B. Administrative Duties

1. Governance

a. Chair’s Responsibilities
b. Chair’s Responsibilities in the UCD Administrative Responsibilities Handbook
c. The Department Structure
d. Role of the MSO
e. Best Practices

(1) Vice Chair
(2) Faculty Executive Committee

2. Department Budget/Financial Affairs

a. Chair’s Responsibilities
b. Chair’s Responsibilities for Financial Management in the UCD Administrative Responsibilities Handbook
c. Best Practices

(1) Budget Allocation
(2) Budget Advisory Committee

3. Faculty Leaves

a. Chair’s Responsibilities
b. Best Practices

(1) Short Term Leave (seven calendar days or less)
(2) Short Term Leave (between eight and 30 calendar days)
(3) Research Leaves Greater Than 30 Days
(4) Sabbatical Leaves
(5) Other Extended Leaves
(6) Holidays
(7) Leaves Without Salary
(8) Military Leave

4. Space and Facilities

a. Chair’s Responsibilities
b. Chair’s Responsibilities for Space and Equipment in the UCD Administrative Responsibilities Handbook
c. Space Allocation
d. Best Practices

(1) Space Advisory Committee
(2) Maintaining Departmental Facilities
(3) Facilities or Equipment Committee

5. Health and Safety

a. Chair’s Responsibilities
b. Chair’s Responsibilities for Health and Safety in the UCD Administrative Responsibilities Handbook
c. Best Practices

(1) Assuring the Health and Safety of the Department
(2) Selecting a Safety Coordinator

6. Staff/Faculty Failure to Meet Performance Responsibilities

a. Chair’s Responsibilities
b. Best Practices

(1) Failure of Staff to Meet Responsibilities
(2) Failure of Non-Senate Academic Appointees to Meet Responsibilities
(3) Failure of Senate Faculty to Meet Responsibilities
(4) Termination for Incompetent Performance
(5) Conflict of Commitment and Outside Activities
(6) Conflict of Interest Created by Consensual Relationships
(7) Faculty or Staff Violations of Other UC Policies

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1. Governance

a. Chair’s Responsibilities (APM 245, Appendix A) (pdf)
The most important administrative duties of the chair relate to developing a productive department environment, overseeing the professional development and the performance of the staff, administering the budget, allocating space, maintaining facilities and department equipment, overseeing the observance of university health and safety standards, and notifying the appropriate administrator (i.e., dean, Vice Provost--Academic Affairs, Associate Vice Chancellor--Human Resources) when dealing with inappropriate behavior of faculty or staff.
• In large departments, the chair may be assisted in the tasks involved in carrying out the responsibilities of the chair by a vice chair or other colleagues, and, when desired, by an executive committee chosen in an appropriate manner. However, the responsibilities themselves may not be delegated.

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b. Chair’s Responsibilities as outlined in the UCD Administrative Responsibilities Handbook
The UC Davis Administrative Responsibilities Handbook was created to define the principles by which administrative officials, including department chairs, maintain consistency and integrity in business practices in the midst of an ever-changing academic and legal environment.

Chairs are responsible for implementing policies and procedures to ensure that the university is well managed and in sound financial condition.
Chairs also are responsible for:
• Implementing policies and procedures that allow the university to comply with applicable laws and regulations;
• Upholding the public trust; and
• Reflecting appropriately the diversity of our society.

Chairs may delegate certain administrative and financial duties to others. In these instances, written goals and objectives that define accountability and responsibility should be established in order to make clear the expectations and standards against which performance will be evaluated. Employees delegated these duties should receive timely feedback on their performance as measured against established expectations and standards.

While chairs may delegate many of their responsibilities, they cannot delegate accountability. They retain accountability for the following activities in their area of responsibility:
• Compliance with all applicable laws and regulations, university policies, collective bargaining agreements, and the terms and conditions of gifts, contracts and grants.
• Maintenance of a sound financial condition and good business practices for the department or business unit.
• Establishment of an effective system of internal controls consistent with the UC Davis Principles of Accountability and Regulatory Compliance, as stated in the Administrative Responsibilities Handbook.
• Adherence to ethical business standards.
• Safeguarding and accounting for university assets.
• Administration of human resource activities in a manner that fosters diversity in the work force and ensures due process.
• Ensuring appropriate access to, and use of, university information and systems, including the integrity of data and transactions input and/or modified by staff in their area of responsibility.

