Regular Professor Series

  1. Definition of the Regular Professor Series
  2. Characteristics of Series
    1. Ranks and Steps
    2. Term of Service
    3. Service Requirements
    4. Tenure
    5. Limit on Service
    6. Employment Funding
    7. Senate Membership
  3. Compensation
    1. General
    2. Off-Scale Salary Limitations
    3. Above-Scale Salary Limitations
  4. Employment
    1. Recruitment
    2. Criteria
    3. Categories of Personnel Actions
    4. Effective Dates of Personnel Actions
    5. Senate Review
    6. Approval Authority
    7. General Restrictions
  5. Advancement: Merits & Promotions
    1. Merit Increase
    2. Promotion
    3. Resubmission
  6. Fourth-Year Appraisal of an Assistant Professor
    1. Classifications
    2. Timing
    3. No Appraisal
    4. Senate Review
    5. Approval Authority
  7. Eight-Year Limit Review of an Assistant Professor
    1. Exclusions
    2. Senate Review
    3. Approval Authority
  8. Non-Renewal of Appointment of an Assistant Professor as a result of a Personnel Review
    1. Senate Review
    2. Approval Authority
  9. Preliminary Assessment of an Assistant Professor
    1. Formal Procedures
    2. Terminal Appointment
  10. Reconsideration of a Terminal Appointment of an Assistant Professor
    1. Formal Procedures
  11. Non-Renewal of a Term Appointment for Budgetary Reasons and Programmatic Changes
  12. Termination of an AppointmentFive-Year Review of an Associate Professor and Professor

I. Definition of the Regular Professor Series

"Appointments in the Professor Series are for duty in departments of Instruction and Research, or in equivalent administrative units (e.g., colleges and divisions) with combined instruction and research function. Persons appointed to titles in the Professor Series form the "regular ranks" faculty of the University" — Academic Personnel Manual Section 220 (pdf). See Appendix 5 for "Instructions to Review and Appraisal Committees" regarding personnel actions. See Appendix 13 for further information regarding the use of Assistant Professor Steps V and VI, and Associate Professor Steps IV and V.

II. Characteristics of Series

A. Ranks and Steps

 

RankStep
Assistant ProfessorI - VI
Associate ProfessorI - V
Professor

I – IX & Above-Scale

 


B. Term of Service

RankTerm of Service
Assistant Professor*2 Years (or less)
Associate ProfessorTenure
Professor

Tenure

* All appointments to the rank of Assistant Professor are for specified terms. The initial term of appointment of an Assistant Professor ends on the second June 30th after the effective date of the appointment. Similarly when the status of one holding appointment as Acting or Visiting Assistant Professor is changed to Assistant Professor during the course of a given year, the term of the new appointment as Assistant Professor ends on the second June 30th after the effective date of the new appointment. Unless the appointee is specifically advised to the contrary by the Chancellor prior to the effective date of renewal of appointment; each new term of appointment of an Assistant Professor is for two years. A new two-year term commences effective with merit advancement. Periods of approved leave with or without salary and of temporary transfer to administrative and/or research capacities count as part of a two-year term. See Appendices 14, 24 and 25.

C. Service Requirements

Basic appointment normally must be at 100% of full time (subject to temporary reduction and to changes reflecting combined service in administrative and/or research capacities).

Appointment for less than full-time service and voluntary permanent or continuing reduction from full- to part-time appointment require the approval of the Chancellor.

D. Tenure

Tenure is granted upon appointment or promotion to the ranks of Associate Professor and Professor.

E. Limit on Service

RankLimit-on-Service
Assistant Professor

8 years

Associate ProfessorNone
Professor

None

* An Assistant Professor who has completed eight years of service in that title, or in that title in combination with other titles as established by the President, shall not be continued after the eighth year unless promoted to Associate Professor or Professor. For additional titles that may also count toward this limit, see Appendix 14 for "Guide to the Computation of Years of Service Which Count Toward the Eight-Year Limit."

