Faculty Handbook

The University encourages its professorial faculty members to undertake outside professional activities that will increase their effectiveness and broaden their experience in relation to their functions at the University, or which will be of service to the community, private sector, nation, or world, provided:

• the cumulative total of outside professional activities and overload activities does not interfere with the performance of the faculty member's University duties;
• the outside professional activities do not involve use of University property, facilities, equipment, or services, except in limited circumstances when approved by the faculty member's Department Head/Chair and Dean, or the Dean and Provost;
• the faculty member makes it clear to the outside employer, and to all others with whom the faculty member interacts, that he or she is acting in an individual capacity and does not speak, write, or act in the name of the University;
• the faculty member does not list her or his University contact information in commercial listings or other public documents, the purpose of which is to draw attention to the individual's availability for compensatory service. Further, use of the University name, logo, and stationery is prohibited; and
• the outside professional activity is consistent with policies of the faculty member's college, school, or division.

Approval or disapproval of a request for permission to engage in outside professional activities is at the sole discretion of the University. With the required approvals, as noted in this policy, a full-time professorial faculty member may engage in outside professional activities related to his or her University responsibilities one day in each workweek during periods of full-time employment. A part-time professorial faculty member is allowed to devote time to such outside professional activities in an amount proportional to the faculty member's FTE. With supervisor approval, a reasonable amount of averaging the time allowance over the quarters of an academic year is permissible. Nine-month professorial faculty members are free to consult up to full-time during summer months without securing University approval. Nine-month professorial faculty who are on academic wage appointments in the summer may consult in the summer on the same basis as 12-month professorial faculty, with University approval.

Outside professional activities are to be approved by the faculty member’s Department Head/Chair/Director and Dean/Vice Provost/Vice President, using the Request for Approval of Outside Professional Activities form prior to the commencement of activities. If the proposed activity includes signing an agreement concerning rights in inventions or materials, the agreement must be reviewed and approved by the Office of Commercialization and Corporate Development.

As part of the periodic review of each professorial faculty member, the supervisor shall include an assessment of the faculty member's outside professional activities. The review will include an evaluation of the effect of the outside professional activities on the faculty member's normal job activities. If they negatively affect the faculty member's performance, the faculty member shall be encouraged to reduce his/her outside professional activities and may be denied subsequent approval for outside commitments.

Non-professorial faculty may engage in outside professional activities during non-working hours, or when on annual leave, without securing University approval as long as 1) the activities are not associated with or related to the employee’s regular university duties and responsibilities, and 2) the activities do not raise the appearance, or the reality, of a conflict of commitment to the employee’s University obligations. A non-professorial employee who engages in outside professional activities must disclose any potential financial conflicts of interest to his or her supervisor. The use of University name, property, equipment, etc., is not allowed.

The faculty member must complete and submit to her/his Department Head/Chair/Director and Dean/Vice Provost/Vice President a Request for Approval of Outside Professional Activities form prior to commencement of the professional activities. If approved, the senior administrator will send the original form to their respective business center HR unit and copies will be sent to the faculty member and Department Chair/Head/Director. A copy will also be placed in the faculty member’s college/division personnel file.

If the proposed activity includes signing an agreement concerning rights in inventions or materials, the agreement must be reviewed and approved by the Office of Commercialization and Corporate Development.

In the event the faculty member is denied the opportunity to engage in outside professional activities by his/her supervisor, the employee may file a grievance in accordance with the faculty grievance process. See OSU Policy 576-050-0010 to 0055.

It is important to record instances of professional involvement in outside professional activities in order to monitor the extent of such interactions and to assess their impacts on the primary functions of the University -- teaching, research, and public service. Because the nature of faculty participation in outside professional activities differs greatly among disciplines and departments, a monitoring and reporting method must be developed and maintained by each Dean/Vice Provost/Vice President to ensure appropriate and effective administration of this policy in her or his college/division. Additionally, some centralization is necessary to ensure that information for the entire University is gathered and that its format allows ready interpretation outside the unit where it originated. Therefore, the Senior Vice Provost for Academic Affairs will be responsible for obtaining, evaluating, and reporting information regarding University faculty members’ outside professional activities on behalf of the institution.

This policy does not cover outside non-professional activities that are totally outside and unrelated to the academic or professional field in which the faculty member has responsibilities for the University. Any conflict of commitment due to such activities will be addressed through the University performance review process.

Faculty who fail to comply with this policy are subject to sanctions for cause ranging from a warning to dismissal, in accordance with the rules of Oregon State University, OSU Policy 580-021-0320 et seq.

Faculty Ranks

Revised August 22, 2013

Employees of the Oregon University System are faculty, (academic or professional), and classified (support staff). OSU has adopted "Guidelines for Academic Appointments" that specify how faculty ranks are assigned. Copies of these guidelines can be accessed at the following website http://hr.oregonstate.edu/manual/academic-appointment-guidelines.