Resources

UCD Administrative Responsibilities Handbook

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c. The Department Structure
An academic department office is usually organized with a Management Services Officer (MSO) or a Chief Administrative Officer (CAO) that oversees the administrative structure. Depending on the size and special functions of the department, there may be various other office staff, such as receptionist, analysts, administrative assistants, programmers, and others who take care of specific tasks for the department -- e.g., financial affairs/accounting, grants management, personnel actions, purchasing, student services, and preparation of manuscripts, grant proposals, syllabi, course materials, exams, etc. The chair and dean’s office hire the MSO following the campus MSO recruitment protocol, and often the MSO (sometimes with input from the assistant dean of the College/School/ Division) then hires and supervises the office staff.

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d. Role of the MSO
The ultimate responsibility for the operation of the department according to university policies and regulations is given to the chair of the department; but the day-to-day administrative operation is under the direct supervision of the MSO. It is important that the MSO is not only competent in all of the requisite tasks and university policies, but also that there are rapport and trust between the MSO and the chair. The MSO is responsible for making many day-to-day decisions in the office and for keeping the chair informed on all important issues, particularly those for which the chair is held accountable. This requires frequent and easy communication between them on all matters of importance to the department. At the more advanced ranks of the classification, MSOs also participate in long range and strategic planning to help achieve the department’s goals.

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e. Best Practices
(1) Vice Chair
Many large or complex departments have a vice chair, selected by the chair/dean and approved by the Chancellor, to assist with specific tasks, such as preparing departmental letters for personnel actions, helping with annual reviews of individual faculty, directing the department’s clinical or teaching programs, overseeing the department when the chair is away from campus (having signature authority), etc.

(2) Faculty Executive Committee
Many large departments also have a Faculty Executive Committee that advises the chair in important areas, such as priorities for budget and space or acquisition of equipment, monitoring and reviewing the teaching or clinical program, etc. The committee may assist with responsibilities that don’t occur on an annual basis (e.g., writing the academic plan or responding to accreditation committee questions) or it may oversee progress of departmental ad hoc or standing committees. The Executive Committee may be selected in a number of equally appropriate ways. A chair may select a group of faculty representing the variety of expertise and opinions in the department to serve as a sounding board; or department faculty may nominate/elect faculty representatives for such a committee. Most chairs prefer the former and if chosen appropriately (i.e., faculty who are considered fair and without their own agenda) can work quite well.

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2. Department Budget/Financial Affairs

a. Chair’s Responsibilities (APM 245, Appendix A) (pdf)
• To prepare the budget and administer the financial affairs of the department, in accord with University procedures.

b. Chair’s Responsibilities for Financial Management in the UCD Administrative Responsibilities Handbook
• The Administrative Responsibilities Handbook (pages 35-36) sets down principles for financial management of a university unit (i.e., departments, centers, programs).

c. Best Practices
(1) Budget Allocation
The budget may be handled somewhat differently in the various colleges, but essentially it is allocated by the dean’s office to the department, often after consultation with the chair. In many departments, budget priorities/distributions are discussed with the faculty; in others, however, it is handled entirely by the chair and MSO. A large portion of the budget covers ongoing expenses for staff salaries, the cost of running the department office, and the cost of delivering department courses and services.

While some departments may assume the cost of faculty telephone charges, photocopying, etc, it is a more common practice (and to many, fairer) for departments to provide a modest allocation to each faculty member for use in paying for individual telephone or photocopying bills, journal subscriptions, travel to meetings, society dues, etc. The chair decides if unexpended allocations to faculty will carry over to the next year or revert to the department.

Regardless of which system is used to allocate the funds, it should be done in a fair and open manner, so all faculty know the priorities, how the funds were allocated and what changes have occurred since the previous year’s budget.

(2) Budget Advisory Committee
Some departments have a standing budget committee of senior faculty appointed by the chair to advise on such subjects as:
• budget cuts.
• changes in the allocation process -- i.e., accommodating new projects, eliminating out-dated projects.
• changes in the teaching, clinical, or research program requiring increased support.
• prioritizing the use of discretionary funds -- i.e., gifts and grant overhead.
• obsolete equipment funds, etc.

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3. Faculty Leaves

a. Chair’s Responsibilities (APM 245, Appendix A) (pdf)
The chair is expected to schedule and recommend to the Chancellor sabbatical leaves and other leaves of absence for members of the department. (The chair may approve a leave of absence with pay for seven calendar days or less for attendance at a professional meeting or for the conduct of University business without submitting a leave of absence form.)

When an academic appointee requests a leave, the department chair must ensure that the proper policies are followed. Leaves may be recommended by the chair and the dean, with final approval by the Vice Provost’s office, taking into consideration how classes and the other responsibilities of the appointee are to be covered. Listed below are common forms of leaves. If you encounter a leave situation that you are uncertain how to handle, contact your dean's office for advice.

It is important that the chair emphasize that requests for leaves be filed early enough to allow all the approvals prior to departure. Without approval, the faculty member is at risk with regard to health benefits, accidental death benefits, and other benefits because the leave is not properly approved. Requests should be filed using form UPAY 573.

