SECTION 7
PERFORMANCE AND EVALUATION


7.1 PERFORMANCE EVALUATIONS

The annual evaluation of faculty performance is critical to the professional development of individual
faculty members. For tenured and tenure-track faculty, teaching faculty, research faculty, library faculty,
and Professors of Practice the evaluation focuses on performance during the evaluation period in the
areas of teaching, scholarship, and service, as appropriate. The faculty performance evaluation is the
primary source of information for employment decisions regarding compensation, professional
development, promotion, tenure, appointment renewal and performance-related terminations for cause.
All annual evaluations wil be submitted to Academic Affairs for review.

For tenure-track assistant professors, a Preliminary Tenure Review, in accordance with paragraph 8.1.4
below, shall be conducted by the department promotion and tenure committee and the department head.
For al tenure-track faculty, the department head's comments concerning the candidate's progress toward
promotion and tenure shall be included on the candidate's annual evaluation form.

For research professors of al ranks and for Graduate Faculty who are not part of another regular annual
evaluation process, the faculty member’s direct supervisor shal conduct annual evaluations. For this
evaluation, a research professor or a Graduate Faculty member shal provide their supervisor a complete
and up-to-date CV along with a cover memo highlighting activities completed over the past calendar year.
The supervisor shal review these and issue an evaluation of either: meets expectations for the current
position, or does not meet expectations for the current position. In the case of performance not meeting
expectations, the supervisor shal provide, in writing, an explanation for the negative evaluation, provide
the entire package to the faculty member’s Department Head for review and comment, and then discuss
the evaluation with the research faculty member. If the faculty member disagrees with the negative
review, they may appeal the review to the appropriate col ege Dean.

For administrative and athletics faculty, the criteria and process for the annual evaluation are determined
by the faculty member’s supervisor. The format and content of evaluations for all of these exempt
employees wil be determined on a departmental basis. Al evaluations wil be reviewed by the next level
supervisor. Additional y, the appropriate Dean, Vice President or President may also be a reviewer.


7.1.1 General Outline of the Evaluation Process for Academic Faculty1

The fol owing is a general outline of the academic faculty evaluation process at CSM. Complete
details concerning the process, such as applicable time schedules and due dates, may be found in the
Academic Affairs Procedures Manual, which is available on CSM’s website.


A.
Goal Setting

1. During the spring semester of each year, the department head shal confer with
department faculty to develop department goals. These shall be conveyed to and
discussed with the Provost except when the department exists in a college. In this
instance, the department head will convey to and discuss with the college Dean the
departmental goals. The Dean wil discuss proposed college goals with the Provost.
2. The department head shall meet with each faculty member in a timely manner each

1 Tenured, tenure-track, and teaching faculty of al ranks, and Professors of Practice.
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calendar year to discuss individual goals and assignments for the upcoming evaluation
period. At this meeting, the distribution of effort among the three evaluation categories
(see paragraphs 6.1.1 and 6.1.2) shal be discussed to determine whether any change in
this distribution is appropriate. In the case of research faculty who are supported over a
multi-year period on continuing and new grants, the annual meeting should address the
faculty member’s goals for research directions and grant procurement in the upcoming
year. The meeting should include the department head and research supervisor, if
appropriate. This meeting is not required for research faculty having short-term or
intermittent contract appointments such that year-to-year goal setting is unrealistic.
3. Goals and effort distribution should be placed in writing and can be revised with the
mutual consent of the faculty member and the department head, and research
supervisor as appropriate.

B. Evaluation

1. At the end of the evaluation period, the faculty member shal complete a Faculty Data
Report and submit it to the department head.
2. The department head shal review the Faculty Data Report and assemble student ratings,
peer evaluations, external evaluations, and other appropriate data. Based on the Faculty
Data Report and the assembled data, the department head shal conduct an evaluative
analysis and a formative analysis using the Faculty Evaluation Form.
3. For the evaluative analysis, the department head shal assign a performance rating of
"exemplary," “exceeds expectations,” "satisfactory," “needs improvement,” or
"unsatisfactory" for the applicable categories, teaching, scholarship, and service.
4. The formative analysis shall consist of an overall performance rating and a narrative
summary of the evaluation, including a summary of progress toward tenure (if
applicable), a summary of progress toward promotion, and areas for improvement, as
appropriate. In cases where performance of a tenured faculty member is deemed
unsatisfactory, a Performance Improvement Plan is mandated as outlined in Section 7.3
below.
5. The department head shal meet with the faculty member to discuss the evaluation.
Both shal sign the Faculty Evaluation form. The faculty member's signature
acknowledges the discussion, but it does not necessarily indicate his or her agreement
with the evaluation. The faculty member may also attach a rebuttal statement to the
evaluation.
6. The Faculty Data Report and the Faculty Evaluation Form shall be submitted to Academic
Affairs for review and acknowledgement by the Associate Provost. A signed copy shal
be returned to the faculty member. If the Associate Provost has questions about the
evaluation, it shal be returned to the department head for discussion and further review.
The Associate Provost wil alert the Provost to any especial y noteworthy faculty
evaluations during each evaluation cycle. The Office of the Associate Provost shal
annually provide the Provost with a report summarizing the faculty evaluation ratings
from each department/division.


