July 30, 2021
DEANS, EXECUTIVE ASSOCIATE DEANS, ASSOCIATE DEANS, ASSISTANT DEANS, VICE PROVOSTS, VICE CHANCELLORS, DEPARTMENT CHAIRS AND ACADEMIC PERSONNEL EXPERTS
RE: 2021-2022 Annual Call for Academic Personnel Advancement for Academic Senate and Academic Federation Actions
With this Annual Call for the 2021-22 academic year, I am pleased to remind you of changes in policies, procedures, and interpretations that have taken place over the past year.
We strongly recommend that department chairs review this information and distribute it to all academic appointees. We also encourage department chairs to discuss important new items and reminders with academic appointees at a department meeting.
Please pay close attention to the deadlines for both non-redelegated (central campus) and redelegated (dean) actions in Appendix A of this Annual Call.
Please contact our office if you have any questions on any of this information/guidance. Thank you for your assistance and cooperation in continually improving the complex advancement process at UC Davis.
Philip H. Kass
Vice Provost—Academic Affairs
Professor of Analytic Epidemiology,
Population Health and Reproduction (Veterinary Medicine), and Public Health Sciences (Medicine)
Vice Provost Academic Advisories (AA) are issued during each academic year to describe changes and provide clarification on policies and practices. There were no new advisories issued in 2020-21. A complete list of Vice Provost Advisories is accessible on the home page of the Academic Affairs website or by entering this website address: https://academicaffairs.ucdavis.edu/academic-advisories.
Reminder – Required STEAD-certification for Members of Faculty Recruitment Committees: All members of faculty recruitment committees must be STEAD-certified, or certified through participation in School of Medicine (SOM) recruitment workshops, before the evaluation of applicants ends. Department Chairs should ensure that faculty members who will be serving on faculty recruitment committees sign up for this training as early as possible. This information is available in the Event Management System housed in Academic Affairs. The STEAD workshop schedule can be found at: https://academicaffairs.ucdavis.edu/stead. Registration for the School of Medicine workshops can be found at: https://health.ucdavis.edu/facultydev/faculty-development-offerings/faculty-search-committee-training.html.
- STEAD certification expires after three academic years. A faculty member who participated in STEAD or SOM workshops during the 2018-19 academic year will retain certification until June 30, 2022.
- SOM/SON faculty members may also participate in the STEAD program to become certified.
- Non-UCD members of a search committee must also be certified.
NOTE: The STEAD committee will be adding a new workshop related to faculty searches in the coming year. While this workshop is not mandated, attendance is encouraged. More information will be available on the STEAD webpage here: https://academicaffairs.ucdavis.edu/stead.
Reminder – Approving Shortlist Reports in Recruit: There are three reminders related to approving Shortlist Reports in Recruit:
- The hiring authority, or potential hiring authority, should not be the approver of the Shortlist Report.
- Search committee chairs must ensure that either the Faculty Recruitment Conflict of Interest (COI) Statement and Form or the Non-Faculty Recruitment Committee Conflict of Interest (COI) Statement and Form is completed and uploaded to the recruitment at the same time the Shortlist Report is submitted for review and approval routing. Both of these documents were updated in 2021, and can be accessed on our Forms and Checklists webpage. The statement and form should be uploaded to the “Documentation” tab, under the “Letters and memos” section of the recruitment. Shortlist Reports will not be reviewed or moved forward to the final decision authority until the COI Statement and Form is added to the recruitment.
- For Senate Shortlist Reports the “Equity Advisor” role, filled by Academic Affairs, is advisory to the final approval authority. For this reason, Academic Affairs will update the Recruit Senate Shortlist Report approval workflows so that the routing reflects the advisory role properly.
New – Candidate’s Statement: Enforcing the Five-Page Rule and Addressing the Impacts of COVID-19: CAP has indicated that for reasons of equity they will no longer accept any statements of more than five pages, with one exception: an additional page will be allowed if it is strictly devoted to COVID-related impacts on the advancement action. Deans should return dossiers with longer statements to the departments to avoid delays, because otherwise CAP will return them. This will also hold for promotion and barrier step actions.
New – Peer Evaluation of Teaching for Any Action in 2021-22: Faculty can request a peer evaluation of teaching for any action in 2021-22, in order to provide a more balanced perspective on their teaching record beyond student evaluations.
New – Extramural Letter Requirements for Lecturers with Potential Security of Employment: For consistency in the application of peer review standards for all Academic Senate faculty, 6-8 extramural letters, half of which should be arm’s length, are now required for promotion from Lecturer with Potential Security of Employment to Lecturer with Security of Employment. The Extramural Letters Chart has been updated to reflect this change.