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b. Best Practices
(1) Short Term Leave (seven calendar days or less)
For professional meetings or for University business: Leaves for fewer than seven calendar days may be approved (or disapproved) by the department chair. For these short leaves, the faculty member is expected to arrange for his/her university responsibilities to be appropriately covered. The chair is responsible for ensuring that these arrangements have been made.

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(2) Short Term Leave (between eight and 30 calendar days)
These leaves are now delegated to the Deans for approval. To attend professional meetings or for University business: Leaves greater than seven days and less than 30 days are approved by the Dean. All such requests must be submitted to the Dean via the chair well before the actual leave dates on a UPAY 573 Special Leave of Absence Form for pre-approval. (See APM 752) (pdf). Per APM 752-6 (pdf), if an appointee is granted this type of leave, the appointee’s department chair shall be responsible for adequate replacement of the faculty member during the period of the leave, except that the appointee receiving the leave shall be responsible for the submission of any course reports, etc., required during the period of the absence. Thus, as with shorter leaves, approval of the leave requires that the faculty member’s university responsibilities are covered. Signature of the chair on the approval leave form verifies that this is the case. All leave over 30 days are considered exceptions and require the approval of the Vice Provost—Academic Affairs.

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(3) Research Leaves Greater Than 30 Days (APM 758) (pdf)
There has been considerable discussion in recent years regarding requests for extended leaves from campus and whether such requests constitute sabbatical leaves, change-of-duty station, or leaves with pay via exception to policy. The policies regarding such leaves are summarized on the web at: (/policies-and-procedures/leaves/index.html). Leaves for 30 days or less are within policy, but require approval by the department chair, the dean, and the Vice Provost—Academic Affairs. Leaves proposed for longer than 30 days that are not sabbatical leaves require the same approval process but constitute an exception to policy. Justification is needed for the latter; and it is often is not clear on the UPAY 573 whether the leave actually qualifies as an exception to policy.

Chairs should be aware that the campus has begun to operate under the following guidelines with regard to leaves greater than 30 days:
• If the leave is a one-time event, allowing one to focus on scholarly pursuits, it will be considered a sabbatical leave.
• If the leave is being requested in order to carry out a sponsored research project approved by the Office of Research or is an approved Hatch project and if the approved research project contains objectives that explicitly require extended off-campus travel (e.g., to study sediment loads in different parts of the Colorado River), and is a recurring feature of the approved research project (e.g., requiring two or more seasons to complete), then it would qualify as an exceptional leave. Approval of such leaves will require a clear description on the UPAY 573 to differentiate the leave from a sabbatical. The burden of proof rests with the researcher.
• In some cases, a faculty member may need to be away from campus for an extended period of time (e.g., to live near the headwaters of the Colorado River for six weeks) to carry out extensive research that involves his/her graduate students or others. Such leaves (occurring during the academic year for an academic year employee or anytime during the year for a fiscal-year employee) may qualify as a “change-of-duty-station” if the individual is able to carry out his/her normal faculty duties (student mentoring, research and service) in the remote location. Modern communication technologies make this feasible, but this requirement remains difficult to meet. Again, the burden of proof rests with the researcher and in the absence of a clear description of how the faculty member’s duties will be carried out, the leave may be classified as a sabbatical.
• In all cases, (normal or exceptional leaves) the leave forms (UPAY 573) must be submitted early enough to allow the appropriate, thorough review by the department chair, dean and vice provost before the traveler departs. Requests that are received late may be denied. If late requests are approved, the increment of time between actual departure and the date of final, official approval will be charged as vacation or unpaid leave. Travelers should be aware that it is not unusual for the approval process to take up to one month for completion, depending on how the forms are transmitted and the availability of key individuals. Travelers should file the leave request forms before making travel arrangements.

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(4) Sabbatical Leaves (APM 740) (pdf)
The chair is responsible for scheduling and recommending sabbatical leaves such that the mission of the department is not compromised. Although chairs should extend every effort to accommodate the scheduling of sabbatical leaves for faculty, such scheduling cannot compromise the department’s teaching responsibilities. Sabbaticals are granted to faculty for the purpose of enhancing their scholarly activities which in turn enhance their academic value (in terms of teaching/research) to the University. It is advisable for chairs to set a deadline each year for receipt of sabbatical requests from their faculty. This deadline should be early enough in the academic year so that the chair can decide how the faculty member’s teaching and other departmental responsibilities will be met.

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(5) Other Extended Leaves
With the exception of those fiscal-year academic appointees listed in APM 710-14 (pdf), academic appointees do not accrue sick leave. In the case of illness of appointees who do not accrue sick leave, Chancellors may approve leave with or without pay.