F. Employment Funding

Basic appointments must be charged against the Academic Salaries account of a department of Instruction and Research supported from General Funds (accounts numbered 4-40XXXX-19900-0). FTE and funding must be provided from permanently available faculty provisions, unless otherwise approved by the Chancellor.

Temporary transfers may be made to extramural funds or self-supporting funds. The requisite effort and time must be devoted to each extramural source which provides compensation for service rendered under a title in this series.

Short term changes of status (defined as for one Academic Year or less) may be made from the regular professorial status to equivalent status in the Professional Research series. Compensation is to be paid in accordance with the salary scales established for regular faculty on temporary research appointments.

All Deans have approval authority for the above described short term transfers.

G. Senate Membership

Appointees to all ranks are members of the Academic Senate.

III. Compensation

A. General

An individual appointed to this series is compensated on the Salary Scale appropriate to the circumstances of the service, except that compensation at an Off-Scale salary rate may be approved by the Chancellor or, upon specific delegation, by the Dean.

Salary Scales established for the Regular Professorial series are as follows: Academic Year (9 months); Fiscal Year Scale; Law School Scale; Business Administration/Management and Engineering Scale and the Health Sciences Compensation Scale. Local campus differential scales are also established for the School of Public Health and for the School of Education and Information Studies.

B. Off-Scale Salary Limitations

Deans not serving as Chair have Off-Scale approval authority up to and including the next step. All Off-Scale rates must be in multiples of $100. For all other Off-Scale salary up to the Regental threshold, the Chancellor is the final approval authority. Salaries exceeding this threshold require Regental approval (refer to annually published UC Salary Scales for Regental thresholds). See Appendix 17 for "Summary of UCLA Policy on Off-Scale Salaries."

C. Above-Scale Salary Limitations

The Chancellor has the authority to approve Above-Scale salaries up to the Regental threshold (refer to annually published UC Salary Scales for Regental thresholds). Approval of salaries beyond this approval authority require Regental action.

IV. Employment

A. Recruitment

Please see Appendix 22 for "Summary of Recruitment Policy" for the complete guide to recruitment.

  1. Academic Search Requirements
    Appointments to the Regular Professorial Series require full searches. Please see Appendix 23, "Faculty Search Guidelines" regarding search procedures and required documentation.
  2. Recruitment
    Whenever a candidate for appointment is being recruited from another UC Campus, the Chancellor must so be advised immediately so that steps may be taken to assure compliance with applicable System-wide Policy. Recruitment from other AAU institutions, California State Universities and Colleges, and all other California Institutions require adherence to specific guidelines and established dates. See Appendix 22, "Summary of Recruitment Policy."

B. Criteria

Criteria for assessment of individual qualification are set forth in Appendix 5, "Instructions to Review and Appraisal Committees" except that in applying these criteria in cases involving individuals at non-tenure levels, due consideration must, of course, be given the individual's promise, as well as achievement, in research and creative activities. See Appendix 6, "Appointment and Advancement of Assistant Professors at UCLA."

In addition to demonstration of individual qualification, appointment or transfer to this series, retention in this series, and advancement to tenure rank may involve consideration of such factors as programmatic need and availability of funding.

C. Categories of Personnel Actions

Employment encompasses the following types of personnel actions:

  1. Appointment
    Initial employment in the series or permanent intercampus transfer. Review and submission of a dossier are required for appointment.
  2. Re-employment
    Appointment in the same series after a previous separation. Review and submission of a dossier are required.
  3. Renewal of Appointment/Reappointment
    Appointment immediately following the ending date of a self terminating appointment. For this series only, Assistant Professors require renewal/ reappointment once their two-year term has expired. Review and submission of a dossier are required.
  4. Change in Series
    Transfer to another academic series. Review and submission of a dossier are required. See Appendix 26 for dossier content and search requirements.
  5. Change of Department
    Permanent transfer from one department to another. Review and submission of a dossier are required.
  6. Split Appointment
    Permanent salaried appointments where the faculty position is divided between two or more departments, when taken together, total 100%. Review and submission of a dossier are required. Also see Appendix 15 for policies governing Interdepartmental Degree Programs and Centers for Interdisciplinary Instruction.
  7. Joint Appointment
    Appointment to an additional department on a without salary basis where the faculty position remains based in the home department. Review and submission of dossier are required. Please see Appendix 15, "Joint and Split Appointments" for instructions regarding secondary department participation in subsequent reviews.
  8. Temporary Appointments
    Appointments made on a year-to-year basis to academic administrative positions or to temporary research positions require no dossier.
  9. Informal Extra-Departmental Affiliations

