EVALUATION AND REVIEW PROCEDURES
Nova Southeastern University
College of Optometry
Updated:
October 2005
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EVALUATION AND REVIEW PROCEDURES
TABLE OF CONTENTS
TOPIC PAGE
Introduction 3
Annual Review 3-4
Continuing Contract 4-9
Mid-year Hiring 5
Credit Toward Continuing Contract 5
Timeline for Appointment on Continuing Contract Track 6-7
Dossier Submission 8
Non-renewal of Faculty Appointment 9
Promotion in Academic Rank 10
Important Dates 10-11
New Faculty Review for Rank 11-13
Appendix One 14
Appendix Two 15-16
Appendix Three 17
Appendix Four 18
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EVALUATION AND REVIEW PROCEDURES
INTRODUCTION
In accordance with established University policies and College of Optometry
requirements, each full-time faculty member will be systematically evaluated. Based on
these evaluations, the Evaluation and Promotion (E&P) Committee (hereafter referred to
as the E&P Committee) will recommend to the Dean reappointment, promotion, annual
review for merit salary increases, and award or renewal of continuing contract. The basic
criteria for review will be the same for annual review, continuing contract, and
promotion. However, the expectations for quantity and quality will vary as described in
the Evaluation and Review Procedures. A point system was utilized as a pilot project
during the 1998-1999 academic year. A spreadsheet application of the point system was
initialized as a pilot project during the 1999-2000 academic year. Further use of the point
system and/or spreadsheet continues since its initial implementation.
ANNUAL REVIEW
Purpose
The purpose of the annual review is to provide information for determining merit salary
increments and to provide a performance feedback mechanism to each faculty member.
Eligibility
A comprehensive annual review will be conducted of all faculty members who are
employed full-time by the College of Optometry.
Review Committee
The E&P Committee, comprised of three peer elected and two administrative appointed
full-time faculty members (see Faculty Council By-Laws), will conduct an evaluation of
faculty members in reference to the criteria established by the College of Optometry and
University outlined in Appendix One. The results of the evaluation will be forwarded to
the Dean (see Faculty Council By-laws). Members of the E&P Committee shall recuse
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themselves when conflicts arise (i.e., their own evaluations, etc.). University policy shall
supercede College policy if conflicts arise.
General Criteria for Annual Review
Criteria by which faculty are evaluated for annual review are listed in Appendix One.
Full-time faculty members are expected to contribute to the Institution through their
teaching, scholarship, and service to the College, University, profession and community.
Teaching, scholarship, and service performed within the year are considered in the
review. Each full-time faculty will provide to the E&P Committee a self-evaluation with
supporting documentation by February 1 detailing his/her accomplishments during the
previous calendar year (or other E&P Committee defined period) as outlined in Appendix
One. The E & P committee will provide written feedback to each faculty member byMay
15; summary documents will be forwarded to the Dean on or before May 15.
CONTINUING CONTRACT
Purpose
The purpose of the continuing contract is to award faculty members who meet the
outlined expectations of the College of Optometry for teaching, scholarship, and service a
contract period extending beyond the initial one-year appointment
Eligibility
Faculty members may be awarded a continuing contract after a significant period of
probation and review as detailed in the Faculty Policy Manual. Faculty members who
are awarded a continuing contract will have their contract continued for a three-year
period. These policies apply only to faculty who are employed full-time by the College
of Optometry and whose administrative assignments are less than fifty percent. Faculty
members must hold the rank of Assistant Professor or higher in order to be considered for
a continuing contract.
Review Committee
The E&P Committee, comprised of three peer elected and two administrative appointed
full-time faculty members (see Faculty Council By-Laws), will conduct an evaluation of
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faculty members in reference to the criteria established by the College of Optometry and
University outlined in Appendix One. The results of the evaluation will be forwarded to
the Dean (see Faculty Council By-laws). Except under extenuating circumstances (as
determined by the Dean), a faculty member under review for continuing contract may not
serve on the E&P Committee. In all cases members of the E&P Committee shall recuse
themselves when conflicts arise. University policy shall supercede College policy if
conflicts arise.