If the department chair or MSO learns that a faculty member may have a serious illness/medical condition requiring either time away for recovery (i.e., a leave) or a temporary change of duties (e.g., reduction in teaching) the chair should contact their dean’s office or the Office of the Vice Provost-Academic Affairs to discuss the next steps. Once receiving information from the treating physician concerning the faculty member’s functional limitations, the dean’s office or the Office of the Vice Provost—Academic Affairs can assist the department in working through possible steps for resolution. Such steps could include one or more of the following: temporary reduction in teaching or temporary modified duties, FMLA leave, quarter-long sick leave, leave covered by employee-paid disability insurance; in all cases the focus would be to eventually get the faculty member back to full duties.

When it is possible to do so, it is the responsibility of an instructor granted a sick leave to make necessary arrangements for submission of any course reports or other materials that may be required during the period of absence. The department chair is responsible for obtaining an adequate replacement for the appointee, in accordance with Academic Senate and University personnel regulations; and financial arrangements for the appointment should be discussed with the dean before commitments are made.

• Disability Insurance: Department chairs and managers should advise academic appointees to purchase disability insurance. The campus Benefits Office will advise academic appointees on the waiting period options.

• Childbearing/Parental Leave:

Non-ladder Senate faculty members (Clinical X, and In Residence) are granted paid leave for the period of temporary disability before, during and after childbirth, normally six weeks. In addition, for a reasonable period before and immediately after childbirth, a faculty member, upon her request, shall be relieved of regularly scheduled teaching assignments, but shall continue other duties such as research and advising. Duties during this period and its duration shall be determined by joint agreement between the chair and the appointee. The total period of modified duties plus paid leave for childbirth will not normally exceed 12 weeks. In addition, upon request the faculty member shall be granted leave without pay for a reasonable period. As a spouse or domestic partner, a faculty member may also be granted unpaid parental leave for up to a year to care for a child after each birth, adoption or placement for foster care.

Ladder faculty members (including Lecturers, SOE and Senior Lecturers, SOE) who have a new child (birth, adoption, foster placement.) are eligible for the Provost’s Work Life Program. Highlights of this program include: funding from the Office of the Provost to allow teaching release for the female faculty member who bears a child; funding for teaching release for the faculty member who carries substantial responsibility for a newly adopted/placed child age 4 or under; funding for partial teaching release during a quarter of Active Service Modified Duty (ASMD) for a faculty parent who has substantial responsibility for a new child (two quarters in the case of twins or more, or two or more adopted children). These leaves must be requested via the Request for Teaching Release Form (PDF).

In addition to the above leaves for faculty (ladder and non-ladder), faculty who have substantial responsibility for the care of a newborn child or newly-adopted child under age five, are eligible for an extension of the 8 year rule for remaining at the Assistant rank. This clock can be extended up to one year for each event of birth or adoption during the probationary period (i.e., Assistant rank) provided that all time off the clock totals no more than two years. This extension also applies to Assistant Researchers. See the Vice Provost--Academic Affairs website on Work/Life.

Unit 18 Faculty (Lecturers and Supervisors of Teacher Education): For those faculty who have a Continuing Appointment, see Leaves, in Article 12, Appendix C of the MOU (Union Contract) and contact Binnie Singh, Director of Faculty Relations & Development in the Vice Provost--Academic Affairs office: telephone 530.752.0963 or e-mail binsingh@ucdavis.edu.

• Family Medical leave Act (FMLA): In accordance with applicable State and Federal law, family and medical leave provides eligible employees with entitlements to paid or unpaid leave for up to a total of 12 work weeks during a calendar year, continuance of health plan coverage as if on pay status, and reinstatement rights. Eligible academic appointees are entitled to take unpaid leave or to substitute accrued vacation or accrued sick leave (as set forth in APM 715-20) (pdf) for the following reasons: a) the appointee’s own serious health condition; b) to care for the appointee’s child, parent, spouse, or domestic partner (same-sex or opposite-sex) with a serious health condition; c) to care for the appointee’s newborn child or a child newly placed with the appointee for adoption or foster care.

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(6) Holidays
Official holidays for both academic-year and fiscal-year appointees are those administrative holidays annually in the University Calendar. Periods of academic recess are not holidays. For both academic-year and fiscal-year appointees, periods of academic recess are only a recess from meeting formal classes. They are not a recess from research, committee, or other administrative duties/ University obligations.

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(7) Leaves Without Salary
In addition to the special types of leaves listed above, leaves of absence without pay for other good cause may be granted to academic appointees. Such leaves shall not exceed one year in length and shall not extend beyond June 30 of the academic year in which the leave is granted. The department chair is responsible for obtaining an adequate replacement for the appointee, in accordance with Academic Senate and University personnel regulations. Current campus policy is that leaves will not be approved for employees who have accepted permanent positions at another institution or at a company.

