your professional goals and objectives for the next one to three years in the areas of teaching, scholarship, and service. Be sure to refer to previous goal-setting statements in formulating your new one. It is very important that each faculty member discuss the goal-setting statement with his or her chairperson.
14 Appendix B: Chairperson Evaluation Please use this form to assess the faculty members in your department. Use the materials submitted to you by the faculty members and by any peer evaluators as bases for evaluation. You may also use independent information gathered during the course of the academic year. Such independent information should be included in your assessment. Summary of ratings for each component of the evaluation are based upon a four-point scale defined as follows: Excellent (4): Performance demonstrated at superior levels. Good (3): Performance levels meet all reasonable and acceptable standards. Fair (2) Performance deficient in one or more criteria, but evidence suggests satisfactory performance is possible with appropriate professional development and assistance. Achievements are not well documented or always evident. Unsatisfactory (1): Performance clearly not meeting reasonable and minimal standards, or documentation not provided by faculty when requested or prescribed in the evaluation process. Don t Know/ Performance not assessed No Answer I. TEACHING AND INSTRUCTION Overall rating for this category, taking into account subcategories A, B, & C: Excellent; Good; Fair; Unsatisfactory; Don t Know Teaching and instruction are defined as those activities associated with the design and delivery of instructional events to the students. For purposes of evaluation, the instructional role will include classroom performance, materials preparation, material relevancy, record keeping, and instructional management. A. Classroom performance. Excellent; Good; Fair; Unsatisfactory; Don t Know Based on any classroom visitation, peer evaluations, and other materials submitted by the faculty member, please evaluate classroom performance. Comments:
15 B. Materials Preparation. Excellent; Good; Fair; Unsatisfactory; Don t Know Criteria for materials preparation include: 1. Has current and relevant syllabi (Do syllabi contain all relevant components such as course objectives, sequential outline of course content, evaluation methods, listing of primary and secondary text?) 2. Reviews and/or updates course material (Is their evidence that the course goals, objectives, and learning materials have been modified, deleted, added, or revised over time?) 3. Uses evaluation methods that are relevant to and appropriate for course content (Are the tests, graded assignments, and evaluation procedures clearly related to the content and objectives of the course under review?) 4. Uses supplemental and technological resources in addition to textbook or other minimal course material (Are supplementary resources fully integrated into the course, including new technology?) Comments: C. Record Keeping and Instructional Management Excellent; Good; Fair; Unsatisfactory; Don t Know Criteria for record keeping and instructional management include: 1. Keeps scheduled office hours. 2. Meets classes as scheduled for prescribed time and uses class time well. 3. Submits required reports and documents, i.e. grades, as directed. 4. Attends departmental meetings. Comments:
16 II. PROFESSIONAL GROWTH AND SCHOLARSHIP Excellent; Good; Fair; Unsatisfactory; Don t Know Professional growth is defined as improving the competence of faculty members to better fulfill the role and responsibilities of their position within the institution, professional achievement, educational contribution to the teaching/learning process, or scholarly profession in the faculty member s area of expertise. A faculty member should have a program of professional development and scholarship in place. Please list what you consider to be the three major contributions of this faculty member to his/her/professional growth Comments: III. COLLEGE SERVICE Excellent; Good; Fair; Unsatisfactory; Don t Know College service is defined as service rendered by a faculty member in support of the division, department, or college. Please list what you consider to be the three major contributions of this faculty member to service to the college Comments:
17 OVERALL RANKING, TAKING INTO ACCOUNT CATEGORIES I, II, & III: EXCELLENT; GOOD; FAIR; UNSATISFACTORY COMMENTS: Department Chair Date Faculty Member Date IN AGREEMENT IN CONTENTION **Please forward this evaluation form, together with any supporting documentation, to the Dean by the announced deadline.