General Criteria for Continuing Contract
Criteria by which faculty are evaluated for reappointment and continuing contract are
listed in Appendix One, and Appendix Three. Full-time faculty members are expected to
contribute to the Institution through their teaching, scholarship, and service to the
College, University, profession, and community. Teaching, scholarship, and service
constitute the components of the faculty review for continuing contract. The review
period will include all accomplishments since the previous review for continuing contract
while employed at the University.
Mid-year Hiring
Faculty hired at the rank of Assistant Professor and higher before October 15 will
receive a first year appointment from the date of hire to June of the following year and
will be reviewed according to the established timetable. Faculty hired after October 15
have the option of delaying the review until March of the following year (giving them
more than one year before the first review).
Credit Toward Continuing Contract
During the hiring process, the Dean may negotiate the terms of full-time faculty contracts
for senior faculty. Senior faculty members are those who have received tenure at another
institution or who have substantial experience as a full-time faculty member at another
institution. Senior faculty may receive credit toward continuing contract (e.g. two years,
three years). However, no faculty member hired from another institution may be
automatically given a continuing contract at the time of hire. Even faculty given credit
for extensive experience must be reviewed before the award of continuing contract.
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Extension of Review Period
Under exceptional circumstances, a faculty member on the continuing contract track may
petition the Dean for a one-year extension of review for continuing contract. A request
for an extension must be submitted by September 1 of the individual's fourth year.
Timeline for Appointment for Faculty on the Continuing Contract Track
The appointment process in the College of Optometry is initiated by a review of the
candidate's performance in reference to the criteria specified in Appendix One and
Appendix Three for adequate professional performance in teaching, scholarship, and
service.
A. The first appointment may be activated when a candidate is recommended
for a faculty position at a rank of assistant professor or higher and
subsequently the Dean supports this recommendation and forwards it to the
Executive Vice Chancellor/Provost of the Health Professions Division, and
President for approval. The President extends the offer of employment and
letter of appointment to a faculty position. The first contract is for one year
with a review performed and notice of reappointment or nonrenewal given no
less than ninety (90) days prior to the end of the initial contract period.
B. Appointment to a second year (or non-renewal) is recommended by the
Dean after completion of the review process established by the College of
Optometry. The faculty member is re-appointed to the position for the second
one-year contract or given notice of non-renewal. The review will be
performed and notice given no less than one-hundred-twenty (120) days prior
to the end of the contract period. The Dean's written recommendation is sent
to the Executive Vice Chancellor/Provost for the Health Professions Division,
and then to the President who makes the final decision.
C. Appointment to a third year (or non-renewal) is recommended by the Dean
after completion of the review process established by the College of
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Optometry. The faculty member is re-appointed to the position for the third
one-year contract or, in the case of a negative review, given a one-year
contract with no expectations for continued employment. The Dean's written
recommendation is sent to the Executive Vice Chancellor/Provost for the
Health Professions Division, and then to the President who makes the final
decision.
D. Appointment to a fourth year (or non-renewal) is recommended by the
Dean after completion of the review process established by the College of
Optometry. A formal peer evaluation by the E&P Committee for
continuing contract is mandatory for a faculty member in his/her fourth
year of continuous employment. Recommendations for the awarding (or not
awarding) of continuing contract are submitted to the Dean and, if supported,
forwarded to the Executive Vice Chancellor/Provost of the Health Professions
Division, and then to the President who makes the final decision. Faculty who
are not recommended for continuing contract in their fourth year of full-time
employment will receive a terminal one-year appointment.
E. In the fifth year, the faculty member awarded a continuing contract
completes the final year of his/her probationary period, with the continuing
contract commencing at the end of the year. Faculty members who do not
receive a continuing contract complete their final year of employment.
Accomplishments performed in this year will be considered for the next
continuing contract.