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(8) Military Leaves (APM 751) (pdf)
The department chair is responsible for obtaining an adequate replacement for the appointee, in accordance with Academic Senate and University personnel regulations.

Resources

Approval Requirements for Leaves

Academic Personnel Website/Leaves

Work Life Balance

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4. Space and Facilities

a. Chair’s Responsibilities (APM 245, Appendix A) (pdf)
• To be responsible for the custody and authorized use of university property charged to the department, and for assigning departmental space and facilities to authorized activities in accordance with University policy and campus rules and regulations.

b. Chair’s Responsibilities for Space and Equipment in the UCD Administrative Responsibilities Handbook (see pages 37-39):
• The Administrative Responsibilities Handbook outlines the appropriate use of space and equipment, responsibility of chairs (and the PI if a contract/grant is involved) for the care, maintenance and control of material in their custody.

c. Space Allocation
• Each department is allotted a certain amount of space in which to operate; it is the chair’s responsibility to allocate the space for offices, labs, service areas, etc. In some departments no specific process for allocating space is defined, other than when space is vacated, it is reassigned according to need. If new space is needed and there is none available in the department, sometimes space is assigned by the dean in other areas or buildings. In some colleges/schools space allocations are made according to a formula which takes into account the total research space available, the number of faculty in the department, the number of students and staff each faculty member has to accommodate on the various projects, and the grant/contract funds available to support each faculty member’s research program. In such a system, a faculty member who loses significant grant support over a number of years is subject to reduction of his/her research space to accommodate expanding research programs of others.

d. Best Practices
(1) Space Advisory Committee
Some departments have a standing Space Advisory Committee to advise the chair in allocating departmental space. This arrangement assures that there is faculty input into those decisions.

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(2) Maintaining Departmental Facilities
In many departments, there are conference rooms, shared equipment, and service areas for such functions as dishwashing and autoclaving, machining/fabricating workshops, darkrooms, etc. for use by departmental faculty, students, staff and, in some instances, for use by individuals in other departments.
• If the service areas are controlled by the department, rather than the college, the best practice is for the chair to appoint a faculty member to oversee a specific area to assure that it is maintained properly.
• Similarly, for shared equipment owned by the department, it is prudent for the chair to appoint a faculty member who uses the equipment frequently to oversee its use. This could involve establishing the “rules” for using the equipment, sign-up sheets, selecting and supervising staff to assist users of the equipment, making decisions about service (keeping service records), maintaining the department’s service agreements on the equipment, replacing equipment when the need arises, preventing misuse of departmental property, etc.

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(3) Facilities or Equipment Committee
In addition to (or instead of) assigning individual faculty to oversee space or equipment, some departments have standing Facilities or Equipment Committees to advise the chair on subjects such as: general operations, setting policies for usage, buying service agreements, buying new equipment, responding to dean’s office requests for replacement of obsolete equipment, lending or removing departmental equipment, etc. Even if this is the case, however, there needs to be an individual who oversees the actual day-to-day use of the equipment – this may be a staff or faculty member.

Resources

Campuswide Space Allocation and Evaluation (P&P Manual, Section 360-21)

Supplies and Equipment (P&P Manual, Section 350-70)

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5. Health and Safety

a. Chair’s Responsibilities (APM 245, Appendix A) (pdf)
• To be responsible for departmental observance of proper health and safety regulations in coordination with the campus health and safety office.

b. Chair’s Responsibilities for Health and Safety in the UCD Administrative Responsibilities Handbook (see pages 39-40): The Administrative Responsibilities Handbook outlines the principles and responsibilities of departmental chairs with regard to health and safety issues, including animal use and care. (Chairs, rather than EH&S [i.e., ARS], currently are responsible for maintaining animal facilities that are departmental.)

c. Best Practices

(1) Assuring the Health and Safety of the Department
The Office of Environmental Health and Safety (EH&S) is the main resource for chairs and departmental personnel who want to know the specific university rules and policies for keeping the workplace safe and healthy and for information on implementation of the UCD safety management programs. While most UC Davis employees are aware of EH&S’ oversight of research laboratories, including inventories of hazardous chemicals and hazardous conditions, animal care, injury and illness prevention, etc., there are other programs that apply to all departments whether or not they operate laboratories. Every department is required to have a Safety Coordinator trained by EH&S who is responsible for the department’s fire prevention plan, an emergency evacuation plan, a removal of hazard conditions plan, an Injury and Illness Prevention Program, an Ergonomic Awareness Program, a prevention of violence in the workplace program, and other health and safety programs.

