Office of Academic Personnel Update Meeting November 19, 2015 Glassrock Auditorium, Room 7106

Agenda

Introductions/Staff Updates Capital Resource Network Special Faculty Permit Program Faculty Search Committee UCD Recruit Step Plus and MIV Update Academic Appt Process: 2014-15 Lessons Learned Faculty Development

Introductions and Staff Updates

Brent Seifert

Special Faculty Permit Program Faculty Search Committee

UCD Recruit

LeeAnn Clifton

Special Faculty Permit Program

Section 2113 registrants that plan to apply for a CA medical

license are required to have a minimum of 80% of clinical workload to qualify for licensure. If current clinical effort is less than 80% an addendum request will be required. The Department Chair would provide an addendum request.*

To request a Letter of Good Standing from the Dean, a Letter

of Support from the Department Chair is required.* * Please contact Annie Caruso or LeeAnn Clifton for examples.

Faculty Search Committee Training Requirements and Compliance

ALL faculty search committee members must attend a mandatory

training workshop in order to serve on committee - this includes staff and/or other academic titles.

Members not in compliance with the training mandate prior to the first application review date will need to be removed or replaced on the search committee by a person who has completed the training.

Compliance ‘certification’ is valid for 3 years. Notices will begin being sent in June/July 2016 for re-training.

A list of department personnel in compliance will be sent by December 1st to each Department Chair and CAO and will include ‘certification’ expiration date.

Upcoming Faculty Search Committee Training Sessions

Training sessions are offered on both Sacramento and Davis campuses. Sacramento Campus Training Enhanced Training for Faculty Search Committee Members December 10, 2015 from 2:30pm – 4:30pm Schedule and registration information available at: https://somapp.ucdmc.ucdavis.edu/academicaffairs/courses/secure/Courses.cfm?Status=10 Davis Campus Training STEAD Faculty Search Committee Workshop Tuesday, January 12, 2016, 2:00-4:00 PM Schedule and registration information available at: http://academicaffairs.ucdavis.edu/training-and-development/stead/index.cfm

Academic Advisories Advisory # AA2015-05 – Recruitment Process Changes

– Several process changes including new required language for entries in UCD Recruit

Advisory # AA2015-07 – Disclosing Potential Conflicts of Interest (COI) in Faculty Recruitments – Disclosure required for all recruitments effective 9/1/2015

http://academicaffairs.ucdavis.edu/policies/vp-advisories/index.htm

UCD Recruit Training Potential Conflicts of Interest (COI) Form requirements in

UCD Recruit (Deans Advisory #AA2015-07). – Must be submitted prior to/or with Shortlist Report and uploaded by

Department to UCD Recruit

UCD Recruit

Submitting Shortlists via UCD Recruit prior to any interviews – Change status to “recommend for interview”, candidates not being

considered must have valid disposition reason updated.

UCD Recruit

Using reference information from Recruit to solicit letters for appointment packets (uploaded letters of reference), as applicable. – See referee letter chart:

http://www.ucdmc.ucdavis.edu/academicpersonnel/documents/Extramural_letters_Chart_revised_9.12.14.pdf

UCD Recruit

Step Plus and MIV Update Academic Appointment Process:

2014-15 Lessons Learned

Nicole Steele Brian Darnell

Jennifer Gastineau

– The dossier should make it clear which activities and achievements fall within the review period

– Links to publications should be active and accessible to UC Davis staff and faculty

– Before “signing off” on the dossier, the candidate is responsible for checking the accuracy of the record. Common problems: • Listing non-existent editorial boards or memberships that

did not apply for the review period • Continuing to list service that ended before the review

period • Failure to indicate % responsibility for co-taught classes • Listing graduate or undergraduate mentees that

completed degrees prior to the review period • Failing to indicate positions for completed graduate

mentees

Under Step Plus, Accurate Dossiers are Critical

Writing Effective Department Letters “Recommended action” was inconsistently applied last year Recent change: the candidate can no longer request the step Report the full vote and all the rating scores. Discuss potential weaknesses in the record, as well as strengths. Recommended: append all ballot comments to the letter.

– “NO” voters must provide explanation – if comments are not provided must be stated in letter

– Encourage comments on positive ballots If >1.0 step advancement is being recommended by the majority

of the department: – Clearly identify which areas of performance are outstanding – Explain ways in which performance greatly exceeds expectations for

regular advancement

Writing Effective Department Letters Professor 6 is still a barrier step that requires “evidence of sustained

and continuing excellence” in each of the following three categories: (1) Scholarship or Creative Achievement (2) Teaching (3) University and Public Service Above and beyond that, great academic distinction, recognized nationally,

will be required in scholarly or creative achievement or teaching. – Demonstrating this kind of impact without extramural letters requires extra effort and detail – Include achievements and activities since Promotion to full Professor.

Intellectual and creative leadership in team research is critically important for advancement. Fair evaluation of such research often hinges on the candidate’s described role in co-authored work.

For advancement past barrier steps, APM criteria must be addressed

Above Scale advancement

– The criteria for merit increases are steep at this high rank. Advancements of 1.5 steps require an exceptionally strong record of excellence in all three areas of review, with exceptional achievement in research and creative work, and outstanding performance in at least one additional area of review.

– The criteria for merit increases are steep at this high rank. – Normal (1-step) advancement requires continued performance at levels

commensurate with the expectations for an Above-Scale Professor. – Only in the most strongly justified cases will advances of more than one step

be considered.

• Advancement of 1.5 steps requires continued performance at levels commensurate with the expectations for an Above-Scale Professor, accompanied by outstanding achievement in one area.

• Advancement of 2.0 steps requires continued performance at levels commensurate with the expectations for an Above-Scale Professor, accompanied by outstanding achievement in two areas.

