University of California's Academic Personnel Manual
Section II. Appointment and Promotion

210-1 Instructions to Review Committees Which Advise on Actions Concerning Appointees in the Professor and Corresponding Series

d. Criteria for Appointment, Promotion, and Appraisal

The review committee shall judge the candidate with respect to the proposed rank and duties, considering the record of the candidate’s performance in (1) teaching, (2) research and other creative work, (3) professional activity, and (4) University and public service.  In evaluating the candidate’s qualifications within these areas, the review committee shall exercise reasonable flexibility, balancing when the case requires, heavier commitments and responsibilities in one area against lighter commitments and responsibilities in another.  The review committee must judge whether the candidate is engaging in a program of work that is both sound and productive. As the University enters new fields of endeavor and refocuses its ongoing activities, cases will arise in which the proper work of faculty members departs markedly from established academic patterns.  In such cases, the review committees must take exceptional care to apply the criteria with sufficient flexibility.  However, flexibility does not entail a relaxation of high standards.  Superior intellectual attainment, as evidenced both in teaching and in research or other creative achievement, is an indispensable qualification for appointment or promotion to tenure positions.  Insistence upon this standards for holders of the professorship is necessary for maintenance of the quality of the University as an institution dedicated to the discovery and transmission of knowledge.  Consideration should be given to changes in emphasis and interest that may occur in an academic career.  The candidate may submit for the review file a presentation of his or her activity in all four areas. The University of California is committed to excellence and equity in every facet of its mission.  Teaching, research, professional and public service contributions that promote diversity and equal opportunity are to be encouraged and given recognition in the evaluation of the candidate’s qualifications.  These contributions to diversity and equal opportunity can take a variety of forms including efforts to advance equitable access to education, public service that addresses the needs of California’s diverse population, or research in a scholar’s area of expertise that highlights inequalities.  Mentoring and advising of students or new faculty members are to be encouraged and given recognition in the teaching or service categories of academic personnel actions. The criteria set forth below are intended to serve as guides for minimum standards in judging the candidate, not to set boundaries to exclude other elements of performance that may be considered.

(1) Teaching — Clearly demonstrated evidence of high quality in teaching is an essential criterion for appointment, advancement, or promotion.  Under no circumstances will a tenure commitment be made unless there is clear documentation of ability and diligence in the teaching role.  In judging the effectiveness of a candidate’s teaching, the committee should consider such points as the following:  the candidate’s command of the subject; continuous growth in the subject field; ability to organize material and to present it with force and logic; capacity to awaken in students an awareness of the relationship of the subject to other fields of knowledge; fostering of student independence and capability to reason; spirit and enthusiasm which vitalize the candidate’s learning and teaching; ability to arouse curiosity in beginning students, to encourage high standards, and to stimulate advanced students to creative work; personal attributes as they affect teaching and students; extent and skill of the candidate’s participation in the general guidance, mentoring, and advising of students; effectiveness in creating an academic environment that is open and encouraging to all students, including development of particularly effective strategies for the educational advancement of students in various underrepresented groups.  The committee should pay due attention to the variety of demands placed on instructors by the types of teaching called for in various disciplines and at various levels, and should judge the total performance of the candidate with proper reference to assigned teaching responsibilities.  The committee should clearly indicate the sources of evidence on which its appraisal of teaching competence has been based. In those exceptional cases when no such evidence is available, the candidate’s potentialities as a teacher may be indicated in closely analogous activities.  In preparing its recommendation, the review committee should keep in mind that a redacted copy of its report may be an important means of informing the candidate of the evaluation of his or her teaching and of the basis for that evaluation. It is the responsibility of the department chair to submit meaningful statements, accompanied by evidence, of the candidate’s teaching effectiveness at lower-division, upper-division, and graduate levels of instruction.  More than one kind of evidence shall accompany each review file.  Among significant types of evidence of teaching effectiveness are the following:  (a) opinions of other faculty members knowledgeable in the candidate’s field, particularly if based on class visitations, on attendance at public lectures or lectures before professional societies given by the candidate, or on the performance of students in courses taught by the candidate that are prerequisite to those of the informant; (b) opinions of students; (c) opinions of graduates who have achieved notable professional success since leaving the University; (d) number and caliber of students guided in research by the candidate and of those attracted to the campus by the candidate’s repute as a teacher; and (e) development of new and effective techniques of instruction, including techniques that meet the needs of students from groups that are underrepresented in the field of instruction. All cases for advancement and promotion normally will include: (a) evaluations and comments solicited from students for most, if not all, courses taught since the candidate’s last review; (b) a quarter-by-quarter or semester-by-semester enumeration of the number and types of courses and tutorials taught since the candidate’s last review; (c) their level; (d) their enrollments; (e) the percentage of students represented by student course evaluations for each course; (f) brief explanations for abnormal course loads; (g) identification of any new courses taught or of old courses when there was substantial reorganization of approach or content; (h) notice of any awards or formal mentions for distinguished teaching; (i) when the faculty member under review wishes, a self- evaluation of his or her teaching; and (j) evaluation by other faculty members of teaching effectiveness.  When any of the information specified in this paragraph is not provided, the department chair will include an explanation for that omission in the candidate’s dossier.  If such information is not included with the letter of recommendation and its absence is not adequately accounted for, it is the review committee chair’s responsibility to request it through the Chancellor.