7.1.2 Effect of Extended Leave on Evaluation Goals

If an exempt employee has taken an extended period of leave, he or she may request that his or her
evaluation goals be temporarily redefined to reflect a reasonable performance expectation for the
affected evaluation period. When a request for amended evaluation goals is submitted, the
employee and his or her supervisor shal attempt to negotiate appropriate evaluation goals for the
affected evaluation period. If the employee and his or her supervisor cannot agree upon the need
for, or the specific content of, amended evaluation goals, the appropriate vice president shal review
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the matter and make a final decision on the issue of amended evaluation goals.

7.2 PROFESSIONAL GROWTH AND DEVELOPMENT

CSM is mindful of the important goal of attracting, supporting, promoting, and retaining quality faculty
members and believes that professional growth and development is crucial to maintaining faculty quality.
A Professional Growth Plan is mandatory for each new academic faculty (i.e., tenure-track and teaching)
member to ensure that a clear understanding exists between the faculty member and CSM regarding
their mutual expectations. Any interested faculty member may propose a Professional Development Plan
to his or her department head. Al Professional Growth Plans and Professional Development Plans must
be prepared with the concurrence of the department head and submitted to the Provost for review prior
to implementation.


7.2.1 Professional Growth Plans for Newly Appointed Faculty

During the first semester of employment, each new faculty member shal develop, in consultation
with his or her department head, a Professional Growth Plan specifying goals and expectations. For
tenure-track faculty, it should cover the period, at a minimum, up to the Preliminary Tenure Review.
Faculty members may be offered developmental support as a part of their Professional Growth Plans
or in conjunction with their initial employment contracts. A faculty member’s Professional Growth
Plan may be modified from time to time with the approval of his or her department head. During the
initial years of appointment, including year-to-year appointment renewals, the Professional Growth
Plan shal be considered as part of the goal-setting exercise in Section 7.1.1.A.2.


A. Categories of Available Support

Formative evaluations, workshops, and senior faculty mentor programs may be utilized, as
appropriate, to guide new faculty members in their professional growth. Start-up packages may
also include any of the following components: summer salary, special laboratory or office
equipment, a lighter than normal teaching load, graduate student support, travel support, and
research initiation support. A faculty member must account to CSM for the use of this support,
and any equipment purchased under such an agreement shall be the property of CSM.


7.2.2 Professional Development Plans for Faculty

Any faculty member may request developmental support with the recommendation of his or her
department head through submission of a written Professional Development Plan. This support is
intended to assist those faculty members who desire to improve their teaching or research, or who
wish to change their career directions at CSM. Professional Development Plans, which shal be
submitted through the department head to the Provost for review, must clearly state the desired
goals, justify the need for support and outline the expected areas of improvement. A faculty
member's success in achieving Professional Development Plan goals shal be included as part of his or
her annual evaluation.


A.
Categories of Available Support

Any of the fol owing types of support may be granted in conjunction with a Professional
Development Plan: research initiation support, travel support, summer salary support, sabbatical
leave, equipment, and other appropriate support as may be agreed upon by the Provost and the
faculty member. A faculty member must account to CSM for the use of this support, and any
equipment purchased under such an agreement shal be the property of CSM.
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7.3 PERFORMANCE IMPROVEMENT PLANS

A Performance Improvement Plan (PIP) is mandatory for any tenured faculty member whose
performance is judged to be unsatisfactory. A PIP is strongly recommended for any teaching faculty
member whose performance is judged to be unsatisfactory. Al of these PIPs shal be reviewed and
approved by the Provost. CSM may offer appropriate support to faculty members in conjunction with
their PIPs as indicated below.