Professorial Rank. Professorial ranks (Professor, Associate Professor, Assistant Professor) are reserved for faculty whose responsibilities and positions carry the expectation of scholarly accomplishments. Expectations for each rank are given in Promotion and Tenure Guidelines (Chapter 8). Faculty with professorial rank include:

1. Regular faculty (paid all or in part by state accounts).
2. Senior Research faculty (fixed–term faculty paid entirely or primarily from research grants or contracts). Titles for these faculty are listed either as Professor (Senior Research) or Senior Research Professor; Associate Professor (Senior Research) or Research Associate Professor; and Assistant Professor (Senior Research) or Research Assistant Professor.
3. Clinical faculty and Professor of Practice faculty. Titles for these faculty are listed either as Clinical Professor, Clinical Associate Professor, Clinical Assistant Professor or Professor (Clinical), Associate Professor (Clinical), Assistant Professor (Clinical) and  Professor of Practice, Associate Professor of Practice, Assistant Professor of Practice or Professor (Practice), Associate Professor (Practice), Assistant Professor (Practice).
4. Extension faculty. Titles for these faculty are listed as Professor (Extension), Associate Professor (Extension), Assistant Professor (Extension).
5. Courtesy faculty — faculty not paid by OSU accounts, but who contribute to the mission of the University through teaching, research, or service.
6. Visiting faculty — visitors on leave from other institutions of higher education or the private sector and paid by OSU accounts.
7. Adjunct faculty — the term adjunct is used when a department chooses to recognize the contribution of an OSU faculty member who is employed by another unit within the University.

Professional Position Titles without Rank. Faculty in academic support, administrative support, and student support units are assigned professional titles when, in the view of the unit administrator and the appropriate vice provost, a professional position title most adequately describes the responsibilities of the position and qualifications of the individuals holding those positions.

Research Associate. The rank of Research Associate requires the highest degree appropriate to the field in which the research is being conducted. Research Associates are generally not principal investigators. Two uses of this rank are made at Oregon State University:

• for career doctoral–level researchers, and
• for postdoctoral trainees.

Instructor, Senior Instructor I, and Senior Instructor II. These ranks are used for faculty with primary responsibilities in instruction who hold positions that do not carry a substantial expectation for scholarly accomplishments. All faculty members with the rank of Instructor must be on fixed–term (non–tenure–track) appointments. Senior Instructors and Senior II Instructors may be granted tenure.

Faculty Research Assistant, Senior Faculty Research Assistant I, and Senior Faculty Research Assistant II. These ranks are used for key support faculty members engaged in research. The positions require bachelor’s degrees but not the doctoral degree or other terminal degree appropriate to the field in which the research is being conducted.

9– and 12–Month Appointments. Academic staff (faculty and graduate assistants) are appointed either on a 9–month academic year basis (September 16–June 15), or on a 12–month fiscal year basis (July 1–June 30). Other appointment periods may be specified in individual cases.

The annual salary rate shown on the Notice of Appointment is for full–time service (1.0 FTE) on a 9– or 12–month basis. Unclassified staff (faculty and graduate assistants) are appointed on a 9–month unclassified year salary basis (September 16–June 15), or on a 12–month fiscal year salary basis (July 1–June 30). Other appointment periods may be arranged in individual cases (AR 580–21–015). The actual appointment period (on either salary basis) may be for any specified period or term(s).

Pay is calculated on workdays in each month. Workdays are defined as Monday through Friday, inclusive of holidays. The salary rate reflected in letters of offer or Notice of Appointments is for full–time service on a 9– or 12–month salary basis.

For purposes of example, a 9 month employee working Fall Term (September 16–December 15), with an annual rate of $10,800 is listed below.

Annual rate $10,800 divided by 9 (term of service) = $1200/mo for full–time service.

Actual pay would be as follows:
Sept: 10 working days/21 possible working days x ($1200.00) = $ 571.43
Oct: 22 working days/22 possible working days x ($1200.00) = $1200.00
Nov: 23 working days/23 possible working days x ($1200.00) = $1200.00
Dec: 11 working days/21 possible working days x ($1200.00) = $ 628.57
Total $3600.00

Summer Term Teaching Appointments. Salaries paid for summer term appointments are determined by each dean. The maximum allowed for faculty on 9–month appointments is 22 percent of their annual 9–month salary rate. For faculty members on 12–month appointments, summer term wages are paid by a redistribution of labor among University indexes.

Summer Academic Pay Appointments. Nine–month faculty members paid from grants and contracts during the summer are given Summer Academic Pay appointments. A maximum of 3.0 months salary may be budgeted if allowed by the grant or contract and approved by the department chair/head and dean.