Academic Federation – Step Plus As of July 1, 2015 Step Plus rules and guidelines are applied to AF titles:

– Adjunct Professor – Health Sciences Clinical Professor – Professional Researcher – Project Scientist – Specialist

All AF members are eligible for advancement at scheduled intervals, as set by

system-wide policy….. All AF members can expect to advance at normal rates, unless a major deficiency in their performance is evident.

There is no transition period– only promotions are allowed to be accelerated in time

AF members receiving > 1.0 steps will be eligible for the Step Plus supplement and increment

Other non-represented AF titles will be considering the Step Plus system this year for possible adoption in 2016-17

AF Notification of Advancement Eligibility Form

What about positions funded by soft money? – All AF members must be notified of eligibility

to advance (APHID) – Discussion involving AF candidate, Chair and

PI should include a cost analysis – Candidate is able to select option (form will

be included in dossier): • Defer (candidate will be eligible the next

year) • Request advancement of 1.0-step only (if

funding is insufficient, may require a reduction in time)

• Request Step Plus advancement and vote on all options (if funding is insufficient, may require a reduction in time)

http://academicaffairs.ucdavis.edu/local_resources/docs/forms_and_chec

klists/Notice_Eligibility_Federation_Members.pdf

2015-16 Step Plus actions determined by vote

2014-15: Candidates specified how many steps. This didn’t work as intended - instead caused various problems with voting and delegation.

2015-16: All actions are voted on in a neutral fashion and the vote determines how the action is sent forward

Neutral: Do not propose a higher than 1 step advancement before the vote but feel free to illustrate what the various steps would represent

Example: Dr. _ is currently Full Professor (Regular), step 3. Before the vote the (draft) department letter should not

propose a certain outcome. Vote on the action with options for 1.0 step to step 4, 1.5 steps to step 4.5, or 2.0 steps to step 5. After the vote, the action form and department letter should be modified to reflect the majority vote.

Majority and counting votes in Step Plus

Majority*: 50% or more of the total votes support the outcome (don’t count abstentions).

Counting Votes: We want to find the highest outcome that has majority support. Start by checking for majority support for 2.0. If no majority support, move to next lower (1.5). If no majority support for 1.5 then check 1.0 (vs. No). When checking a certain outcome, if votes exist for a higher outcome, count those as support.

*50% is not a strict majority but ties go to the higher outcome so we count it as majority.

Examples - How to count votes Example 1: 6 votes for 2.0, 6 votes for 1.5, and 6 votes for 1.0. First we check majority for 2.0 – 6 support 2.0, 12 do not (of 18 total). 33% is less than

50% so we move on. For 1.5 we count the votes for 2.0 along with the votes for 1.5, so 12 votes support at least 1.5, and 6 do not. Action goes forward as 1.5 steps.

Example 2: 2 vote for 2.0, 7 vote for 1.5, 9 vote for 1.0. First we check 2.0, not enough support. Then we check 1.5 (counting the 2.0 votes as support for 1.5) Tied, 9 to 9. We have found at least 50% support. This action should be put forward as 1.5.

Example 3: 0 votes for 2.0, 1 vote for 1.5, 5 votes for 1.0, 6 Abstain, 6 No. Abstentions do not get counted. Check for 2.0, no support. Check 1.5, not enough

support. Now check 1.0 (vs. No), counting higher votes as support for 1.0 – 6 for 1.0 vs. 6 for No. 50% support the action as 1.0 (make sure to include comments for No votes in department letter, and other comments too.)

New MIV functionality Old version (one packet)

Design Dossier Send packet to Dept.

New version (multiple packets) Manage/Edit Packet

Packet Request/Submit

Packet

Link to training video: http://academicaffairs.ucdavis.edu/tools/miv-information/training-videos.html

Remember to “Start Action” before attempting a Packet Request

Packet Request tips • Packet Request button is found at the bottom of the list at department level • When you “Request Packet” it sends an email to the candidate – you can add a note • In order to minimize # of emails going to faculty, please make all updates before the packet request • Department level items can be done before request (i.e. department letter, action form, etc.)

Process for when you’re ready to bring the packet to the action: 1. As your own account, manage open actions, find action at department level 2. Go to that action, find packet request button at bottom of list 3. Send packet request w/email 4. Proxy login as candidate 5. Manage My Packets -> Submit final packet to the request 6. Back to your own account 7. Open actions again, find action at department level 8. Packet should now be attached to the Dossier

Salary Information on Action Form

Here’s a simple rule for Salary Information on the Action Form in MIV:

Use Scale 0 (MEG only) from our salary scales for anyone in the comp plan, regardless of which scale they are on or their total salary.

Fully Electronic Dossiers It is now possible for nearly every action to be fully electronic in MIV!

Benefits: • Faster routing (no mailing supporting documents) • Documents available for review at a click rather than searching a stack • No risk of documents getting lost in transit • Permanent record in MIV has the supporting docs included

• Benefit next time the same item is needed for review • And more…

Using ucdavis.box.com for links 1. Upload your file 2. Click “Share” on that specific file 3. Change the “Access” pulldown menu to “People with the Link” 4. Copy the link from the “Link” box on the same pop up box 5. Paste the link into MIV URL field 6. Test the link in another browser that isn’t logged in to Kerberos

Common issues: • Using the URL from the top of the web browser instead of the link from the share box • Not changing the access to “people with the link”

Caveat: This is intended for use with supporting documents for MyInfoVault dossiers. If you have a different file and share with “people with the link”, it’s potentially public!

Academic Appt Process: 2014-15 Lessons Learned New Appointments and Appointment Timeline

1. Submit Search Report or Search Waiver. 2. Start preparing dossier in MIV (okay to begin prior to approval). 3. Review timeline below to determine appropriate start date of appointment

http://www.ucdmc.ucdavis.edu/academicpersonnel/documents/Appointment_Timeline_by_Series_and_rank.pdf

4. Submit completed dossier to SOM, by or before the recommended amount of time before the start date of appointment.

5. Notify your Analyst in the SOM Dean’s office that you’ve submitted an action. 6. Send additional documentation to your Analyst required for Appointment at the

same time you submit the dossier in MIV, i.e. Paper copies of Publications or Teaching Evals, Salary Proposal, Resource Plan, signed Comp Plan Statement, signed TOL, etc.