An informal relationship (not a Joint or Split Appointment) with an Organized Research Unit, research center, or interdepartmental teaching program, within the University for the purposes of advising or conducting research. An evaluation of the appointee's contribution to that program should be submitted in all actions requiring a dossier. Also see Appendix 37 for Interdisciplinary Activity.

D. Effective Dates of Personnel Actions

The effective date of an appointment is the first day on which payment begins.

For Academic Year (9-month) appointments, the effective date of the appointment will not coincide with the begin date of the service period. Effective dates for Academic Year appointments commence as follows:

July 1 Fall Quarter

November 1 – Winter Quarter

March 1 – Spring Quarter

The effective date for Fiscal Year appointments will always coincide with the first day of service.

E. Senate Review

The following tables apply to all Schools and Colleges.

1. Appointment, Re-employment and Change in Series

RankReview
Assistant ProfessorSenate Review waived

Associate Professor

CAP (Review Committee will be appointed as appropriate)

Professor

CAP (Review Committee will be appointed as appropriate)

 

2. Renewal of Appointment/Reappointment

RankReview
Assistant ProfessorSenate Review waived

Note: When review for renewal coincides with a required appraisal or a merit increase or both, a single combined dossier should be submitted. Such a dossier is subject to the review, approval authority policies and procedural requirements for appraisals if appraisal is required, or merit increases if appraisal is not required.

3. Change of Department and Split Appointment

RankReview

Assistant Professor

Senate Review waived

Associate Professor

CAP only

Professor

CAP only

 

4. Joint Appointment (WOS Appointments)

RankReview
All Ranks and StepsSenate Review waived

F. Approval Authority

Authority to approve or deny recommendations rests at the indicated administrative levels.

Employment actions for an Academic Year (9-month) appointment approved by the Dean after the first day of the service period requires Chancellor's approval for the retroactivity.

For Fiscal Year appointees, employment actions approved by the Dean more than 6 months after the effective date of the appointment requires Chancellor's approval for the retroactivity.

1. Appointment, Re-employment and Change in Series

Dentistry, Law and Nursing

Rank

Authority

All Ranks & Steps

Chancellor

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Music, Public Health, Public Affairs, and Theater, Film & Television

Rank

Authority

Assistant Professor

Dean

Associate Professor

Chancellor

Professor

Chancellor

2. Renewal of Appointment/Reappointment

Dentistry, Law and Nursing

Rank

Authority

Assistant Professor

Chancellor

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Music, Public Health, Public Affairs, and Theater, Film & Television

Rank

Authority

Assistant Professor

Dean

3. Change of Department and Split Appointment

Dentistry, Law and Nursing

Rank

Authority

All Ranks & Steps

Chancellor

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Music, Public Health, Public Affairs, and Theater, Film & Television

Rank

Authority

Assistant Professor

Dean

Associate Professor

Chancellor

Professor

Chancellor

4. Joint Appointment (WOS Appointments)

Dentistry, Law and Nursing

Rank

Authority

All Ranks and Steps

Chancellor

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Music, Public Health, Public Affairs, and Theater, Film & Television

Rank

Authority

Assistant Professor

Dean

Associate Professor

Chancellor

Professor

Chancellor

G. General Restrictions

The following restrictions govern all employment:

  1. any action involving employment of near relatives (see Appendix 21, "Employment of Near Relatives") requires approval of the Chancellor;
  2. compliance with recruitment and search requirements; and
  3. any exception to policy governing the series requires the advance approval of the Chancellor.