New – Extramural Letter Requirements for Adjunct Professors and Health Sciences Clinical Professors: Extramural letters are no longer required for Adjunct Professors and Health Sciences Clinical Professors undergoing merit reviews that cross the full rank, step 6 barrier. As with Senate faculty, extramural letters are optional for this barrier review, and if requested, the regular procedure for soliciting letters must be followed. The Extramural Letters Chart and Merit Checklist have been updated to reflect this change.
New – Changes to the Grants and Contracts Section in MyInfoVault (MIV): Four new fields were added to the Grants and Contracts data category in MIV last year: On-Campus Amount, Off-Campus Amount, Number of PIs/Co-PIs, and List all PIs and Co-PIs. These fields were added to give reviewers a more complete understanding of the award, which will aid in their evaluation. These new fields are now required for “Active” contracts and grant records in MIV (effective 7/31/2021). While they are not currently required for “Completed” contracts and grants, these fields should be filled in for all awarded grant records in the review period.
New – Sabbatical Reports now Required in Merit and Promotion Dossiers: Per APM 740-97, sabbatical reports should be part of the supporting materials submitted with any proposal for promotion or merit increase, when the sabbatical took place during the review period. A new upload location for Sabbatical Reports has been added to MyInfoVault (MIV), on the Open Action page. As a reminder, sabbatical reports are due 90 calendar days following return from leave.
New – New Data Category for the Lecturer with Security of Employment series in MyInfoVault (MIV): A new data category has been added to MIV so that those in the Lecturer with Security of Employment series can record their participation in programs of study (workshops, symposia, courses, etc.), that enhance their teaching and scholarly responsibilities, per APM 210-3. The new data category can be found in MIV by navigating to Enter DataàEducationàLSOE Programs of Study.
New – Published and Peer-Reviewed Proceedings: Candidates who have proceedings that are published and peer-reviewed are encouraged to link to a copy of the acceptance letter or other appropriate documentation to highlight the venue at which the publication was accepted and/or that reflect the peer review practice used by the venue and acceptance rate.
New – Administrative Position Descriptions: Candidates are encouraged to upload position descriptions for any administrative appointments that they hold so reviewers can understand the distinction between their administrative service and service related to their academic title, particularly if they are being recommended for extra half-steps for service.
Update – Reference Check Process and New One-Year Pilot: The reference check program for new faculty hired with tenure or security of employment has completed its two-year pilot phase and will now be mandatory for hires at the associate professor and associate professor of teaching and greater ranks. In 2021-22 we will be instituting a new pilot extension for proposed hires in the professorial and security of employment series at the assistant professor rank (restricted to steps 4, 5, and 6) and Acting Professors of Law (all steps). You can find more details on Academic Affairs’ Reference Check Information webpage.
Extended - Exception to September 30 Material Submission Deadline for Academic Year 2021-22: If an advancement action is not recommended or approved (i.e., a 0-step increase) by any reviewer (department or equivalent, FPC, Dean, or CAP), academic members may request an extension due to COVID-19-related reasons to include any new activities and achievements between October 1, 2021 through December 31, 2021. The dossier will then be returned to the department for a new vote. If advancement is achieved based on the extended deadline, then the line demarcating periods of review in MIV will be drawn below the materials used in the 2021-22 action.
Clarification – Manuscript Revisions: Candidates should not include manuscript revisions that are published by open access scholarly publishers as a separate published journal article in their MIV journal list even if the Pub Med function in MIV provides a separate citation in their journal publication list. This manuscript revision citation can be added to the original manuscript citation.
Clarification – Academic Review Packet Line Drawing for Review Period: All checklists for preparing dossiers for academic review includes guidance to indicate those materials that have been added since last approved action, if applicable, by drawing a line using the feature in MyInfoVault (MIV). Be sure to use this feature for drawing a line that represents the terminal degree on all lists in Publications, Creative Activities, and Extending Knowledge (if cumulative). Previous lines drawn should remain for future actions, especially for promotion actions and actions that cross barrier steps. Lines should include effective date and new rank and step for all previous actions. For Senate title series, accomplishments since terminal degree and prior to appointment at UC count towards promotion to the associate rank and accomplishments prior to appointment may count towards promotion to full rank or merit to a barrier step (e.g., APM UCD 220 IV. C. 2. and E. 2.). Previous accomplishments prior to appointment are not counted towards promotion for Federation title series subject to APM UCD 220AF (e.g., APM UCD 220AF IV. E. 1.).
Reminder – Terminal Degrees: For candidates with multiple terminal degrees (e.g., Ph.D. and M.D.), the review period for promotion to the Associate rank is since the first terminal degree awarded.
Reminder – Student Evaluation Requirements: Per the Academic Affairs’ checklists, candidates need to provide links to the evaluation summaries for all courses in the review period and at least two complete sets of evaluations. Preferably, these two complete sets of evaluations will be from a diversity of courses with the highest enrollments.