Table 1
Dates for Review:
First year (90 days before end of contract): notification of renewal/non-renewal by March 31
Second year (120 days before end of contract): notification of renewal/non-renewal by February 28
Third year (1 year before end of contract): notification of renewal/non-renewal by March 31
Fourth year (1 year before end of contract): notification of renewal/non-renewal by March 31
Renewal of continuing contract (in second year): notification of renewal/non-renewal by March 31
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Dossier Submission
Each faculty member eligible for annual contract renewal during the first years of
employment will submit a self-evaluation (Appendix One) with supporting
documentation by February 1 detailing his/her accomplishments for the previous calendar
year. The E&P Committee will conduct an evaluation of the faculty member in reference
to the criteria established by the College of Optometry and University as outlined in
Appendix One. Feedback will be provided from the E & P committee to each faculty
member. . The results of the evaluation will be forwarded to the Dean on or before May
15 who will recommend annual reappointment or non-renewal of contract. The Dean, at
his or her sole discretion, may solicit input from the E & P committee regarding renewal
or non-renewal of annual contracts prior to the deadline for notification of non-renewal
(see Table 1). If an annual review is substandard (but not worthy of termination) prior to
the fourth year, the Dean, Associate Dean for Academic Affairs, and/or Department
Chairperson will consult the faculty member to support the faculty member's efforts in
achieving continuing contract.
Following the annual self-evaluation in the fourth year, each faculty member under
review will provide to the E&P Committee a dossier (Appendix Two) by November 1 of
the same year with supporting documentation detailing the faculty member's
accomplishments during the appropriate review period. The dossier will be evaluated by
the E&P Committee and used to formulate a recommendation to the Dean on the
awarding of a continuing contract or, in the case of a negative review, non-renewal of a
contract. If the candidate for continuing contract fails to reach the standards of the
College (Appendix Three) at the point of the peer review for continuing contract, the
faculty member will not be recommended for continuing contract. If the Dean upholds
the recommendation, the faculty member will receive a terminal one-year final contract.
There is no expectation of continued employment after the final annual contract. Faculty
members who are not renewed will receive notice in accordance with the University
faculty policy.
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Timeline for Reappointment for Faculty on the Continuing Contract Track
The reappointment of faculty to a subsequent continuing contract is initiated by a review
of the candidate's performance during the second year of the continuing contract. This
allows for three years of performance review, since the initial continuing contract takes
effect one year after its award. In summary, the first year that comes under review for a
subsequent continuing contract commences in the year prior to the beginning of the initial
continuing contract period. The E & P committee uses the criteria specified in Appendix
One and Appendix Three to show the faculty member's successful professional
performance in teaching, scholarship, and service.
In the case of a positive decision for renewal of the next continuing contract, the next
three-year appointment will commence at the end of the third year. The review process
shall be the same as previously described in the initial fourth year of the faculty member's
continuing contract track. The Dean shall have the discretion to extend the contract
review period by one year. In that instance, all notice and review dates will be extended
by one year. In the case of a negative decision (upheld by the Dean), the faculty member
will be given one year's notice of non-renewal.
Non-renewal of Faculty Appointment
In the event of a decision not to renew the appointment, the Dean shall inform the faculty
member of the decision in writing. The faculty member who is not re-appointed shall
have the opportunity to request reconsideration by the Dean. If the non-renewed faculty
member is not satisfied with the Dean's reconsideration, then he/she may request a formal
hearing. The College of Optometry hearing policy complies with the Nova Southeastern
University hearing policy as published in the Faculty Policy Manual.
Appeal Process for Denial of Continuing Contract
If a faculty member is not granted a continuing contract, he or she will have the
opportunity to appeal this decision. They must submit a notice of appeal, in writing, to
the Dean and to the Chair of the E & P committee by April 30th (or 30 days from the
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notification date). If the Dean grants an appeal, an ad hoc committee will be formed to
review the case. The ad hoc committee will consist of the Dean, the Associate Dean for
Academic Affairs, two members of the E & P committee (appointed by the Chair of the
committee), and the faculty member’s department chair. In addition, the faculty member
may request to have an external representative to the ad hoc committee; this
representative must be mutually agreeable to the faculty member and to the committee,
and must be a faculty member of another college within the Health Professions Division.
In compliance with Nova Southeastern University policy, this process guarantees that the
decision for denial did not violate the faculty member’s academic freedom, stated review
procedures, and was not based upon discriminatory practices. The burden of proof to
overturn the appeal will be placed upon the appealing faculty member, who must
demonstrate that the denial of continuing contract was inappropriate. The ad hoc
committee will only consider information that was submitted in the petition for
continuing contract. No new evidence can be introduced during this appeal process. The
decision of this ad hoc committee will constitute a final decision from the College of
Optometry. The faculty member will be notified of the decision by June 30th (or 60 days
from submission of the notice of appeal).