V. Advancement: Merits & Promotions

Advancement encompasses merits, merits to Above-Scale and Further Above Scale and promotions. Advancements become effective July 1st. See APM 200-17a for the policy regarding the payment of salary increases associated with merits and promotions.

Eligibility does not imply automatic advancement. Departments are required to review the record of each individual when the individual becomes eligible for a normal merit increase or promotion to determine whether or not advancement should be recommended. Advancement follows only upon demonstration of qualification following review.

A dossier must be submitted whether or not Senate Review is waived. See the "Summary of Procedures" section for detailed procedural requirements associated with each category of advancement.

The responsibilities of Recommending Officers are set forth in Appendix 1, "Guidelines for Department Chairs and Other Recommending Officers" and Appendix 2, "Synopsis of Academic Personnel Manual - Section 220." For an individual with a Joint or Split Appointment, see Appendix 15.

In addition, when an individual has an informal extra-departmental affiliation, the primary department is to obtain from the head of the other unit, an evaluation of the individual's contribution to that program. The evaluation should include the individual's scholarly work, names of faculty members who might serve as members of a campus ad hoc review committee, and names of persons at other institutions from whom evaluations of the individual's scholarly work might be solicited by the department. Any such material provided to the department shall be included by the department in the resulting dossier. In the absence of departmental initiative, the head of the other unit may act freely in proposing departmental consideration of an appropriate personnel action, and may submit to the department any of the material described above.

Note: If service began on or before January 1 for a Fiscal Year appointee or the beginning of the winter quarter for an Academic Year (9-month) appointee, the full year is credited toward eligibility.

A. Merit Increase

Advancement in step not involving change in rank. Review and submission of dossier are required for merit increase and occurs during the year prior to advancement. Review for merit increases through Professor V and merits to Professor VII through IX involves evaluation of performance during the full period of service in the current step. Review for merit increases to Professor VI and Professor Above-Scale involves evaluation of performance during the individual's entire academic career.

  1. Normal Merit Increase
    All personnel completing the requisite number of years of service in the indicated steps of this series are eligible for normal merit increase to the next higher step effective July 1st:
Current Status

Normal Merit Increase after requisite years at step

Assistant Professor I-VI

2

Associate Professor I-V

2

Professor I-IV

3

  1. Accelerated Merit Increase
    Advancement in step in advance of eligibility or to a higher step than normal constitutes acceleration and requires evidence of exceptional achievement.
  2. Deferred Merit
    Merit increases that are deferred by one or more years are not subject to Senate Review unless requested by the candidate.
  3. Merit Increase to Professor VI, VII, VIII, IX and Above-Scale
    There is no specified normal period of service at the steps above IV and eligibility based on years of service does not apply to advancements beyond Step V. Service at Steps V and above may be of indefinite duration.
    1. Advancement to Step VI is based not only upon performance since the last preceding advancement but also upon performance during the individual's entire academic career. Advancement to Step VI will be granted on evidence of sustained and continuing excellence in each of the following three categories: (1) scholarship or creative achievement; (2) University teaching; and (3) service. Above and beyond that, great academic distinction, recognized nationally, will be required in scholarly or creative achievement or teaching. Advancement to Step VI normally will not occur after less than three years at Step V.
    2. Advancement to Steps VII, VIII and IX will be granted on evidence of continuing achievement at the level required for advancement to Step VI. Advancement normally will not occur after less than three years at the current step.
    3. Advancement to an Above-Scale rank involves an overall career review and is reserved only for the most highly distinguished faculty (1) whose work of sustained and continuing excellence has attained national and international recognition and broad acclaim reflective of significant impact; (2) whose University teaching performance is excellent; and (3) whose service is highly meritorious. Except in rare and compelling cases, advancement will not occur after less than four years of service at Step IX. Mere length of service and routine good performance at Step IX is not a justification for further salary advancement. There must be demonstration of additional merit and distinction beyond the performance on which advancement to Step IX was based. A further merit increase in salary for a person already serving at an Above-Scale salary level must be justified by new evidence of merit and distinction. Intervals between such salary increases may be indefinitely long and only in the most superior cases where there is strong and compelling evidence will increases at intervals shorter than four years be approved. Faculty who have attained the rank of Above-Scale may use the title "Distinguished Professor X" as a working title.
  4. Senate Review

