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APP
3-20, Appointment File Documentation for Academic Senate
Titles
Describes
the components of an appointment file including the base
file, confidential outside letters, and recommendations
from the department, chair, and dean.
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ACADEMIC
SENATE TITLES
3-20.
Appointment File Documentation
CAP'S
STATEMENT ON APPOINTMENT DOSSIERS
The
Committee on Academic Personnel (CAP) evaluates candidates for
faculty positions primarily upon their background and promise
in scholarly research. It is important to remember, however, that
a significant factor in faculty advancement is effective teaching.
It would, therefore, be very useful to CAP for the unit to include
a brief statement concerning a potential candidate's projected
teaching role in the program into which she or he is hired. Moreover,
this would assure that all incoming faculty had a clear sense
of the teaching obligations on which they would later be judged
in the review process. CAP understands that such statements concerning
teaching are not a formal requirement in the preparation of an
appointment dossier and, therefore, inclusion of this very helpful
information is entirely voluntary.
CAP
wants to acknowledge that many units already do this, and notes
that such statements are very valuable in making recommendations
to the Executive Vice Chancellor. For those units that have not
included such information in the past, the following guidelines
may be useful:
Main
Campus -
For
beginning faculty (primarily at the Assistant Professor level)
this statement of projected teaching responsibilities might be
part of the candidate's self-statement, or it could be included
as a short paragraph in the sponsoring unit's cover letter. This
could include the role the candidate's teaching will fill vís-a-vís
the other teaching programs of the sponsoring unit.
For
candidates to be hired at higher levels, the statement would be
most useful if it included a description of the candidate's teaching
experience at her or his present institution.
Medical
School (In Residence and other series in which teaching is
a significant responsibility) -
While
members of CAP are well equipped, because of their own experiences,
to evaluate the performance of candidates who teach in formal
courses, evaluation of clinically oriented teaching is much more
difficult. To assess fully the proportion of time spent by a faculty
member in clinical teaching pursuits, CAP requests that the department's
or unit's letter in an appointment dossier include a careful description
of the clinical teaching responsibilities. This description should
include an accurate estimate of the amount of actual contact hours
to be spent by the candidate in carrying out such clinical teaching.
GENERAL
GUIDELINES FOR PREPARATION OF ACADEMIC APPOINTMENT DOSSIERS
The
documentation required to support a recommendation for appointment
to an Academic Senate title includes recruitment data, the base
file, extramural letters of reference, the department letter,
and the independent recommendations of the chair (if provided)
and the dean. (The Department of Education has no dean; Education
dossiers have a letter from the Associate Executive Vice Chancellor
for Academic Planning.)
Appointment
files should be documented as carefully as promotion files, addressing
all the relevant criteria and providing reviewers with appropriate
evidence of excellence in all categories of review.
A.
RECRUITMENT DATA
Detailed recruiting and equal opportunity and diversity procedures
are described in APP 2-10.
1.
Search Activities Statement (Form UCI-AP-80).
2.
Advertisements.
3.
Sample correspondence to institutions, including lists of those
contacted (if applicable).
NOTE:
CAP finds it useful when the department includes in the department
letter a statement about the scope of the search and of
the applicant pool.
B.
BASE FILE
The base file consists of the information provided by the candidate.
1.
Biography (Form U1501)
The
candidate should submit appropriate biographical information
on a signed and dated Biography form. Publications listed on
the Biography or attached curriculum vitae should be numbered
in sequence. It is important that all items on the form be completed.
If
the department prepares the Biography on behalf of the candidate
from a submitted curriculum vitae (which is usually the case),
the Biography form must be reviewed and signed by the candidate.
If the candidate is not available to sign the Biography before
the dossier is forwarded, the department should mail the original
to the candidate and include a copy of the unsigned Biography
in the dossier. On the copy, the department should indicate
that the original was sent for signature.
2.
Publications
Copies
of publications, reviews, and/or exhibits, including work in
press, should be included whenever possible. For easy reference,
each publication should be numbered as it is numbered on the
Biography or curriculum vitae.
3.
Student Evaluations
Copies
of individual student evaluations of teaching should be included,
(if possible), as requested on the appropriate checklist for
each action.
C.
