Purpose

To establish uniform Guidelines for Capital College administrators charged with conducting the extended reviews of faculty mandated by University Policy AC-40.

Introduction

University Policy AC-40 states, "Performance reviews are not only necessary for the process of determining merit salary increases; they also provide occasions for self-evaluation and reassessment of the role a faculty member is playing, which may evolve significantly during the course of a career. Reviews offer an opportunity to acknowledge and recognize good work, point out areas for improvement, and, in a few cases, identify productive new uses of a faculty member's talents. They are a means of ensuring that the diverse talents of the entire faculty are productively applied to the many responsibilities of the University. In addition, performance reviews can help identify resource targets -- places where additional resources could re-energize a faculty member whose energy or morale has run low or could lift an already productive member to new levels of achievement."

General Guidelines

The Capital College will follow the practices described in AC-40 and the provisions for the Extended Review described herein. The procedures adopted by the University Faculty Senate, the College Senate, and the office of the Chancellor will govern the Annual and the Extended Reviews within each School.

Annual Review

All faculty members must be reviewed annually by the School Director with limited exceptions (i.e. faculty members on sabbatical and other approved leaves may forego reviews during the period of their leaves). Each review should include the faculty member's written annual activity report, and evidence of teaching effectiveness. The review shall include a thorough one-on-one discussion with the administrative officer of the faculty member's teaching, research, service, plans, and assignments.  This review is focused on faculty activities during each calendar year (January 1st – December 31st of each year).

The evaluations are made by using elements listed in AC21, Definitions of Academic Rank, and AC23, Promotion and Tenure Procedures and Regulations, and are conducted in accordance with procedures developed independently within each College. Each faculty member's evaluation is related to their area of assignment and responsibility, with maximum weight given to the area of major emphasis in the individual's assignment. The School Director will evaluate faculty members of his/her respective school, provide written documentation to the faculty member of the results of the annual review, and will discuss the contents of the letter with the faculty member.  The faculty member will sign an acknowledgment that the review has been completed.

Five-year Extended Review

A. Faculty Covered Under these Guidelines

  1. Extended reviews apply to all tenured faculty employed by the University for a minimum of six years.
  2. Faculty members who have submitted a letter indicating a decision to retire or to resign within a two-year period of the projected date of an extended review will be excused.
  3. Faculty who volunteer for the extended review should notify the School Director of their intent to request a review during the spring semester preceding the actual review.
  4. Faculty members who maintain their tenure homes with University Park colleges are covered by these guidelines. For faculty who maintain their tenure homes at University Park, there are two additional provisions.
    1. The School Director must seek input in writing from faculty member's Department Head; and,
    2. The School Director will forward a copy of the review to the Dean of the academic college at University Park.
  5. Library faculty will be reviewed on a seven-year cycle by the Director of Capital College Libraries, in consultation with the Associate Dean for Campus College Libraries. The "Administrative Guidelines" approved by the University Libraries will be used to review Library faculty. Copies of all evaluative materials will be shared with the Associate Dean for Campus College Libraries.
  6. Faculty members on leave during the year of a scheduled review will be reviewed during the year following the leave.
  7. Tenured faculty members whose promotion cases were submitted and approved during the scheduled extended review period will not be reviewed. The School Director will counsel faculty members who received a negative promotion review during the extended review period.
  8. The extended review should assist faculty members who wish to seek promotion during the next five-year period.

B. Review Procedures

  1. The reviews will occur in five-year cycles (five calendar years) based on the year tenure was granted.  
  2. The School Director will present to the Vice Chancellor for Academic Affairs (VCAA) a list of the review cycles for all tenured faculty within the School by the end of the spring semester before the review cycle.
  3. Faculty to be reviewed will be notified during the annual AC-40 evaluation in the spring semester prior to the extended review.
  4. The School Director will meet with the faculty member during October of the academic year to discuss the review process, the documentation required, and the applicability of the AC-40 policies adopted by the University, the College, and the School.
  5. All materials must be submitted to the School Director by January 31 of the review year.
  6. The actual review, which will be similar in format to the annual review, will take place before March 31.
  7. The review letter will be completed by April 30.
  8. The School Director will discuss the contents of the letter with the faculty member, who will sign an acknowledgment that the review has been completed.

C. Required Documents

  1. The School Director will assemble the faculty activity reports and annual evaluation letters from the previous five years. Those materials will provide the basis for the review. To ensure that the materials are available, each School should preserve the original copies of these materials.
  2. Faculty members should submit supplemental material to provide the School Director with a complete record of accomplishments during the five-year period. School Directors may also request additional information as needed.
  3. A current curriculum vitae should be submitted to the School Director by January 31 of the review year.
  4. Each faculty member must submit a statement explaining her/his accomplishments with respect to teaching, research, and service during the last five years. That statement, which cannot exceed five pages, should respond to the following questions.
    1. What is your understanding of your role within your School?
    2. What is your assessment of your current and future roles as a faculty member of this College?
    3. What is your assessment of your current and future roles as a member of your discipline or profession?
    4. What progress/improvements have you made with respect to teaching, research/scholarship, and service in the last five years?
    5. What are your goals in those three areas for the next five years? Please outline your plans for achieving those goals by preparing a career/professional plan for yourself.
    6. How can the School/College assist you in meeting the goals outlined in your plan?
    7. What would you like your legacy at Penn State to be?

D. Review Outcomes

  1. The School Director will meet with the faculty member for a discussion of all the materials submitted for review.
  2. The School Director will prepare a written summary of the discussion and a review statement for the faculty member.
  3. The faculty member will acknowledge receipt of the review letter by signing the review letter.
  4. Any faculty member who disagrees with the outcome of the review should address those matters in a letter to the School Director.
  5. The School Director will forward the review letter (with the signed acknowledgment of receipt) to the Vice Chancellor for Academic Affairs and copy the Administrative Support Coordinator along with any appropriate post-review correspondence.
  6. The Chancellor will respond appropriately within a reasonable period after the receipt of the review material from the School Director.
  7. The Chancellor's letter will conclude the extended review process.
  8. All correspondence related to the extended review will be maintained in the School.

Adopted: School Directors, September 25, 2001
Approved: Dean, September 26, 2001
Revised: Senior Associate Dean, July 28, 2003
Revised: Academic Council, April 8, 2009 (Renamed F-1; Old 1)
Editorial Revision: Policy HR-40 renamed AC-40
Revised: Chancellor/Dean, May 2, 2022
Revised: Chancellor/Dean, June 15, 2023