A Faculty Handbook For Success - UCSF Academic Senate
A Faculty HandbookFor SuccessAdvancement and Promotion at UCSFweb.rev.1n.11/10/2020
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August 2016From the Chair of the UCSF Academic Senate:On behalf of all new, existing, and future members of the UCSF faculty, I am delighted to introducethe Fourth Edition of the Faculty Handbook for Success, Advancement, and Promotion at UCSF.Originally created in 1995, this handbook is the product of individual and collective efforts bymany dedicated UCSF faculty and staff. We hope this handbook will help you navigate throughthe challenges and processes related to a successful academic career. May this information serveyou well as you embark on, or continue, a long and rewarding academic career at UCSF.Sincerely,Ruth Greenblatt, MDProfessor and Chair, UCSF Academic SenateUniversity of California, San FranciscoSan Francisco, CA 94143, (415) 476-9000Copyright 2005, The Regents of the University of California
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WelcomeWelcome to the Faculty Handbook for Success, Advancement, and Promotion at UCSF! Thishandbook, developed and designed by the UCSF Academic Senate, provides essential informationabout faculty appointments, advancement and promotion, as well as information about facultylife and campus resources. Whether you are considering joining the UCSF faculty or are already amember, we hope that you will find this information useful in all of your academic endeavors.An electronic version of this publication may be reviewed and saved from the UCSF AcademicSenate Web site at senate.ucsf.edu/faculty-handbook.This handbook is provided for the convenience of faculty. Among other things, it summarizes andattempts to clarify various University personnel and other related polices that may be of interest tofaculty. This handbook is not meant to create new or to amend existing University policies, whichshould be consulted in their entirety for a fuller understanding of their provisions.This edition supersedes the 1995, 2005, and 2015 editions of this faculty handbook.A note about Internet links—This edition of the Faculty Handbook for Success, Advancement, and Promotion at UCSF featuresaddresses to UC, UCSF, and external Websites which provide additional information or accessto referenced documents. Appendix V lists these online addresses by order of appearance andAppendix VI lists them alphabetically. As is often the case with online content, URLs may changefrom time to time. If you come across an inactive link, please refer to the URLs listed in theappendices, which will be updated more frequently than the body of this handbook. Better yet,refer to the online version of this handbook which features up-to-date active links within the body.If you encounter an inactive link, please report it to academic.senate@ucsf.edu.Introduction to the University of California, San FranciscoThe San Francisco Division is the only campus of the University of California dedicated solely tograduate and professional study in the health sciences. Part of the University since 1873, UCSF isknown for its scientific discoveries, world-class teaching, and patient care. The schools of Dentistry,Medicine, Nursing, and Pharmacy all award professional doctoral degrees. Additionally, theGraduate Division offers graduate degrees in the biological, biomedical, pharmaceutical, nursing,and social and behavioral sciences.The Chancellor and the Deans of each professional school and the Graduate Division lead theUniversity of California, San Francisco. Campus administration is divided into three broad offices:an Executive Vice Chancellor with direct oversight for Research and Academic Affairs; a Senior ViceChancellor for Administration and Finance; and a Vice Chancellor for Planning and Advancement.For more information, see the organization chart at in Campus.pdf.The UCSF campus is situated primarily on the following seven sites, most of which are linked by aconvenient shuttle: Parnassus Heights, Mount Zion, Laurel Heights, Mission Bay, Veteran’s AffairsMedical Center, Fresno, and Zuckerberg San Francisco General Hospital and Trauma Center.Additionally, UCSF faculty are located at various clinic sites and other rented space throughout theSECTION iWelcome and General Informationi5
city and Bay Area. Campus maps are available online at www.ucsf.edu/about/locations and shuttleschedules can be found at s/shuttles.UCSF offers patient care services at five main sites in San Francisco: UCSF Medical Center(Parnassus Heights), UCSF/Mount Zion, Zuckerberg San Francisco General Hospital and TraumaCenter, the Veteran’s Affairs Medical Center, and the Mission Bay Hospital, which serves womenand children, including special units for those battling cancer. That campus also houses a clinicalresearch outpatient facility. UCSF also has several free-standing institutes throughout the City,including the Orthopaedic Institute. It further operates a Medical Education Program in Fresnothat offers medical education and training for students, Residents, and Fellows, as well as continuingeducation opportunities.Principles of CommunityUCSF serves society through four primary missions: teaching, research, patient care, and publicservice. Thus, criteria for advancement and promotion are directly related to these four criteria.Faculty, staff, and students on the UCSF campus are a composite of many races, nationalities, andsocial affiliations. To achieve campus goals, individuals must work collaboratively with mutualrespect and with forbearance.Several principles of community life guide individual and group actions on campus. Adherence tothese principles is essential to ensure the integrity of the University and to achieve campus goals.UCSF faculty, staff, and students are asked to acknowledge and practice these basic principles ofcommunity life: We recognize, value, and affirm that our rich diversity contributes to the excellence of theUniversity and enhances the quality of campus life for individuals and groups. We encourageone another to apply our unique talents in creative and collaborative work, take pride in ourvarious achievements and celebrate our differences. We reject all acts of discrimination, including, but not limited to those based on race,ethnicity, gender, age, disability, sexual orientation, gender identity/expression, and religiousor political beliefs, as affirmed by the UC Diversity Statement. We commit ourselves tofostering an atmosphere of equity and inclusion. We are committed to providing a welcoming campus environment where each personcan benefit from the highest principles of openness and integrity. As a public university,we are committed to transparency in our dealings so that we may engender trust from all ofour stakeholders. We affirm the right of freedom of expression within the UCSF community and commit to thehighest standards of civility and decency. We are committed to maintaining a communitywhere communication is courteous, sensitive, respectful and never demeaning. We will form a campus infrastructure that is responsive to the needs of our community. Wehave empathy for others, and will establish systems which address the needs of the one and themany. We affirm that each member of the campus community is expected to work in accord withthese principles and to make individual efforts to enhance the quality of campus life for all.6iiSECTION iWelcome and General Information
