July 29, 2022
DEANS, EXECUTIVE ASSOCIATE DEANS, ASSOCIATE DEANS, ASSISTANT DEANS, VICE PROVOSTS, VICE CHANCELLORS, DEPARTMENT CHAIRS AND ACADEMIC PERSONNEL EXPERTS
RE: 2022-2023 Annual Call for Academic Personnel Advancement for Academic Senate and Academic Federation Actions
With this Annual Call for the 2022-23 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)
New – Restrictions on New Hire Offers from other UC Campuses: When the candidate is from another UC campus, Deans and department chairs should not make any offers or promises during the recruitment process about increasing off-scale salary. This is required even when the faculty member’s off-scale salary component at UC Davis would be less than the average off-scale salary in the college/school and scale. At least one year must transpire before any adjustment in off-scale will be allowed, with the exception of adjustments mandated by the campus or UCOP.
Reminder – Required STEAD-certification for Members of Faculty Recruitment Committees: All members of faculty (ladder, Academic Senate, including LSOE series) 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 all recruitment committee members who will be serving on faculty recruitment committees sign up for this training as early as possible. Accessing certification information is described here: https://aadocs.ucdavis.edu/training/stead-faculty-search-committee-workshops/Stead-Certification-Finder-Instructions.pdf . 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 2019-20 academic year will retain certification until June 30, 2023.
- SOM/SON faculty recruitment committee members may also participate in the STEAD program to become certified if serving on faculty recruitments described above.
- Non-UCD members of a faculty search committee must also be certified.
NOTE: The STEAD committee has added two additional workshops, as follows: “Setting the stage” aimed at deans, associate deans, chairs, and staff on preparing for a faculty recruitment, and a workshop for members of CAP and FPCs regarding implicit bias in the review process. While these workshops are not mandated, attendance for those groups 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 – Distinguished Professor Emerita/us: For faculty who are at Professor, Step 9 or 9.5 and who will be retiring before advancing to Above Scale, department(s) may prepare a dossier requesting the title “Distinguished Professor Emerita/us” that would be forwarded to the Dean’s office and to CAP per the Delegation of Authority and assessed by the standards of UC APM 220-18.b.4. This action would need to be completed in the year of the faculty member’s retirement. If approved, this title would be conferred upon retirement. This process is a change in title only and will not result in advancement to Above Scale. Faculty who retired on August 31, 2020 or later and were either at Step 9 or Step 9.5 will be eligible to retroactively go through this process. Actions will need to be submitted in academic year 2022-2023.
New – Peer Evaluation of Teaching for Any Action: Faculty can request a peer evaluation of teaching for any action in order to provide a more balanced perspective on their teaching record beyond student evaluations.
New – Items to Include with Extramural Letter Requests: While UC Davis has recently encouraged departments to utilize a more holistic evaluation process for advancements due to the deleterious impact of the pandemic on academic careers, extramural letter writers may not be aware of this. Therefore, when seeking extramural letters, we recommend that Department Chairs also consider including with the request the candidate’s statement, statement of contributions to diversity, equity, and inclusion, and, if available, the COVID opportunities and challenges statement. Any of these items provided to extramural letter writers should first be approved by the candidate, as some faculty may not wish these documents to be shared outside the university.
New – Jr. Specialist Reappointment Guidance: Absent serious performance issues, a Jr. Specialist reappointed for a second year in that title must be moved from salary step 1 to salary step 2.
New – COVID Impact Statements in MyInfoVault (MIV): COVID impact statement should be uploaded into MIV as “COVID Opportunities and Challenges Statement.” This should no longer be included as the 6th page of a Candidate’s Statement.
Clarification – Advancement Announcements: Department Chairs should not announce the outcome of a candidate’s merit/promotion to the department faculty. The announcement should only be made to the candidate whose advancement action it is.
Clarification – Reference Check Process: Reminder that the reference check program for new faculty hired with tenure or security of employment is mandatory for hires at the associate professor and associate professor of teaching and greater ranks. In addition, following Academic Senate consultation, we are also integrating the 2021-22 pilot that extended the reference check process for proposed hires in the professorial and lecturer with security of employment series at the assistant professor rank (restricted to steps 4, 5, and 6) and Acting Professors of Law (all steps) into our current process. You can find more details on Academic Affairs’ Reference Check Information webpage.
Clarification – Extramural Letter Solicitation: Extramural letters should be solicited from faculty of a rank equal to or above the rank sought by the faculty member. UCD 220 V4.b.
Extended - Exception to September 30 Material Submission Deadline for Academic Year 2022-23: 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, 2022 through December 31, 2022. 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 2022-23 action.
Reminder – Candidate’s Statement: Enforcing the Five-Page Rule: Central review committees have indicated that for reasons of equity they will no longer accept any statements of more than five pages. Deans should return dossiers with longer statements to the departments to avoid delays, because otherwise the review committees will return them. This will also hold for promotion and barrier step actions.
Reminder – 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.
Reminder – 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.