All Schools and Colleges

 

Rank

Merit Type

Review

Assistant Professor I - VI

All

Senate Review waived

Associate Professor I - V

Normal or one year of Acceleration

Senate Review waived*

Associate Professor I - V

Two years or more
of Acceleration

CAP (Review Committee
will be appointed as appropriate)

Professor I - V, VII, VIII & IX

Normal, one or two years of Acceleration

Senate Review waived*

Professor I - V, VII, VIII & IX

Three years or more
of Acceleration

CAP (Review Committee
will be appointed as appropriate)

Professor VI, Above-Scale

All

CAP (Review Committee
will be appointed as appropriate)

Further Above-Scale

Normal

Senate Review waived

Further Above-ScaleOne or more years
of Acceleration
CAP only

*Senate Review is waived except in cases where two (2) consecutive, two-year accelerations have been sought.

6. Approval Authority

Authority to approve or deny recommendations rests at the indicated administrative levels except that:

  1. any merit increase for a Department Chair requires approval of the Chancellor; and
  2. any merit increase involving compensation at an Off-Scale rate requires Chancellor's approval for the Off-Scale rate (unless authority has been specifically delegated to the Dean); and
  3. any merit increase for an Academic Year (9-month) appointee approved by the Dean after the first day of the service for the Fall Quarter, requires Chancellor's approval for the retroactivity.
  4. Any merit increase for a Fiscal Year appointee approved by the Dean after September 1st, requires Chancellor's approval for the retroactivity.
  5. any merit increase of two years acceleration in the Full Professor Series (except Professor Step VI) has the final approval authority of the Dean, except in cases where two (2) consecutive, two-year accelerations have been sought; the Chancellor has final approval authority.

Dentistry, Law and Nursing

Rank

Merit Type

Authority

All Ranks & Steps

All

Chancellor

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Music, Public Health, Public Affairs, and Theater, Film & Television

Rank

Merit Type

Authority

Assistant Professor I - VI

Normal or one year of Acceleration

Dean

Assistant Professor I - VI

Two years or more
of Acceleration

Chancellor

Associate Professor I - III

Normal or one year of Acceleration

Dean*

Associate Professor IV & V

Normal or one year of Acceleration (See Appendix 13)

Chancellor

Associate Professor I - V

Two years or more
of Acceleration

Chancellor

Professor I - V, VII, VIII & IX

Normal, one or two years of Acceleration

Dean*

Professor I - V, VII, VIII & IX

Three years or more
of Acceleration

Chancellor

Professor VI, Above-Scale & Further Above-Scale

All

Chancellor

*Senate Review is waived except in cases where two (2) consecutive, two-year accelerations have been sought.

B. Promotion

Advancement in rank within series. Review and submission of dossier are required for Promotion and should occur during the year prior to advancement. Review for Promotion involves evaluation of performance since appointment, with emphasis on the period of service at the current rank of Associate Professor.

