PM 99-06

9/27/99

President James E. Lyons, Sr.

 


Faculty Merit Increase Program


 

In accordance with the 1998-2001 collective bargaining Agreement between the CSU Board of Trustees and the California Faculty Association, and having received recommendations from the campus Academic Senate, I am issuing this Presidential Memorandum to implement the provisions of the Faculty Merit Increase Program, effective immediately.  This policy supersedes all previous campus policies and procedures on the subject of faculty merit salary increases.

 

*  *  *  *  *  *  *

I.    General Provisions

 

                A. The recognition of demonstrated performance at California State

                    University, Dominguez Hills, by a faculty unit employee can be in the form of

                    [31.8 and 31.9]

 

A recipient of a Faculty Merit Increase may not receive more than a seven and one-half percent (7.5%) increase in any fiscal year.

 

                B.  Beginning with the award of Faculty Merit Increases effective on July 1,

                    1998, the award of such an increase shall not diminish a faculty member’s

                    eligibility for remaining Service Salary Increases (SSIs).  [31.10]

 

                C. There shall be the following distribution of funds for the Faculty Merit

                    Increase program on a campus:  [31.12]

 

1.   Five percent (5%) of total campus funds are withheld to fund successful

appeals.

 

2.   The President withholds ten percent (10%).  The expenditure of these funds

      shall be reported as a distinct category of the campus report required in

      Provision 31.29 of the Unit 3 (Faculty) Agreement.

 

3.   All remaining funds (85%) are distributed to departments or equivalent

     administrative units on a full-time equivalent faculty (FTEF) pro rata basis.

 

                D.  A faculty unit employee may review the recommendations for him/her to

                    receive a Faculty Merit Increase at each step of the process and submit a

                    written rebuttal if he/she so chooses.  [31.22]  To facilitate this process,

                    each department or equivalent administrative unit and dean or appropriate

                    administrator shall inform the faculty unit employee in writing of the decision

                    status and reasons therefore for his/her recommended Faculty Merit Increase

                    three (3) working days prior to the deadline for advancement to the next

                    level of review.  Any rebuttal may then be included as part of the document

                    package which proceeds intact to the next level of review.

 

                E.  A faculty member shall not review his/her own annual report for a Faculty

                    Merit Increase.  Nevertheless, no faculty unit employee shall become

                    ineligible for service on a faculty review committee because he/she is a

                    candidate for an increase.  [31.23]

 

                F.  Each level of review shall forward all annual reports, as well as its

                    recommendation on each of the candidates, to the next level of review. 

                    Failure to meet any established deadline for recommendations shall

                    automatically result in the forwarding of all annual reports to the next level of

                    review.  [31.23]

 

                G.  Faculty Merit Increases shall be retroactive to July 1 of the fiscal year in

                    which the review of annual reports is conducted, except for Faculty Merit

                    Increases for fiscal year 1998-1999 which shall be retroactive to July 1,

                    1998.  [31.26]

 

                H. The amount of funds dedicated to this Faculty Merit Increase Program in

                    fiscal year 1998-1999 shall be based upon the number of filled full-time

                    equivalent faculty positions.  [31.27]  The amount of formula-driven funds

                    available to departments or equivalent administrative units for Faculty Merit

                    Increase considerations will be identified no later than October 4, 1999.

 

                I. There shall be no requirement to expend all funds for Faculty Merit Increases. 

                    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.  [31.28]

 

II.        Eligibility

                A.  All faculty unit employees shall be eligible for Faculty Merit Increases for

                    demonstrated performance at CSUDH, commensurate with rank, work

                    assignment, and years of service.  [31.7]

 

                B.  All faculty unit employees shall submit completed activity reports and shall

                    be considered for Faculty Merit Increases unless they indicate on their

                    activity reports that they decline to participate in the Faculty Merit Increase

                    program.  [31.11]

 

                C. The following classifications are not eligible for Faculty Merit Increases

                    because they are classifications with flat rates:  Instructional Faculty –

                    Extension (Class Code 2323); Instructional Faculty – Special Programs (Class

                    Code 2322);  Instructional Faculty – Summer Arts (Class Code 2402);

                    Instructional Faculty – Summer Session (Class Code 2357); and Substitute

                    Instructional Faculty (Class Code 2356).  [31.32]

 

III.       Criteria and Standards

 

                A.  Faculty shall be eligible for Faculty Merit Increases using the criteria of

                    demonstrated performance at CSUDH, 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.

