SP 15-15 - Policy on Retention, Tenure, and Promotion Revised (supersedes SP 10-10 and SP 08-12)

 SP 15-15 SUPERSEDES SP 10-10

California State University Channel Islands

UNIVERSITY RETENTION, TENURE, & PROMOTION POLICY

Index

A. Retention, Tenure, Promotion and the University’s Mission
B. Application of this Document
C. General Standards for Retention, Tenure, and Promotion
D. Research, Scholarship, and Creative Activities
E. University Retention, Tenure, and Promotion Committee
F. Program Personnel Committees (See also section X below, Responsibilities of  the Program Personnel Committee)
G. Appointment
H. Service Credit: Credit for Prior Experience
I. Professional Development Plan
J. Program Personnel Standards
K. Period of Review
L. Working Personnel Action File
M. Review Process and Levels
N. Eligibility to Participate in the Personnel Process
O. Requirements for Retention
P. Requirements for Tenure
Q. Requirements for Promotion
R. Procedures for RTP Evaluations, Recommendations, and Decisions
S. Responsibilities of Faculty Members
T. Responsibilities of Program Chairs
U. Responsibilities of  the Program Personnel Committee
V. Responsibilities of Dean
W. Responsibilities of the University Retention, Tenure, and Promotion Committee
X. Responsibilities of the Provost (or Appropriate Administrator for Library and Counselor Faculty)
Y. Responsibilities of the President
Z. Confidentiality

Appendix A:  Checklist for Working Personnel Action File
Appendix B:  Guidelines for Developing Program Personnel Standards

Definitions

CI: California State University Channel Islands

General Personnel Standards (GPS): A set of guidelines that define the requirements for retention, tenure, and promotion that are to be used when a program area has not created Program Personnel Standards (PPS).

Professional Development Plan (PDP): A document developed by a faculty member that outlines how they will achieve the requirements outlined in Program Personnel Standards (PPS) or the General Personnel Standards (GPS), if no PPS has been created in their program.

Personnel Action File (PAF): The one official file containing employment information and information that may be relevant to personnel recommendations or personnel actions regarding a faculty unit employee.

Program Personnel Committee (PPC):  A committee created for the purposes of review of a faculty member for retention, tenure, and promotion. The composition of the PPC is stipulated in each Program Personnel Standard (PPS) for the program area (see below). PPC members review and evaluate in writing the portfolio of each faculty member to be considered for retention, tenure, and promotion. 

Program Personnel Standards (PPS): A set of guidelines developed by a program area that define the requirements for retention, tenure, and promotion.

Retention, Tenure, and Promotion (RTP): The contractual process by which a faculty member is retained, tenured, and promoted.

University Retention, Tenure, and Promotion Committee (URTPC): A committee with college-level representation that is elected by the faculty for the purposes of university-wide review of a faculty member for retention, tenure, and promotion. URTPC reviews and comments on proposed PPS, or revisions thereto, and recommend approval, disapproval, or amendments to the Provost (VPSA for counselors).  URTP evaluates and makes recommendations regarding retention, tenure, and promotion actions.

Working Personnel Action File (WPAF): The Working Personnel Action File, also known as the ‘Portfolio’, refers to that portion of the Personnel Action File prepared by the faculty member and used during the time of periodic evaluation or performance review of a faculty unit employee.

A. RETENTION, TENURE, PROMOTION AND THE UNIVERSITY’S MISSION

California State University Channel Islands (CI) is committed to providing high quality, student-centered instructional programs to all constituencies.  Excellent faculty members, dedicated to continued intellectual and professional growth, are essential to fulfilling our commitment. All elements and standards of faculty performance evaluation recognize and reflect the University’s Mission, including:

1. placing students at the center of the educational experience;
2. providing undergraduate and graduate education that facilitates learning within and across disciplines through integrative approaches;
3. emphasizing experiential and service learning; and
4. ​graduating students with multicultural and international perspectives.

Retention, tenure, and promotion of a faculty member shall always be determined on the basis of competence and professional performance and not on the basis of beliefs or on any basis that constitutes an infringement of academic freedom.

