Summary 5: Merit Increases for the 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.

For the Assistant Professor rank, concurrent reviews for Appraisal and for Merit Increase and/or Renewal of Appointment must be combined and are subject to the review and approval authority applicable to appraisal. Concurrent reviews for Merit Increase and Renewal of Appointment must be combined and are subject to the review and, approval authority policy applicable to merit increase.

II. Requested Action

A. Deans

Deans are requested to publish supplementary instructions to Department Chairs regarding the form in which departmental recommendations are to be submitted and the deadlines by which such actions are to be received in the Dean’s Office. Whenever the Dean is the approving officer, he/she is expected to:

assure departmental compliance with APM-220 (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
secure Council on Academic Personnel review of the departmental recommendation (unless review requirement is waived);
to act on the case;
forward the original of the dossier (collated in accordance with the following instructions) to the Academic Affairs and Personnel Office; and
advise the recommending department of the decision.

Whenever Chancellor’s action is required, the Dean is asked to:

assure departmental compliance with APM-220 (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
to append independent (and detachable) recommendation;
assure that the dossier is collated in accordance with the following instructions; and
forward the completed dossier to the Academic Affairs and Personnel Office by the established deadline.

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

Following completion of the review process, the Dean is expected to inform the Chair of the final decision and basis for any decision involving denial or alteration of the recommendation. See Appendix 20 for "Access to Academic Personnel Records."

B. Department Chairs

Department Chairs are 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 determine those individuals eligible for merit increases, to secure the necessary departmental faculty reviews of all those eligible and of those deemed qualified for advancement; and to submit their recommendations in accordance with the supplemental instructions provided by their Deans.

Chairs are also requested to ensure appropriate participation where the individual holds a joint appointment or has an extra-departmental affiliation.

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

The above is of course subject to appropriate modification in those instances where the Dean is also the Department Chair.

III. Submission of Dossier to the Academic Affairs and Personnel Office

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

Assistant Professor Merit Dossier
Normal or Accelerated Merit

Submit the original dossier in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation for merit increase from the Dean is necessary when the Chancellor is the final approval authority (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 Cover Sheet.
4. Self Statement	At the option of the candidate, a self statement may be included.
5. Report of the Department	A summary of the departmental assessment of the candidate prepared by the Chair. Chair’s individual recommendation (if contrary or supported by the department recommendation) may be submitted in a separate statement.
6. Departmental Ad Hoc Report	A written report made available to faculty prior to the department vote if the Chair convened a committee.
7. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
8. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
9. Curriculum Vitae	Do not include material already covered in the Bibliography (detached).

Dean's Office to add the Dean's Statement.

For merit increase actions that require Chancellor approval, please forward Teaching Evaluation Summaries.

Publications since last action are not normally reviewed at this time by the Chancellor.

Associate Professor I to Professor V, Professor VII, VIII & IX
Normal Merits, One-Year Accelerated or Deferred Merits

Submit the original dossier in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation for merit increase from the Dean is necessary when the Chancellor is the final approval authority (detached).
2. Merit Increase Data Summary	Complete all pages of the Data Summary for professorial advancement. Prepare Bibliography in accordance with instructions.
3. History Record	Up-to-date History record inserted immediately following the Data Summary Cover Sheet.
4. Self Statement	At the option of the candidate, a self statement may be included.
5. 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.
6. Departmental Ad Hoc Report	A written report made available to faculty prior to the department vote if the Chair convened a committee.
7. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
8. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
9. Curriculum Vitae	Do not include material already covered in the Bibliography (detached).

Dean's Office to add the Dean's Statement.

For Merit Increase actions that require Chancellor approval, please forward Teaching Evaluation Summaries with the dossier.

Publications since last action. though, are not normally reviewed at this time by the Chancellor.

Associate Professor I to Professor V, Professor VII, VIII & IX
Accelerated Merits of Two Years or More

Submit the original dossier in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation from the Dean that will be used by the Council on Academic Personnel to determine whether the action will be further reviewed by an ad-hoc committee. If an ad-hoc review committee is assigned, the Dean will be able to make further comment when the ad-hoc report is issued (detached).
2. Dean’s Nominations	List of nominees that are appropriate to serve as the department representative if further ad-hoc review is required (detached).
3. Merit Increase Data Summary	Complete all pages of the Data Summary for professorial advancement. Prepare Bibliography in accordance with instructions.
4. History Record	Up-to-date History Record inserted immediately following the Data Summary Cover Sheet.
5. Self Statement	At the option of the candidate, a self statement may be included.
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	Do not include material already covered in the Bibliography (detached).

Dean's Office to add the Dean's Statement and Nominations.

For accelerated actions that require Chancellor approval, please forward Teaching Evaluation Summaries with the merit increase dossier since the last review.

Publications for these accelerated actions are to be delivered to the Academic Affairs and Personnel Office simultaneously with the merit increase dossier.