Retroactivity for Appointments DON’T DO IT – FOLLOW THE TIMELINE!

Any request for retroactivity for appointments requires a memo justifying the request

from the Department Chair. These cases should be rare and by exception for good reasons.

Definition of Retroactivity: Effective date previous to the fully ready (corrected) packet

going for actual review

Not a good reason: – “We promised the person they could start on that day but we didn’t submit it on

time.”

• Extensions – If 2015-16 Merit/Promotion actions will not reach our office by the deadlines set, we ask that you please send your Analyst an email, on our before the deadline date. In the email, please include a justification/reason(s) and anticipated submission date.

REMINDERS!!

•Terminations – All appointments that have an “End Date” must be terminated in eHR if the employee leaves your department, whether or not they transfer to campus. If their appointment should not be terminated, please send an email or Input Doc to your Analyst to extend them prior to their end date. If their appointment should be terminated, process a termination in eHR using “Manager Self Service”. Always enter the ‘Last day of work’ and ‘Last day on pay status’ as the same date, which should be the last day the employee is to be paid. NOTE: Faculty terminations require a resignation letter, which should coincide with Term date in eHR. These letters should be sent to your Analyst 90 days prior to termination/separation.

Payroll Calendars:

http://afs.ucdavis.edu/our_services/payroll-services/employee-resources/payroll-calendar-e-schedules.html

http://intranet.ucdmc.ucdavis.edu/finance/Payroll/index.shtml

Faculty Development

Cheryl Busman Nicole Quant

Programs

Interprofessional Teaching Scholars Program http://www.ucdmc.ucdavis.edu/teachingscholars/

Leadership Programs http://www.ucdmc.ucdavis.edu/facultydev/leadership.html Early Career Leadership (ECLP) Mid-Career Leadership (MCLP)

Mentoring Academy http://www.ucdmc.ucdavis.edu/mentoring/

Women in Medicine and Health Sciences http://www.ucdmc.ucdavis.edu/wimhs/index.html

Other Resources

Faculty Coaching and Leadership Development–Gene Crumley Group facilitation/teaching Departmental retreats Individual coaching

Faculty Newsletters (quarterly) http://www.ucdmc.ucdavis.edu/facultydev/newsletter.html Faculty Development Website http://www.ucdmc.ucdavis.edu/facultydev/ Cheryl Busman: cdbusman@ucdavis.edu/916.703.9230 Nicole Quant: nnquant@ucdavis.edu/916.703.9109 (WIMHS/Mentoring)

Questions?

Welcome Capital Resource Network UC Davis Team

Steve Currall, CRN Advisory Council Chair

Linda Assadian, CRN Director Loraine Hernandez-Covello, CRN PM

For additional information please contact: Linda Assadian, (530) 574-8480, llassadian@ucdavis.edu Loraine Hernandez-Covello, (530) 752-4066, lcovello@ucdavis.edu http://academicaffairs.ucdavis.edu/programs/capital_resource_network.html

Recruitment and Retention

Turnover = • 10% of workforce per year • $250,000 − $1 million per Ph.D. or

executive lost

Cost of failed professional recruitment = • 2 – 3 times the position salary &

benefits (Talent Keepers)

Top 3 reasons for failed recruitments = • Related to family issues (www.awis.org):

– Dual-career partner resistance – Family adjustment challenges – Children’s education concerns

Dual-earner couples = • Over 47.4% of married couples

(www.bls.gov)

47%

34%

29%

25%

14%

12%

10%

0102030405060

Partner Resistance

Family Adjustment

Children's Education

Difficulty of Destination

Cross Cultural Adjustment

Partner's Career

Location Quality of Life

Reasons for failed recruitment

Percent

3

Criteria and Use

• No eligibility criteria

• Can be used concurrently with POP or as a standalone service.

• Post or Pre-hire

• Aids recruitment by easing candidate concerns through resources

• Aids retention through integration of new employee into community quickly and helping spouse in employment search.

4

5

UC Davis Department has several top candidates that are yet undecided due to multiple factors that include personal, dual career support or competitive offer issues.

Department informs the candidate of newcomer benefits through a regional resource—Capital Resource Network, and let’s the candidate know that as a courtesy the CRN will reach out and make itself available for an initial consult.

The Department will complete the online AA form with Dean’s office approval and requests either a Pre-Hire Consult (Tier 1, 2, 3) or full referral service.

CRN contacts the candidate to schedule a confidential “Pre-Hire Consult.” (The CRN will not address any questions specific to employment---this will be made clear during introductions and any attempts will be redirected back to the employer.)

Assured and feeling supported the candidate accepts offer and becomes a new employee or what is termed a “Continuing Referral –New Hire.” UC Davis dept. informs the CRN of their new-hire and requests a “Continuing Referral” of services over the next full year.