B. APPLICATION OF THIS DOCUMENT

1. This document establishes the policy for retention, promotion, and granting of tenure for probationary faculty, and the promotion of tenured faculty (RTP) at CI. This policy is governed by the Unit 3 Collective Bargaining Agreement (CBA).
2. The policies in this document apply to teaching, counseling, and library faculty.
3. At CI, all phases of the RTP process support faculty growth and development as well as serve as the formal means of evaluation. To further growth and development, it is important both to the University and to the faculty member that each faculty member establishes a plan to meet program and University standards, as reflected in this document, for RTP.
4. The policies and procedures of this document are subject to Board of Trustees policies; the California Administrative Code, Title 5; California Education Code; the Unit 3 Collective Bargaining Agreement (CBA); and other applicable State and Federal laws.
5. Throughout this document, the word “shall” indicates mandatory action; the word “may” indicates permissive action.

C. GENERAL STANDARDS FOR Retention, Tenure, and Promotion

Each faculty member is expected to make suitable contributions in the three areas of: teaching and/or professional activities; scholarship and creative activities; and service. Retention, tenure, and promotion (RTP) require that levels of achievement be demonstrated in these three areas of performance. For the purpose of review, these levels shall be described with a five point scale, with five being the highest.

5 = Significantly Exceeds Standards of Achievement

4 = Exceeds Standards of Achievement

3 = Meets Standards of Achievement

2 = Does Not Meet All Standards of Achievement

1 = Does Not Meet Minimum Standards of Achievement 

D. RESEARCH, SCHOLARSHIP, AND CREATIVE ACTIVITIES

The University values and supports the development of a range of research, scholarship and creative activities, including the following kinds of scholarship:

1. a scholarship of discovery - pursuing knowledge, covering all aspects of research and disciplinary discovery;
2. a scholarship of integration - bringing knowledge and discovery into larger patterns and contexts and working in and across disciplines;
3. a scholarship of teaching and learning - investigating and assessing teaching methods and practices and their impact on student learning outcomes;
4. a scholarship of engagement - using research and knowledge to engage in problems that affect individuals, institutions, and society. 

E. UNIVERSITY RETENTION, TENURE, AND PROMOTION COMMITTEE

1. The University Retention, Tenure, and Promotion Committee (URTPC) shall be composed of seven tenured full professors serving on rotating two-year terms.

2.  The URTPC shall include representation by faculty from each of the major disciplinary areas within the University as outlined below.

a. Arts and Humanities (1)
b. Math and Sciences (1)
c. Behavioral and Social Sciences (1)
d. Business and Economics (1)
e. Library and Counseling (1)
f. Education (1)
g. At-Large Member (1)

3. All eligible faculty shall be considered for election to the URTPC and must serve, if elected, with the following exceptions:

a. A faculty member who is on an approved leave of absence.
b. A faculty member with health problems that have been documented by evidence from a physician.
c.  A faculty member who is on sabbatical.
d. A faculty member with less than one year of tenure at CI.
e. A faculty member who is elected to the URTPC may not serve on a departmental PPC for a faculty member under review during a given cycle.
f. A faculty member who has served a full two-year term on the URTPC may choose to exempt him/herself from the next two annual election cycles. The faculty member must notify Faculty Affairs before the election is scheduled to be exempted from the election. If a faculty member does not notify Faculty Affairs in advance of the election, the faculty member’s name shall be placed on the ballot and, if elected, shall serve for an additional two-year term.
g. If there is only one eligible representative in the categories in 2a-f (above), that individual may opt out and that position reverts to an At-Large position for that two-year term.

4. If a URTPC member has personal interests that are incompatible with his/her professional duties or believes he/she cannot provide an unbiased recommendation regarding a candidate, he/she shall contact Faculty Affairs with a request to be recused from committee deliberations of that candidate. The administrator in charge of Faculty Affairs will decide whether to approve of the request. If recusal is approved, the remaining URTPC members shall deliberate and make the recommendation. The URTPC member who was recused from deliberations shall not sign the recommendation, but may participate in review of other candidates.

5. The election process for the URTPC shall be facilitated by Faculty Affairs. During the first month of each academic year, all tenured and probationary faculty shall vote from the list of eligible faculty in the representation categories.

F. PROGRAM PERSONNEL COMMITTEES (SEE ALSO SECTION U BELOW, RESPONSIBILITIES OF THE PROGRAM PERSONNEL COMMITTEE)

The Program Personnel Committee (PPC) shall be constituted as follows, in compliance with Article 15 of the CBA:

1. Every Program Personnel Standards document shall specify whether the PPC will be formed for the program as a whole or for individual faculty members under review.