A faculty unit employee whose performance does not include assignments in all of the foregoing areas shall nonetheless be eligible for a Faculty Merit Increase on the basis of his/her performance in the individual area(s) of their assignment.

 

IV.       Submission of Activity Reports

 

          A.  Each faculty unit employee at CSUDH shall submit two (2) completed reports of his/her activities to his/her department chair or appropriate administrator (with a copy to Faculty Affairs) by no later than October 1, 1999.  (Faculty unit employees who do not report to a department chair will submit their completed reports to the appropriate administrator for their administrative unit.)  There shall be two (2) separate reports as follows:  [31.13]

 

        1.  One (1) report shall detail all appropriate activities for the period of August 18,

            1997, through June 30, 1998, for fiscal year 1998-1999 Faculty Merit Increases

            to be effective July 1, 1998; and

        2.  One (1) report shall detail all appropriate activities for the period of July 1,

            1998, through June 30, 1999, for fiscal year 1999-2000 Faculty Merit Increases

            to be effective July 1, 1999.

 

(For fiscal year 1998-1999, a faculty member may either rely upon the activity report submitted in April 1999 for the period of August 18, 1997, through June 20, 1998, or submit a new or revised activity report by the deadline of October 1, 1999.  [App. H, MOU of June 4, 1999])

 

         B.  A faculty member who does not report to a department chair, such as a librarian, shall submit his/her annual report to the appropriate administrator for his/her unit by no later than October 1, 1999.[1]  The appropriate administrator will be the custodian of these annual reports until such time as the administrative unit forms a review committee.[2]  Once a unit-level review committee is formed, the appropriate administrator will forward the activity reports to that committee for review and processing.

 

         C.  The California State University Faculty Activity Report form is to be used as a format guide for the organization and writing of the report, as well as an informational document in the Faculty Merit Increase process.  The form should be completed as appropriate and submitted as a cover sheet to the activity document.  [App. F]

 

V.        Levels of Review

           

Faculty activity reports for Faculty Merit Increases shall be reviewed by the Department or equivalent administrative unit (hereinafter “department” or “unit”), the Dean or appropriate administrator (hereinafter “dean”), and the President.

 

     A.    Step 1.  Departmental Review:  departmental or unit recommendations shall be

            made by either a committee of faculty unit employees from the department or

            unit, the department chair, department designee, or a combination thereof, at

the discretion of the department or unit.  All faculty unit employees in a

department or unit shall be eligible to vote on the composition of the department

review structure.  If a department or unit committee is formed, and where there

are insufficient persons to serve on the review committee, which must have a

minimum of three (3) members, the department or unit shall select persons from

a related academic discipline or appropriate administrative unit for that purpose. 

Recommendations from the department or unit to the dean shall include not only

whether the candidate is recommended to receive a Faculty Merit Increase, but

also the amount of the increase recommended for those candidates receiving a

positive recommendation.  Recommendations that an individual faculty member

receive a Faculty Merit Increase may be for any amount up to the allowed

maximum of 7.5% in any fiscal year.  Recommendations from the department or

unit shall not exceed the designated formula-driven amount of funds allocated to

the department or unit for this purpose.  (Recommended increases may result in

the placement of faculty unit employees between the rates for a step of his/her

rank/classification.)  [31.19]

 

    B.    Step 2.  Dean’s Review:  The recommendations of the department or unit as well

as all faculty activity reports shall be reviewed by the dean.  The dean may

The dean may recommend that an individual faculty member receive a Faculty Merit Increase of any amount up to a maximum of 7.5% in any fiscal year.  Recommendations to the President shall include not only whether the candidate is recommended to receive a Faculty Merit Increase, but also the amount of the increase recommended for those candidates receiving a positive recommendation.  (Recommended increases may result in the placement of faculty unit employees between the rates for a step of his/her rank/classification.)  [31.20]

 

    C.    Step 3.  Presidential Decision:  All recommendations from each department or unit

           and dean as well as all faculty activity reports shall be submitted to the

            President.  Consistent with campus practice, the President may consult with

            cognizant academic administrators when reviewing and selecting recipients for

            Faculty Merit Increases.[3]  The President may

The President or designee shall, after consideration of all appropriate recommendations, select the recipients of the Faculty Merit Increases.  The total of the recommendations at this level shall not exceed the ten percent (10%) pool for the President.  The President may grant that an individual faculty member receive a Faculty Merit Increase up to a maximum of 7.5% in any fiscal year.  (Increases may result in the placement of faculty unit employees between the rates for a step of his/her rank/classification.)  [31.25]