Nine–Twelve–Month Option for Payroll. The Oregon University System provides an option which allows a nine–month academic employee to spread a nine–month appointment gross salary over a twelve–month period. For further information contact the OSU Payroll Office.

Check Delivery. The Payroll Office is a division of the Business Affairs Office. Checks are distributed based on a signed request from the employee, by campus mail to departments, directed deposited to the employee’s bank or made available at the payroll window. Direct bank deposits are encouraged. If no alternate arrangements are made, checks will be available at the payroll window at 8AM on the last working day of the month. Refer to the Payroll Procedures Handbook for detailed payroll procedures.

The OSU ID Card is the official identification card for students, faculty, and staff. It functions as a meal card, library card, access card, and more. The ID Center can also provide department badges and photocopy cards.  For more information, please go to http://fa.oregonstate.edu/business-affairs/idcenter.

Annual Tenure (tenure-track) Appointments. Annual tenure appointments are for faculty members serving in a probationary status for tenure. Non-reappointments require timely notice in accordance with Board Rules:

"If any appointment of a full-time academic staff member who is on an annual tenure appointment . . . is to be terminated other than for cause or financial exigency, timely notice of termination shall be given in writing as follows:

• during the first annual appointment, at least three month’s notice prior to expiration of the appointment;
• during the second year of service, at least six months’ notice before expiration of the appointment;
• thereafter, at least twelve months’ notice before expiration of the appointment."

Indefinite Tenure. These appointments confirm institutional commitment for employment in the faculty member’s assigned program. Tenure is continued indefinitely except in the case of termination for cause, financial exigency, or program reductions or terminations following Oregon University System and University guidelines (Chapter 19). All faculty members, including those with tenure, are reviewed periodically, as described in Chapter 7.

Fixed-Term Appointments. Fixed-term appointments are for a specified period, typically one year, with stated beginning and ending dates. Beyond the ending date may be recommended, consistent with stable funding.

Extended Fixed-Term Appointments. To provide for a greater degree of job security than standard fixed-term appointments, extended fixed-term appointments may be commended, consistent with stable funding.

Extended fixed-term appointments have terms of up to two years and with administrative approval may be extended for one year at the end of each year. This type of appointment thereby leaves the faculty member at the beginning of each year with an appointment having the same length as the prior appointment.

Extended fixed-term appointments are to be proposed only for our most meritorious faculty on fixed-term appointments.

Emeritus status provides recognition for retired tenured faculty who have served the University. Emeritus faculty are listed in the General Catalog as members of the faculty. They are granted use of the library, may take courses at staff rates, retain their onid email account, and receive a lifetime faculty ID card. As with all other retired faculty and staff, they may also purchase athletic season tickets at faculty/staff rates, and participate in the Faculty/Staff Fitness program. The Staff Newsletter, OSU This Week, can be delivered to their home address, by calling News and Communication Services.  For questions regarding emeritus status, contact the Office of Faculty Affairs and International Programs. 

The "emeritus" title may be recommended for a staff member holding academic rank who:

• retires from Oregon State University, and
• has held a position with indefinite tenure, generally on an active full-time basis, for at least five years immediately prior to retirement, and
• has demonstrated professional competence and provided effective service to the programs of the institution.

Approval of the President is required for all emeritus appointments.

For more information regarding the emeritus policy and procedure, please go to http://hr.oregonstate.edu/manual/emeritus-appointments.

Some information about Oregon State University faculty, including salary and rank, are part of the public record. Other data such as social security number and birth year are confidential. This chapter provides an overview of the guidelines and policies that pertain to faculty records and periodic evaluations.

Personal and personnel records are limited to those records that are directly related to the individual’s conditions of employment, or to his or her periodic evaluation. They include:

". . . records containing information kept by the institution, school, division, or department concerning a faculty member and furnished by the faculty member or by others, including, but not limited to, information as to discipline, counseling, membership activity, other behavioral records, professional preparation and experience, professional performance (e.g., assignment and workload, quality of teaching, research, and service to the institution), personnel data relating to such matters as promotions, tenure, leaves, retirement credits and the like, and professional activities external to the institution, including, but not limited to, awards, recognition, research activities, and travel." (OAR 580–22–065).

Other records (which cannot meet the definition in OAR 580–22–065) are maintained elsewhere, e.g., general correspondence written by the faculty member does not belong in his or her employment record.

Location of Personnel Files. Oregon Revised Statutes limit evaluative files to three. At OSU, one personnel file is kept by the college or department in which the faculty member is employed; one in the office of the faculty member’s dean, director or vice president; and one in the Office of Human Resources. The head of the academic unit maintaining the files is responsible for maintaining the confidentiality and security of the records.

In those instances when a faculty member is appointed in two or more academic or administrative units, the faculty member’s major administrative unit shall maintain the personnel file. All other departments or units which maintain records of a faculty member shall use such files for fiscal and administrative purposes only and shall not use such files for evaluation of performance.