2. Members of the program area faculty elect a three or five member PPC from a list of tenured faculty members compiled by program faculty, including the faculty member under review. The list may include faculty from the discipline and/or from related disciplines, and may include tenured faculty from comparable institutions. 

3. Some academic programs may have faculty to be evaluated for retention, tenure or promotion but have insufficient numbers of faculty within their disciplines to constitute a PPC. In these cases, the faculty member to be reviewed consults with his or her Chair and other faculty from the discipline.  This group then determines the list of possible PPC members for the faculty member’s review. Inclusion in this list requires acceptance by the nominated tenured faculty members (from across the university and possibly from tenured faculty members from other, similar institutions). The PPC is then constituted by vote of the faculty member under review, his or her Chair, and other members of the program faculty.

4. Faculty members with joint appointments or whose work is interdisciplinary (in more than one program area) will choose a program area whose approved PPS  will be used in evaluation or, if no approved PPS is appropriate, can use the General Program Standards (GPS). The faculty member will have representation on the PPC from other appropriate program area(s).

G. APPOINTMENT

Appointments of tenure-track faculty are of two kinds:
1. Probationary Tenure Track Faculty
Normally, a probationary (tenure track) faculty member is given a two-year initial appointment.
All probationary faculty must be reviewed each year until tenured.
A review for reappointment, tenure, and/or promotion is a performance review. Any other review is a periodic review.
Probationary faculty with two year initial appointment shall have a periodic review in their first year of probation (or second or third year of probation if it is the first year of service at CI) and performance reviews before they are re-appointed to second, third, fourth, fifth, and sixth probationary years or are granted tenure. A performance review is also required for promotion.
Appointment to probationary status implies that a faculty member will earn tenure if his or her performance demonstrates levels of achievement as described in this document and those of his or her approved Program Personnel Standards.

2. Tenured Faculty
Tenured faculty are subject to performance reviews when they apply for promotion.

H. SERVICE CREDIT: CREDIT FOR PRIOR EXPERIENCE

1. Accomplishments during years for which service credit is granted shall never be sufficient in and of themselves for the granting of promotion and/or tenure.
2. A faculty member may include accomplishments prior to his/her employment at CI in his or her WPAF for tenure and promotion evaluation.

I. PROFESSIONAL DEVELOPMENT PLAN

1. The Professional Development Plan (PDP) is the faculty member’s agenda for achieving the professional growth necessary to qualify for retention, tenure and promotion. The plan, which is required and shall be prepared, reviewed, and approved by the end of the faculty member’s first year of appointment, except for a faculty member hired as a tenured full professor, shall describe the activities and intended outcomes that the faculty member expects to achieve during the period of review for tenure and/or promotion eventually to full professor. While more focus and specificity will be given to planning for the first two years, the plan will address the entire period of review.
2. The purpose of the PDP is to give a faculty member at CI the opportunity to address with some concreteness and specificity how, given her or his background, experience, and interests, s/he would meet the university’s and program’s (or programs’) requirements for tenure and/or promotion, and to receive feedback from the program and Dean of the School or Unit (or appropriate administrator for librarians and counselors) on the plan. The PDP is a planning document; it is not a formal agreement or contract. PDP narratives for teaching (or professional activities for librarians and counselors), scholarly and creative activities, and service shall not exceed 500 words each. These narratives shall describe the faculty member’s professional goals, areas of interest, resources required and accomplishments s/he expects to achieve in each of the three areas evaluated in order to meet the Program Personnel Standards for tenure and/or promotion.
3. The approved PDP shall be included with the self-assessment narratives in the faculty member’s WPAF that is submitted for retention review, and for tenure and promotion. For tenured faculty, the PDP will be included in the WPAF when the faculty member applies for promotion.
4. The PDP will be reviewed by the PPC, the Program Chair (if not on the PPC), and the Dean, each of whom will provide written feedback on a timetable to be determined by the Division of Academic Affairs [the Division of Student Affairs for counselors], but prior to the end of the faculty member’s first full year of service.
   a. In the event the PPC, Program Chair, or the Dean or Equivalent Administrator) does not approve the PDP, the faculty member shall revise it and resubmit it within two weeks.
   b. After re-submittal, if the PPC, Program Chair, or the Dean or Equivalent Administrator makes further suggestions for modifications, the faculty member may, within two weeks, submit a revised PDP.
   c. No subsequent revision of the Professional Development Plan is necessary. It is expected that faculty over the course of time may move into areas different than anticipated in this first year plan, but any changes should be addressed in the narratives describing faculty members’ work required as part of the WPAF