7.3.1 Performance Improvement Plans for Tenured and Tenure-Track Faculty

At the time annual faculty evaluations are prepared, department heads wil identify faculty members
for whom a PIP is required or recommended. An individual so identified wil be required to cooperate
in formulating a PIP, which shall include identified weaknesses, all actions perceived as necessary to
correct those weaknesses, and performance goals. The faculty member shall work with his or her
department head to integrate the PIP to the annual faculty goal-setting exercise.


A. Categories of Institutional Support Available

Any of the fol owing types of support may be granted in conjunction with a Performance
Improvement Plan: research initiation support, travel support, summer assignments, equipment
acquisition, and sabbatical leave. Additional support in the form of career counseling, short
courses, workshops, and internships may also be offered. A faculty member must account to
CSM for the use of this support, and any equipment purchased under such an agreement shal be
the property of CSM.


B.
Time Limitations

The Performance Improvement Plan shal be initiated within ninety days from the date of
identification of the performance deficiencies necessitating the plan. The Performance
Improvement Plan shal specify a time period of up to three years during which the necessary
improvement must take place. These time periods may be extended at the discretion of the
Provost in extraordinary circumstances.


C.
Procedure for Implementation of Plan

The Performance Improvement Plan, including all support offered, shall be agreed upon verbally,
reduced to writing, and signed by the faculty member, the department head, and the Provost. If
agreement cannot be reached, or if a faculty member refuses to cooperate in formulating a
Performance Improvement Plan, the department head shall write the plan and convene the
standing departmental promotion and tenure committee to obtain an opinion on the feasibility
and appropriateness of the plan. The recommendations of both the department head and the
promotion and tenure committee shall be forwarded to the Provost for a final decision regarding
implementation of the plan. The Provost may decide to implement the plan without the
agreement or cooperation of the faculty member. In such a case, the plan shal have the same
effect as if the faculty member had fully cooperated in its formulation.


D.
Sanctions for Failure to Fulfill Plan Requirements

If satisfactory improvement, as determined by the department head and the Provost, has not
been achieved by the faculty member at the end of the period specified in the Performance
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Improvement Plan, appropriate disciplinary action, up to and including termination for cause,
may be invoked.


7.3.2 Performance Improvement Plans for Teaching Faculty

Subject to the notice requirements and appeal rights in Section 9 below, CSM may terminate teaching
faculty member with or without cause. As described in Section 9.2 of the Faculty Handbook, CSM
may provide prior notification to an employee of his or her performance deficiencies and an
opportunity to correct such deficiencies prior to being terminated. Depending on the supervisor’s
judgment about the significance or severity of the performance deficiency, a supervisor may serve
teaching faculty member with verbal or written notice of his or her performance deficiencies at any
time. Supervisors are encouraged to communicate performance concerns as they arise. An
individual so notified may be required to cooperate in formulating a Performance Improvement Plan,
which shal include the identified weaknesses, al actions perceived as necessary to correct those
weaknesses, and performance goals. The establishment of a Performance Improvement Plan,
however, does not create a contract of employment for any period of time. This provision does not
apply to tenured and tenure-track faculty.


A.
Availability of Institutional Support

Institutional support is not normal y granted to an exempt, non-tenure-track faculty member in
conjunction with a Performance Improvement Plan. However, in unusual cases, such support
may be granted with the written approval of the appropriate vice president. A faculty member
must account to CSM for the use of this support, and any equipment purchased under such an
agreement shall be the property of CSM.


B.
Time Limitations

The Performance Improvement Plan shal specify a time period of up to one year during which
the necessary improvement must take place. This period may be extended at the discretion of
the appropriate vice president in extraordinary circumstances.


C.
Procedure for Implementation of Plan

The Performance Improvement Plan, including any support offered, shal be agreed upon
verbally, reduced to writing, and signed by the faculty member and the appropriate vice
president. If agreement cannot be reached, or if an exempt, non-tenure track-faculty member
refuses to cooperate in formulating a Performance Improvement Plan, the supervisor may write
the plan and implement it without the agreement or cooperation of the employee. Alternatively,
the appropriate vice president may proceed immediately to invoke sanctions against the
employee pursuant to subparagraph D immediately below as if the plan had been completed in
an unsuccessful manner.

D.
Sanctions for Failure to Fulfill Plan Requirements

If satisfactory improvement, as determined by the appropriate vice president, has not been
achieved by the employee at the end of the period specified in the Performance Improvement
Plan, appropriate disciplinary action, up to and including termination for cause, may be invoked.

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