Department completes AA Forms Online Deans office gives approval-electronic MOU Date Hiring department or primary contact for this referral: Name, email, phone number Please check one: ☐ The client is a top candidate looking for Pre-Hire consult, Tier 1 ($200.00), Tier 2 ($400) or Tier 3 ($1,100) ☐ The client is a new employee looking for full referral support, $3,000 The client is a ‘Continuing Referral’, from a ☐ Tier 1 Pre-Hire Consult ($3,000-$200)= $2,800.00 ☐ Tier 2 Pre-Hire Consult ($3,000-$200)=$2,800.00 ☐ Tier 3 Pre-Hire Consult ($3,000-$550)=$2,450.00 Client contact information First, Middle, Last: (three fields) Email: Phone number: Current address: Position this client is considering or has accepted:

When and How

Submit

PRE-HIRE

NEW- HIRE

Menu and Fees

6

FOR NEW EMPLOYEES

Service Name Fee Brief Description

Full Referral $3,000.00 (includes standard Consult, Integration and Dual Career)

PREHIRE STATUS ONLY –does not include referral services Service Name Fee Brief Description Add-on Fee to Continue with

full service Post-hire Tier 1 $200.00 Basic, 1 hr. $2,800.00

Tier 2 $400.00 Meal, 2 hrs. $2,800.00

Tier 3 $1,100.00 Meal, agent, ½ day $2,450.00

Network Services

FULL SERVICE REFERRAL

Client full services to be provided over the period of 12 months from the date of the client’s “Intake” meeting, includes:

• 1- Initial Consult-Tier 1 provides a new hire or candidate with an introduction into the Capital Region and to CRN. Held in person at the Office of CRN, by phone or via Skype. Generally a one-hour time commitment.

• 1- Integration Support assists the multiple family members affected by the change of relocation. CRN helps to quickly introduce the candidate and their family to local resources.

• 1- Dual Career Support if applicable CRN works directly with the spouses/partner of the new employee on multiple strategies for gaining employment in the greater Sacramento area.

7

Network Services

PRE-HIRE CONSULT : Helps orient the client in advance of a decision about the program support and resources that would be available.

3 Levels:

Pre-hire Tier 1

Pre-hire Tier 2

Pre-hire Tier 3

8

PRE-HIRE TIER 1

The Pre-hire Tier-1 basic consult provides the client with an introduction to the Capital Region and the Capital Resource Network in advance of offer/hire: • Held in person at the Office of CRN, by phone or via

Skype. • Generally a one-hour time commitment at a cost of

$200.00. • At the time a full referral is made for this client, the $200

pre-hire fee will be deducted from the full referral fee of $3,000.00.

9

PRE-HIRE TIER 2

The Pre-hire Tier 2 provides a candidate with a more personalized introduction into the Capital Region and to CRN.

• A one-on-one conversation over a meal (included) with our network client coordinator to discuss personal needs and interests specific to the client.

• Generally a two-hour time commitment.

• Provides that extra touch to the standard service and recognizes that the spouse/partner is also an important part of the recruitment process.

• At the time a full referral is made for this client, one half the cost or $200.00 will be deducted from the full referral fee of $3,000.00.

10

PRE-HIRE TIER 3

The Pre-hire-Tier 3 provides a candidate with an in-depth, personalized introduction into the Capital Region.

• A one-on-one conversation at a local restaurant (meal included) with our network client coordinator to identify personal needs and interests specific to the client.

• Follow-up research and information where specific resources may be required.

• Tour neighborhoods of interest with a vetted estate agent and CRN client coordinator.

• Generally a half-day commitment.

• Provides a high-touch first impression.

• At the time a full referral is made for this client, one half of the cost or $550.00 will be deducted from the full referral fee of $3,000.00.

11

Network Services

POST-HIRE CONTINUE WITH FULL SERVICE REFERRAL

The Continue with Full Referral is provided to the client after a pre-hire consult is given and the candidate is offered the position. The fee is partially discounted to account for cost of the pre-hire that has already been provided.

12

DUAL CAREER SUPPORT Provide career support through one-on-one career counseling for spouses/partners. • Develop individual career action

plan

• Face-to-face consultations

• Network with professional community

• Investigate alternative career options

• Strategic informational 1 to 1 interviews in their industry

13

Strategic Social

Integration

•Events •Networks •Opportunities

Assistance navigating

new community

•Child Care/ Schools •Health Services •DMV •Special needs

Resources

•Local and reputable •Connect quickly •Before move •Up to a year

NEW ARRIVAL INTEGRATION

Successes

Pre-hire Consults for multiple top candidates…

– UCDHS Deans Office, Megan Rott

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Successes

3-Month Survey Feedback

• 75% were new employees, 25% were existing employees.

• 75% felt that the services of the CRN enabled them to be more productive at work as transition aspects were supported by the CRN staff.

• 83% agreed that the services benefited their transition (other cases were retention cases)

• All the respondents but one, were pleased that the services were confidential.

15

Successes

Extended diversity of clients and variety of needs:

16

LGBT recently divorced

Newly married

Type 1 diabetic Family death

single

partners

children

pets

Valuable collections

Childless

Active Lifestyle

Isolation

Blind Traditional and Non-traditional

Networking Elderly Parent

High-level Executive Spouse $350K+

Chaplain Radio Personality

data analytics

Obama Administration member

Intrn’l development economist

17

Questions?

UC DAVIS: OFFICE OF THE PROVOST AND EXECUTIVE VICE CHANCELLOR

September 16, 2015 Advisory to Deans #AA2015-07 DEANS, EXECUTIVE ASSOCIATE DEANS, ASSOCIATE DEANS, ASSISTANT DEANS, DEPARTMENT CHAIRS, AND ACADEMIC PERSONNEL ANALYSTS Re: Disclosing Potential Conflicts of Interest (COI) in Faculty Recruitments Dear Colleagues: During the last year, Academic Affairs has been working closely with the UC Davis Division of the Academic Senate to develop guidelines for disclosing and reporting potential conflicts of interest that can arise in the course of conducting a faculty search. I share the Senate’s belief that adopting a culture of greater transparency will enhance both the quality of our faculty and the confidence in our recruitment process. Beginning September 1, 2015, we require that each Recruitment Committee Chair submit a UC Davis Faculty Recruitment Committee – Potential Conflict of Interest (COI) Disclosure Form. The COI disclosure form is currently available on the Academic Affairs website here (or by entering the following website address: http://academicaffairs.ucdavis.edu and selecting “Your Resources” tab, then select “Forms & Checklists,” scroll down to the section “Recruitment Forms” and click the PDF link for “Faculty Recruitment Committee – Potential Conflict of Interest (COI) Disclosure Form”). The completed COI disclosure form will need to be uploaded in UC Davis RECRUIT in order to be submitted at the same time as the Shortlist Report containing the list of applicants proposed to be invited to the campus for in-person interviews. Directions for uploading the COI disclosure form are included below. We have created a document, “Aspirational Principles and Guidelines Regarding Conflict of Interest on Recruitment Committees,” that provides detailed guidance to Recruitment Committee members about how to identify potential conflicts of interest, recommendations for disclosing the nature and extent of any personal or professional relationships, and proposed actions to take. This document must be provided by the Recruitment Committee Chair to all members of the committee prior to any discussion about applicants to the position. This document is included as part of the COI disclosure form. Instructions for uploading the Disclosure document to UC Davis RECRUIT, which should be in PDF format, are as follows:

1. At the UC Davis RECRUIT website (https://recruit.ucdavis.edu/), login and click on the “Recruitments” tab

2. Locate the name or JPF number of the recruitment, and click on “Search info” 3. On the left of the page, click on “Documentation” 4. Upload the Disclosure in the “Letters and Memos” section

For any questions about use of the COI disclosure form, please contact the Academic Affairs Consultant for your college, division or school.

Sincerely,

Maureen L. Stanton Vice Provost—Academic Affairs Distinguished Professor, Department of Evolution and Ecology

Aspirational Principles and Guidelines Regarding Conflict of Interest on Recruitment Committees

Guiding Principles and Policies

The quality of the faculty of the University of California is maintained primarily through “objective and thorough appraisal, by competent faculty members, of each candidate for appointment or promotion.” (APM 210-1.a.). Although the instructions for review committees given in APM 210 do not explicitly address conflicts of interest for committee members, policy does clearly indicate that it is the right of every faculty member “to be judged by one’s colleagues, in accordance with fair procedures and due process… solely on the basis of the faculty members’ professional qualifications and professional conduct.” (APM 015 Part I.6.)

Standards

In searching for qualified candidates for a new or vacant position in a department, faculty serving on the recruitment committee, or otherwise engaged in the recruitment, selection and review of candidates, shall make every effort to ensure that any significant personal, academic or professional relationships they may have with a candidate do not interfere with the objective evaluation of all potential candidates or create a perception that evaluation was not objective.

Examples of situations that might create either a real or perceived conflict of interest for a member of a recruitment committee include, but are not limited to, the review of candidates who are current or former students, postdocs, mentees, co-authors, close collaborators or partners in a business or professional practice. Other situations may involve review of a candidate who has or has had in the past, a significant personal relationship with the faculty member, either positive or negative, that might impact the ability of the faculty member to participate objectively in the comparison of the qualifications of that candidate with those of other candidates.

In such situations, it is the obligation of the faculty member to disclose the nature and extent of the personal or professional relationship, and engage in a discussion as appropriate with the recruitment committee, the chair of the recruitment committee, or the chair of the department regarding the nature of the potential conflict of interest and his or her continued participation in the recruitment.

Depending on the nature of the relationship, and based on discussion with the recruitment committee chair, the faculty member may:

1. Voluntarily recuse him or herself from participation on the recruitment committee or in the review and selection process;

2. Voluntarily recuse him or herself from discussion and/or voting on the particular candidate with whom there is a potential real or perceived conflict of interest;

3. Continue to serve on the committee and in the review/selection process, but with full disclosure of the relationship to the committee and, if the candidate is on the short list, to the department;

When the recommended appointment involves a candidate with a significant personal, academic or professional relationship with one or more members of the recruitment committee or other faculty members actively engaged in the review and selection process, this fact shall be communicated by the committee chair to the dean and to the Vice Provost--Academic Affairs, using the attached form, at the same time that the short list recommendation and Diversity Report are being forwarded for approval.

UC Davis Faculty Recruitment Committee— Potential Conflict of Interest Disclosure. To be completed by the Recruitment Committee Chair and provided to the department for inclusion in UC Davis RECRUIT. UC Davis Recruitment ID#: ____________________ Position rank (mark all that apply): Department: ________________________________ Assistant / Associate / Full Position Title: _______________________________________________________________ Please answer the following questions: A. To your knowledge, were there any potential conflicts of interest (PCOIs) between the members of the recruitment committee (RC) and any applicants who were evaluated by the committee members? ________ No, I know of no such conflicts. (If this is the case, please proceed to part D. of this

document.) ________ Yes, some conflicts were disclosed during recruitment deliberations, and were addressed in

the following ways. (Please check all that apply below, and provide any additional comments you wish to make in the text box at the end of Part C of this document.) ______ (1) The RC member disclosed the PCOI to me before review of applications

began or early in the application review process. ______ (2) The RC member recused him or herself from participation on the search

committee or in the review and selection process.

______ (3) The RC member recused him or herself from discussion and/or voting on the particular candidate with whom there is a potential conflict of interest

______ (4) The RC member continued to serve on the committee and in the review/selection process, but with full disclosure of the relationship to the committee.

B. To your knowledge, were there any potential conflicts of interest (PCOI) between the members of the recruitment committee (RC) and any applicants who were selected to be interviewed for the position? ________ No, I know of no such conflicts. (If this is the case, please proceed to part D. of this

document.) ________ Yes, there were some PCOIs between search committee members and applicants advanced to

the interview process. The potential impacts of these relationships were addressed in the following ways. (Please check all that apply and complete the table provided in Part C of this document.) ______ (1) The PCOIs were fully disclosed to the department before the proposed

interview list was finalized.

______ (2) The RC member recused him or herself from discussion and/or voting on the interview list.

______ (3) The RC member recused him or herself from discussion and/or voting on the particular candidate with whom there is a potential real or perceived conflict of interest

C. If you answered yes to any of the questions in part B. above, please provide the information about the faculty member(s) and candidate(s) below:

Recruitment Committee member

Candidate to be interviewed

PCOI relationship – brief description (see standards)

How PCOI addressed (A1-4 above) (B1-3 above)

If you have any concerns about PCOIs during this process, or wish to provide more explanation for how PCOIs were managed in this recruitment, please feel free to elaborate below.