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(2) Selecting the Safety Coordinator
The chair’s responsibility with regard to maintaining the health and safety of departmental employees generally requires appointment of a responsible department employee to serve as Safety Coordinator (faculty or staff). This individual must undergo EH&S training and is required to keep the appropriate records related to operating a healthy and safe work environment in the department. Because part of the responsibility of the position is to educate the departmental staff, faculty, and students about the safety issues and rules, the person selected should be generally knowledgeable, respected, and able to interact well with colleagues in the department.

Resource

Environmental Health and Safety (530.752.1493)

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6. Staff/Faculty Failure to Meet Performance Responsibilities

a. Chair’s Responsibilities (APM 245, Appendix A) (pdf)
• To report any failure of faculty or staff members to meet their responsibilities and to recommend appropriate corrective actions.

b. Best Practices

(1) Failure of Staff to Meet Responsibilities (Personnel Policies for Staff Members (PPSM): 62 Corrective Action)
Some of the typical reasons for taking corrective action against a staff member are: poor performance, insubordination, absenteeism, violating a law or policy, dishonesty, theft, fighting on the job, and acts that endanger others. Corrective actions include written warnings, corrective salary decreases, demotions, and suspensions. At least one written warning must precede any other more serious corrective action. The chair has a responsibility to respond quickly to grievances and to investigate allegations of improper behaviors. The staff member’s immediate supervisor (i.e., a faculty member, a senior researcher, the MSO, or another supervisory staff member, etc.) is likely to be the one who reprimands or actually writes a warning notice, but, because staff discipline is one of the chair’s responsibilities, he/she should be kept apprised of all happenings with regard to the staff person’s inappropriate performance, state of the investigation, if any, and the proposed corrective actions. Since the handling of many of these issues is outlined in union contracts, it is best to check with the dean’s office or Employee and Labor Relations to answer questions of proper procedure before any action is taken. If the supervisor or the chair meet with the employee to discuss deficiencies in performance, there should be a follow-up memo sent to that employee that summarizes what was discussed at the meeting. This type of documentation is important to prevent any misinterpretation of what was said in the meeting.

Resources

Corrective Action: UCD Procedure Supplements UC Policy 62

Employee & Labor Relations (Contact Mike Sheesley at 530.752.8892)

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(2) Failure of Non-Senate Academic Appointees to Meet Responsibilities
The policy for discipline of non-Senate academic appointees is contained in APM 150 (pdf). However, APM 140 (Non-Senate Academic Appointees/Grievances) (pdf), and Standing Orders of the Regents 103.9 are also applicable. Discipline may be instituted for instances of (including but not limited to) misconduct, unsatisfactory work performance, dereliction of duty, or violation of University policy. Academic employees are expected to maintain a standard of academic responsibility which requires service consistent with the objectives of the University. Non-Senate faculty members are also subject to the standards set forth in the Faculty Code of Conduct (APM 015) (pdf). Corrective action is intended to give the academic employee an opportunity to improve and/or correct conduct or performance and should be progressive in nature, depending on the circumstances involved. The types of discipline outlined in APM 150 (pdf) include: written warning, written censure, suspension without pay, reduction in salary, or demotion for good cause. Dismissal, the termination of an appointment for good cause initiated by the University prior to the ending date of appointment, may be instituted and implemented by the department chair according to campus procedures.
• It is prudent to gather the facts of a case as soon as allegations are made known. However, gathering the facts should not delay any reporting requirements as outlined in certain policies – e.g., UCD Policy and Procedure Manual 330-95 Misuse, which requires immediate reporting of “known or suspected misuse of University resources.” The best approach is to seek advice of the dean’s office as soon as possible.
• It is always good policy to try to resolve the issues, if possible (resolving issues before they become too complicated is often a best practice). However, certain University policies outline immediate reporting on certain issues [e.g., Whistleblower policy (P&P 380-17), Misuse P&P 330-95) long before they reach a crisis stage where corrective action or dismissal are the only alternatives. All such attempts at resolution should be documented in the file.

Supervisors should address performance deficiencies early, and consult with the department chair and the department manager to develop an appropriate course of action. Prior to instituting corrective action for inadequate performance, the supervisor should provide verbal and/or written explanations to clarify the nature of the performance expectations and to establish standards of performance or conduct that must be met, and shall attempt to resolve the problem informally, for example through coaching, training, a letter of expectation, or other action. The appointee shall receive a copy of written counseling. Verbal counseling shall be documented by the supervisor in writing. A written or verbal explanation of performance expectation (coaching, training, letter of counseling, verbal counseling, letter of expectation) does not constitute corrective action.
• The employee can be put on paid investigatory leave during fact-finding if the Chancellor feels that his/her removal from the scene is necessary during this period.
APM 150-32 (pdf) outlines the procedure for proceeding with correction or dismissal. If dismissal is contemplated for a non-Senate faculty member, the employee must be notified that he/she is entitled to a hearing before the properly constituted Senate advisory committee (Privilege and Tenure).