General Personnel Data. Certain information about the faculty member may be released upon request without the consent of the faculty member:

• Contract end date
• Dates of employment
• Employing department
• Educational background as listed in the OSU Catalog
• FTE
• Job title
• Publications (requests for lists of current publications should be directed to the faculty member)
• Rank
• Salary
• Supervisor's name
• Birthday (as distinguished from birth year)

Public Only if in Staff Directory. If the faculty member is listed in the Staff Directory, the following information may also be released upon request without the consent of the faculty member:

• Current address, if given in the Staff Directory
• Home telephone number, if given in the Staff Directory
• Work telephone number, if given in the Staff Directory

All other information contained in faculty employment records is considered confidential and may not be released to any person or agency without the faculty member’s written consent or prior approval by the University legal adviser. This includes:

Faculty members are allowed full access to their own personnel records files kept by the University, college, or department, except for the following records:

• Confidential letters and other confidential information submitted prior to July 1, 1975. The Oregon Revised Statutes provide for review of these materials after editing to provide for anonymity of the author(s). Contact the Office of Human Resources for further information on these procedures.
• Pre–employment confidential letters and other confidentially submitted pre–employment evaluations received by the University, college or department after July 1, 1975. Evaluations submitted as part of an OSU faculty member’s review for other OSU positions are also considered "pre–employment," and are also confidential. The Oregon Revised Statutes provide for review of these materials after editing to provide for anonymity of the author(s). Contact the Office of Human Resources for further information on these procedures.

The faculty member may review his or her personnel records file with the supervisor or in the Office of Human Resources. The file may be reviewed in the office in which it is maintained and may not be removed from that office.

To provide a faculty member access to information and evaluations submitted in confidence, the University, college, or department official shall disclose to the faculty member upon request the substance of the confidential items in the personnel records file (keeping the name and content that would reveal the source confidential).

The faculty member shall have the opportunity to enter into the file a rebuttal, refutation, or explanation of any materials in his or her personnel file. As described in the University Promotion and Tenure Guidelines (Chapter 8), department supervisors are expected to include in their letters of evaluation a summary of all solicited evaluations –– confidential and non–confidential –– received as part of a promotion and tenure review. The faculty member may enter into the dossier a rebuttal, explanation, or comment for these or any other evaluations in the dossier. Should the faculty member request it, a faculty committee appointed and authorized by the Faculty Senate shall examine the contents of the faculty member’s file or dossier to verify that all statements therein have been provided or summarized.

Evaluations of teaching by faculty peers and by students provide invaluable information and direction for faculty members to improve their own teaching. Peer evaluations, arranged with a colleague, include review of lecture notes, reading materials, and examinations; observation of several lectures; and a signed written evaluation by the peer.

Anonymous evaluations by all students in the class are required each term for each class the faculty member is teaching. A copy of tabulated results must be provided to the faculty member; a duplicate copy shall be placed in the faculty member's personnel records file. Students may also be solicited by department chairs or heads or deans for signed letters of evaluation to be used in assessing the faculty member's performance. Unless the faculty member has signed a "Voluntary Waiver of Non-Confidentiality" such solicited letters may not be confidential.

The University will not solicit nor accept anonymous oral or written evaluations from students or other reviewers, except a) tabulated student evaluations, and b) solicited promotion and tenure evaluations for faculty who have signed a "Voluntary Waiver of Non-Confidentiality" for a particular promotion and tenure review year. All requests for evaluation of a faculty member sent without a waiver shall be accompanied by a statement that the faculty member shall have access to the evaluation.

Any evaluation received by telephone shall be documented in the faculty member's files by means of a written summary of the conversation, with the names of the conversants identified.

Faculty members have the right to decline a response to requests for information pertaining to race, religion, sex, political affiliation, or sexual preference unless such information is required by state statute or federal law, rules, or regulations. Any request must stipulate the purpose for the information and the individual's right to decline.

Data about faculty members may be provided for research, providing:

1. there are adequate provisions to conceal from the individuals doing the research the identity of the individuals whose personnel data or information is being provided for the research. If the confidentiality of faculty records would be jeopardized in any way by the release of information for research purposes, the written consent of the faculty member must also be obtained prior to the release of the information.
2. approval is granted by the Senior Vice Provost for Faculty Affairs and the Human Subjects Committee.

The Association of Oregon Faculties, founded in 1978, is a system-wide organization with a professional lobbyist. It consists of campus chapters and a state executive committee. AOF seeks to influence the Governor and the Legislature on fiscal matters relating to higher education, particularly faculty salaries and benefits.