.

D. Respectfully submitted,

Signature: ______________________________________ Date: _____________

Printed name: ___________________________________

Chair of the Recruitment Committee

Signature: ______________________________________ Date: _____________

Printed name: ___________________________________

Vice or Co-Chair of the Recruitment Committee

* required if the Chair has a conflict of interest

Signature: ______________________________________ Date: _____________

Printed name: ___________________________________

Chair of the Department

* required if the Chair and Vice or Co-Chair have conflicts of interest

UC DAVIS: OFFICE OF THE PROVOST AND EXECUTVIE VICE CHANCELLOR

REVISED: June 12, 2015 Advisory to Deans #AA2015-05 (Supersedes: AA2014-06 and AA2013-08) DEANS, EXECUTIVE ASSOCIATE DEANS, ASSOCIATE DEANS, ASSISTANT DEANS, AND ACADEMIC PERSONNEL ANALYSTS RE: Recruitment Process Changes

Dear Colleagues: Over the past academic year, our office has received multiple questions about Shortlist Report approvals, preliminary interviews, and the rank of advertisement versus rank of appointment. In addition, the ADVANCE team recently reviewed the use of the “Statement of Contributions to Diversity” in 2014-2015 recruitments. In response to these questions and analysis, we are providing the following descriptions and recommendations that apply to ongoing changes in our recruitment practices at UC Davis. Statement of Contributions to Diversity (Supersedes: AA2014-06) Last year the “Statement of Contributions to Diversity” was added to UC Recruit as a default document that could be selected when setting up a recruitment. At that time, departments were not required to include the “Statement of Contributions to Diversity” in the optional applicant documents. Effective July 1, 2015, all academic recruitments will require the “Statement of Contributions to Diversity” to appear as an optional document upload for applicants. Recruitment documents should be composed in a way that strongly encourage candidates to complete this statement. Furthermore, any diversity statements received are required to be reviewed, considered and valued by the recruitment committee, regardless of whether or not every applicant submitted a diversity statement. This allows search committees and hiring departments to evaluate each candidate’s past and/or planned contributions to diversity.

The default settings in Recruit are: Document Name: Statement of Contributions to Diversity Description: Diversity contributions documented in the application file will be used to evaluate applicants. Visit http://academicaffairs.ucdavis.edu/diversity/equity_inclusion/index.html for guidelines about writing a diversity statement and why one is requested. Optional/Required: Optional

To assist both review committees and applicants, Academic Affairs has a new informational webpage at http://academicaffairs.ucdavis.edu/diversity/equity_inclusion/index.html that includes information about why we request diversity statements, as well as guidelines for writing one. Although at this time we are only requiring that the diversity statement be offered as an optional document for all academic recruitments, schools and colleges may choose to make this a required document in order for an application to be considered complete. Attached is a step-by-step “how to” for changing or restoring UC Recruit settings so that departments can add the “Statement of Contributions to Diversity” to their online recruitment documents (see Appendix A). Also, we want to take this opportunity to remind you that it is important to advertise our campus’s generous Work Life Programs during faculty recruitments (see Appendix B for ladder-rank recruitments). Shortlist Report Approval and Preliminary Interview Process (Supersedes: AA2013-08) In 2013, Department Chairs and Search Chairs were removed from the Shortlist Report approval workflow in UC Recruit due to the fact that these reports included individual diversity data to which committee and department chairs should not have access. More recently, improvements were made to UC Recruit to separate the individual gender and ethnicity data from the list of the names on the shortlist. Beginning immediately, I authorize the addition of the search committee chair and/or department chair roles to the approval workflows in UC Recruit for the Search Plans, Applicant Pool Reports, Shortlist Reports, and Search Reports.

All Shortlist Reports for Senate searches will continue to be reviewed and approved by Academic Affairs, as well as by the deans (Advisory to Deans #AA2013-08) before any candidates are contacted for interviews (including preliminary interviews conducted over the internet, by phone or in-person). This change is an adjustment of UCD APM 500 §VI.A. Two-step interview processes are becoming increasingly common in faculty recruitments. If the department anticipates the need to conduct preliminary interviews, the process must be described in the approved search plan prior to accepting applications. If preliminary interviews are to be conducted, a Shortlist Report must be approved prior to conducting preliminary interviews. For ladder-rank, Sr/Lecturer PSOE/SOE series, and librarian searches, the preliminary interview Shortlist Report must be approved by Associate Vice Provost Philip Kass. Attached are the detailed steps for creating the Shortlist Report for preliminary interviews (Appendix C). After preliminary interviews are conducted, a second Shortlist Report must be submitted and approved prior to inviting finalists for campus interviews. Reviewing applicants who may be overqualified for lower rank faculty positions Over the past year, a number of departments have sought guidance when there are apparent discrepancies between the rank of the recruitment versus the potential rank of the proposed appointee. To be compliant with fair hiring practices, we emphasize that the resulting appointment may not be at a different rank than that advertised. We offer the following recommendations for departments and search committees when setting up the recruitment, communicating with individuals invited for interviews, and proposing a candidate for appointment. Please note that, as been our practice in the past, the dean must consult with the VP-AA before proceeding to step 3 below. In some cases, if it becomes apparent through the search process that recruiting at a more senior level is the best course for meeting the department’s academic goals, the recruitment may need to be re-advertised at a higher or open rank following an upgrade request.

(1) For searches approved only at the Assistant Professor rank, we recommend including a statement in the long advertisement and in the description field of Recruit that says: "This recruitment is conducted at the assistant rank. The resulting hire will be at the assistant rank, regardless of the proposed appointee's qualifications." Similar language should be used for searches conducted at the Assistant/Associate level.