EXTRAMURAL LETTERS
Extramural letters of evaluation (normally five for appointments
at the level of Associate Professor or above and three for appointments
at the level of Assistant Professor) should be from qualified
and distinguished authorities.
When
letters are handwritten, the unit is asked to prepare a typed
version. Letters in foreign languages should be translated into
English.
1.
Soliciting Extramural Letters
The
chair should solicit evaluations from individuals who are experts
in the candidate's field and who are able to provide an objective
appraisal of the candidate's work.
Opinions
from colleagues at other institutions where the nominee has
served and from other qualified persons having first-hand knowledge
of the nominee's attainments should be included. For candidates
just completing degree or postdoctoral work and being proposed
for entry-level positions, letters from supervisors are appropriate.
However, for appointments at higher levels, it is desirable
to avoid excessive use of external referees whom reviewers may
not regard as objective evaluators either because they are too
close to the candidate professionally (e.g., collaborators,
doctoral supervisors), or because they have a personal relationship
with the candidate.
Letters
soliciting such external evaluations should contain the following:
a.
An explanation of the proposed action (important with Step VI
and Above Scale),
b.
A request for analytical review of the candidate's performance
under the applicable criteria and comparison with other scholars
in the field at similar rank, and
c.
The following confidentiality statement:
Although the contents of your letter may be passed on to
the candidate at prescribed stages of the review process,
your identity will be held in confidence. The material made
available will lack the letterhead, the signature block,
and material below the latter. Therefore, material that
would identify you, particularly your relationship to the
candidate, should be placed below the signature block. In
any legal proceeding or other situation in which the source
of the confidential information is sought, the University
does its utmost to protect the identity of such sources.
It
is important that the chair explain to external referees the
nature of the position to be filled; e.g., probationary or tenured
professorship. For appointments to the top steps of the series
(VI, VII, VIII, and Above Scale), the chair should explain in
the solicitation letter the significance of the level so that
the referees can evaluate achievement in relation to UC criteria
for appointment.
Referees
should be urged to provide critical evaluation and analysis.
The letter soliciting evaluations must not contain leading suggestions
(e.g., "We need your help to persuade our reviewers that our
candidate . . .").
2.
Sample Letter(s) of Solicitation
Include
a sample of the letter sent soliciting outside evaluations.
If the letters soliciting outside evaluations were substantially
different, include copies of all such letters.
Exhibits
A, B, C, and D contain examples of typical letters soliciting
outside evaluations. Exhibit A concerns the appointment of an
Assistant Professor. Exhibit B was written for the recruitment
of an Associate Professor, so it mentions tenure. Exhibit C
and Exhibit D are for high-level professors, and as such mention
UC criteria for appointment to those levels.
EXHIBIT
A
SAMPLE
APPOINTMENT LETTER: ASSISTANT PROFESSOR
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Dear
Dr.___________:
Dr.
______ is being considered for a faculty position
as an Assistant Professor in the Department of __________
at the University of California, Irvine. We would appreciate
obtaining your evaluation of Dr. _________'s potential as
an independent research scientist and teacher. I am enclosing
Dr._____________'s curriculum vitae and recent reprints
for your convenience.
Although
the contents of your letter may be passed on to the candidate
at prescribed stages of the review process, your identity
will be held in confidence. The material made available
will lack the letterhead, the signature block, and material
below the latter. Therefore, material that would identify
you, particularly your relationship to the candidate, should
be placed below the signature block. In any legal proceeding
or other situation in which the source of the confidential
information is sought, the University does its utmost to
protect the identity of such sources.
I
am very much obliged for any assistance you can give us
in this matter. Because of our schedule in this action,
I would appreciate having your comments within the next
month to six weeks, if at all possible.
Sincerely,
Dean/Chair/Executive
Committee Chair
Enclosures
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EXHIBIT
B
SAMPLE
APPOINTMENT LETTER: ASSOCIATE PROFESSOR
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Dear
Professor ____________:
The
Department of _________ at the University of California,
Irvine, is currently considering Professor __________
for appointment as Associate Professor with tenure. For
such appointments, the University of California requires
letters of evaluation from experts in the field. I am
asking if you would be willing to serve this function.
We
realize that this request is an imposition on your time.
