CAP Frequently Asked Questions (FAQs)
Revised November 1, 2008
 
The Council on Academic Personnel (CAP) is a standing committee of the Academic Senate of UCI. It is a faculty body that makes recommendations to the Administration regarding appointments, promotions and merit increases. The following are CAP's responses to questions frequently asked at our meetings with various faculty groups. It must be emphasized that the University of California Academic Personnel Manual (APM) (systemwide) and UCI's Academic Personnel Procedures (APP) are CAP's governing principles, and these documents override anything written below. This document has no legal
standing, and merely represents opinions held by members of CAP. The APM and UCI's APP should answer most questions. If something is not clear, a faculty member should ask the Department chair, the school's Dean, or the Office of Academic Personnel.
 
CAP forwards its recommendations to the Executive Vice Chancellor and Provost (EVCP), the
administrative officer chiefly responsible for academic personnel matters at UCI, and the Vice Provost for Academic Personnel, the administrative officer at the head of the Office of Academic Personnel ("AP"). Letters received by Deans, Department chairs, and faculty members from the VP's office reflect the input of various levels of review, including the Department, Department chair, Dean, external reviewers, and CAP.
 
The questions below are grouped into five sections whose subjects are roughly indicated by the titles. The focus is on the Professor ("line") series, except in the last section, but much is of general applicability.
 
 
CAP FAQS in one pdf file
 
 
A. Academic Personnel Standards and Criteria | FAQs 1-13
 
1. What standards does CAP use for the various ranks?
 
2. Whatever happened to the Pister Report and its advocacy for increased flexibility in personnel reviews?
 
3. How does CAP weigh university service?
 
4. Is "service" an important category for assistant professors?
 
5. How does CAP weigh teaching?
 
6. How can our personnel system reward (and retain) exceptionally accomplished faculty?
 
7. Why does CAP trouble to review initial assistant professor appointments?
 
8. What is CAP's view of proposals for the initial appointment of a recent Ph.D. at a level above assistant professor, step I?
 
9. What are the criteria for tenure? If an assistant professor completes a major project earlier than expected, e.g., turns the dissertation into a book within a year, is acceleration to tenure appropriate?
 
10. What are the criteria for acceleration?
 
11. Are some units more rigorous and demanding of their faculty than others?
 
12. What is UCI's Policy on "overlapping steps"?
 
13. How do activities related to diversity affect the academic review process?
 
 
 
B. The Personnel Review Process | FAQs 14-27
 
14. Can I ask CAP questions about the personnel review process?
 
15. Which personnel actions are promotions?
 
16. What does CAP look for in a mid-career appraisal?
 
17. What is an accelerated action?
 
18. What is a Career Equity Review? Do I qualify for one?
 
19. What are the personnel deadlines?
 
20. What are common mistakes or tactical errors made in dossier preparation?
 
21. Can the Addendum to the Biography be abolished?
 
22. How can a professor exclude others (department members, chair, dean, members of CAP, extramural referees) from participation in a review?
 
 
 
23. Are the names of extramural referees in fact held in confidence?
 
24. What is the normal timing of a personnel action?
 
25. What can delay the normal personnel process?
 
26. Why do we preserve the cumbersome "tentative decision" process?
 
27. How can I register a complaint or fix a mistake?
 
 
C. What is Reviewed; Contents of the Dossier: | FAQs 28-48
 
28. Does CAP consider aspects of a professor's career that fall outside the review period?
 
29. How can CAP make personnel recommendations about professors whose work the members of CAP cannot understand?
 
30. Can work in progress be considered in a personnel review?
 
31. How does CAP evaluate collaborative research or creative work?
 
32. How does CAP evaluate such impermanent productions as plays, dances, and installations?
 

33. Why do we need so many letters in our personnel actions?

34. What In the external letters of evaluation, what distinguishes "department-nominated" from
"candidate" letters?

35. What mix of letters does CAP like to see?

36. How can non-UC referees be expected to understand our step system?

37. What constitutes a good internal letter of evaluation and how can departments avoid potential
“conflict of interest” in internal letters of evaluation?

38. Are separate chair's letters in a dossier particularly useful?

39. Does CAP require a description of the search and the candidate pool for appoinments?
 
40. How does CAP view publication by way of conference proceedings or electronic media as opposed to "archival" print journals and books?
 
41. Does CAP take into consideration the quality of the publisher, or the stature of the journal?
 
42. How does CAP respond to published reviews of work in scholarly and popular media?
 
43. Is grant funding a requirement for advancement?
 
44. Are peer-reviewed or federal grants counted more than others?
 
45. Are prizes and awards necessary?
 
46. Can CAP distinguish and reward real service as opposed to nominal membership on a committee?
 
47. Does CAP require the "raw" course evaluation forms in every personnel action? Do CAP members actually review them?
 
48. Should faculty members provide a self-statement for the dossier?
 
 
D. Council on Academic Personnel Procedures | FAQs 49-62
 
49. Does the Short Form still exist?
 
50. What can a unit do when there is need for exceptional speed in a personnel case?
 
51. Do CAP members have the right ot vote twice on a personnel action?
 
52. Should CAP have representative from each school or other unit?
 
53. If a school's representative on CAP is absent at a CAP meeting how are the school's cases handled?
 
54. Do CAP members themselves examine the scholarly or creative works, e.g., read the publications?
 
55. Does CAP make salary recommendations?
 
56. Why and how does CAP call for ad hoc committee review of some cases?
 
57. Why do ad hoc review committees sometimes include people who are not experts in the field?
 
58. Why am I never/always asked to serve on ad hoc review committees?
 
59. Why does CAP send comments back to the faculty member under review?
 
60. Does CAP ever recommend a higher step than the one proposed?
 
61. Why does CAP refuse to talk about personnel cases directly with deans or chairs?
 
62. Does CAP see deferred tenure reviews?
 
 
E. Criteria for Other Series | FAQs 63-68
 
63. What are the criteria for appointment and advancement in the Professional Researcher series?
 
64. What are the criteria for the Adjunct series?
 
65. What are the criteria for the In Residence series?
 
66. What are the criteria for the Professor of Clinical X series?
 
67. What are the criteria for the Project Scientist series?
 
68. What are the criteria for the Lecturer series? What is an "Excellence Review" in the Lecturer series?

 
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