PROMOTION IN ACADEMIC RANK
For guidelines and criteria please refer to Standards for Promotion document on the
faculty webpage.
Important Dates for Annual Review, Continuing Contract and Promotion in Rank
February 1 Deadline for submission of annual self-evaluation (Appendix One) for the
previous calendar year (to E & P committee)
February 28 Deadline for notification of contract renewal or non-renewals for faculty
members not on continuing contract (year two only)
Deadline for Review Committee to forward recommendations to the Dean
for continuing contract and promotion
March 31 Deadline for faculty notification of continuing contract and promotion
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Deadline for notification of annual contract renewal or non-renewals for
faculty members not on continuing contract (years one and three)
June 15 Deadline for written submission of requests for promotion to the Dean or
his designee
July 1 Deadline for notification of Dean or designee’s approval/denial of
request to apply for promotion.
May 15 E & P committee submits summary information of annual reports to the
Dean
Written feedback provided from E & P committee to faculty members
regarding annual report submission
September 1 Deadline for submission of promotion dossier (Appendix Two)
September 1 Deadline for requests for one-year extension of review for continuing
contract
November 1 Deadline for submission of a dossier (Appendix Two) for continuing
contract
RECOMMENDATION OF ACADEMIC RANK FOR NEW APPLICANTS
Revised 9/7/03
Purpose
Prior to 2002, there were no documented guidelines for recommendation of academic
rank after an individual is identified as a suitable candidate for a faculty position by the
faculty search committee. The purpose of evaluation of academic rank for new faculty
candidates is to standardize the process and to ensure that individuals have clearly
demonstrated that they have met the performance expectations for academic rank at the
College of Optometry for teaching, scholarship, and service.
Eligibility
Individuals must first be determined to be a suitable candidate for a faculty position at the
College of Optometry by the faculty search committee. After the faculty search
committee completes their evaluation and finds the applicant to be suitable for
recommendation, the faculty search committee will provide the candidate’s curriculum
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vitae to the E&P committee for review for academic rank, based on the following
guidelines:
The Dean will award an academic rank of Instructor automatically to individuals who
have completed their academic or professional program within the prior two years.
For the rank of Assistant Professor, the candidate should meet the following criteria:
1. Terminal degree in the area of considered activity.
2. Present a certificate of completion of an optometric residency, or evidence
of comparable experience, if applicable.
3. Hold an active professional license in at least one state without pending
disciplinary action, if applicable.
4. Show evidence of applicable teaching experience.
5. Show evidence of the potential to contribute in the area of scholarship.
6. Show evidence of contributions to a community, College or University, or
profession in the area of service.
For the rank of Associate Professor, the candidate should meet all of the criteria for
Assistant Professor listed above, plus:
1. Show evidence of applicable teaching experience for a minimum of six years.
2. Present evidence of at least two peer-reviewed publications, as first author.
3. Demonstrate achievement in one or more professional or scholarly
organizations.
The rank of Full Professor will be considered for only a select few individuals with
outstanding contributions in the field. For the rank of Full Professor, the candidate should
have held an academic appointment for a minimum of twelve years. Professors shall
demonstrate a record of distinguished scholarship and outstanding teaching ability,
evidenced by recognized professional productivity in the field of specialization as well as
significant service on a local and national level. These faculty candidates will be
considered on a case-by-case basis.
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All committee recommendations will be forwarded to the Dean as a recommendation and
will require administrative review and approval.
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APPENDIX ONE: Criteria for annual re-appointment, continuing
contract, and promotion. (please refer to the Annual Review
and Guidelines in the faculty webpage)
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APPENDIX TWO: Dossier Checklist
(For Initial and Odd number Continuing Contract)
1. Current curriculum vitae in format dictated by the peer review committee, including
the following:
Name
Education
Professional licensure
Professional practice
Academic appointments
Administrative appointments
Didactic assignments
Clinic assignments
Research activities
Publications
Professional presentations (papers, posters, CE, etc.)