Resource

Non-Senate Academic Appointees/Corrective Action and Dismissal (APM 150) (pdf)

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(3) Failure of Senate Faculty to Meet Responsibilities
The procedures for dealing with Senate faculty who are alleged to have violated the Faculty Code of Conduct are outlined in APM 015 (pdf), UCD 015, APM 016 (pdf), and UCD 016. Any faculty member, University employee, or student may lodge a complaint with the Chancellor charging a faculty member with violation of the Faculty Code of Conduct -- i.e., failure to meet responsibilities of instruction, discrimination, violation of University policy, entering into a romantic or sexual relationship with a student for whom the faculty member has (or would be expected to have in the future) academic responsibility; intellectual dishonesty including research misconduct; unauthorized use of University resources, discrimination against University employees, etc. The chair is obligated to promptly report all suspected/alleged violations of the Faculty Code of Conduct through the dean to the Chancellor. The Chancellor reviews such complaints and may request a full investigation before making a decision on the complaint. If the Chancellor decides on discipline and the faculty member chooses not to accept the discipline, he/she is entitled to a hearing before the Committee on Privilege and Tenure. However, the final decision on discipline is made by the administration – by the Chancellor for written censure, reduction in salary, demotion, suspension, and/or denial /curtailment of emeritus status and by the Regents (upon recommendation of the Chancellor) for dismissal (UCD 016).
• In all such matters, it is prudent for the chair to deal with allegations as soon as they become known, so that unsubstantiated allegations do not fester for years, with nothing done to resolve them.
• The use of a mediator should be considered, if at all possible, during the early stages of a matter.
• The department should consult with the dean to be sure that appropriate procedures are being followed, that the right investigative questions are being asked, and that all informal ways of resolving the issues have been attempted.
• Appropriate precautions should be taken to safeguard the confidentiality of investigative and disciplinary proceedings.

Resources

Faculty Code of Conduct (APM 015) (pdf)

Procedures for Misconduct Allegations (UCD 015)

Faculty Conduct and the Administration of Discipline (APM 016) (pdf)

Procedures for Faculty Discipline (UCD 016)

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(4) Termination for Incompetent Performance
APM 075 (pdf) describes the procedure for termination of a tenured faculty member for incompetent performance. This is expected to be used only in rare cases. Performance refers to both teaching and research/creative activity. Because faculty undergo performance evaluations at their merit and promotion actions every two or three years, serious problems should become known at these reviews. Additionally, when departments undertake annual reviews of faculty, performance problems should become apparent prior to becoming serious enough to be considered evidence for application of APM 075 (pdf), and it is at those initial stages of the problem where the chair can have the most positive influence. Senate committees, both CAP and Privilege & Tenure, are involved in the processes outlined in APM 075 (pdf). Since untenured faculty in the professorial series are hired with ending dates, APM 075 (pdf) applies only to tenured faculty. Teaching can be deemed incompetent if the intellectual content is far below the professional standards of university instruction or the pedagogical skills of the faculty member are far below the professional standards of the university. Research/creative activity can be deemed incompetent if, by the standards of the discipline, there is a lack of activity for a number of years or research activity doesn’t meet current standards. The faculty member is to be given a period of not less than one year for improving performance, starting with written notification that the possibility of termination is being considered. It is important that the chair discuss this problem with the dean as soon as allegations are made that the faculty member is incompetent.

Resource

Incompetent Performance (APM 075) (pdf)

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(5) Conflict of Commitment and Outside Activities
The policy regarding Conflict of Commitment and Outside Activities is described in APM 025 (pdf) and Appendices A-C; and UC Davis procedures are described in UCD 025. The University considers teaching and research/creative activity to be the primary activities of Senate faculty, and therefore they are expected to receive the largest commitment of effort and energy. Those obligations entail a number of activities requiring faculty presence on campus -- e.g., meeting classes, keeping office hours, holding scheduled exams, being accessible to students, staff and faculty colleagues, and participating in academic service activities. In addition, the University expects Senate faculty to use their professional expertise to contribute to their profession and to the community. Thus, while fulfilling his/her University obligations, Senate faculty may pursue compensated outside professional activities (amount of time and type of activity are defined) that advance or communicate knowledge through interaction with industry, the community, or the public, as well as through consulting or other professional activities. Regent’s Standing Order 103.1(b) states, however, that faculty members shall not allow outside employment (either compensated on non-compensated) to interfere with their primary University duties. Compensated outside professional activities are most likely to cause real or apparent conflicts of commitment, and that is why University Guidelines (APM 025 (pdf) and UCD 025) specify the amount of time allowed for such activities.
• The chair must remind faculty annually of the requirement to request and receive prior approval for Category I outside activities. A request for written approval must be submitted to the department chair at least 30 days prior to the beginning of the activity. Requests must be approved by the department chair and by the dean. The request form is available at APM 025, Appendix B. (pdf)
• Faculty members shall not have such approval withheld arbitrarily, nor on the basis of the political or substantive content of their proposed outside activities, nor on any other basis that would be inconsistent with the principles of academic freedom. The dean retains (for five years) copies of requests and approvals (or denials) of Category I activities.
• Annual reports of Categories I and II compensated outside professional activities must be submitted to the department chair by June 30 each year. The report form is available at APM 025, Appendix C (pdf). After the department chair approves the report, it is forwarded to the dean for approval according to the established deadline.
• The chair must seek additional relevant information if there is concern as to whether a faculty member is meeting the standards of this policy.
• The chair must seek advice from the dean if satisfactory resolution cannot be reached.