The American Association of University Professors (AAUP) is the only national organization devoted entirely to the interests of scholars at colleges and universities. AAUP has been the national leader in protecting academic freedom and the rights of faculty. It publishes the monthly journal "Academe," and the "Red Book," a compendium of AAUP positions on academic matters. Each year, AAUP completes a national salary survey that provides institution-by-institution salary data, as well as national and regional salary averages.

The Faculty Research Assistant Committee represents the interests and concerns of the FRA’s at Oregon State University. The committee’s primary objective is to promote the welfare and professional development of FRA’s by:

• gathering information on FRA concerns through surveys and open forum discussions and reporting them to University Administration;
• reviewing University policies regarding salaries, promotion, evaluation and termination pertaining to FRA’s and advising FRA’s about these policies;
• fostering improved professionalism among FRA’s by sponsoring seminars and workshops;
• maintaining liaison with other faculty committees; and
• providing a means for communication among FRA’s on campus.

The FRA Committee is composed of seven to ten members, several of these are courtesy members that have been recognized by the University as outstanding FRA’s. The members are elected for a three-year term by a popular vote of the FRA population. The committee meets monthly and publishes a quarterly newsletter, FRA Update. Regular meetings are held with the Vice President of Research and Graduate Studies, a representative from the Office of Faculty Affairs, and the Dean of Research to update OSU Administrators on current activities of the Committee.

The Committee has an annual budget allocated by the Research Office, which is used primarily to publish and distribute the newsletter. Committee decisions on pertinent issues and policies that affect Faculty Research Assistants are made by a minimum of five committee members, and a majority of votes; fifty percent is required to enact a decision.

The Interinstitutional Faculty Senate is a statewide senate with representatives from all eight OUS campuses. It addresses any and all matters of concern to faculty and makes recommendations to the State Board, Chancellor, the State System Universities, and the Legislature. At OSU, the members are chosen in campus-wide elections, and are ex-officio members of the OSU Faculty Senate. Copies of IFS bylaws are available in the Faculty Senate office.

The Honor Society of Phi Kappa Phi is the only national honor society that recognizes academic excellence in all disciplines. The Oregon State University chapter was established in 1924 and is one of more than 250 chapters nationwide. The local chapter awards several undergraduate scholarships as partial tuition waivers, administers the Emerging Scholar Award for non-tenured faculty, provides the Phi Kappa Phi Biology Colloquium Award to the keynote speaker, and invites into membership eligible juniors (upper 5 percent), seniors (upper 10 percent), graduate students (upper 10 percent), and faculty members (5-8 individuals each year) from all disciplines. Students may also compete for several national and international internship and study-abroad awards.

Sigma Xi was founded in 1886 by a group of Cornell University students and a faculty member who believed the time had come to establish an honor society for scientists and engineers. From this beginning, Sigma Xi has grown to include more than 500 chapters and clubs. Its purpose is to encourage original investigations in pure and applied science and bring a better understanding of science to the community. Full membership requires demonstrated research ability, and associate members must demonstrate aptitude for research. The chapter’s major activities include a campus-wide Graduate Student Research Day. The chapter annually honors a prominent scientist at OSU with the Sigma Xi Research Award. This and other awards are presented at the chapter’s annual initiation banquet held in May.

A regular review of faculty can improve the quality of the teaching, research, and service functions of the University. In addition, it will benefit individual faculty members by assuring that they are regularly informed of their status. Such a review shall include input from colleagues and students from the faculty member’s own administrative unit as well as from other appropriate units. The written summary of the review shall be provided to the faculty member, and the faculty member shall have ample opportunity to add written rebuttals or explanations.

Administrative faculty shall also be reviewed in terms of their administrative function.

Frequency of Review. The procedure for the actual review is best developed by the individual school, college, or division. Nevertheless, certain guidelines are appropriate for the University as a whole. All faculty with an FTE of 0.5 or more shall be reviewed as follows:

1. Those on annual tenure shall be reviewed annually.
2. Those on indefinite tenure shall be reviewed as follows:
   • Assistant and Associate Professors shall be reviewed annually during their second through fifth years in rank at OSU and during any period in which they are reviewed intensively for promotion in rank. Otherwise, they shall be reviewed at least once every three years.
   • Professors and tenured Senior Instructors shall be reviewed at least once every three years.
3. Those on fixed–term Senior Research or Clinical professorial appointments shall be reviewed as described for faculty with indefinite tenure.
4. Other fixed–term faculty with professorial rank not described in (3), Instructors, Faculty Research Assistants, Senior Faculty Research Assistants, untenured Senior Instructors, and Research Associates, shall be reviewed annually during their first five years of service; during any period in which they are being reviewed intensively for promotion in rank and at least once every three years thereafter.
5. Professional Faculty shall be reviewed annually.
6. Faculty on multi–year or extended fixed–term appointments shall be reviewed annually.

However, no periodic review is required for the following faculty members on fixed–term appointments:

• Emeritus appointments
• Temporary postdoctoral appointments
• Visiting appointments for two years or less.