Associate Professor I to Professor V, Professor VII, VIII & IX
Deferred Merits of Two Years or More

Submit the original dossier in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	If Chancellor has final approval authority, include a recommendation for the merit increase and circumstances for the deferral (detached).
2. Merit Increase Data Summary	Complete all pages of the Data Summary for professorial advancement. Prepare Bibliography in accordance with instructions.
3. History Record	Up-to-date History record inserted immediately following the Data Summary Cover Sheet.
4. Self Statement	At the option of the candidate, a self statement may be included.
5. 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.
6. Departmental Ad Hoc Report	A written report made available to faculty prior to the department vote if the Chair convened a committee.
7. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
8. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
9. Curriculum Vitae	Do not include material already covered in the Bibliography (detached).

Dean's Office to add the Dean's Statement.

For these deferred actions that require Chancellor approval, please forward Teaching Evaluation Summaries with the merit increase dossier since the last review.

Publications for these decelerated actions are to be delivered to the Academic Affairs and Personnel Office simultaneously with the merit increase dossier.

Professor VI and Initial Above-Scale Advancement

Submit the original dossier and in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation from the Dean that will be used by the Council on Academic Personnel to determine whether the action will be further reviewed by an ad-hoc committee. If an ad-hoc review committee is assigned, the Dean will be able to make further comment when the ad-hoc report is issued (detached).
2. Dean’s Nominations	List of nominees that are appropriate to serve as the department representative if further ad-hoc review is required (detached).
3. Professor VI and Above Scale Data Summary	Complete all pages of the Data Summary for professorial advancement. Prepare Bibliography in accordance with instructions.
4. History Record	Up-to-date History record inserted immediately following the Data Summary Cover Sheet.
5. Self Statement	At the option of the candidate, a self statement may be included.
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. List of Extramural Authorities (if applicable)	List of the extramural authorities solicited for this action. List must indicate if authority was suggested by the candidate or by the Chair. A brief, one paragraph biography of each extramural authority is required.
9. Sample Solicitation letter (if applicable)	A copy of the letter that was mailed to the extramural authorities.
10. Letters of Evaluation (if applicable)	The evaluations received in response to the solicitation letters. Sort in reverse chronological order. Unsolicited letters should follow in the same manner.
11. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
12. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
13. Curriculum Vitae	Do not include material already covered in the Bibliography (detached).

Dean's Office to add the Dean's Statement and Nominations.

For these actions that require Chancellor approval, please forward Teaching Evaluation Summaries with the dossier since the last review.

Publications for these actions are to be delivered to the Academic Affairs and Personnel Office simultaneously with the dossier.

Further Above-Scale Merit

Submit the original dossier in the indicated order:

Minimum Dossier Content	Instructions
1. Statement from the Dean	A recommendation from the Dean that will be used by the Council on Academic Personnel to determine whether the action will be further reviewed by an ad-hoc committee. If an ad-hoc review committee is assigned, the Dean will be able to make further comment when the ad-hoc report is issued (detached).
2. Further Above-Scale Data Summary	Complete all pages of the Data Summary for professorial advancement. Prepare Bibliography in accordance with instructions.
3. History Record	Up-to-date History record inserted immediately following the Data Summary Cover Sheet.
4. Self Statement	At the option of the candidate, a self statement may be included.
5. 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.
6. Departmental Ad Hoc Report	A written report made available to faculty prior to the department vote if the Chair convened a committee.
7. Peer Evaluation of Teaching	Reports or letters in accordance with the department’s peer evaluation teaching program.
8. Sabbatical Reports	Copies of sabbatical reports submitted for leaves taken since last review.
9. Curriculum Vitae	Do not include material already covered in the Bibliography (detached).

Dean's Office to add the Dean's Statement.

For these actions that require Chancellor approval, please forward Teaching Evaluation Summaries with the dossier since the last Above-Scale Advancement.

Publications for these further Above-Scale merit increase are to be delivered to the Academic Affairs and Personnel Office simultaneously with the dossier.

IV. Resulting Action

If the action results in a recommendation for an off-scale merit or Above-Scale salary that exceeds local approval authority, the Academic Affairs and Personnel Office will prepare the necessary documentation to be forwarded for Regental approval.
In a case in which there was a final negative decision (other than non-renewal or termination of appointment of an Assistant Professor), resubmission of a departmental recommendation 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.
Final action will be reported:
1. When the Chancellor is the final approval authority for the merit action, the Academic Affairs and Personnel Office will forward to the Dean’s Office a copy of the approved Data Summary Cover Sheet immediately upon completion of the review. For merit actions to Professor VI and all Above-Scale actions, a letter of congratulations from the Chancellor will be forwarded by the Academic Affairs and Personnel Office to the Dean’s Office for distribution to the individual. Copies will also be provided for distribution to the appropriate Chair.
2. When the merit action is the Dean’s final approval authority, the Dean has the responsibility to notify the individual of the advancement.
3. For salary requiring Regental approval, the Academic Affairs and Personnel Office will notify the Dean’s Office upon receipt of approval from Office of the President.

Revised 10/13/99

Web page updated 8/8/05