 

VI.       Appeal Process

 

          A.  A faculty member who has received a positive recommendation from the department or unit or the dean may appeal the President’s decision that denied or decreased a Faculty Merit Increase that is recommended by the department or unit or the dean.  [31.22]

 

         B.   The affected faculty member may file an appeal with the President, requesting that the University grant or increase the award, no later than fourteen (14) days after receipt of the President’s decision.  The faculty member’s appeal shall be heard by a committee of five (5) faculty unit employees chosen by lot from an appeals panel elected by the faculty unit employees of the campus.  Faculty unit employees who are appealing Faculty Merit Increase decisions shall not serve on the committee during that year.  The committee will hear all such appeals of the President’s decision that year in a single hearing.  The University and the faculty unit employee (and/or his/her representative) may present evidence at the hearing.  A majority decision by the committee shall be required in order to grant any appeal.  ]31.34]

 

         C.    Five percent (5%) of the Faculty Merit Increase pool available for all Unit 3 employees on the campus shall be reserved to fund any additional increases granted under this appeal process.  The committee may not grant any increases that total more than the amount of the reserved campus FMI appeal pool.  The decision of the committee shall be final and binding.  Any portion of such reserved campus FMI appeal pool that is not expended in the above manner shall be rolled over and added to the pool for Faculty Merit Increases for the following fiscal year.  [31.35]

 

VII.     Procedural Timelines

 

         A.    Each faculty unit employee at CSUDH shall submit two (2) completed reports of his/her activities to his/her department chair or appropriate administrator by no later than October 1, 1999.  [31.13]

 

         B.    All faculty unit employees shall submit annual reports of their activities to their department chairs or appropriate administrators by no later than October 1 of each year.  These annual reports shall be used for Faculty Merit Increase award purposes.  In fiscal year 2000-2001, therefore, the period of review shall be July 1, 1999, through June 30, 2000.  [31.16]

 

         C.    All faculty activity reports and all recommendations shall be forwarded by departments or units to the deans by no later than October 18, 1999.

 

         D.    All faculty activity reports and all recommendations for Faculty Merit Increases shall be forwarded to the President, or his/her designee, by no later than November 5, 1999, for fiscal years 1998-1999 and 1999-2000, and no later than November 5 of each year thereafter.  [31.24]

 

         E.   The president or designee shall select the recipients of the increases by no later than November 20, 1999, for fiscal years 1998-1999 and 1999-2000, and no later than November 20 for fiscal years thereafter.  [31.25]

 

         F.   Consistent with Section VI (Appeal Process) above, affected faculty may file an appeal of the President’s Faculty Merit Increase decisions no later than fourteen (14) days after receipt of the President’s decision, i.e., on or about December 6, 1999.  [31.34]

 

VIII.    Special Provisions

 

          A.   Beginning with the award of Faculty Merit Increases effective on July 1, 1998, the award of such an increase shall not diminish a faculty member’s eligibility for remaining Service Salary Increases (SSIs).  [31.10]

 

          B.   As part of the Faculty Merit Increase Program in fiscal years 1999-2000 and 2000-2001, there shall be a separate pool for faculty unit employees who are eligible for SSIs.  The pool shall be calculated by multiplying the total salary and benefits of such faculty unit employees by two and sixty-five one-hundredths (2.65%).  [31.43]

 

         C.   During fiscal years 1999-2000 and 2000-2001, the criteria to be used when evaluating eligible faculty for the award of a Service Salary Increase (SSI) shall be whether the faculty unit employee has demonstrated satisfactory performance commensurate with rank, work assignment, and years of service.  [31.44]

 

         D.   During fiscal years 1999-2000 and 2000-2001, a faculty unit employee who is eligible for an SSI shall be reviewed by the department (or equivalent administrative unit) and appropriate academic administrator who shall either grant or deny the SSI.  This review shall take place prior to the review of employees under the Faculty Merit Increase Program.  A faculty unit employee who receives an SSI in fiscal years 1999-2000 and 2000-2001 shall receive a two and sixty-five one-hundredths (2.65%) increase.  Moreover, such employee may receive up to an additional seven and one-half percent (7.5%) Faculty Merit Increase.  [31.45]

 