AcknowledgementsThis handbook has been made possible through the volunteer efforts of members of the AcademicSenate’s Committee on Academic Personnel (CAP) with input from the Committee on EqualOpportunity (EQOP):Of note for this edition, are the efforts of the following committee representatives:Jacqueline Leung, MD, MPH, Professor, Anesthesia & Perioperative CareChair, CAP/EQOP Faculty Handbook Revision SubcommitteeMember, Committee on Academic PersonnelLinda Centore, RN, PhD, Division Chair, Preventive & Restorative Dental SciencesMember, Committee on Equal OpportunityJeffrey Critchfield, MD, Professor of Clinical Medicine, MedicineMember, Committee on Academic PersonnelKatherine Julian, MD, Professor of Clinical Medicine, MedicineMember, Committee on Equal Opportunity and the generous contribution of time and expertise from Mitch Feldman, Associate ViceProvost, Mentoring, Academic Affairs and Mandana Khalili, Co-director, Mentor DevelopmentProgram, Clinical Translational Science Institute; and input from various office on campusincluding, CTSI, ISSO, Labor & Employment Specialists within the Division of Human Resources,Office of the Ombuds, Office of the CARE Advocate, Office of Diversity & Outreach, and theAcademic Senate’s Committee on Research.Graphics and layout design by George Michael of 3DQ (3dq.com).SECTION iWelcome and General Information7iii
Table of Contentsi Welcome and General Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iIntroduction to the University of California, San Francisco . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iPrinciples of Community . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iiAcknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iiiiv Table of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv1.0 Faculty Appointments at UCSF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1 Licenses and Credentials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21.2 Description of Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.2.1 Academic Senate Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.2.1a Professor (Ladder Rank) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31.2.1b In Residence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.2.1c Professor of Clinical X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.2.2 Series not in the Academic Senate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.2.2a Health Sciences Clinical Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41.2.2b Clinical Professor (Volunteer) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51.2.2c Adjunct Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51.2.2d Professional Researcher . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61.2.2e Other Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61.3 Description of Ranks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.3.1 Instructor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.3.2 Assistant Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.3.3 Associate Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.3.4 Professor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81.3.5 Above-Scale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91.3.6 Off-Scale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91.4 Description of Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91.5 Changes in Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112.0 Appointments and Advancement Through the System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122.1 Tenure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122.2 Checklist for New Faculty Appointments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122.3 The University Health Sciences Compensation Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142.4 Advancement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152.4.1 Merit Increases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152.4.2 Promotion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152.4.3 Criteria for Advancement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.5 Preparing Your File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17iv8SECTION iiTable of Contents
2.5.1 Internal and External Evaluators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172.5.2 Curriculum Vitae and Recordkeeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172.5.3 Teaching: Student and Peer Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172.5.4 Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182.5.5 University and Public Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192.6 Recognizing Diversity Contributions in the Advancement Process . . . . . . . . . . . . . . . . . . . . . 192.7 The Appointment and Promotion Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202.8 Review and Evaluation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212.8.1 Department . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212.8.2 Department Chair . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212.8.3 Your Promotion Package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212.8.4 Dean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232.8.5 The Academic Senate Committee on Academic Personnel . . . . . . . . . . . . . . . . . . . . . . . 232.8.6 Chancellor and Vice Provost of Academic Affairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232.8.7 Formal and Informal Complaints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242.8.8 Appraisals of Achievement and Promise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242.8.9 Eight-Year Rule for Academic Senate Series . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252.8.10 Five-Year Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252.8.11 Career Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262.8.12 Access to Review File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262.8.13 Guidelines for Accelerated Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263.0 Mentors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274.0 Developing an Excellent Research Program & Professional Reputation . . . . . . . . . . . . . . . . . 304.1 Making Research a Priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304.2 Developing a Basic Scholarly Research Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314.3 Developing a Scholarly Clinical Research Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314.4 Grants: A First Step . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324.5 Preparing for Publication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334.6 Increasing Visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344.6.1 Increasing Departmental Visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344.6.2 Increasing National Visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344.6.3 Increasing International Visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354.7 UCSF Human Research Protection Program (HRPP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354.8 UCSF Institutional Animal Care and Use Committee (IACUC) . . . . . . . . . . . . . . . . . . . . . . . . 354.9 Environmental Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364.10 Your Research Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364.10.1 Collaborations . . . . . . . . .
Welcome to the Faculty Handbook for Success, Advancement, and Promotion at UCSF! This handbook, developed and designed by the UCSF Academic Senate, provides essential information about faculty appointments, advancement and promotion
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