Reminder – Student Evaluations from Winter and Spring 2020: Faculty have the option to exclude evaluations for Winter 2020 and Spring 2020, where review policies for represented employees permit.
Reminder – Annual Review of Faculty Members: Per APM 220-80.b, Department Chairs are responsible for reviewing the status and performance of each faculty member in their department. It is understood that merit eligibility has set intervals (e.g. every two, three, or four years), however, department chairs should be checking in annually with their faculty to make sure they are aware of cases for possible promotion as well as cases of unsatisfactory performance.
Reminder – Teaching Expectations for Faculty: All faculty are expected to fulfill all criteria in APM 210 and APM 220 relevant to their series in order to advance, including teaching students. Departments are encouraged to include in their letter the normal teaching load for faculty in the Professorial and L(P)SOE series. Mentoring graduate students is not a substitute for teaching. If an above-scale faculty member elects not to teach during a review period via course buy-outs, taking a leave of absence, etc., the Committee on Academic Personnel – Oversight Committee has been recommending against advancement. Department Chairs should not authorize faculty to opt or buy out all their teaching through course releases, etc. unless it is made clear that future advancement may not be approved.
Reminder – Documenting Research and Service in a Dossier: Faculty are always encouraged to explain the context and impact of their research and service in their Candidate’s Statement so that reviewers can recognize the uniqueness of their academic endeavors. While all areas of research and scholarship are valued, candidates often appreciate the opportunity to highlight unusual and distinguishing features of their work, such as influencing public policy, international research and engagement, public scholarship, work with underrepresented groups and disadvantaged communities, etc. Highlighting such efforts in the Candidate’s Statement can provide important insights that are otherwise not always evident in an advancement dossier.
Reminder – Checklists for Academic Researchers: A checklist for the Academic Researchers (Professional Researchers, Project Scientists, and Specialists) for inclusion in the notice of eligibility for merit/promotion review has been created to make it more clear what documentation is added to the dossier by the candidate. This new checklist is available on our Forms & Checklists page under Academic Review Forms/Templates.
Reminder – Five-year Review and Deferral Requirements Expanded to Specialists in Cooperative Extension: Effective July 1, 2020, all Specialists in Cooperative Extension, regardless of rank and step, must be reviewed at least once every five years. This requirement also means that a deferral must be requested when the employee is eligible but chooses not to pursue advancement. The APM UCD 220AF, Academic Personnel Attributes Chart, Delegation of Authority, and Forms & Checklists have all been updated.
Reminder – Department Letter Requirements: For those academic employees in series that don’t have a formal position description, where the department has set expectations on % of time/effort in a given domain (e.g. teaching or clinical work), please provide those expectations in the first paragraph of the department letter as context for academic reviews. This includes series such as Adjunct Professor or Professor of Clinical ____ which have been highlighted in similar messages in past annual calls, but expands to also include others without formal position descriptions.
Reminder – Faculty Serving as Reviewers or on Editorial Boards: Faculty members should indicate in MyInfoVault (MIV) the number of manuscripts managed each year as part of their editorial board service, and the number of manuscripts reviewed separately for each journal during the review period. As a reminder, on-line links to journal editorial board membership should always be provided in MIV.
Reminder – Faculty Receiving Awards During the Review Period: Many actions contain references to awards that are unknown to reviewing bodies. In MyInfoVault (MIV), candidates are expected to provide the name of the organization conferring the award, the reason for the receipt of the award, the award’s professional significance, the year the award was received, and a link to the award, if available.
Reminder – Extramural Letter Requirements: In the professorial series, extramural letters are optional for merit reviews that cross the full rank, step 6 barrier. However, if extramural letters are requested the regular procedure for soliciting letters must be followed, including seeking letter writer recommendations from the candidate under review. A minimum of three arm’s length letters are required, and all received letters must be included in the review. The Extramural Letters Chart has been updated to reflect these clarifications.
Reminder – Department Chair Service: To help reviewers appropriately recognize service contributions of department chairs, please consult the guidance provided in APM UCD 220 Exhibit D.
Reminder – Serving as Chair on a Thesis/Dissertation Committee: In the TeachingàThesis Committees section of MyInfoVault (MIV), faculty members should include any graduate students whom they have advised in the role of Chair, even if the graduate students have not yet advanced to candidacy.
