Small Seal

Faculty Merit Increases Criteria and Procedures

Recommended By: Academic Senate
Approved: Ruben Armiñana, President
Date of Issue: September 24, 1999
Effective Date: September 24, 1999
Contact Office: Provost and VP for Academic Affairs

Policy #1999-3

Preamble

This policy is to be used in implementation of the Article 31.7 - 31.35 of the Agreement between the California State University and the California Faculty Association, July 1, 1998 through June 30, 2001 and expires at the termination of that Agreement.

  1. Purpose
    1. 1.1 Faculty shall be eligible for Faculty Merit Increases for demonstrated performance, commensurate with rank, work assignment, and years of service, for the quality of the faculty member's: teaching alone; teaching and scholarship; teaching and service to the university and community; or teaching, scholarship, and service to the university and community. Faculty whose performance does not include assignments in all of the above areas shall nonetheless be eligible for a Faculty Merit Increase on the basis of their performance in the individual areas of their assignment.
    2. 1.2 Permanent Increase
    3. The recognition of demonstrated performance shall normally be in the form of a permanent increase in the base salary of the individual of no more than seven and one-half percent (7.5%) in any year
    4. 1.3 Bonus
      1. The recognition of demonstrated performance shall be in the form of a bonus (not a permanent increase) of no more than the equivalent of an annual salary increase of seven and one-half percent (7.5%) in the case of faculty who have reached the top of his or her rank or classification in the salary schedule.
      2. Faculty whose demonstrated performance was part of an activity or project conducted by a team, department or group of employees may be compensated in the form of a bonus (not a permanent increase in the base salary of the individual) of no more than seven and one-half percent (7.5%) of their salary in the year for which the award is granted.
  2. Implementation
    1. 2.1 An individual may not receive more than a seven and one-half percent merit increase in any year including bonuses.
    2. 2.2 When funds for Faculty Merit Increases are available:
      1. five percent (5%) of the total campus funds is withheld to fund successful appeals,
      2. ten percent (10%) is withheld for expenditure by the President.
      3. From the remaining eighty-five percent (85%), the Provost and Vice President for Academic Affairs shall inform each school dean and each departmental chair of the amount of funds each department would have available based on the full time equivalent faculty (FTEF) of each department.
    3. 2.3 Any portion of the funds not expended in any fiscal year shall automatically be added to the Faculty Merit Increase pool in the next fiscal year.
    4. 2.4 For 1999/2000 and thereafter the campus faculty merit pool of funds includes a separate pool for faculty eligible for Service Salary Increases, as well as the Faculty Merit Increase pool. Service Salary Increases will be awarded prior to consideration of Faculty Merit Increases for 1999/2000 and thereafter. Appeals of denials of SSIs will use the same appeals panel elected for FMI appeals. Unexpended funds from the SSI pool shall be rolled over and added to the pool for Faculty Merit Increases for the following year.
  3. Criteria
    1. A Faculty Merit Increase for demonstrated performance, commensurate with rank, work assignment, and years of service may be granted for one or any combination of the following:
    2. 3.1 the quality of the faculty member's teaching alone;
    3. 3.2 the quality of the faculty member's teaching and scholarship;
    4. 3.3 the quality of the faculty member's teaching and service to the University and community; or
    5. 3.4 the quality of the faculty member's teaching, scholarship, and service to the University and community.
  4. Eligibility
    1. 4.1 All members of the faculty as defined in the faculty collective bargaining contract (Unit 3), including full and part time employees, lecturers, probationary or tenured faculty including library and counselor faculty, and coaches, shall be eligible for Faculty Merit Increases for demonstrated performance in accordance with the criteria stated in section 3 above. Faculty whose performance does not include assignments in all of the above areas shall nonetheless be eligible for a Faculty Merit Increase on the basis of their performance in the individual areas of their assignment. Nothing in this policy shall require the award of a Faculty Merit Increase to any individual faculty member.
    2. 4.2 Each faculty member shall be considered for a Faculty Merit Increase unless the faculty member declines to be considered by so indicating on the annual activity report.
  5. Annual Faculty Activity Reports
    1. 5.1 Each faculty member shall submit a completed report of activities annually to the appropriate department chair with copies to the school dean and Faculty Affairs by the deadlines listed below.
    2. 5.2 The format for the activity report shall be the format provided by the collective bargaining agreement. Documentation supporting the activity report is not required. At the discretion of the faculty member submitting the activity report, documentation may be included in an appendix. The entire report, including appendix, if any, is not to exceed four pages in length. The cover sheet is required and is not included in the count of four pages.
