APM UCD-191

General University Policy Regarding Academic Appointees
Section UCD-191, Endowed Chairs
Approved: 6/3/05, rev. 9/5/08
Supersedes: 7/11/00

Responsible Department:Academic Affairs
Source Document:UC APM-191

I. Purpose

This section constitutes the UCD policy and procedures for the establishment, appointment, and reappointment of endowed chairs. It also provides the guidelines for the use of endowment income for holders of endowed chairs/professorships.

All of the policies/procedures described below for endowed chairs also apply to endowed professorships unless otherwise noted.

II. Background

It is the policy of UC Davis to attract and sustain outstanding scholars for key positions of faculty leadership through the establishment of endowed chairs. Endowed chairs may be held by distinguished scholars at the level of associate professor, full professor, or Specialist in Cooperative Extension. A Specialist in Cooperative Extension may not hold an endowed professorship, but may hold an endowed chair if appropriate. The holder of an endowed chair shall contribute to the scholarly activity and effective functioning of the academic unit in which he/she resides and, through teaching, seminars, or other intellectual contact with students, shall add to the enrichment of the academic life of the campus as a whole.

III. Establishment and Naming of Endowed Chairs

(http://academicaffairs.ucdavis.edu/resources/forms_checklists/index.html)

A. Consistent with current systemwide policy, the total amount of a gift or gifts to establish an endowed chair shall not be less than $350,000. This minimum figure will be adjusted periodically to reflect changes in costs due to inflation or other factors, including changes to systemwide policy.

B. Income from an endowed chair is to be made available to the faculty member appointed to the chair in support of teaching and research. In addition, unless expressly prohibited by the gift instrument, fund payout may be used for all, or for a portion, of base salary, off-scale component of salary, sabbatical supplement, summer salary, additional compensation under a campus-approved compensation plan in accordance with applicable policies, or other additional compensation permitted by University policy (APM-191).

C. Whenever possible, a pledge to fund an endowed chair shall be accompanied by partial payment, preferably at least one-third of the total. The instrument of gift shall include a proposed payment schedule that shall not exceed a date specified at the time of Presidential approval, except in cases where there is a binding commitment to complete the funding by bequest or similar deferred gift for which there can be no predetermined termination date.

D. If a chair is to be funded through a fund-raising campaign, the recommendation for approval of the chair and of the campaign shall be presented simultaneously. When a campaign is involved, approval of an endowed chair will be contingent upon the receipt of a specified amount of funds by the identified closing date of the campaign. In the event of a shortfall of the required minimum funding for the position, there shall be either (1) a provision for optional use of the funds raised, or (2) a commitment from the Chancellor and/or dean to fund any deficiency from the campus's available unrestricted accounts.

E. The subject area of the endowed chair must be consistent with the mission of the University of California and the academic plan of the campus. The gift instrument shall permit appropriate alternative distribution of the income by the campus if the subject area of the endowed chair ceases to be consistent with the University's mission or the academic plan of the campus. Such alternative distribution shall be as closely related to the donor's original intent as is feasible.

F. An administrative endowed chair is one that is designated for a specific administrative position, for example, department chair, director of an Organized Research Unit, or dean of a school or college. In addition to supporting the teaching, research, and service activities of the unit, funding for an administrative endowed chair may cover research expenses for the active research program of the chair holder.

G. For those donors who prefer to contribute to an area of research rather than to the support of a single individual, the campus shall award such research funds to selected faculty on a competitive, short-term basis.

H. A chair may be named in honor of the donor or an honoree proposed by the donor, subject to approval by the President. (See Policy & Procedure Manual Section 200-51.)

I. The gift agreement should include details about the academic discipline and/or scholarly research area for the chair holder, the term of appointment (generally 5 years unless gift agreement specifies otherwise), and whether the appointment is renewable. The fewer restrictions placed on the gift by the donor, the greater the flexibility the campus will have in meeting its academic goals.

J. Once the gift has been secured, the department or program will write a position description, which should include:

1. Description and terms of the chair.

2. Estimates of income available to the chair.

3. List of the responsibilities that must be fulfilled as part of the chair.

4. Information about review of the chair’s performance, and reappointment to the chair.

The description and terms of the chair should be incorporated into the academic plan for the department and submitted to the dean's office.

K. The gift agreement, position description, and the department academic plan will be reviewed by the Academic Senate Committee on Academic Planning and Budget Review (CAPBR).

L. After review by CAPBR, the gift agreement, position description, and the department academic plan will be forwarded to the Chancellor. The Chancellor will send the required documentation to the Office of the President.

IV. Appointment to Endowed Chair

A. All endowed chairs will be filled through an internal or external search, consistent with UCD-500. Waivers will only be considered or granted under unusual circumstances. Any exceptions to the standard procedure for appointing internal chair holders on the part of deans or donors must be approved in advance by the Chancellor.

B. No search may be conducted until a formal approval of the establishment of the endowed chair is made by the Office of the President and until the funding has reached the minimum amount required by the academic unit.