Any faculty member eligible for review is entitled to a review at any time, upon the member’s request.

Each school, college, or division shall annually report those members of its faculty reviewed to the Office of Faculty Affairs.

Nature of the Evaluation. In each instance, the evaluation shall include

1. a statement of current responsibilities of the faculty member; and
2. signed comments on the faculty member’s progress in teaching, research or other scholarly pursuits, extension, librarianship, professionally related service, and University service from those persons designated by the department, school, or University to make the evaluations.

The sources of information used as the basis for the evaluation should be included. Sources to be used are current and former students, other faculty from this University or other universities, professional colleagues and, if appropriate, the public. In all instances, the evaluation shall be based only on material that is appropriate to the faculty member’s profession and the performance of faculty assignments.

The faculty member must be provided the opportunity of reading and initialing the evaluation and of furnishing written comments, explanations, or a rebuttal to the evaluations to be placed in the faculty member’s personnel records file. Disagreements on the contents of the file should be handled through normal University appeal procedures.

Initiation and Disposition. The initiation of the review, except one requested by a faculty member, is the responsibility of the department head or chair or the appropriate administrative officer. Principal investigators are reminded that all faculty on their projects, including Faculty Research Assistants, should be reviewed following the guidelines in this chapter.

The review and all related materials are to be placed in the faculty member’s personnel records file that is maintained by the department.

Vice Presidents, Vice Provosts, Deans, Department Heads/Chairs, and other major unit leaders will receive continuous counsel on their effectiveness, including specific suggestions when improvement is needed.

Evaluation of their performance shall be one element of their annual review with their supervisor. In addition, they will be formally reviewed at intervals not to exceed five years. Formal reviews will include a request for input from individuals internal and external to OSU.

No standard procedure for annual performance reviews will fit all cases because administrative positions vary greatly in scope and complexity. However, each performance evaluation shall be conducted personally by the administrator’s supervisor.  This evaluation will be a part of the supervisor’s annual program/budget review and planning session. It is important that the process for annual reviews be transparent, including the time of year annual reviews are to be completed so that faculty, staff, and students may provide input should they wish to do so.

Annual evaluations may include the following and will provide opportunities for self-assessment:

• Key results for the past year.
• Key strengths in achieving those results.
• Key challenges and obstacles.
• A list of key goals/initiatives that are essential to address during the current academic year (these will be the unit leader’s main focus areas) and a description of what would constitute success in each of the goals/initiatives

The supervisor will meet with each direct report to discuss the accomplishments for the previous academic year and the goals for the current academic year.

The supervisor will write a memo summarizing the annual review meeting. The original will go to the unit leader, and a copy will be placed in the personnel file maintained in the supervisor’s office.

In addition to the annual Periodic Review of Faculty (PROF), all academic units will conduct mid-term intensive reviews for faculty on annual tenure-track appointments. The primary intent is to review progress toward indefinite tenure so that timely guidance can be extended to the faculty member.

Mid-term reviews are supplemental to annual PROF evaluations and to a subsequent formal promotion and/or tenure evaluation. The mid-term review provides an opportunity for the Department faculty, Department Head, Dean and other supervisors to observe and comment upon an individual faculty member's performance relative to University and College promotion and tenure guidelines, and to offer appropriate advice and counsel on improving performance to meet promotion and tenure requirements. It also provides a forum for the faculty member being reviewed to ask questions about the process and criteria for granting indefinite tenure or promotion. This policy does not alter the probationary status of a tenure track appointment and the University’s rights to issue a letter of timely notice under State Board of Higher Education Rules, OAR 580-021-0110.

The following general University guidelines are to be used in conducting mid-term tenure reviews:

1. Mid-term reviews will usually be conducted during the final quarter of the third year of the initial appointment. For faculty whose probationary service has been either shortened for prior service or lengthened for extenuating circumstances, the review should be done during the year which best equates with the mid point in the faculty member’s probationary service.
2. In general, the mid-term review is to be used as a supplement to, and not as a replacement for, the annual review in the year it is given. Exceptions to this statement are possible if the mid-term review contains all the components of a regular annual review. If it does not, an annual PROF review must be done in addition to the mid-term review.
3. Colleges and/or departments must apply the process uniformly to all members of the faculty on annual tenure-track appointments.
4. All materials used in the review must be open to review by the faculty member, including any external letters of evaluation that might be solicited (unless a waiver of access has been signed).
5. The outcome of the mid-term review must be shared with the faculty member for comment and signature, and included in the individual's personnel file.
6. Colleges and Departments may write additional guidelines in order to provide extra detail on the process, or that are specific to their personnel or mission. All such unit specific guidelines must be consistent with the university guidelines and must be submitted to the Provost for review and approval prior to implementation. As with any set of guidelines, units are responsible for informing their faculty of any additional guidelines they have created.
7. The guidelines for mid-term reviews should not preclude the University in issuing letters of timely notice in any of the years prior to a tenure decision; nor should they limit the purpose or intent of the annual review.