(2) Research and Creative Work — Evidence of a productive and creative mind should be sought in the candidate’s published research or recognized artistic production in original architectural or engineering designs, or the like. Publications in research and other creative accomplishment should be evaluated, not merely enumerated.  There should be evidence that the candidate is continuously and effectively engaged in creative activity of high quality and significance.  Work in progress should be assessed whenever possible.  When published work in joint authorship (or other product of joint effort) is presented as evidence, it is the responsibility of the department chair to establish as clearly as possible the role of the candidate in the joint effort.  It should be recognized that special cases of collaboration occur in the performing arts and that the contribution of a particular collaborator may not be readily discernible by those viewing the finished work.  When the candidate is such a collaborator, it is the responsibility of the department chair to make a separate evaluation of the candidate’s contribution and to provide outside opinions based on observation of the work while in progress.  Account should be taken of the type and quality of creative activity normally expected in the candidate’s field.  Appraisals of publications or other works in the scholarly and critical literature provide important testimony.  Due consideration should be given to variations among fields and specialties and to new genres and fields of inquiry. Textbooks, reports, circulars, and similar publications normally are considered evidence of teaching ability or public service.  However, contributions by faculty members to the professional literature or to the advancement of professional practice or professional education, including contributions to the advancement of equitable access and diversity in education, should be judged creative work when they present new ideas or original scholarly research. In certain fields such as art, architecture, dance, music, literature, and drama, distinguished creation should receive consideration equivalent to that accorded to distinction attained in research.  In evaluating artistic creativity, an attempt should be made to define the candidate’s merit in the light of such criteria as originality, scope, richness, and depth of creative expression.  It should be recognized that in music, drama, and dance, distinguished performance, including conducting and directing, is evidence of a candidate’s creativity.

(3) Professional Competence and Activity — In certain positions in the professional schools and colleges, such as architecture, business administration, dentistry, engineering, law, medicine, etc., a demonstrated distinction in the special competencies appropriate to the field and its characteristic activities should be recognized as a criterion for appointment or promotion.  The candidate’s professional activities should be scrutinized for evidence of achievement and leadership in the field and of demonstrated progressiveness in the development or utilization of new approaches and techniques for the solution of professional problems, including those that specifically address the professional advancement of individuals in underrepresented groups in the the candidate’s field.  It is responsibility of the department chair to provide evidence that the position in question is of the type described above and that the candidate is qualified to fill it.

(4) University and Public Service — The faculty plays an important role in the administration of the University and in the formulation of its policies. Recognition should therefore be given to scholars who prove themselves to be able administrators and who participate effectively and imaginatively in faculty government and the formulation of departmental, college, and University policies.  Services by members of the faculty to the community, State, and nation, both in their special capacities as scholars and in areas beyond those special capacities when the work done is at a sufficiently high level and of sufficiently high quality, should likewise be recognized as evidence for promotion.  Faculty service activities related to the improvement of elementary and secondary education represent one example of this kind of service.  Similarly, contributions to student welfare through service on student-faculty committees and as advisers to student organizations should be recognized as evidence, as should contributions furthering diversity and equal opportunity within the University through participation in such activities as recruitment, retention, and mentoring of scholars and students. The Standing Orders of The Regents provide:  "No political test shall ever be considered in the appointment and promotion of any faculty member or employee."  This provision is pertinent to every stage in the process of @#@considering appointments and promotions of the faculty.Advancement and Promotion