C. If the criteria for the chair are such that there is only one internal candidate qualified for the chair, approval of a search waiver must be granted by the Vice Provost--Academic Affairs. However, internal searches are normally open searches.

D. Unless otherwise provided in the terms of the gift, an individual will be appointed for a period of 5 years, with the option of reappointment. Appointments to endowed chairs shall be made in accordance with regularly established University procedures for faculty appointments. All appointments must be reviewed at least once every five years.

E. No announcement of the holder of the chair may be made until final approval by the Chancellor (see F.7 below).

F. Procedure for external and internal searches (APM UCD 500 Exhibit A.pdf)

1. The recruitment advisory committee will be appointed by the Vice Provost--Academic Affairs (the dean of the unit must submit nominations for committee members). The dean and the Vice Provost--Academic Affairs will be ex officio, non-voting members.

2. The recruitment advisory committee, in consultation with the department, will identify candidates for campus interviews and submit a list of these candidates to the dean of the unit for approval.

3. While on campus, candidates should hold a colloquium or present a seminar and have interviews with:

a. Departmental and other interested faculty.

b. Voting members of the Recruitment Advisory Committee.

c. Dean.

d. Vice Provost, if appropriate.

e. Chancellor, if appropriate.

f. Donor, if appropriate.

4. The recruitment advisory committee, in consultation with the department and with the endorsement of the dean, will recommend to the Chancellor a candidate or a short list of candidates who are acceptable for appointment.

5. The department/unit will prepare an appointment dossier that contains the normal academic documentation required for appointment (http://academicaffairs.ucdavis.edu/resources/forms_checklists/index.html), conduct a vote of the Senate faculty, and submit dossier to the dean. If the endowment is for a Specialist in Cooperative Extension, the vote should also include other department members in that title series.

6. The dean will add his/her recommendation and forward it to the Vice Provost--Academic Affairs, who will forward it to the Committee on Academic Personnel (CAP) for their review and recommendation.

7. The Chancellor holds final approval authority for the appointment and will inform the appointee in writing of the description and terms of the gift, the responsibilities of the appointee, and any specific academic review process required.

V. Reappointment of Endowed Chair

A. Unless precluded by the endowment agreement, reappointment of the holder of the chair may be considered. While the reappointment would normally be of the same duration as the previous term, the Chancellor has the authority to alter the length of the term as he/she deems appropriate. For reappointment, a review of the accomplishments of the endowed chair holder shall be conducted at the beginning of the final year of the specified period of appointment or in the appointee’s fifth year, whichever comes first. Exceptions to the timing of reviews or to the review process required by this policy must have prior approval by the Chancellor.

B. The department will assemble a dossier for Senate faculty review. The department letter must include results of consultation with these faculty and the vote, which should follow the same procedures used for appointment of the chair holder. The following criteria will be considered when reviewing the reappointment of an endowed chair holder.

1. The degree to which activities specific to the endowed chair as designated by the donor and approved by the University as well as goals to which the endowed chair holder committed, were fulfilled.

2. The activities of the chair holder in support of the teaching and research/creative activities of the department and campus.

3. The quality of the intellectual leadership provided to the department and campus by the chair holder.

4. The degree of enhancement of the academic life on campus as a whole.

5. The progress of the chair holder in scholarly activities, teaching, and University and public service as expected for faculty at the same academic rank.

C. The department will forward the dossier to the dean's office.

1. The dean of the college or school will submit a slate of potential ad hoc review committee members to the Chancellor.

2. The Chancellor will appoint a confidential ad hoc committee to review the progress of the candidate and recommend on the reappointment.

3. The dean's office will administer the ad hoc committee review.

4. The ad hoc committee shall submit its report to the dean, who will share the substantive findings and recommendation with the holder of the endowed chair.

5. The dean will forward the ad hoc committee report together with his/her recommendation and the candidate's reappointment dossier to the Vice Provost--Academic Affairs for review and recommendation.

6. The Chancellor has final approval authority.

VI. Administrative Chair (See III.F, above)

An endowed administrative chair is intended for the "position" and not the individual. Whoever is appointed to the administrative position linked to the endowed chair will hold the endowment. Review of an individual’s performance as the endowed chair holder can occur concurrent with the administrative review as long as the review occurs at least once every five years. The criteria and process for a dual review should be the same as described in III.B and III.C above.

VII. Annual Reporting

Each endowed chair holder shall annually submit a brief narrative of the past year's activities, including explanation of expenditures of the endowment income, and a budget request for use of the endowment income for the following year. This narrative should be submitted to the dean via the department chair.

VIII. Further Information

A. Consult APM-191.D for use of fund payout and APM-191.E for disestablishment of an endowed chair.

B. Additional information or assistance is available from the Office of the Vice Provost--Academic Affairs.

C. Contact the Associate Vice Chancellor--University Relations at (530) 752-2614 if you have questions regarding working with potential donors in contributing funds for an endowed chair.