J. PROGRAM PERSONNEL STANDARDS

1. For all RTP actions, performance shall meet established University and Program Personnel Standards (PPS)  for a positive decision to be made. Program Personnel Standards, developed by program faculty, must be approved by a URTPC elected by the CI faculty as a whole and the Provost (Vice President for Student Affairs for counselors). Each program’s PPS will become effective upon approval by the elected URTPC and the Provost.  PPS documents will be reviewed by the URTPC and the Provost (VPSA for counselors) on a rotating, five year basis, unless otherwise requested by Program Personnel Committees or by the President or the President’s designee.
2. Guidelines for the development of Program Personnel Standards (PPS) are included as an appendix to this document.
3. In the event a faculty member under review is not within a program area that currently has a PPS, the General Personnel Standards (GPS) shall serve as the guide for preparation and evaluation of the candidate’s WPAF.  It is strongly suggested that a candidate in that situation obtain advice from the Faculty Affairs Office, a faculty mentor, and/or his or her Chair while completing the WPAF.
4. If the PPS changes, the faculty member under review may choose to be evaluated by the new PPS or the one in effect at the time of the faculty member’s initial appointment to a tenure track position at CI.

K. PERIOD OF REVIEW

1. For reappointment, the period of review is the period since the last submission of the WPAF for reappointment.
2. For reappointment in the 3^rd probationary year (or 4th for faculty hired with one or two years of prior service credit), the period of review is the entire probationary period, including years for which service credit is granted.
3. For tenure, the period of review is the entire probationary period, including years for which service credit is granted. For example, if a probationary faculty member received one year of service credit at the time of hire, they would begin at CI in their second probationary year. 
4. For promotion, the period of review is the time spent in rank, including accomplishments during time spent at that rank at other four-year or graduate-degree granting institutions. For promotion of tenured faculty, the period of review is the time since tenure was granted.

L. WORKING PERSONNEL ACTION FILE

The Working Personnel Action File (WPAF), also known as the portfolio, is a record that shall contain evidence of performance for the years under review, as well as various required forms. The combined WPAF and PAF shall be reviewed as a whole during retention, tenure, and promotion decisions. The WPAF is compiled by the faculty member to be evaluated. It is the responsibility of the faculty member to be sure the WPAF is current and complete before it is submitted to the PPC. Evaluations, recommendations, and rebuttals, if any, are added at the various levels of review.  The WPAF is the basis for RTP evaluations, recommendations, and actions. The WPAF shall be in two parts-the main body and an appendix.

Material may be added to the WPAF until the submission deadline, at which time the WPAF shall be declared complete. Based on the CI approved WPAF Checklists, the faculty member’s Chair determines that the WPAF is complete before sending it to the PPC. After the deadline, material may only be added with the permission of the URTPC; such permission may be granted until the first day of spring semester, after which no new material may be added to the WPAF.

Before consideration at subsequent levels of review, material added to the WPAF shall be returned for review, evaluation, and comment to the level at which it was initially evaluated.