Resource

Conflict of Commitment and Outside Activities of Faculty Members (UCD 025)

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(6) Conflict of Interest Created by Consensual Relationships
A consensual relationship, for the purposes of the policy defined in APM 015 (pdf), is one in which two individuals are involved, by mutual consent, in a romantic, or physically intimate, or sexual relationship. These relationships pose a potential conflict of interest when one individual has power or authority over the other, such as responsibility for supervising, directing, overseeing, evaluating, advising, or influencing the employment or educational status of the other. Such consensual relationships may lead to an abuse of power, coercion, exploitation, favoritism, or unfair treatment of others. The recent revision of the Faculty Code of Conduct includes a specific provision prohibiting a faculty member from engaging in a romantic or sexual relationship with a student for whom the faculty member has academic responsibility or should reasonably expect to have such a relationship. Conflicts of interest created by consensual relationships in employment or education may lead to charges of sexual harassment brought by third parties who believe the consensual relationship creates a discriminatory work or educational environment. Because of the potential for a conflict of interest, the individual who has supervisory, managerial, decision-making, oversight, evaluative, or advisory responsibilities shall take effective steps to remove himself/herself from any professional decisions concerning that individual as soon as practicable. Conflict of interest may be eliminated by transfer of either individual to another position, or transfer of supervisory decision-making, oversight, evaluative or advisory responsibilities to another employee, etc. Even if the consensual relationship existed prior to the time when one of them assumed supervisory authority, the conflict of interest must still be eliminated.
• If a chair becomes aware of such a consensual relationship in the department, he/she must address the issues involved. As a first step, he/she should discuss the University policy with the faculty member, or both parties. Be aware that the conflict of interest must be removed.
• If a chair becomes aware of such a consensual relationship in the department where the conflict has not been removed, he/she is obligated to investigate the allegation(s).
• The chair should document (with dates) all discussions with the individuals and inform them that violations of this policy may subject them to disciplinary procedures.
• The chair should consult with the dean’s office to be sure that appropriate procedures are being followed.

Resource

The Faculty Code of Conduct (APM 015) (pdf)

Procedures for Faculty Misconduct Allegations (UCD 015)

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(7) Faculty or Staff Violations of Other UC Policies
In addition to the policies/situations discussed above, there are a number of other UC policies that are important for maintaining an appropriate standard of conduct by all members of the campus community. Among these are two that can result in disciplinary measures if violated.

• University Policy on Substance Abuse (alcohol and other drugs). APM 190--Appendix C (pdf) outlines the goal of keeping the campus worksite free from illegal use, possession, or distribution of alcohol or of controlled substances (schedules I-V of The Controlled Substances Act 21 of the U.S. Code 12, etc.) and prohibits the use of illegal substances in a manner that impairs work performance. Employees and students violating the policy may be subject to corrective action, up to and including dismissal, or may be required to participate satisfactorily in an Employee Support Program.

University Policy on Integrity in Research. APM 190--Appendix B (pdf) reaffirms the University’s commitment to integrity in research by requiring that all persons engaged in research at the University be responsible for adhering to the highest standards of intellectual honesty and integrity. Policies apply to faculty, staff and students and there are procedures for addressing allegations of misconduct, as well as disciplinary measures for those found to be violating the policy. If allegations are made against any department member with regard to either of these policies, the chair should consult with the dean to determine the best way to proceed. The campus policy regarding research misconduct is outlined in UCD Policy and Procedure Manual Section 240-50.

Resources

University of California Policy on Substance Abuse (APM 190, Appendix C) (pdf)

Consumption of Alcoholic Beverages (P&P Manual-Section 270-21)

University Policy on Integrity in Research (APM 190-Appendix B) (pdf)

Integrity in Research (P&P Manual, Section 220-05)

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