(2) After the Shortlist Report is approved, the department should remind the applicants being invited for an interview that they have applied for a position at the assistant rank. If hired, the proposed appointment will be at the assistant rank and the appointee must be on the UC Davis faculty for approximately one year before s/he can be considered for promotion to the higher rank.

(3) If the proposed appointee’s qualifications are commensurate with a higher rank than that recruited, we recommend that the department include a statement in their department appointment letter that says: "We recognize that the appointee's qualifications may be commensurate with a higher rank than proposed. However, because the recruitment was conducted at the <assistant> rank, the appointee has been fully informed of this constraint and is proposed for that rank."

Thank you in advance for your support of these new processes. If you have any questions, comments or concerns, please do not hesitate to contact Philip Kass, Associate Vice Provost (752-6069, phkass@ucdavis.edu) or Kelly Anders, Director of Academic Personnel & Systems (kanders@ucdavis.edu, 530-754-8268). Sincerely, Maureen L. Stanton Vice Provost—Academic Affairs Distinguished Professor, Department of Evolution and Ecology /kla

APPENDIX A: HOW TO REQUEST A DIVERSITY STATEMENT IN ALL ACADEMIC RECRUITMENTS After you have set up a basic recruitment in UC Recruit, you may select “Configure for Online Applicant Management”. This is the step in which you will establish which documents are requested, whether they are optional or required, how many reference contacts and/or letters are required, and a few other configurations. These configurations cannot be modified once you have received your first applicant. If the “Statement of Contributions to Diversity” needs to be added to a recruitment, follow these steps: Locate the recruitment and select “Details”. Next to Document Recruitments, select the “Edit” button. A pop-up window will open. Select the “Add another optional document” link at the bottom of the list. Enter in the “Document name” field: Statement of Contributions to Diversity. Select “Add description…” below the document name and enter the following description:

Diversity contributions documented in the application file will be used to evaluate applicants. Visit http://academicaffairs.ucdavis.edu/diversity/equity_inclusion/index.html for guidelines about writing a diversity statement and why one is requested.

Select the correct radio button that corresponds with whether or not your department wishes to make this a “Required” or an “Optional” document. If the recruitment already has applicants, only optional documents can be added.

If your recruitment already has applicants, you have the ability to use Recruit to notify the applicants of the new document. If you do not wish to use this feature, select “Do not notify”. If you wish to use this feature, select “Notify applications” and “Add notification message…” Enter the text you wish to send to all applicants. There is a “View notification example” to see what your email will look like upon saving the changes.

Newly added documents appear automatically at the bottom of the list. Use the “Reorder” button (next to “Add”) to change the order of how the documents will be viewed by the applicants.

Here is an image of how this configuration will appear to the applicant:

APPENDIX B: HOW TO ADVERTISE OUR WORK-LIFE PROGRAM IN LADDER RANK RECRUITMENTS We want to remind you about the opportunity to advertise the UC Davis Work Life Programs in your faculty recruitments. We have provided a summary of our programs at the bottom of this message. Recruit is a perfect opportunity to include this information in your faculty recruitment advertisements. You may also want to use this language on your departmental website postings. How to: When setting up your faculty recruitments in UC Recruit (https://recruit.ucdavis.edu/), you may enter the information below in the recruitment “Description” field (see image below). The character limit in this field is very large, so many departments are also pasting the entire faculty posting in this field. Even if you have already set up the recruitment and received applications, you can still edit the Description field in Recruit under “Details”. I have created a sample in the training environment (https://training.recruit.ucdavis.edu/apply/JPF00274). If you need assistance, please review the help manual (https://recruit.ucdavis.edu/analyst/help) or contact ap-recruit@ucdavis.edu.

Information to include in the description field in UC Recruit for ladder-rank recruitments only:

UC Davis supports Family-friendly recruitments. UC Davis covers travel expenses for a second person to accompany an invited faculty recruitment candidate who is a mother (or single parent of either gender) of a breast or bottle-feeding child less than two years of age. http://academicaffairs.ucdavis.edu/programs/work-life/index.html UC Davis recognizes the necessity of supporting faculty with efforts to integrate work, family and other work-life considerations. To recruit and retain the best faculty, the campus sponsors a Work Life Program that provides programs and services that support faculty as they strive to honor their commitments to work, home and community.. http://academicaffairs.ucdavis.edu/programs/work-life/index.html

The UC Davis Partner Opportunities Program (POP) is a service designed to support departments and deans offices in the recruitment and retention of outstanding faculty. Eligibility for POP services is limited to full-time Academic Senate Ladder Rank faculty (including Lecturers with Security of Employment (LSOE), Lecturers with Potential Security of Employment (LPSOE) and Senior Lecturer with Security of Employment (SLPSOE)), Cooperative Extension Specialists, and in a few instances, members of the Senior Management Group. http://academicaffairs.ucdavis.edu/programs/partner-opp/index.html For questions regarding how these policies/programs affect academic appointees, contact: Matilda Aidam, Director Faculty Relations and Development, (530) 752-7643 UC Davis is a smoke- and tobacco-free campus effective January 1, 2014. Smoking, the use of smokeless tobacco products, and the use of unregulated nicotine products (e-cigarettes) will be strictly prohibited on any property owned or leased by UC Davis-- indoors and outdoors, including parking lots and residential space.

Appendix C: How to plan for Preliminary Interviews (conducted over the internet, phone or in-person) Preliminary Interviews – Shortlist Report: Include in your search plans a provision for preliminary interviews in the event you need to exercise this practice. Please follow these steps if your search plan indicates that your department will be conducting preliminary interviews to narrow down the applicants that will be invited for the campus interview.

(1) All of those applicants you wish to consider for preliminary/screening interviews should be given the status of “Serious Consideration”. This will show the gender/ethnicity of the serious consideration pool, but not the individual details of the applicants. No one else should be given the status of “Serious Consideration” in these types of recruitments.