However, the department would be extremely grateful if
you could provide us with your candid opinion. We would
further appreciate it if you could compare Professor _________'s
research with that of others in the field at a similar
stage in their careers. Any information you could provide
about Professor ___________'s performance as an
undergraduate instructor and/or as a supervisor and mentor
of graduate students would be most helpful. Similarly,
we would appreciate any comments you might have on his/her
service contributions to his/her professional field (e.g.,
reviewing of papers, conference activities, or promotion
of collegial sharing among his/her peers).
Although
the contents of your letter may be passed on to the candidate
at prescribed stages of the review process, your identity
will be held in confidence. The material made available
will lack the letterhead, the signature block, and material
below the latter. Therefore, material that would identify
you, particularly your relationship to the candidate,
should be placed below the signature block. In any legal
proceeding or other situation in which the source of the
confidential information is sought, the University does
its utmost to protect the identity of such sources.
I am enclosing Professor ______________'s vitae and bibliography.
Thank you for your assistance.
Sincerely,
Dean/Chair/Executive
Committee Chair
Enclosures
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EXHIBIT
C
SAMPLE
APPOINTMENT LETTER: PROFESSOR (STEP VII)
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Dear
Dr._______________:
I
am writing to request your assistance in the preparation
of a personnel case for Professor ___________ in the Department
of _______________ at the University of California,
Irvine. Professor __________ is being considered for appointment
as Professor, Step VII, effective July 1, ____. To
acquaint you with our system, the University of California
salary scale for full professor appointments has eight steps
(Step I to Step VIII). Typically, the normal period in a
step (between Steps I and V) is three years. Steps VI to
VIII are reserved for Professors of great scholarly distinction
and national or international recognition, highly meritorious
service and excellent teaching.
It
would be very helpful to me and to our Department if you
would be able to provide a letter in which you evaluate
the activities of Professor______________ in the
areas of teaching, research and creative work, professional
competence and activities, and university and public service,
and assess the extent to which you believe Professor _________
is qualified for the proposed appointment.
Although
the contents of your letter may be passed on to the candidate
at prescribed stages of the review process, your identity
will be held in confidence. The material made available
will lack the letterhead, the signature block, and material
below the latter. Therefore, material that would identify
you, particularly your relationship to the candidate, should
be placed below the signature block. In any legal proceeding
or other situation in which the source of the confidential
information is sought, the University does its utmost to
protect the identity of such sources.
Your assistance in this matter would be greatly appreciated,
and I look forward to receiving your response soon. Please
call me at (714)________ if I can provide any further
information.
Sincerely,
Dean/Chair/Executive
Committee Chair
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EXHIBIT
D
SAMPLE
APPOINTMENT LETTER: PROFESSOR, ABOVE SCALE
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Dear
Dr.____________:
The
Department of _____________ at the University of California,
Irvine, is proposing the appointment of Dr. ___________
as Professor, Above Scale. This designation is reserved
for scholars of the highest distinction whose work is internationally
recognized and acclaimed and whose teaching performance
is excellent. Recommendations for appointment at this level
must be supported by external letters from leading scientists.
We would greatly appreciate your evaluation of Dr._______________'s
scientific work and his/her position in the field of ____________.
It would be helpful if you would compare him/her with other
scientists of comparable stature.
We
would be most appreciative if you could send your evaluation
by _____________, or at your earliest convenience
if you cannot meet that date. To facilitate your evaluation,
I am enclosing (1) Dr.______________'s curriculum vitae
and list of publications, and (2) a brief statement identifying
his most significant contributions.
Although
the contents of your letter may be passed on to the candidate
at prescribed stages of the review process, your identity
will be held in confidence. The material made available
will lack the letterhead, the signature block, and material
below the latter. Therefore, material that would identify
you, particularly your relationship to the candidate, should
be placed below the signature block. In any legal proceeding
or other situation in which the source of the confidential
information is sought, the University does its utmost to
protect the identity of such sources.
I would like to thank you on behalf of the Department of
__________ for your assistance. I realize that this is an
imposition on you, but the opinions of distinguished outside
scholars weigh heavily in consideration of faculty appointments
at the University of California. As an authority in the
field, your opinions will enter significantly in the deliberations
of the department and the university administration. If
you would like additional information, please feel free
to call me at (714) ___________.