1. The main body of the WPAF shall include the following items in the following order:
   1. evaluation and recommendation forms (leave empty, provided by reviewers);
   2. checklist signed by the faculty member (see Appendix A);
   3. a table of contents of the WPAF, initialed and dated;
   4. a table of contents of the appendix, initialed and dated;
   5. a copy of the approved Program Personnel Standards (PPS) or General Personnel Standards (GPS);
   6. approved Professional Development Plan (PDP);
   7. the faculty member’s current curriculum vitae that covers his or her entire academic and professional employment history;
   8. a narrative that shall contain a concise self-assessment of accomplishments in the areas of performance in teaching (professional activities for librarians and counselors) in reference to the applicable university standards as stated in this document and program standards as stated in the PPS (not to exceed 1000 words);
   9. a list of teaching assignments for the period under review-a list of classes with briefly described relevant information, including new preparations, etc.;
   10. (optional item) for teaching faculty, evidence of teaching effectiveness may include evidence of assessment of teaching practices and students’ learning outcomes;
   11. for teaching faculty, a minimum of one peer observation of classroom teaching from each probationary year (for probationary faculty, the peer evaluation shall be provided by a tenured associate or full professor at CI, and for promotion, the peer evaluation shall be conducted by a tenured associate or full professor from CI with a rank higher than the faculty member);
   12. a narrative that shall contain a concise self-assessment of accomplishments in the areas of performance in Scholarly and Creative Activities in reference to the applicable university standards as stated in this document and program standards as stated in the PPS (not to exceed 1000 words);
   13. a narrative that shall contain a concise self-assessment of accomplishments in the areas of performance in Service in reference to the applicable university standards as stated in this document and program standards as stated in the PPS (not to exceed 1000 words).
       
       (for teaching faculty, student evaluations are included in the PAF and need not be included in the WPAF.)
2. The appendix of the WPAF shall include the following items:
   a.   copy of the table of contents of the appendix;
   b. for teaching faculty, copies of syllabi for all courses taught during the period under review;
   c. supporting materials directly relevant to the presentation in the WPAF and limited to the period under review. These may include items such as: copies of books, articles, essays, electronic materials, creative work, and others.  Any or all of these may be presented in an electronic format;
   d. (optional item) any other specific documentation of performance as required by the applicable personnel standards.

3.  Abbreviated WPAF for periodic reviews or reappointment review of 1^st, 2^nd and 3^rd probationary year faculty in their first year of service at CI.
   For a periodic review in the first year of appointment for any faculty member who has a 2-year probationary appointment, or for a reappointment review of 1^st and 2^nd year faculty in their first year of service at CI, the WPAF will only include:
   a. a copy of the approved Program Personnel Standards or General Personnel Standards;
   b. a current curriculum vitae;
   c. one peer observation of classroom teaching from the semester;
   d. copies of syllabi for courses taught during the semester.

4. WPAF for Faculty without an approved Professional Development Plan. If a faculty member does not have an approved Professional Development Plan (Third year probationary faculty in their first year of service at CI who do not have a 2-year appointment, faculty members in their first year at CI going up for tenure or promotion) s/he can choose one of two alternatives:
   a. The faculty member will submit a proposed Professional Development Plan as part of the WPAF for their performance review. In addition to making a recommendation with respect to reappointment, tenure or promotion as part of the performance review, the Program Personnel Committee, the Program Chair (if not on the Committee), and the Dean will review and approve the proposed Professional Development Plan.
   b. Working with his or her Program Chair and the Office of Faculty Affairs to create a schedule, the faculty member will prepare and have reviewed and approved by a Program Personnel Committee, the Program Chair (if not on the committee) and the Dean, a Professional Development Plan for inclusion in their WPAF for the required performance review.

M. REVIEW PROCESS AND LEVELS
The review of the WPAF and PAF takes place at various levels in the following order, with a letter of evaluation generated at each review level:

​1. checklist approved by Program Chair (see Appendix A);
2. the program personnel committee (PPC), which consists of three or five tenured faculty members;
3. the Program Chair (if not on  the Program Personnel Committee);
4. the appropriate Dean;The URTPC shall review all tenure and promotion files. 
5. The URTPC shall review retention files only if one or more of the following conditions apply:

1. In the faculty member’s third probationary year unless the faculty member was hired with one or two years service credit, in which case the faculty member’s fourth probationary year;
2. requested by the President;
3. lack of agreement (retention vs. non-retention) among prior levels;
4. all prior recommendations for retention negative;
5. requested by faculty member under review or prior review level.

6. for tenure or promotion decisions-the Provost [Vice President for Student Affairs (VPSA) for counselor faculty];

7. The Provost [Vice President for Student Affairs (VPSA) for counselor faculty], shall review retention files only if one or more of the following conditions apply:

1. requested by the President;
2. requested by faculty member under review;
3. requested by URTPC. 

8. The President.

N.  ELIGIBILITY TO PARTICIPATE IN THE PERSONNEL PROCESS
In instances where the probationary faculty member’s Chair is outside the faculty member’s discipline, the probationary faculty member may elect to request that the Dean assume the Chair’s administrative responsibilities. The Dean shall write a review only at the Dean’s level, not as Chair.