(2) Submit for approval a “Preliminary Pool” by creating a Shortlist Report, download the report, and submit it to the approvers via email attachment.

(3) Upon approval of the report, upload the approvals into Recruit under Documentation – Letters & Memos. (4) Conduct the preliminary interviews as outlined in the Search Plan. (5) When an updated shortlist is formed following the preliminary interviews, all applicants the department wishes

to consider for interviews should be given the status of “Recommend for Interview.” This will retain the gender/ethnicity of the serious consideration pool applicants who were not moved on to the second round and create a separate gender/ethnicity pool for the shortlisted applicants. Submit for approval a “Shortlist” by creating a new Shortlist Report. Use the routing within Recruit for this approval.

(6) Upon approval, invite for an interview those applicants from the shortlist who are approved by the Dean. (7) Conduct the campus interviews and update the applicant status to “Interviewed” for those applicants

interviewed on campus. (8) Assign disposition codes to those who will not be offered the job and change the status to “Proposed

Candidate” for the applicant(s) proposed for appointment. (9) Submit a Search Report for approval.

What if we want to have three tiers of applicants? How do we proceed with the preliminary interview of the tier 2 to determine the tier 1?

(1) Leave the “tier 3” applicants with the status of “Complete”. We need to keep them out of the “tier 2/Serious Consideration” pool because they would skew the gender/ethnicity data of the pool.

(2) When assigning disposition reasons, leave a comment for the “tier 3” applicants without assigning an actual disposition reason. We advise the comment should say something like: “Depending on the outcome of the preliminary interview, this candidate may be reconsidered for the Serious Consideration pool”. (Note: You will need to be sure to go back and select the correct disposition reason later in the search process if these “tier 3” individuals are not advanced to the “serious consideration” status.)

(3) Give the “tier 2” applicants the status of “Serious Consideration”. This will show the gender/ethnicity of the serious consideration pool, but not the individual details of the applicants. No one else should be given the status of “Serious Consideration” at this time.

(4) Submit for approval a “Preliminary Pool” by creating a Shortlist Report, download the report, and submit it to the approvers via email attachment.

(5) Upon approval of the report, upload the approvals into Recruit under Documentation – Letters & Memos. (6) Conduct the preliminary interviews as outlined in the Search Plan.* (7) When the shortlist is formed following the preliminary interviews, all applicants the department wishes to

consider for interviews should be given the status of “Recommend for Interview”. This will retain the gender/ethnicity of the serious consideration pool applicants who were not moved on to the second round and create a separate gender/ethnicity pool for the shortlisted applicants. Submit for approval a “Shortlist” by creating a new Shortlist Report. Use the routing within Recruit for this approval.

(8) Upon approval, invite for an interview those applicants from the shortlist who are approved by the Dean. (9) Conduct the campus interviews and update the applicant status to “Interviewed” for those applicants

interviewed on campus. (10) Assign disposition codes to those they will not offer the job and change the status to “Proposed Candidate” for

the applicant(s) proposed for appointment. (11) Submit a Search Report for approval. *If after Step 6, the department needs to invite some/all of the “tier 3” applicants for Skype interviews, return to Step 3 and give those “tier 3” applicant(s) the status of “Serious Consideration” and submit another Shortlist Report for approval.

Mentoring Academy and Women in Medicine and Health Sciences (WIMHS)

Upcoming Mentoring Academy and WIMHS Events

The Mentees Rule: The Mentee Rules – 12/3/15 Module 3: Understanding Faculty Series and Titles; Promotion Portfolios – 12/14/15 Module 3: Understanding Faculty Series and Titles; Promotion Portfolios – 1/11/16 Pathology Grand Rounds w/Dr. Kandice Marchant of the Cleveland Clinic – 1/14/16

Register for workshops and events via the links below: Schools of Health Mentoring Academy http://www.ucdmc.ucdavis.edu/mentoring/workshops.html

Women in Medicine and Health Science (WIMHS) http://www.ucdmc.ucdavis.edu/wimhs/index.html

To be added to the listservs or for other assistance, please contact: Nicole Quant: nnquant@ucdavis.edu / 916.703.9109

Faculty Development, UC Davis Health System ▪ 2300 Stockton Blvd., #3900, Sherman Building, Sacramento, CA 95817

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Faculty Development Resources

Upcoming Workshops/Events

HSCP Promotions Process – 11/2/15 Faculty Merits, Promotion and Tenure – 11/3/15 Understanding Your Compensation Plan – 12/8/15 Introduction to MyInfoVault – 12/8/15

Leadership Programs/Workshops http://www.ucdmc.ucdavis.edu/facultydev/leadership.html

Early Career Leadership (ECLP) Mid-Career Leadership (MCLP)

Interprofessional Teaching Scholars Program (ITSP) http://www.ucdmc.ucdavis.edu/teachingscholars/

Schools of Health Mentoring Academy

http://www.ucdmc.ucdavis.edu/mentoring

Women in Medicine and Health Science (WIMHS) http://www.ucdmc.ucdavis.edu/wimhs/index.html

Faculty Newsletter (Quarterly) http://www.ucdmc.ucdavis.edu/facultydev/newsletter.html Course Registration: Register for workshops and events via the Faculty Development website: http://www.ucdmc.ucdavis.edu/facultydev/

Faculty Development Listservs - used to announce upcoming events.

Faculty Development WIMHS Mentoring Academy

To be added to the listservs or for other assistance, please contact Cheryl Busman at cdbusman@ucdavis.edu or 916.703.9230.

Faculty Newsletter (Quarterly) http://www.ucdmc.ucdavis.edu/facultydev/newsletter.html

Course Registration: Register for workshops and events via the Faculty Development website: http://www.ucdmc.ucdavis.edu/facultydev/

Faculty Development, UC Davis Health System ▪ 2300 Stockton Blvd., #3900, Sherman Building, Sacramento, CA 95817