Sincerely,
Dean/Chair/Executive
Committee Chair
Enclosures
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D.
DEPARTMENT LETTER
For appointments to Senate titles, the department letter (as well
as the chair's recommendation, if provided, and the dean's recommendation)
should be addressed to the Chancellor or to the Executive Vice
Chancellor, according to the following chart.
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Appt
to the following titles:
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Acting/
Assistant Professor
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Associate
Professor/ Professor
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Lecturer
SOE/Sr. Lecturer SOE
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Asst./
Assoc./ Professor in Residence
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Asst/Assoc
Professor of Clinical___
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Addressed
to Chancellor
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X
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X
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Addressed
to Executive Vice Chancellor
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X
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X
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X
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The department letter should set forth the proposed action and
the departmental recommendation. This letter must have been
inspected by the department or a committee acting on behalf
of the department. The letter should provide an evaluation of
the materials offered in support of the action. Other necessary
information includes:
1.
Proposed title, step, salary, and effective date.
2.
Justification of the recommended title, step, and salary. If
the proposed salary is based, in part, on countering competing
offers, CAP finds it most helpful to have written documentation
of the other offers. At a minimum, the chair may verify the
new offer with the administration of the competing university.
If
the level of the proposed appointment is at a higher rank than
the rank the candidate holds at her or his current institution,
the dossier should address the issue of promotion.
3.
Report of faculty opinion and vote, as described in Section
APP 1-14.
When there are significant divisions of opinion, the reasons
for the opposing positions should be summarized.
4.
A full evaluation of the candidate's scholarly achievements
and his or her professional reputation in the academic community.
NOTE:
Superior intellectual attainment, as evidenced both in teaching
and in research or other creative achievement, is an indispensable
qualification for appointment to tenured positions.
The
following criteria, as appropriate to the proposed appointment,
should be addressed:
a.
Performance in teaching - In order for a candidate to be considered
for tenure, it is necessary to provide clear documentation of
ability and diligence in the teaching role. In those cases where
no direct evidence may be available, the candidate's potential
as a teacher may be indicated in closely analogous activities.
b.
Research and creative activity.
c.
Professional competence and activity.
d.
University and public service.
5.
A brief discussion of the qualifications of the evaluators,
including the national reputation of the department from which
they come and their relationship to the candidate. This information
may be provided on the form, "Identification and Qualifications
of External Referees," Form UCI-AP-11.
NOTE:
Initiators should always indicate which letter writers were
suggested by the candidate and which by the department. In
addition, if evaluators are unable to respond, the department
should indicate which evaluators were unable to send letters.
E.
ASSEMBLING THE DOSSIER
For
the exact documentation requirements for each type of appointment,
refer to the appropriate checklist, which may be found in APP
Manual, Volume II.
The
checklist will specify the number of dossier copies needed.
Normally, appointments at all levels require the original dossier
and one copy. If necessary, additional copies will be requested
from the department for use by ad hoc committee
members.
F.
ACADEMIC PERSONNEL APPOINTMENT SUMMARY (Form UCI-AP-20)
(See APP Manual Volume II for listing of summary forms needed
for each series.)
The
Appointment Summary form is a cover sheet affixed to each file
on which the department provides a summary of its recommendation
and of the background information on the candidate. The form
assists in the orderly processing of the file through the various
levels of review and provides space for the following information:
1.
Name, department(s), and percent(s) of time.
2.
Recommended annual salary, academic or fiscal-year basis,
and off-scale indicator, if applicable.
3.
Proposed effective date.
4.
Years toward the eight-year limit, if appointee has had prior
service in an eligible title on this campus or any other UC
campus.
5.
Present employment information, including title, step,
current salary, and tenure status.
6.
Highest degree, date received, and degree-granting institution.
G.
CHAIR'S RECOMMENDATION
The
chair should include a recommendation which is independent
of the departmental recommendation on the case. Normally, this
recommendation will constitute the vote of the chair, who may
have participated in the departmental discussion but not voted
with the department.
H.
DEAN'S RECOMMENDATION
The
dean's letter should be an independent assessment of
the case. In addition, the dean should sign and date the Appointment
Summary Form after summarizing his/her opinion as it relates
to the department recommendation: Yes, No, or Modify.
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