Policy and Procedures for Faculty Merit Increases (FMIs)

From: Manuel A. Esteban, President

Subject: Policy and Procedures for Faculty Merit Increases (FMIs) (Rescinded)

FACULTY MERIT INCREASES

This policy is supplemental to the FMI policy and procedures in the Collective Bargaining Agreement (CBA) and should be read in conjunction with a current version of that document.

Underlying Principles

When departments' FMI recommendations are in compliance with the Collective Bargaining Agreement (CBA) and campus policy, those recommendations should normally be followed. Recommendations of departments that do not comply with the criteria and procedures will not be afforded the full weight normally given to department recommendations.

Although reasonable people will sometimes disagree about the interpretation of information, it is required that all individuals involved in the FMI process read the individual Faculty Activity Reports (FARs) and apply the established CBA criteria as well as the approved department RTP "standards" and "indicators. " Great care and judgment must be exercised by everyone involved in the process.

For FMI purposes, "merit" refers to performance beyond adequately meeting the responsibilities of one's position commensurate with rank, work assignment, and years of service. "Accomplishment," not effort alone, is intended to be rewarded by FMIs.

Departments should establish through open discussion and their normal policy decision-making process how the FMI criteria established in the CBA will be applied in the department, as well as department procedures, standards, and indicators. All FARs submitted by faculty in a department shall be available to faculty in the department who request to see them. The actual FMI deliberations and recommendations, however, shall be confidential.

Policy Provisions

All faculty members who had an appointment during the previous academic year are eligible for FMIs and are eligible to serve on the department committee and the appeals panel. All faculty members are eligible to vote regarding the department's procedures for recommending FMIs. As part of their written procedures, subject to the approval of the dean, departments may provide that votes to elect members of FMI committees and the appeals panel as well as votes for department procedures will be in accordance with departmental policy on voting rights.

For the purpose of electing a Panel to hear appeals of FMI and SSI decisions (CBA 31.34 and 31.37), each department with six or fewer FTEF will elect one person to the Panel and each department with more than six FTEF will elect two members to the Panel. All faculty members may serve and all may vote in the election.

Department recommendations shall not exceed their "allocations. " If department recommendations do exceed their allocation, the dean will return the recommendations to the department for revision.

All faculty members who had appointments during the previous academic year shall submit a FAR.

Departments and deans shall identify teaching indicators and other standards relevant to the discipline(s) for use in applying the CBA criteria. These indicators and other departmental standards relative to FMIs shall be developed and disseminated, in writing, to faculty in the department. A list of possible indicators is found at the end of this policy. The list is not intended to be exhaustive.

FMI recommendations shall be expressed in both percent of salary and dollar amount.

FMI recommendations must be based exclusively upon verifiable information in the FAR.

An individual's Personnel Action File (PAF) may be accessed by a tenured member of the department FMI committee, the department chair, or dean to verify information on the FAR. The PAF shall not be accessed for any other reason relative to the FMI process. A faculty member may also be asked to provide verification of information on his/her FAR.

Deans shall place each faculty member's FAR in his/her PAF unless the individual notifies the dean, in writing, that he/she objects to placement of the FAR in the PAF.

Notices of FMI recommendations and awards shall not be placed in PAFs unless the individual requests, in writing, that the notice be placed in the PAF.

Rebuttals to departments' or deans' recommendations shall be limited to the issues identified in the rationales provided by the department and Dean (see Procedure 6 below) and shall consist only of justification and interpretation. That is, no new information (that is not already in the individual's FAR) may be included in the rebuttal.

[Note: "rebuttal" refers to a response to the department's or dean's recommendation. "Appeal" refers only to a response to the President's decision. ]

Appeals of the President's FMI decisions shall be limited to the issues identified in the rationales provided by the department and Dean or material included in the FAR (see Procedure 6 below). In addition the appellant, at his/her discretion, shall be allowed to make a brief, succinct oral statement to the appeals committee. The President may also submit a written statement, limited to the issues identified in the rationales provided by the department and Dean or material included in the FAR (see Procedure 6 below) to the appeals committee. The President, at his/her discretion, may make a brief, succinct oral statement to the appeals committee. The appeals committee, at its discretion, may question the appellant and President. The appellant and President each may be accompanied by one other person during the oral statement.

Procedures

The Provost's Office shall identify the proportion of faculty merit funds to be used for SSIs. The remaining funds will be available for FMIs pursuant to the CBA.