Reminder – Extension Requests: Every year the Annual Call includes advancement deadlines published in Appendix A. The published deadlines exist to ensure that peer and administrative review proceeds in a timely manner and to allow for prioritization of workload for the Academic Senate and Academic Federation review committees. Please remember that extensions must be requested prior to the due date of the action. No extensions for the submission of late merits or promotions will be granted without strong justification. Authority to grant extensions to the published deadlines and/or issue administrative deferrals will depend on the delegation of the eligible action.
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 – Voting Procedures: Department Chairs are encouraged to work with their departments to regularly review their voting procedures and peer review guidelines.
Reminder – Department Letter Requirements: For those academic employees in series that do not 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.
Clarification – Position Descriptions: When a position description exists, please upload it to the dossier. The position description should be consistent with the department’s expectations and the academic appointee’s contributions. If there are changes during the review period, the previous and current/new position descriptions should be uploaded and reflect the new percentages and/or duties.
Reminder – Ballots for Accelerated Promotions: Remember to include the lateral promotion option on accelerated promotion ballots.
Reminder – Joint Department Reviews: When a joint department does their concurrent review of an advancement action, the primary department is not required to share their department letter. The reviews should be run independently. (APM UCD 220 Procedure 2)
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 LSOE 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 buyouts, taking a leave of absence, etc., the advancement may be denied. 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 – MyInfoVault Considerations: In MyInfoVault, once a redelegated action is completed, it should be sent to Post Audit. Also, please convert your appointees to candidates as soon as they have computing accounts. This allows appointment actions to be archived and prevents issues when the candidate has their first advancement action.
Reminder – 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.
Reminder – 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.
Reminder – 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.
Reminder – 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.
Reminder – 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.
Reminder – 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.
Reminder – 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. A complete set includes written comments. 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 – 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 – 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 current 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 – 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. Only students who were currently enrolled during the time period under review should be included.
Reminder – Academic Year Retirement Dates: Information on retirement dates for Academic-Year Appointees can be found on the Academic Affairs website, https://academicaffairs.ucdavis.edu/retirements-and-recalls#Retirement%20Dates.
Update – New/Updated Resources: the following resources have been updated and posted on the Academic Affairs website:
- UCD APM 220, Procedure 4 - Five-year Review
- Five-year Review Checklist
- Endowed Chair Checklist
- Notification of advancement eligibility for an Academic Federation member (Step Plus) Form
The following new checklists have been created and posted on the Academic Affairs website (https://academicaffairs.ucdavis.edu/forms-and-checklists):
- Checklist for Part-Time Administrative Appointments and Reappointments
- Checklist for Deferral – Research Academic
- Checklist for Jr. Specialist Promotion
Reminder – Annual Certification Reporting of Outside Professional Activities (OPA): Faculty members and Specialists in Cooperative Extension (CE) are now able to submit their 2021-2022 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. There are many resources available on the Academic Affairs OATS webpage: https://academicaffairs.ucdavis.edu/oats
The deadlines for 2021-2022 reporting have not been established yet, but will be provided when the official notice and call for reporting is disseminated.
Faculty and Specialists in CE who will be resigning or retiring from the University are expected to complete an annual certification report prior to their last day of employment. In order for them to be able to report, we need department staff to send an email to the UC OATS help desk (email@example.com) with the following details: first and last name of the person, reason for their separation (e.g., resignation, retirement, etc.) and the effective date. Providing this information allows us to manually enable the annual certification report for them.
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 2021-2022 may be found at: https://www.ucop.edu/academic-personnel-programs/academic-personnel-policy/policy-issuances-and-guidelines/policy-issuances-current.html
Revised – APM 710, Leaves of Absence/Sick leave/Medical leave, APM 715, Leaves of Absence/Family and Medical Leave: Effective February 10, 2022. The revisions include technical revisions to bring the policies into compliance with AB 1022 which expands the definition of "parent" in CFRA to include "parents-in-law". Technical revisions were also made to APM - 710 to align with revisions made to APM - 715 regarding CFRA.
Revised – Multiple APM Policies: Effective April 20, 2022. Various Academic Personnel Manual Sections with technical revisions to update references to Regental governing documents. The updates were due to amendments to certain Regents’ Bylaws and Regents’ policies and the rescission of several Regents’ Standing Orders that affected references to the Regental governing documents in a number of APM policies. In addition to these technical revisions, technical revisions were made to APM – 205, Recall for Academic Appointees, and APM – 220, Professor Series, to remove references to Standing Order 103.6, Retirement and Reappointment Following Retirement, which was rescinded by the Regents several years ago to eliminate the mandatory retirement age.
Revised – APM 759, Leaves of Absence/Other Leaves Without Pay: Effective July 1, 2022. The key policy changes include: addition of examples of "good cause" for a leave without pay including leaves for innovation and entrepreneurship; language added to clarify that a leave without pay shall not exceed one year in length; however, a leave may be renewed in increments of one year or less, but not indefinitely; cross-references to other applicable policies; and other revisions to improve overall clarity and intent.
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 2021-2022.