  1. Normal Promotion
    All personnel completing the requisite number of years of service in the indicated steps of this or other Professorial Series are eligible for normal promotion to the indicated rank and step effective July 1st. See APM 200-17a for the policy regarding the payment of salary increases associated with merits and promotions.
    Eligibility does not imply automatic advancement. Advancement follows only upon demonstration of qualification following review:

 

Current Status

Years at Step

Normal Promotion

Assistant Professor IV

2

Associate Professor I

Assistant Professor V - VI

2

Associate Professor (See Appendix 13)

Associate Professor2Professor I
  1. Accelerated Promotion
    Promotion in advance of eligibility or to a higher rank or step than normal constitutes acceleration and requires evidence of unusual achievement.
  2. Senate Review
    All Schools and Colleges

Rank

Review

Associate Professor & Professor

CAP (Review Committee will be appointed as appropriate)

  1. Approval Authority
    All Schools and Colleges

Rank

Authority

Associate Professor & Professor

Chancellor

C. Resubmission

Resubmission of a departmental recommendation in a case in which there was a final negative decision for advancement or promotion of an Associate or Full Professor may be made, after appropriate departmental review of the resubmitted file, in any year succeeding the year in which the original submission was made. Except in unusual cases, a final academic personnel decision will not be reconsidered in the same year the case was originally submitted, and a resubmitted proposal will not be approved unless sufficient new evidence has been added to the file.

VI. Fourth-Year Appraisal of an Assistant Professor

A formal evaluation of an Assistant Professor is made in order to arrive at the prospects of the candidate for eventual promotion and to provide information to the candidate regarding those prospects. Please submit a statement from the Dean for each Appraisal.

A. Classifications

Appraisals are characterized as:

  1. "Favorable" - indicating an assessment that it appears likely that the individual will eventually qualify for promotion to tenure rank.
  2. "With Reservations" - indicating an assessment that there is identified weakness or imbalance in the record which appears to require correction in order for the individual eventually to qualify for promotion to tenure rank.
  3. "Unfavorable" - indicating an assessment that on the present evidence it appears unlikely that the individual will eventually qualify for promotion to tenure rank.

B. Timing

Appraisal is to be conducted during the fourth year of combined service in the Assistant Professor rank of this series, service in the Assistant Professor- in-Residence series and other specified titles. See Appendix 14 for "Guide to the Computation of Years of Service Which Count Toward the Eight-Year Limit."

Appraisal may also be conducted at any time during service as an Assistant Professor at the election of the department or when requested by the appointee, Dean, Council on Academic Personnel, or Chancellor.

When a required appraisal coincides with review for renewal of appraisal or merit increase or both, a single combined dossier should be submitted. Such a dossier is subject to review, approval authority policies and procedural requirements for appraisal.

Note: 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. A department may recommend an (a) unfavorable appraisal and continuation of appointment; or (b) unfavorable appraisal with recommendation for non-renewal. See Section VIII below on "Non-Renewal of Appointment of an Assistant Professor as a result of a Personnel Review" for procedures regarding non-renewal.

When the department recommends a "with reservations" or "unfavorable" appraisal of the likelihood of eventual promotion, if the record demonstrates positive elements such as conscientious and effective service the department may wish to recommend a merit increase without thereby qualifying its less than favorable appraisal.

C. No Appraisal

No Appraisal is required if the individual:

  1. is being recommended for promotion effective the following July 1st;
  2. has been given notice of a terminal appointment;
  3. is subject to an Eight-Year Limit Review; or
  4. has given written notice of resignation.

D. Senate Review

All Schools or Colleges

Rank

Appraisal Type

Review

Assistant
Professor

"Favorable," "With Reservations" or "Unfavorable" Appraisals

CAP (Review Committee
will be appointed as appropriate)

E. Approval Authority

All Schools and Colleges

Rank

Appraisal Type

Authority

Assistant Professor

"Favorable," "With Reservations" or "Unfavorable" Appraisals

Chancellor

Any appraisal for an Academic Year (9-month) appointee after the first day of service for the Fall Quarter, requires Chancellor's approval for the retroactivity.

Any appraisal for a Fiscal Year appointee after September 1st requires Chancellor's approval for the retroactivity.

VII. Eight-Year Limit Review of an Assistant Professor

An Assistant Professor who has completed eight years of service in that title or in combination with other designated titles, cannot be continued after the eighth year unless promoted to Associate Professor. See Appendix 14, "Guide to the Computation of Years of Service Which Count Toward the Eight-Year Limit."