Suggested Procedure:

1. The mid-term review is discussed with each eligible faculty member by the department head/chair during the winter or spring of the academic year prior to a planned review.
2. The faculty member prepares a dossier for review under specifications and time guidelines provided by the department head/chair. The format for the dossier should be similar to the format used in the final promotion and tenure process. External reviews and evaluation letters for this dossier should only be sought in extraordinary cases, for example where there is insufficient expertise on campus to make an evaluative judgment of an important part of a candidate’s performance. As with the final promotion and tenure dossier, formal student or client input, and peer review of teaching reports should be included if the faculty member has a teaching and advising role outlined in their position description.
3. The dossier is reviewed by the department head/chair (and any other supervisors, if applicable) and the departmental faculty review committee. Their written evaluations are appended to the dossier and are provided to the faculty member. Their letters should include an evaluation of progress towards promotion and/or tenure, as well as recommended actions the faculty member and department should take.
4. The department head/chair schedules a meeting with the faculty member to discuss the outcome of the review and initial recommendations. The chair of the faculty review committee and other supervisors (if applicable) should also be invited to participate. The performance of the faculty member relative to University and unit P&T guidelines (if different from the University) is discussed in the form of a dialogue among all parties present. P&T guidelines and procedures are reviewed to ensure that the faculty member has been informed about the process and criteria for evaluating faculty for granting of indefinite tenure, or promotion. At that time the faculty member may attach comments, explanations, or rebuttal to the review before signing to indicate that the document is complete.
5. The department head/chair forwards the dossier and any attachments to the dean for review.
6. At the discretion of the dean, the review is either signed and returned, or a meeting is scheduled with the faculty member, the department head/chair, the dean, and other appropriate administrators.
7. In the event of a meeting at the college level, the dean will send written comments to the faculty member on the performance of the individual relative to P&T guidelines. The dean's letter, including any modifications in the recommendations for the faculty member, is sent through the department head/chair to the faculty member for signature and response, if desired.
8. The department head/chair, in consultation with other supervisors, reviews the final results of the mid-term review with the faculty member and discusses issues or concerns raised during the review. A copy of the review and the recommendations, signed by the faculty member, the chair and the dean, is placed in the individual's personnel file.

Tenure serves both the individual and the institution, and by serving the institution it especially serves the citizens of the State of Oregon. With the award of tenure, the University commits itself to a faculty member in a unique way, and the faculty member acquires a vested interest in the well being of the institution. Tenure is awarded only after an extensive probationary period, during which the highest standards of scholarship, teaching, and service must be demonstrated to the satisfaction of local peers as well as nationally/internationally recognized experts. The granting of tenure is not a license for lifetime employment but an acknowledgment of the likelihood of continued excellence, and post–tenure review can assure that this high level of performance is sustained.

The University recognizes that faculty renewal, development and improvement are of critical importance in its pursuit of excellence. To that end, the University provides for post–tenure review of its faculty to identify and help underachieving faculty fulfill the potential that was recognized upon hiring and reaffirmed upon the award of tenure. If the review process identifies areas in which a faculty member is not fulfilling the expectations of his or her position, a professional development plan will be drafted and implemented. Thus, the process provides effective evaluation, useful feedback, appropriate intervention, and timely and affirmative assistance to ensure that every faculty member maintains a record of professional development and accomplishment during the various phases of his or her career.

The review and evaluation process must uphold the highest standards of academic freedom. Faculty must be encouraged to take risks, to ask inconvenient questions, and to challenge prevailing views, in research and scholarly pursuits as well as in teaching, without the fear of suffering the consequences of failure in the review process. It is the responsibility of administrators to promote and secure the academic freedom of all faculty in their units, as well it is the responsibility of senior and tenured faculty to protect the academic freedom of junior and untenured faculty.

The written reviews, attachments, and professional development plans produced as part of the PTR process are to be regarded as confidential according to the OSU policy on faculty employment records.

Faculty members who are dissatisfied with the outcome or the process of the review should attempt resolution through informal means involving the unit head and the unit–level peer committee. If no resolution is achieved, the faculty member may institute formal grievance procedures.

A post-tenure review (PTR) is to be performed if (i) requested by a faculty member (ii) requested by the unit head or supervisor after one negative review or (iii) a faculty member receives two consecutive negative periodic reviews of faculty (PROF). A negative PROF is defined as receiving an unsatisfactory assessment of one or more areas identified in the position description (e.g., teaching, scholarship, service, outreach).   A negative PROF must always be followed by either a PTR in the same or following year, or a PROF in the following year to determine if sufficient progress has been made to overcome the deficiencies identified in the first PROF.