At the beginning of each academic year, the Office of Human Resources shall provide each college office with the current monthly salary of each faculty member.

Each department shall forward to the Office of Human Resources the names of faculty elected to the appeals panel by September 15 of each year.

Each faculty member shall submit a FAR to the department chair no later than October 1 each year.

Not later than October 1 of each year, each department will submit to the college dean the department's procedures for recommending FMIs. ("Procedures" means that each department must decide whether its recommendations will be made by (a) a committee, (b) the department chair, or (c) a combination of the two. If a committee is involved, the department must also identify the procedures for electing the committee. )

Each department shall forward its FMI recommendations together with a brief rationale for each recommendation to the dean by October 15 each year. This rationale should address specific issues relevant to the FAR submitted. At the same time that the department forwards the recommendations to the dean, the department shall notify each faculty member in writing of its FMI recommendation and rationale for him/her. (If the faculty member has indicated on the FAR that he/she does not wish to be considered for an FMI, no notice of recommendation shall be given. )

Each faculty member, at his/her discretion, may submit a rebuttal of the department's recommendation to the dean. Such rebuttals must be submitted by October 22 each year.

The dean shall meet with the department committee to review the department's recommendations and to discuss his/her preliminary recommendations together with his/her rationale prior to forwarding all recommendations to the President. This rationale should address specific issues relevant to the FAR submitted. The dean shall forward all recommendations together with his/her rationale to the President by November 5 each year. At the same time that the dean forwards the recommendations to the President, the dean shall notify each faculty member in writing of the dean's recommendation and rationale for him/her. (If the faculty member has indicated on the FAR that he/she does not wish to be considered for an FMI, no notice of recommendation shall be given. )

Each faculty member, at his/her discretion, may submit a rebuttal of the dean's recommendation to the President. Such rebuttals must be submitted by November 12.

The President shall make a final decision on each FMI by November 20. The President shall notify each faculty member (except those who elected not to be considered for an FMI) in writing of his decision.

Appeals of the President's decisions must be submitted to the Office of Human Resources no later than 14 days after receipt of the President's decision by the individual.

Appeals Procedures

The CFA Chapter President, or designee, and the Vice Provost for Human Resources (VPHR), or designee, shall meet to select by lot, using a table of random numbers, the five members of the appeals committee and four alternates.

No more than one committee member may be from the same department (the Library, Athletics, and Counselors are regarded as departments for this purpose) and no more than two from the same college.

The Vice Provost for Human Resources shall call the first meeting of the appeals committee to review its role and the policy/procedures. The CFA Chapter President, or designee, may participate in the first meeting of the committee. The VPHR shall provide the committee with each appellant's FAR, department's recommendation, dean's recommendation, rebuttal statements (if any), and notice of President's decision.

The appeals committee shall notify, in writing, each appellant and provide an opportunity for each appellant to make a brief, succinct oral presentation specific to the issues relevant to the FAR and the rationale (not to exceed 8 minutes. )

The appeals committee shall submit a written report to the Vice Provost for Human Resources. The report shall include the committee's decision on each appellant.

POSSIBLE INDICATORS FOR FMIs

Teaching

• Evaluation and classroom visitation reports by peers, RTP committee, chair, and/or dean
• Advising independent studies, honors projects, and graduate theses
• Course syllabi, examinations, and handouts
• Long-term follow-up of students
• Scholarly research and publication relevant to teaching assignments or pedagogy generally
• Systematic student ratings
• Teaching portfolios
• Currency in the field

Service

• Academic advising
• Adviser to student organizations
• Department administrative duties
• Nonacademic student counseling
• Participation in campus symposia
• Service as student recruiter
• Service on department, college, and university committees
• Community presentations
• Conducting training or development programs (credit or non-credit courses)
• Providing technical or management advice to outside organizations or businesses
• Volunteer service on committees, boards, and community organizations

• Articles in scholarly and professional journals
• Books as junior author or editor
• Books as sole or senior author
• Grants or funding received
• Honors or awards from profession
• Monographs or chapters in books
• Papers at professional meetings
• Presentations
• Referee or editor of professional journal
• Publication in electronic peer-reviewed journals online
• Significant litigation or legal activities and significant political or government activity
• Quality of research and publication as judged by
  • Academic dean
  • Department chair
  • Grants or funding received
  • Honors or awards from profession
  • Peers at the institution
  • Promotion and tenure committee
  • Referee or editor of professional journal
  • Self-evaluation