Delegated Merits

IRVINE: EXECUTIVE VICE CHANCELLOR

Revised: September 7, 2006

ACADEMIC DEANS AND DEPARTMENT CHAIRS

RE: Implementation Guidelines - Delegated Merits for Academic Senate Faculty

This is written to provide additional information about faculty merits recently delegated to Academic Deans by the Executive Vice Chancellor. Basically, the Dean has authority to approve the first and third normal merit within rank after appointment, promotion, or acceleration for Academic Senate faculty. In cases where such a schedule may be ambiguous, the governing principle is that delegated reviews should not be done twice in succession for a given faculty member. Please see the attached Reference Chart for details.

The definition of "normal merit" in delegated cases is based on the Department's recommendation. If the Department proposes a normal merit, then the Dean has the delegated authority to decide for, or against, it. A Dean's decision not to grant a merit increase would result in a delegated decision for No Action. A No Action proposed by the Department, however, is not a review action delegated to the Dean.

The following actions are not delegated:

Appointments
Promotions
Midcareer Appraisals
Career Equity Reviews
Accelerations
Off-scale salary decisions
Reappointments or No Actions proposed by the Department
Five-Year Reviews
All merit actions to overlapping steps (Assistant V and VI; Associate IV and V)
Advancements to Professor, Step VI
Advancements to Professor, Above Scale, and Above Scale merits
Merit increases having effective dates other than July 1
Retroactive merit increases
The next action following a delegated action

I. DOCUMENTATION FOR DELEGATED ACTIONS

CAP has asked that the following documentation be included in each Dean's delegated action:

1)		An Addendum form
2)		An evaluation sheet no longer than one page that contains the following:
	a.	The Department vote
	b.	A summary of the main aspects of teaching, university service, professional activity, grants, and honors considered by the Department and the Dean
3)		The separate recommendation of the Chair
4)		A brief evaluative statement signed by the Dean stating the grounds for his or her decision, based on the information in the file

Academic Personnel has designed a new Short Form for Dean's delegated actions (copy attached) that incorporates the information CAP has requested in a compact document. On the new form, the "UC Academic Employment History" block has been removed from the front page so that the Dean may use that space to record his or her evaluative comments. It is our intention to support streamlining of the review process and reduction of the required paperwork, as much as possible. Suggestions for further streamlining are welcome.

II. PROCEDURES TO FOLLOW FOR DEAN'S DELEGATED ACTIONS

The review process in the Department should be basically the same as for other Short Form merits. The Department Chair has overall responsibility for the review, which includes notifying the candidate, documenting and presenting the Department's recommendation, and forwarding the materials.

Use the Dean's Delegated Short Form (UCI-AP-24DD) and Checklist (UCI-AP-33DD)
The Department's evaluation should be very brief, no longer than one page. It should include the Department vote and a concise assessment of the candidate's most noteworthy contributions under the following criteria:

a.	Research creative activities and grant funding
b.	Professional activities
c.	Teaching (significant courses and graduate mentoring)
d.	University and public service (significant service from Systemwide to Departmental)

Include a Chair's letter
Chairs are encouraged to provide a confidential recommendation in a separate letter.

Forward to the Dean's Office for approval
The file should be forwarded to the Dean for a final decision, which may be one of the following:

Approval of proposed merit: If the Dean's decision is to approve the merit increase, the letter informing the candidate of his or her new step and salary (see attached sample letter) should also contain the following budgetary statement:
"The salary increase associated with this advancement is contingent upon final approval of merit and promotion funding by the Office of the President."
Denial of proposed merit: If the Dean's decision is to deny the merit increase, the letter to the candidate should state that the decision is for No Action. The letter might also contain a brief statement of reasons for the negative decision and advice to the candidate for improving the record.
Recommendation for acceleration: If the Dean reviews a normal merit case, which would be delegated, and judges that the candidate's record warrants an acceleration, then the action becomes non-delegated and should be forwarded to Academic Personnel for review by CAP and approval by the Executive Vice Chancellor.
Request for authorization for an off-scale salary: If the Department, Chair, or Dean recommends a new off-scale salary, or something other than the normal 75% return-to-scale increase, then the salary must be authorized by the Executive Vice Chancellor, though the Dean retains authority for the merit decision. Once the Dean has decided on the merits of the case and completed his or her written evaluation on the Dean's Delegated Short Form, the entire file should be forwarded to Academic Personnel, along with a separate letter to the Executive Vice Chancellor justifying the request for an exceptional off-scale salary. The Executive Vice Chancellor's decision on the salary will be returned to the Dean in writing. The Dean may then send his or her final approval letter, with the authorized salary, to the candidate.

Office of Record
Academic Personnel will remain the office of record for all academic personnel actions, including delegated actions. Completed dossiers should be sent to Academic Personnel, along with a copy of the Dean's letter to the candidate, within 30 days of the Dean's final decision.

Post-Audit
CAP will begin their post-audit of delegated files after two (or three) years, at the time they review the next non-delegated action for an individual. Academic Personnel will be responsible for providing CAP with a copy of the delegated file at the appropriate time.

If you have questions about the implementation procedures for delegated merits, please call Academic Personnel.

Herbert P. Killackey
Associate Executive Vice Chancellor