Review and submission of a dossier are required for consideration of promotion no later than the seventh year of service. Departments may recommend either to promote or not. If, as a final outcome of the review process, a decision not to promote is rendered, notice will be issued and a one-year terminal appointment will result.

A. Exclusions

1. A review during the seventh year of service is not conducted when:

  • the appointee has given written notice of resignation; or
  • a terminal appointment has already resulted as a result of a prior review.

2. A review during the seventh year of service may be postponed when:

  • a request for stopping the clock for substantial child care of a newborn or adopted child as provided in APM 133-17(h) has been previously approved, or
  • a leave of absence has been previously approved to be excluded from service toward the eight-year limit.

See Appendix 25, "Leaves of Absence" for further information. For categories of certain leaves of absence that can be excluded from the count toward the Eight-Year Limit, see Appendix 14 for "Guide to the Computation of Years of Service Which Count Toward the Eight-Year Limit."

B. Senate Review

All Schools and Colleges

Rank

Review

Assistant Professor

CAP (Review Committee will
be appointed as appropriate)

C. Approval Authority

All Schools and Colleges

Rank

Authority

Assistant Professor

Chancellor

Note: The final decision by the Chancellor not to promote, cannot be made without the appropriate Preliminary Assessment notification process. See Section IX for process.

VIII. Non-Renewal of Appointment of an Assistant Professor as a result of a Personnel Review

Except in instances of resignation or dismissal for good cause, non-renewal of the appointment of an Assistant Professor follows only upon review. Review and submission of dossier are required during the second year of each term as an Assistant Professor until the individual becomes subject to an Eight-Year Limit Review. The department may only recommend (a) renewal for a two-year term or (b) non-renewal. However, a department may institute a review in the first year of term and recommend non-renewal beyond the current two year term.

A. Senate Review

All Schools and Colleges

Rank

Review

Assistant Professor

CAP (Review Committee will be appointed as appropriate)

B. Approval Authority

All Schools and Colleges

Rank

Authority

Assistant Professor

Chancellor

Note: The final decision by the Chancellor not to renew, cannot be made without the appropriate Preliminary Assessment notification process. See Section IX, "Preliminary Assessment of an Assistant Professor" for process.

IX. Preliminary Assessment of an Assistant Professor

If as a result of a review of an Assistant Professor, the Chancellor's Preliminary Assessment is not to renew or promote, or is contrary to the departmental recommendation, the Department Chair and the candidate shall be notified of this in writing by the Chancellor.

The final decision by the Chancellor not to renew or promote, shall not be made without the appropriate Preliminary Assessment notification process and opportunity to respond being provided to the candidate.

A. Formal Procedures

  1. The Department Chair and the candidate shall be notified of this in writing by the Chancellor and be provided with all records placed in the personnel review file subsequent to the departmental review.
  2. The candidate shall have the opportunity to provide additional information and documentation and may respond in writing either to the Department Chair or directly to the Chancellor.
  3. The Chair, after appropriate consultation within the department, shall have the opportunity to respond in writing and to provide additional information and documentation.
  4. The personnel review file, as augmented by the added material, shall then be considered in any stage of the review process as designated by the Chancellor before a final decision by the Chancellor is reached.

B. Terminal Appointment

When a personnel review results in a final decision (1) not to renew the appointment of an Assistant Professor, or (2) not to promote to Associate Professor as the result of an Eight-Year Limit Review, the Chancellor will provide the individual with written notification of a terminal appointment.

If so desired, the individual may request of the Chancellor that a written statement of the reasons for the non-renewal or decision not to promote be provided. This statement will only be provided upon receipt of a written request.

X. Reconsideration of a Terminal Appointment of an Assistant Professor

If an Assistant Professor is given notice of a terminal appointment, the faculty member may, during the period prior to the final termination date, request reconsideration. The presumption is that the previous decision was correct, and it will be an unusual case where that decision, which resulted from a lengthy and careful set of reviews, will be reversed on reconsideration. The prior decision will be reversed only if there is substantial new evidence which strengthens the area(s) of weakness in the original record to the extent that the total record now meets the standard for promotion.

