The UCLA CALL - Summary of Procedures #7

The UCLA CALL

Summary of Procedures #7

— Fourth-Year Appraisals for
Professorial Series —

I. Applicability

The following procedural information serves to implement the policies set forth in The CALL.

Please refer to the appropriate section for clarification of terminology, review requirements, and approval authority, as these apply to the several Professorial Series.

Concurrent reviews for appraisal and for merit increase and/or renewal of appointment must be combined and are subject to review, approval authority policy and procedural requirements applicable to appraisal.

II. Requested Action

A. Deans

Deans are requested to check all administrative records to identify individuals subject to appraisal. They are further requested to publish supplementary instructions to Department Chairs regarding the form in which departmental reports are to be submitted and the deadline by which such reports are to be received in the Dean’s Office.

The Dean, when final authority on an appraisal, is expected to:

assure departmental compliance with APM 220 (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
secure CAP recommendation;
consult with the Council on Academic Personnel where there are differences in evaluation of the case; and
act on the case or forward for Chancellor’s approval if any reviewing agency or Dean’s determination is that of "unfavorable";
advise the department of the decision by written commentary outlining the strengths and weaknesses of the dossier following completion of review; and
instruct department to provide copy of CAP report to individual.

It is expected that Deans will retain a copy of each dossier received for their files.

B. Department Chairs

Department Chairs are requested to check departmental records to confirm that the lists received from their Deans of individuals requiring appraisal are accurate. They are further requested to review the "Guidelines" (Appendix 1, "Guidelines for Department Chairs and Other Recommending Officers") and to comply with APM 220 (Appendix 2, "Synopsis of Academic Personnel Manual Section 220"), to secure the necessary departmental faculty reviews, and where the individual holds a Joint Appointment or has an extra-departmental affiliation the Chair must ensure appropriate participation to submit their recommendations in accordance with the supplementary instructions provided by their Deans.

Whenever the department’s appraisal is unfavorable, a vote must be taken and recommendation made with respect to the separate question of the individual’s continued appointment; that is, on the question of:

Non-renewal of appointment beyond the end of the current term or reappointment to a terminal year for an Assistant Professor; or
termination or appointment to a terminal year for appointees to other professorial series. A department may recommend an unfavorable appraisal and continuation of appointment.

If an appraisal has been called for but is not required for any reason, the Department Chair is asked to so advise the Academic Personnel Office in writing with copy to the Dean.

It is expected that Department Chairs will retain a copy of the dossier for their files.

Upon receipt from the Dean or Chancellor of the result of the review, the Department Chair is required to counsel the individual so that the individual is fully apprised of the institutional assessment of the prospects and aware of all identified deficiencies.

III. Submission of Dossier to the Academic Personnel Office

A dossier must be submitted by the Dean’s Office to the Academic Personnel Office in support of each recommendation.

Assistant Professor Fourth-Year Appraisal

Submit the original dossier to CAP in the indicated order:

Minimum Dossier Content	Instructions
1. Assistant Professor Data Summary	Complete all pages and prepare Bibliography in accordance with instructions.
2. History Record	Up-to-date History record inserted immediately following the Data Summary Sheet.
3. Self Statement	At the option of the candidate, a self statement may be included.
4. Report of the Department	A summary of the departmental assessment of the candidate prepared by the Chair. Chair’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement.
5. Departmental Ad Hoc Report	A written report made available to faculty prior to the department vote if the Chair convened a committee.
6. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
7. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
8. Curriculum Vitae	Do not include material already covered in the Bibliography.

Provide Student Evaluations if applicable.

Assistant Professor Fourth-Year Appraisal
Favorable or Favorable with Reservations

Submit the original dossier to APO after CAP Review in the indicated order:

Minimum Dossier Content Instructions

1. Assistant Professor Data
Summary Complete all pages and prepare Bibliography in accordance with instructions.

2. History Record Up-to-date History record inserted immediately following the Data Summary Sheet.

3. Self Statement At the option of the candidate, a self statement may be included.

4. Dean’s Statement Statement to the Chancellor regarding the circumstances of the unfavorable appraisal.

5. Letter to Chair regarding Outcome Letter from the Dean to the Chair discussing areas of achievement and/or weakness with a means of correcting any deficiencies in the record of scholarship.

6. CAP Report Vote and recommendation from the Council on Academic Personnel regarding appraisal.

7. Report of the Department A summary of the departmental assessment of the candidate prepared by the Chair. Chair’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement.

8. Departmental Ad Hoc Report A written report made available to faculty prior to the department vote if the Chair convened a committee.

9. Peer Evaluation of Teaching Reports or letters in accordance with the department’s peer evaluation teaching program.

10. Sabbatical Reports Copies of sabbatical reports submitted for leaves taken since last review.

11. Curriculum Vitae Include portions or selected pages that will provide additional information for this renewal and/or merit. Do not include material already covered in the Bibliography.

For appraisal actions that require Chancellor approval, please forward Teaching Evaluation Summaries with the dossiers.

Since these actions are the final approval authority of the Dean, no publications are forwarded with the dossier.

Assistant Professor Fourth-Year Appraisal
Unfavorable

Submit the original dossier to APO in the indicated order:

Minimum Dossier Content	Instructions
1. Dean’s Statement	Statement to the Chancellor regarding the circumstances of the unfavorable appraisal (detached).
2. Assistant Professor Data Summary	Complete all pages and prepare Bibliography in accordance with instructions.
3. History Record	Up-to-date History record inserted immediately following the Data Summary Sheet.
4. Self Statement	At the option of the candidate, a self statement may be included.
5. CAP Report	Vote and recommendation from the Council on Academic Personnel regarding appraisal.
6. Report of the Department	A summary of the departmental assessment of the candidate prepared by the Chair. Chair’s individual recommendation (if contrary to the department recommendation) may be submitted in a separate statement.
7. Departmental Ad Hoc Report	A written report made available to faculty prior to the department vote if the Chair convened a committee.
8. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
9. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
10. Curriculum Vitae	Include portions or selected pages that will provide additional information for this renewal and/or merit. Do not include material already covered in the Bibliography (detached).

Provide Student Evaluations if applicable.

IV. Resulting Action

It is the Dean’s responsibility to ensure that results of the appraisal are communicated to the individual and is to include a copy of the Council on Academic Personnel report. All appraisals that have a letter prepared by the Dean to the Chair, addressing areas of achievement and/or weakness with means for correction and improvement of scholarly record.

The Chancellor will prepare all correspondence to Department Chairs when the appraisal has been deemed "unfavorable" by the Chancellor. The correspondence will include redacted copies of all extra-departmental assessments. Appendix 20 for "Access to Academic Personnel Records."

Final action will be reported:

When the Chancellor is the final approval authority for the appraisal, the Academic Personnel Office will forward to the Dean’s Office a copy of the approved Data Summary Cover Sheet immediately upon completion of the review. Unfavorable appraisals will also include additional correspondence as described above.
When the appraisal is the Dean’s final approval authority, completed original dossier is forwarded to the Academic Personnel Office for inclusion in the personnel file.