Other professional activities
Fellowships, awards, grants
Professional service activities, internal and external
Community service and activities
2. Evidence of teaching effectiveness, recommended in a teaching portfolio which
should include:
Samples of teaching materials developed
New teaching methods developed or instituted
Courses and/or labs developed (including course descriptions, objectives,
outlines, syllabi, and samples of notes and/or examinations developed)
Clinical seminar instruction developed
Curricula development
Individual student counseling and instruction
Distinguished teaching awards
Letters of recommendations from reliable outside sources solicited by the
Evaluation committee
Seminars and other didactic activities developed and/or delivered beyond the
lecture/lab environment
Student evaluations
Internal or External Peer Review
Letters of support from Department Chairpersons or other individuals who would
have knowledge of activities
Presenting CE (more value placed on regional, national, or international level)
Residency supervision above and beyond teaching or administrative assignment
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3. Evidence of scholarship
Copies of publications
Copies of abstracts
Research activities
Funded and non-funded grant proposals; documentation of initial award and
renewal dates
4. Evidence of service:
Summary of College, HPD, University, Profession and Community Service
related to the profession
Note: Items 2-4 may be provided in part to the committee by submitting copies of annual
self-evaluations
5. For promotion in rank to Associate Professor and Full Professor, please provide the
committee with an abbreviated dossier to be sent out for external review. Include in
this “external dossier”:
• Updated CV
• One page summaries of teaching, scholarship and service highlights.
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APPENDIX THREE: Criteria for Continuing Contract
***Based upon achieving the minimum quantity, the committee will assess quality
indicators prior to making a recommendation for continuing contract or renewal of
continuing contract.
The following are the minimum quantity values REQUIRED for consideration for initial
continuing contract: These expectations may be modified based upon workload
variations, such as administrative or scholarly assignments. Any expectation
modifications will be stated in writing by the Dean or his or her designee within the first
year of the evaluation period.
Teaching: Performance meets or exceeds expectations. The faculty member
has made appropriate contributions to the college based upon the workload
assigned.
Scholarship: 15 points; papers (first or second author) subject to critical
review by peers are highly valued; one publication (first or second author)
within the previous five years or during service at Nova Southeastern
University with evidence of peer review recommended. A maximum of two
posters per year will be accepted towards the 15 point minimum scholarship
requirement.
Service: 20 points
A tentative recommendation for renewal of continuing contract will be based upon a
minimum quantity values. These expectations may be modified based upon workload
variations, such as administrative or scholarly assignments. Any expectation
modifications will be stated in writing by the Dean or his or her designee within the first
year of the three year evaluation period.
Teaching: Performance meets or exceeds expectations. The faculty member
has made appropriate contributions to the college based upon the workload
assigned.
Scholarship: 15 points; papers (first or second author) subject to critical
review by peers are highly valued; one publication (first or second author)
with evidence of peer review recommended. A maximum of two posters per
year will be accepted towards the 15 point minimum scholarship requirement.
Service: 15 points
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APPENDIX FOUR: Guidelines for Even-Numbered Continuing
Contract Review
The reappointment of faculty to a second continuing contract is initiated by a review of
the candidate’s performance. This review takes place during the second year of the
original continuing contract. Faculty being considered for reappointment to a subsequent
continuing contract will be evaluated using the appropriate Annual Reports.
For the second continuing contract, fourth continuing contract, and subsequent even-
numbered continuing contract renewals, the appropriate Annual Reports will be used as
the basis for evaluation, along with an administrative review. This information will be
used in lieu of a separate dossier for continuing contract review. For even-numbered
continuing contract renewals, the Committee may request additional information or
perform a more extensive review of any or all specific areas (teaching, scholarship,
service) of performance.
For the third, fifth, and subsequent odd-numbered continuing contract renewals, the
candidate must submit a separate, formal dossier for the current continuing contract.
Expectations for continuing contract must be met or exceeded for both odd and even
numbered continuing contract renewals (see Appendix 3 for criteria).
The primary responsibility for initiating this review process shall lie with the individual
faculty member. The Committee shall assist the candidate in verification and eligibility
for review.
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