A. Formal Procedures

  1. A faculty member's request for Reconsideration should be communicated to the Chair. The Chair should consult with the faculty member regarding the request and inform the faculty member in writing of the deadline for submission of additional materials, in order to permit timely departmental review. Departments should establish a deadline for making additions to the record, and a time schedule for departmental faculty review, so that there can be timely submission of the case to the Academic Personnel Office. Additions to the record may not be made after the deadline date established by the department. Unless a different deadline has been approved by the Chancellor, the deadline for submission to the Academic Personnel Office of a request for reconsideration, including all additions to the record, is the announced date for submission of departmental recommendations in promotion cases. Submission of a request for reconsideration, consideration of the case in the personnel process, and/or reaffirmation of the original decision will not extend, or otherwise affect, the prior notice of terminal appointment ending on a specified date.
  2. A departmental recommendation regarding reconsideration should be submitted by the Chair in accordance with normal academic personnel procedures. There must be a review and vote by the departmental faculty, recommending either reaffirmation or reversal of the previous decision, pursuant to the department's procedures for consideration of promotions of Assistant Professors. The department should:
    1. explicitly identify what new evidence, since the earlier review, is now in the file;
    2. explicitly evaluate whatever new evidence there may be; and
    3. make a judgment whether the new evidence, if any, is so substantial that, taken together with the record in the previous review, the earlier decision should be reversed.
  3. The file must include new Certification Statements signed by the candidate. In transmitting the departmental recommendation the Chair should include in his or her letter a summary of the department's consideration of each of the above three matters. By way of illustration, "substantial new evidence," as referred to above, might consist of evidence that a major piece of research, not previously reviewed, has been published or accepted for publication. Ordinarily, additional evaluations of previously submitted material will not be viewed as "substantial new evidence."
  4. A request for reconsideration does not automatically initiate consideration of the case by the entire review process. After consultation with the Council on Academic Personnel, the Chancellor determines whether a given case should be referred to an ad hoc review committee and whether this should be the original committee or a new committee. If the case is not referred to an ad hoc review committee, or, if it is so referred, after this committee makes its report, the case is considered in normal review channels, including the Office of the appropriate Dean and the Council on Academic Personnel. Final action is taken by the Chancellor.

XI. Non-Renewal of a Term Appointment for Budgetary Reasons and Programmatic Changes

If there is a proposal that an Assistant Professor not be renewed and if fiscal or programmatic considerations are significant factors in the case, the facts of the matter shall be fully discussed with the Council on Academic Personnel, and the Council shall be furnished with the results of the Chancellor's consultation with other Senate committees on the fiscal and programmatic considerations. The Chancellor shall consider the Council's advice on the case prior to making a final decision.

XII. Termination of an Appointment

Section 103.9 of the Standing Order of The Regents provides:

"All appointments to the positions of Associate Professor and Professor and to positions of equivalent rank are continuous in tenure until terminated by retirement, demotion, or dismissal. The termination of a continuous tenure appointment or the termination of the appointment of any other members of the faculty before the expiration of the appointee's contract shall be only for good cause, after the opportunity for a hearing before the properly constituted advisory committee of the Academic Senate."

XIII. Five-Year Review of an Associate Professor and Professor

Academic Personnel Manual Section 200-0 (pdf) mandates that "Every faculty member shall be reviewed at least every five years." Appendix 12 describes in detail the purpose of the Five-Year Review, the criteria to be applied, and the procedure involved. Two features are emphasized regarding the Five-Year Review:

  1. the Five-Year Review process only applies to those instances in which a faculty member has not been reviewed in the course of a merit increase or promotion review in the previous five years; and
  2. the procedure is designed to be flexibly applied to the various professorial levels.

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Revised 3/18/16

Web page updated 7/28/16