    3. 5.3 For 1998-99 and 1999-2000 two Faculty Activity Reports shall be submitted to the department chair, with one copy of each report to the school dean and one copy of each report to Faculty Affairs by October 1, 1999 and shall detail in separate sections the following:
      1. the first report describes all appropriate activities for the period from the last successful PSSI application, or the last six (6) years, or since appointment as either temporary, probationary, or tenured faculty at Sonoma State University, whichever is sooner, to June 30, 1998, for a Faculty Merit Increase to be effective July 1, 1998, and,
      2. the second report describes all appropriate activities from July 1, 1998 through June 30, 1999, for a 1999/2000 Faculty Merit Increase to be effective July 1, 1999.
    4. 5.4 All faculty shall submit a Faculty Activity Report to the appropriate department chair, with one copy to the school dean and one copy to Faculty Affairs by October 1, 2000 describing all appropriate activities for the period July 1, 1999 through June 30, 2000, for salary increases effective July 1, 2000.
    5. 5.5 Faculty Merit Increases shall be effective July 1 of the fiscal year in which the reviews of annual activity reports are conducted, with the exception of Faculty Merit Increases for fiscal year 1998/99, described in 5.3.a.
  6. Levels of Review and Procedures for Review
    1. 6.1 Reviews and recommendations for Faculty Merit Increases shall be conducted at the level of the department and the dean.
    2. 6.2 Departmental Reviewing Entity
      1. At the department's discretion, the reviewing entity which makes departmental recommendations may be a committee of faculty, the department chair, a designee(s) or a combination of the above. All faculty, tenured, probationary and temporary, full-time and part-time, including faculty on leave, in the Faculty Early Retirement Program, and on Pre-Retirement Reduction in Time Base, are eligible to vote on the department's choice of reviewing entity; are eligible to vote on the membership of a review committee, if that is the department's choice of entity; and are eligible to serve on the review committee. In establishing a reviewing entity and selecting members for that entity, the vote of a part-time faculty member shall be proportional to timebase. Where there are insufficient numbers of persons to serve on a departmental committee, the department shall select persons from a related academic discipline or appropriate administrative unit to serve on the review committee. No faculty member shall review his or her own activity reports for a Faculty Merit Increase; however, no faculty member shall be ineligible for service on a review committee because he or she is a candidate for an increase. The department chair shall inform the dean about the department's choice of reviewing entity.
      2. For the purpose of a departmental review (see 6.3-6.5), Unit 3 employees who are coaches, counselors, other Student Services Professionals-Academic Related, faculty in programs that are not departments, and lecturers not members of the five schools, may elect their own representatives from among all faculty to a joint review committee, or each subgroup may elect its own representatives from among all faculty to a review committee, or each subgroup or individual not part of a group may collectively affiliate with a department of their choice or select a designee. If a review committee(s) is established, an appropriate administrator to act as dean will be selected in consultation with the affected faculty.
    3. 6.3 Departmental Recommendations
      1. The departmental reviewing entity shall consider all Faculty Activity Reports submitted for review for Faculty Merit Increases and shall make recommendations based upon the criteria in section 3 of this policy, as appropriate to the activities described by each individual and the candidate's rank, work assignment and years of service. The department may recommend that an individual faculty member receive a Faculty Merit Increase of any amount not to exceed seven and one-half percent (7.5%) of the individual's annual salary. Recommendations from the department may not exceed the amount of funds made available according to section 2.2 of this policy.
      2. The departmental reviewing entity shall forward recommendations for increases effective July 1998 and July 1999, including the amount of the increases recommended, in the form of letters to the dean with a copy to the faculty member no later than October 18, 1999 and no later than October 15 or the first working day thereafter for future years. The letters shall include a brief justification for the recommendation and may contain minority views, if appropriate. Each faculty member shall have the opportunity to submit a written rebuttal to the recommendations with a copy to the department and the dean no later than seven calendar days after receipt of the recommendation. Failure to meet the established deadline for recommendations shall automatically result in the forwarding of all annual reports to the next level of review.
    4. 6.4 Dean's Recommendations.
      1. The dean or other appropriate administrator shall review the activity reports and the departmental recommendations. The dean's recommendation may concur or disagree with the departmental recommendations, may change the amount of any recommended increase, and/or may recommend an increase for any member of the department that was not recommended by the department. The dean may recommend that an individual faculty member receive a Faculty Merit Increase of any amount not to exceed seven and one-half percent (7.5%) of the individual's annual salary.
