Academic Affairs Manual (ACD)

Effective: 12/2/2003

Revised: 7/1/2011

ACD 506–10: Annual Evaluations of Faculty

Purpose

To define responsibilities in annual evaluations

Sources

Arizona Board of Regents Policy Manual - 6–201

Office of the Executive Vice President and Provost of the University

Applicability

Faculty appointed at 50 percent FTE and greater

Policy

Annual performance evaluations serve three distinct purposes: comply with Board of Regents requirements to encourage faculty to establish goals for continued academic progress; guide decisions about salary adjustments; and institute the first step in the post-tenure review process for tenured faculty. An annual review on progress toward tenure for probationary faculty may occur at the same time and be based on the same material as the annual performance evaluation; however, probationary reviews are prospective and reflect the academic unit’s review of the candidate’s future promise. Annual performance evaluations are retrospective. The procedures and standards used in annual performance evaluations must be consistent with but are different from those used in retention, tenure, and promotion reviews.

An annual performance evaluation is required of all 50 percent FTE and greater faculty, regardless of appointment category; faculty on less than a 50 percent FTE appointment may be evaluated annually. The review should cover the previous 36 months, with substantial emphasis on the current year.

Each academic unit must have written policies that describe:

1. the assessment of contributions to teaching/instruction, research, scholarship and/or creative activities, and service, which may include the unit’s/university’s affirmative action goals and student diversity recruitment and retention efforts
2. the systematic assessment of student opinion about faculty performance
3. the process, criteria, and appeals used in annual evaluations
4. the peer review committee and review process in the academic unit
5. the purpose of the annual evaluation related to salary adjustments and post-tenure review
6. the workload/flexible performance arrangements available
7. the information required from faculty as part of the review
8. a minimum of five distinct measurements that distinguish between the highest achievement (e.g., high merit) and the lowest achievement (e.g., unsatisfactory)

   and

9. the compliance with Board of Regents, university, and college policies and procedures.

The academic unit’s recommended written plan must be approved by the voting members of the unit’s academic assembly as specified by unit policies, and then submitted for review and action by the dean, and the executive vice president and provost of the university. Annual evaluations for faculty should be completed by March 31 each year.

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Guidelines

The chair/director should:

1. notify faculty of what performance evaluation material is needed and the deadline for submission
2. provide work load assignments and individual faculty evaluation material to the peer review committee and establish a deadline for submission of the evaluation recommendation back to the chair/director
3. provide a written evaluation to each faculty member that comments on strengths, weaknesses, needed improvement, opportunities for growth, and expectations for future distribution of effort and performance
4. include in evaluations of tenure-eligible and those not yet at professor rank a statement indicating that the procedures for annual evaluation are not the same as those for a tenure or promotion review
5. assure that all work load/flexible performance arrangements are specified for the next year after each evaluation

   and

6. provide the evaluations of individual faculty to the dean as may be required by college bylaws.

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Appeals

A performance evaluation may be appealed to the next higher administrator above the evaluator. The request for an appeal must be made within 30 working days (excluding summer) of receipt of the evaluation. The final decision lies with the appeal review administrator who must complete the review and notify the appellant within 30 working days (excluding summer) after the receipt of the appeal.

Individuals may also file a complaint regarding their annual performance evaluation in accord with ACD 401, “Nondiscrimination, Anti-Harassment, and Nonretaliation.”

Cross-References

1. ACD 202–01, “Faculty Responsibilities”
2. ACD 506–03, “Faculty Probationary Appointments”
3. ACD 506–04, “Tenure”
4. ACD 506–11, “Post-Tenure Review.”

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