O. REQUIREMENTS FOR RETENTION

1. The goal of the RTP process is to assist faculty in developing productive careers and therefore qualify for tenure after their probationary employment. To be retained during the probationary period, a faculty member is required to demonstrate progress toward tenure such that a positive tenure decision is likely.
2. The decision to retain a probationary faculty member is an affirmation that progress is being made toward tenure according to the faculty member’s Program Personnel Standards and approved Personal Development Plan.
3. As indicated in the faculty member’s Program Personnel Standards (or the General Personnel Standards if no discipline PPS is available), probationary faculty members are required to show appropriate accomplishments, growth, and promise in each of the three areas of assessment. Moreover, when weaknesses have been identified in earlier review cycles, a probationary faculty member is expected to address these weaknesses explicitly and show appropriate improvement.
4. Retention requires that the faculty member receive at least two “3-Meets Standards of Achievement” evaluations, one of which is in teaching (Professional Activities for librarians and counselors).

P. REQUIREMENTS FOR TENURE

1. The granting of tenure is the most significant personnel action that the University takes, because it represents an affirmation that the probationary faculty member will be an asset to the University over his or her entire career. Therefore, a positive tenure decision requires that the probationary faculty member has displayed accomplishments, growth, and future potential that meet the expectations stated in this document and Program Personnel Standards.
2. Tenure requires that performance in two areas be rated at “4-Exceeds Standards of Achievement”-for teaching faculty, one of these must be in the category of Teaching (professional activities for librarians and counselors)-and one category rated at least at “3-Meets Standards of Achievement” as stated in this document and Program Personnel Standards.
3. Early tenure requires that all expectations for the entire probationary period have been met and that performance in two areas be rated at “4-Exceeds Standards of Achievement”-for teaching faculty, one of these must be in the category of Teaching (professional activities for librarians and counselors)-and one category at least “3-Meets Standards of Achievement” as stated in this document and Program Personnel Standards.
4. The decision to grant tenure shall be based solely on an evaluation of the faculty member’s performance as documented by the evidence contained in the WPAF.

Q. REQUIREMENTS FOR PROMOTION

1. Promotion to Associate Professor and to Professor (or their equivalents) require that Performance in two areas be rated as “4-Exceeds Standards of Achievement”-for teaching faculty, one of these must be in the category of Teaching (professional activities for librarians and counselors)-and one category must be rated as at least “3-Meets Standards of Achievement” as stated in approved Program Personnel Standards for the appropriate rank.
2. Because the professoriate entails continual growth and reassessment, the University expects that tenured faculty will continue to strive for excellence in all three areas of performance, and that successful faculty members will display accomplishments, growth, and future potential throughout their careers. Therefore, the decision to grant promotion to the rank of professor shall be based on a record that indicates sustained vitality and commitment to the standards described in this document and in Program Personnel Standards.

R. PROCEDURES FOR RTP EVALUATIONS, RECOMMENDATIONS, AND DECISIONS

1. At all levels of review, those responsible for evaluating faculty and recommending actions shall evaluate each WPAF with clear and specific reference to the applicable personnel standards. The applicable personnel standards shall be the approved Program Personnel Standards (or, in the absence of such standards, the General Personnel Standards document). Recommendations at each level of review, and the decision, shall be supported by written evaluations.
2. The URTPC is authorized to interpret both this document and Program Personnel Standards in cases of dispute.
3. Service in the personnel evaluation process is part of the normal and reasonable duties of tenured faculty. Lobbying or harassing of such persons in the performance of these duties constitutes unprofessional conduct.

S. RESPONSIBILITIES OF FACULTY MEMBERS
The University shall provide each probationary faculty member with a copy of this document at the time of initial appointment to probationary status. It is the responsibility of all faculty members to familiarize themselves with this University RTP Policy. Faculty members are encouraged to seek the aid of their department chairs, the Faculty Development Office, and/or their PPCs in understanding the University’s personnel policies and in preparing their WPAFs. CI recognizes the responsibility of tenured faculty to act as mentors for faculty members who have not yet achieved tenure and encourages probationary faculty to seek out mentoring from tenured faculty in their own or other disciplines.