      2. The dean shall make ranked recommendations for increases effective July 1998 and July 1999, and for subsequent years of this program, including the amount of the increases recommended, in the form of letters to the President with a copy to the faculty member. All recommendations from the department and the dean as well as all Faculty Activity Reports shall be submitted to the President, or President's designee, no later than November 5, 1999 and no later than November 5 in years thereafter. Failure to meet the established deadline for recommendations shall automatically result in the forwarding of all annual reports to the next level of review. Each faculty member shall have the opportunity to submit a written rebuttal to the recommendations, with a copy to the dean and the President by November 12.
    5. 6.5. A faculty member's Personnel Action File may be reviewed during deliberations on a Faculty Merit Increase.
  7. Presidential Decision
    1. 7.1 The President, or President's designee, shall review the Faculty Activity Reports and recommendations and select the recipients from among them by November 20, 1999 and by November 20th in years thereafter. The President may concur or disagree with the recommendations, may change the amount of any recommended increase, and/or may award an increase for any member of the department that was not recommended by the department or by the dean. The President shall also determine the appropriate amount of increase for each award, up to a maximum of seven and one-half percent (7.5%) in any year. The total of Faculty Merit Increases awarded shall not exceed ninety-five percent (95%) of the total campus FMI funds.
    2. 7.2 Each faculty member shall be provided notice in writing of the President's decision. The President shall communicate, in writing, the award decisions to the departmental entities and the deans. Any decision that denies or reduces the departmental or dean recommendations should include the reason for that decision.
  8. Appeal Process
    1. 8.1 A faculty member who has received a positive recommendation from the department or the dean may appeal the President's decision if it denies or decreases the amount of an increase that was recommended by the department or the dean and request that the university grant or increase the award.
    2. 8.2 A faculty member may file an appeal with the Office of Faculty Affairs, as designee of the President, no later than fourteen (14) calendar days after receipt of the President's decision.
    3. 8.3 All appeals shall be heard by a committee of five (5) faculty members chosen by lot from an appeals panel elected at large by Unit 3 faculty members. Faculty who are appealing Faculty Merit Increase decisions shall not serve on the committee during the year in which they appeal. The committee will hear all appeals for a given year in a single hearing. The faculty member and/or his/her representative and the university representative may present evidence at the hearing.
    4. 8.4 The committee may not grant any increases that total more than five percent (5%) of the total campus FMI funds. A majority decision by the committee is required to grant an appeal. The decision of the committee is final and binding.
  9. Reporting of Awards
    1. The university shall report to the Academic Senate annually, by school, the appropriate aggregate statistics, including changes from departmental and dean's recommendations and the distribution of the President's pool. In addition, a list of individual faculty receiving Faculty Merit Increases, their rank, the amount of the increase received, and their department shall be made public no later than one (1) month after final decisions regarding such increases. A further report of the awards shall include amount of increase, gender, and ethnicity but without individual names.
  10. Relationship to RTP
    1. Faculty may be considered for a Faculty Merit Increase and reappointment, tenure and/or promotion concurrently. The decision to grant or deny an increase shall not be considered during deliberations concerning reappointment, tenure or promotion unless the faculty member includes documents related to the decision in his or her Personnel Action File. This shall not preclude the consideration of any facts during RTP deliberations that are also considered during FMI deliberations. Faculty Activity Reports may be placed in both the Personnel Action File and any Working Personnel Action File established for the purpose of conducting periodic evaluations and performance reviews, at the discretion of the faculty member.
Deadlines for the FMI Procedure

October 1

Faculty Activity Reports Submitted

October 18, 1999 and
Oct. 15, 2000 or first working day thereafter

Department forwards recommendations to Dean with copy to faculty member

Seven calendar days after receipt

Rebuttal to department and dean

November 5

Deans forward reports and recommendations to President with copy to faculty member

November 12

Rebuttal to Dean and President

November 20

President reviews reports and recommendations and selects the recipients


Related Links: Faculty Merit Increases Appeals Procedures

Updated March 7, 2000 by SSU.policies@sonoma.edu