         E.   The decision to grant or deny an SSI to a faculty unit employee during fiscal years 1999-2000 and 2000-2001 shall not be subject to the grievance procedure in Article 10 of the Unit 3 (Faculty) Agreement, but shall be subject to the SSI Appeal Process as set forth in Article 31 of the Agreement.  Any portion of the reserved campus SSI pool that is not expended in the SSI Appeal Process shall be rolled over and added to the pool for Faculty Merit Increases for the following fiscal year.  [31.46 and 31.48]

 

IX.       Relationship between Faculty Merit Increase and RTP Deliberations

 

          A.   The decision to grant or deny a Faculty Merit Increase shall not be considered during deliberations regarding the granting of reappointment, promotion, or tenure unless the faculty member includes documents related to the decision in his/her Personnel Action File.  This shall not preclude the consideration of any facts during RTP deliberations which are also considered during Faculty Merit Increase deliberations.  Faculty annual reports and the notification of all Faculty Merit Increase decisions may be placed in both the Personnel Action File and any Working Personnel Action File established for the purpose of conducting evaluations pursuant to Article 15, Evaluation, of the Unit 3 (Faculty) Agreement.  Such placement is at the discretion of the faculty unit employee.  There shall be no prohibition, however, against retaining a faculty unit employee’s activity report for a period of three (3) years outside of his/her Personnel Action File.  [31.30]

 

         B.   While the award of Faculty Merit Increases shall not be considered personnel recommendations, decisions or actions which must be based upon a faculty member’s Personnel Action File pursuant to the Unit 3 (Faculty) Agreement, this provision shall not preclude review of a faculty member’s Personnel Action File during Faculty Merit Increase deliberations.  [31.31]

 

X.        Campus Reporting of Faculty Merit Increase Awards

 

          A.   A list of individual faculty unit employees receiving Faculty Merit Increases, their rank, the amount of the increase received, and their department shall be made public on campus no later than one (1) month after final decisions regarding such increases.  Awards shall also be reported by amount of increase, gender, and ethnicity but without individual names.  [31.29]

 

XI.        Retention of and Access to Faculty Activity Reports  [App. H, MOU of June 4, 1999]

 

         A.   Faculty Activity Reports shall be stored in the Office of Faculty Affairs for up to three (3) calendar years, or until the expiration of the current Unit 3 (Faculty) Agreement, after which they will be returned to the individual faculty members.

 

         B.   The Faculty Activity Reports retained in the Office of Faculty Affairs shall be held in confidence.  Access to these documents shall be limited to persons on official business.  Such persons are conditioned in their access by campus access policies and legal statute.

 

Attachment (1)

 

California State University Faculty Activity Report

 

For the period: 

Name  ________________________________ Date  ____________________

Dept.   ________________________________

Highest Degree & Date  _____________

Rank/Classification  _____________________  Tenured or Probationary or Temporary

If tenured or probationary, date of initial tenure-track appointment  _________________

If temporary, date of first appt.  ____________ 

Years in present rank/class  __________

Time Base (circle one)  FT  PT                   Current Salary (monthly or annual

Eligible for SSI?  Yes  No                                       $___________  /mo. annum (circle one)    

 

In no more than four (4) typewritten pages, using 12-point type and one-inch margins, provide information on your activities, contributions, and accomplishments in the following areas, for the period covered by this report.

 

I.  Teaching & Contributions to Student Development/Other Primary Work Assignment

         A.     List courses taught and enrollments by term.

         B.     Summarize your student evaluations of teaching.

         C.     Describe any changes in teaching approach or in responsibilities.

         D.     Describe your responsibilities in advising, supervision, or similar activities.

         E.      Other

 

II.         Scholarly/Creative Activities and Professional Development/Practice

         A.     List/describe work completed (books, journal articles, performances,

                 editing, presentations, grant proposals, etc.)

         B.     Work in progress – Describe work accomplished.

         C.     Other

 

III.       University & Community Service

         A.    Department Committees/Service

         B.    College, University, Systemwide Committees/Service

         C.    Professional Service Activities

         D.    Community Service Activities

         E.    Other

 

IV.       Special Accomplishments & Other Activities Not Included Above

 

 

I do / do not (circle one) wish to be considered for a Faculty Merit Increase (FMI).

Do you want your Faculty Activity Report placed in your Personnel Action File?    Yes    No

Do you want your FMI decision notice placed in your Personnel Action File?   Yes   No

 

I attest that the information provided in this report is accurate and true to the best of my knowledge.

 

 

_______________________________________________

Faculty Member’s Signature                        Date