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Summary 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:

  1. assure departmental compliance with APM 220 (pdf) (see Appendix 2, "Synopsis of Academic Personnel Manual Section 220");
  2. advise the department of the decision by written commentary outlining the strengths and weaknesses of the dossier following completion of review; and
  3. 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:

  1. Non-renewal of appointment beyond the end of the current term or reappointment to a terminal year for an Assistant Professor; or
  2. 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 Affairs and Personnel Office in writing with copy to the Dean and Chancellor.

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

Upon receipt from the 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 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
'Favorable,' 'With Reservations' or 'Unfavorable with Continuation of Employment’ Appraisals

Submit the original dossier in the indicated order:


Minimum Dossier Content


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. Letter to Chancellor regarding Evaluation

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

9. Curriculum Vitae

Do not include material already covered in the Bibliography.

10. Teaching Evaluation Summaries

Forward Teaching Evaluation Summaries with the dossier.

11. Publications

Forward publications with the dossier.

For Unfavorable Appraisals incorporating a recommendation for Non-Renewal, see instructions for processing non-renewal dossiers in the “Eight-Year Limit Reviews and Non-Renewal of Appointment” section to follow.

IV. Resulting Action

It is the responsibility of the Vice Chancellor of Academic Affairs and Personnel to ensure that results of the appraisal and the report of the Council on Academic Personnel (CAP) are communicated to the Dean’s Office for transmission to the Chair and the candidate.


The Vice Chancellor will prepare correspondence to the candidate when the appraisal has been deemed “Unfavorable.” The correspondence will include redacted copies of all extra-departmental assessments.  Appendix 20 for "Access to Academic Personnel Records."



Revised 9/2/14

Web page updated 10/21/14