T. RESPONSIBILITIES OF PROGRAM CHAIRS

1. Chairs’ responsibilities are as follows:

1. The Program Chair shall ensure that probationary faculty members have received all documents relating to Program Personnel Standards (PPS) and Retention, Tenure and Promotion policy and procedures.
2. The Program Chair shall consult with each faculty member for whom a personnel recommendation will be made to assure that the annual updating of the WPAF has been initiated and that the compilation is proceeding according to the requirements of this document. Such consultation should be documented.
3. The Program Chair shall assess whether the faculty member has included all the required elements in the WPAF, and, where necessary, to counsel the faculty member concerning the contents of the WPAF.
4. The Program Chair shall forward the WPAF to the program personnel committee (PPC).

2. If so stated in the Program Personnel Standards, the Chair shall evaluate the performance of the faculty member based upon the WPAF according to the timelines published in the RTP schedules. The Chair shall add to the WPAF a signed recommendation. The Chair shall provide a copy of the recommendation to the faculty member and inform the faculty member of his or her option to respond to or rebut the recommendation of the Chair within ten (10) days.

3. To transmit the WPAF and the recommendations to the Dean

U. RESPONSIBILITIES OF THE PROGRAM PERSONNEL COMMITTEE

1. To review and evaluate in writing the WPAF of each faculty member to be considered for retention, tenure, or promotion. In this evaluation, the PPC shall comment upon the candidate’s qualifications under each category of evaluation. The evaluation report shall incorporate a discussion of all points of view held by members of the committee.
2. To formulate a recommendation which shall state in writing the reasons for the recommendation. The recommendation and evaluation report shall be approved by a simple majority vote of the PPC and signed by all members of the PPC. The vote tabulation shall be recorded on the recommendation form.
3. To sign the recommendation form in alphabetical order. The order of the signatures shall not indicate the way individual members voted.
4. To send the WPAF to the next level of review as specified in the published RTP schedules).

V. RESPONSIBILITIES OF DEAN

1. To make a recommendation in each case, including a written statement giving the reasons for the recommendation.
2. To provide copies of the recommendation to the faculty member.
3. To inform the faculty member of his or her right to respond or rebut within ten (10) days
4. To forward the WPAF to the next level of review as specified in the published RTP schedules.

W. RESPONSIBILITIES OF THE UNIVERSITY RETENTION, TENURE, AND PROMOTION COMMITTEE

1. To review and comment on proposed Program Personnel Standards, or revisions thereto, and recommend approval, disapproval, or amendments to the Provost (VPSA for counselors).
2. To evaluate and make recommendations regarding retention, tenure and promotion actions.
3. To provide copies of the URTPC’s recommendations for delivery to the faculty member.
4. To inform the faculty member of his or her right to response or rebuttal to the recommendation within ten (10) days and his or her obligation to indicate the option chosen on the signature form.
5. To forward the WPAF to the next level of review as specified in the published RTP schedules.

X. RESPONSIBILITIES OF THE PROVOST (OR APPROPRIATE ADMINISTRATOR FOR LIBRARY AND COUNSELOR FACULTY)

1. To review each tenure or promotion WPAF and recommend action to the President.
2. To provide copies of his/her recommendation and the basis for it to the faculty member.
3. To inform the faculty member of his or her right to response or rebuttal within ten (10) days.
4. To forward the WPAF to the President.

Y. RESPONSIBILITIES OF THE PRESIDENT

1. To confer with the URTPC, if the president is considering a personnel action provided for in this document which is contrary to a majority vote of the URTPC.
2. To notify faculty in writing of the final decision in accordance with published deadlines. Copies of such notices shall be given to the faculty member, the Provost, and to the Faculty Affairs Office for placement in the PAF.

Z. CONFIDENTIALITY

1. California Law (Civil Code, Section 1798) provides that no personal records of state employees may be disclosed to others except under certain specified conditions. It is the explicit object of this legislation to protect the privacy of employees. Anyone participating knowingly in unauthorized disclosures of information from personnel records is subject to both civil and criminal penalties. The fact that an employee has himself or herself disclosed an item or information to others is not listed by the State as one of the specific conditions justifying the release of the file to others.
2. Every effort shall be made by everyone connected with this personnel process to safeguard the contents of WPAFs and access to them.

Appendix A

California State University

Channel Islands Checklist for Faculty