The faculty member will prepare a dossier in accordance with the OSU Promotion and Tenure Guidelines, with the exception that outside review letters will not be required, and will not ordinarily be requested. If a faculty member or unit head requests outside review, up to five reviewers will be selected, following the process used in promotion and tenure procedures.

Members of the PTR committee shall be elected by the unit faculty who are at or above the rank of the faculty member being reviewed.   In addition, a representative from outside the unit shall be included.  The external committee member shall be selected by the unit PTR committee from a list who are tenured faculty members at or above the rank of the faculty being reviewed.  The list (at least three such faculty members) shall be provided by the faculty member being reviewed.

The result of the PTR will be a written report to the unit head or supervisor and will be included in the personnel file of the faculty being reviewed.  If the PTR is initiated by a negative PROF, the report will address both the positive and the negative aspects of the PROF and assess their validity.  If the committee confirms unsatisfactory performance in any aspect of the position description, a plan for improvement shall be developed jointly by the faculty being reviewed and the unit head in consultation with the PTR committee.  The plan should provide detailed actions, sufficient resources as are available and measureable goals to achieve satisfactory performance within a maximum of three years. Such resources might include support for scholarly professional activities (travel, time released from teaching, equipment, clerical or technical support, graduate assistants, laboratory or other workspace, etc.) or a program for the improvement of teaching. A copy of the development plan will be sent to the Dean of the College or to the appropriate academic supervisor.  A PTR will be performed at the end of the plan period again with a written report submitted to the unit head or supervisor.

In the event of an unsatisfactory PTR and failure to achieve the goals of the plan for improvement , the unit head (in consultation with the peer committee) may recommend redistribution of effort, reassignment within the unit, reduction in salary, or the imposition of sanctions, including, but not limited to: reduction in rank, reassignment within the institution, or termination of appointment in accordance with University Policy 580–21–320 to 580–21–385. Any recommendation for sanctions made by the academic unit must be reviewed by a standing faculty committee elected for that purpose at the level of the college. The review committee shall forward the results of its review and the unit’s recommendation to the Dean or corresponding academic supervisor, and to the Provost. The Provost may determine whether to take appropriate action under procedures specified in University Policy 580–21–320 through 580–21–385.

Until a faculty member has been given adequate opportunity to achieve the improvements specified in the plan for improvement  (given the availability of the resources necessary to effect the improvements), and until a full faculty review of any recommendations for sanctions has taken place as specified in these procedures, no action based on post–tenure review will be taken by the University under University Policy 580–21–330. This policy is not intended to limit the ability of the University to pursue the imposition of sanctions for cause unrelated to the post–tenure review process in accordance with University Policy 580–21–330.

The Faculty Senate will periodically review the effectiveness of the post–tenure review process.

Information regarding retirement plans and resources can be found on the Human Resources web site.

Two programs for tenure relinquishment have been established effective June 12, 2009:

1. Full Tenure Relinquishment Program: After relinquishing tenure, faculty members may still continue to work for up to 1039 hours per academic year, for up to three years.
2. Partial Tenure Relinquishment Program: This program allows tenured faculty members on 1.0 FTE appointments to reduce their appointments to .75 FTE in exchange for an annual salary rate increase.

Policies, procedures, applications, and FAQ’s for full and partial tenure relinquishment programs have been posted to the Office of Human Resources web site. You may access the documents at http://oregonstate.edu/admin/hr/tenure_relinquishment.html.

Definition and Required Notice Before Termination. The appointment of a tenured or non–tenured faculty member may be terminated or other sanctions imposed "for cause." "For cause" is defined in detail in OAR 580–21–0325 and includes conviction of a felony or of a crime involving moral turpitude, failure to perform assigned duties, evidence of incompetence, default of academic integrity, failure to perform adequately for medical reasons, or other proscribed conduct specified in OAR 580–22–0045.

Procedures to be followed involving termination for cause are available from the Faculty Senate Office and Legal Adviser, President’s Office. Faculty charged with such "for cause" conduct have the right to a formal hearing on the charges before a special ad hoc hearing committee. The hearing committee is selected from panels appointed by the Faculty Senate.

The Board Administrative Rules (580–21–315) provide procedures for termination of tenured and nontenured faculty members "not for cause" due to a) financial exigency, or b) program or department reductions or elimination. No specific notice period is required for the termination of a faculty member due to financial exigency. Tenured faculty members terminated due to program reduction or elimination, are given 12 month notice. Faculty on annual tenure receive notice as provided in Board Administrative Rule 580–021–0305. Faculty on fixed term contract serve in accordance with the provisions of their contract.

The document "Institutional Procedures and Criteria for Program Redirection, Reorganization, Reduction and Termination" provide guidelines for program reduction and financial exigency

Copies are available from the Faculty Senate Office.