Reminder – Annual Certification Reporting of Outside Professional Activities (OPA): Faculty members and Specialists in Cooperative Extension (CE) are now able to submit their 2020-2021 Annual Certification reporting of OPA by entering details in the UC Outside Activity Tracking System (OATS). Annual certification reporting that is not fully completed could result in a violation of university policy concerning Conflict of Commitment. Note: The deadlines for reporting have not been established yet, but will be provided when the official notice and call for reporting is disseminated. There are many resources available on the Academic Affairs OATS webpage: https://academicaffairs.ucdavis.edu/oats
Reminder – Conflict of Commitment Policies (APM 025 and APM 671) and Conflicts of Interest in Research: Whether paid or unpaid, faculty members must disclose all Category I and II OPA. Faculty members are required to obtain prior approval before engaging in Category I activities. Approval of Category I activities is not guaranteed, so each Category I request must be submitted for consideration in advance of the commencement of the activity. Failure to include all of the required details, including the “Additional Information Requirements for Category I Prior Approval Requests” documentation, may result in the request being returned and cause further delays of the review and approval process. Final approval from the Provost must be received in advance of engaging in the activity or a violation of university policy concerning Conflict of Commitment could result. Faculty members must use UC OATS for obtaining prior approval.
In addition, there are financial Conflict of Interest (COI) disclosure requirements that research faculty must observe to ensure that all the Federal, State, and UCD Policy COI disclosure rules and regulations are satisfied. For more information, please go to the following webpage:
https://research.ucdavis.edu/policiescompliance/coi/. Also, if you are involved in international research, collaborations with researchers outside of the United States, or other international activities, there are COI disclosure rules, grant reporting obligations, and/or export control licensing requirements that may be triggered by these activities. For complete details and guidance, please go to the following website: https://research.ucdavis.edu/policiescompliance/international-relationships-and-activities/
Academic personnel policies issued during 2020-2021 may be found at:
New – APM 011, Academic Freedom, Protection of Professional Standards, and Responsibilities of Non-Faculty Academic Appointees: Effective February 1, 2020. This is a new policy that enshrines in University policy that academic freedom, pursuant to APM 010 (Academic Freedom) and Part II of APM 015 (The Faculty Code of Conduct), extends to non-faculty academic appointees when they are engaged in teaching, research, scholarship, or the public dissemination of knowledge.
Revised – Multiple APM Policies: Effective September 23, 2020. Multiple policies of the Academic Personnel Manual were technically revised to remove gendered language.
Revised – APM 025, Conflict of Commitment and Outside Professional Activities of Faculty Members: Effective January 15, 2020. The revised policy reflects technical revisions made to correct an inadvertent omission of language regarding uncompensated outside professional activities during the summer months in APM 025-8-c, removed gendered language, and now conforms with recent updates and revisions to other APM policies.
Revised - APM 240, Deans, and APM 246, Faculty Administrators (100% Time): Effective November 20, 2020. Revisions included alignment with revisions to APM 025, Conflict of Commitment and Outside Activities of Faculty Members to clarify that both uncompensated and compensated activities are reported and count toward the time limit, but that vacation days are deducted only for compensated activities, additional language that clarifies that Deans and Faculty Administrators who hold concurrent Health Sciences Compensation Plan appointments are subject to APM 670, Health Sciences Compensation Plan, and APM 671, Conflict of Commitment and Outside Activities of Health Sciences Compensation Plan Participants, and clarification to the language in Sections 240-18-a( 5) and 246-18-a( 4) to refer to the salary of the underlying faculty appointment since faculty administrative salaries should be greater than the underlying faculty appointments.
Revised – APM 700, Leaves of Absence/General, APM 710, Leaves of Absence/Sick Leave/Medical Leave, APM 715, Leaves of Absence/Family and Medical Leave, APM 720, Leaves of Absence/Holidays, APM 730, Leaves of Absence/Vacation, APM 740, Leaves of Absence/Sabbatical Leaves, APM 750, Leaves of Absence/Leave for Service to Governmental Agencies, APM 751, Leaves of Absence/Military Leave, APM 752, Leaves of Absence/Leave to Attend Professional Meeting, APM 758, Leaves of Absence/Other Leaves with Pay, APM 760, Leaves of Absence/Childbearing Leave, Parental Leave, and Active Service-Modified Duties: Effective July 1, 2021. Substantive revisions were made to the policies to clarify intent of language. Technical revisions were made to remove gendered language and to correct minor grammatical errors. Language was added to address the new Pay for Family Care and Bonding (PFCB) pay option. Also, increased pay for childbearing and childrearing leave for eligible appointees from six to eight weeks and removed eligibility criteria for age of child for active service-modified duties (ASMD). New sections were added on bereavement leave and jury duty leave. Also, changes were made to comply with SB1383 requirements expanding California Family Rights Act (CFRA) effective January 1, 2021.
Rescinded – APM 385, Independent Contractor: Effective March, 22 2021.
Local campus academic personnel policies may be found at: https://academicaffairs.ucdavis.edu/apm/apm-toc
There were no new or revised local policies issued in 2020-2021.