Putting Together Your Academic
Dossier
Candidate Statement Workshop
Vijay P. Khatri, MBChB, FACS, MBA
Professor of Surgery |UC Davis Health System
Interim CMO | Rideout Health
Putting Together Your Academic Dossier
Review Academic Series
What is FPC
Tips in Preparation of Academic Dossier
Key Contents of Packet
Candidate Statement
Academic Series
 Ladder Rank
 In Residence
 Clinical X
 HSCP
 Adjunct
Academic Series
Academic Series
Academic Series
Academic Series
Academic Series in the UC Davis School of Medicine
Ladder-Rank (APM 220)
Salary support by state
funds
Yes
Member if Academic
Senate
Yes
Role
Research Scholar & educator
Investig./Creative Work
(Research)
Independent, thematic, hypothesis-based research
with extramural support. Areas of investigation may
include basic science, social science, educational
scholarship, translational, or clinically-oriented work.
Teaching
Required. May include clinical, classroom or lab
teaching of medical students, & housestaff, or
graduate student/post-doc supervision.
Clinical Service
Optional.
Admin/Comm Svc.
Required.
Academic Series in the UC Davis School of Medicine
In-Residence (APM 270)
Salary support by state
funds
No
Member if Academic
Senate
Yes
Role
Research Scholar & educator
Investig./Creative Work
(Research)
Independent, thematic, hypothesis-based research
with extramural support. Areas of investigation may
include basic science, social science, educational
scholarship, translational, or clinically-oriented work.
Teaching
Required. May include clinical, classroom or lab
teaching of medical students, & housestaff, or
graduate student/post-doc supervision.
Clinical Service
Optional.
Admin./Comm. Svc.
Required.
Academic Series in the UC Davis School of Medicine
Clinical X (APM 275)
Salary support by state
funds
No
Member if Academic
Senate
Yes
Role
Clinician-Investigator and educator
Investig./Creative Work
(Research)
Independent, thematic, clinical research program.
May include clinical trials, translational or integrative
projects, health services research, case series,
educational research, or bench research.
Extramural support in not required.
Teaching
Required. Emphasis on clinical teaching of students
& housestaff. Also usually includes classroom or
lab teaching of medical students.
Clinical Service
Required by definition.
Admin./Comm. Svc.
Required.
Academic Series in the UC Davis School of Medicine
Health Sciences Clinical (APM 278)
Salary support by state
funds
No
Member if Academic
Senate
No
Role
Clinician-educator
Investig./Creative Work
(Research)
Supports departments invest/creative mission. May
include enrolling patients or collaborating in clinical
trials, enhancing clin efficiency; developing new clin
or teaching programs or materials or assuming a
large clin load to free up research time for other fac.
Teaching
Required. Emphasis on clinical teaching of students
& housestaff, May include classroom or lab teaching
of medical students
Clinical Service
Required by definition.
Admin./Comm. Svc.
Required.
Academic Series in the UC Davis School of Medicine
Adjunct (APM 280)
Salary support by state
funds
No
Member if Academic
Senate
No
Role
Research Scholar & educator
Investig./Creative Work
(Research)
Independent, thematic, hypothesis-based research
with extramural support. Areas of investigation may
include basic science, social science, educational
scholarship, translational, or clinically-oriented work.
Teaching
Required. though less amount than LR and IR.
May include classroom or lab teaching of medical
students, or graduate student/post-doc supervision.
Clinical Service
No.
Admin./Comm. Svc.
Required.
Faculty Personnel Committee
Make up of the FPC
 Chair, Vice-Chair and 7 additional members
 Goal: Follow the guidelines provided in the APM and serve as an
independent body providing recommendations to the Associate Dean
 All accelerations and Promotions require discussion
Tips in Preparing for Merits and
Promotions
Tips in Preparing for Merits and Promotions
Tip #1
 Show evidence of having met the criteria for
advancement in each mission
• Quantity, quality, significance and impact.
• Highlight accomplishments rather than promise.
• Describe you leadership role if it is not obvious
(example: first author is a trainee)
 This is often best accomplished in the candidate’s
statement
Tips in Preparing for Merits and Promotions
Tip #2
 Be sure to use appropriate criteria.
 Do not use non-academic issues:
•
•
•
•
•
Hard-luck stories
Personal/health issues
Clinical load
Inequities in teaching or staff support
Length of time spent in a project
Tips in Preparing for Merits and Promotions
Tip #3
 Don’t rely on a “special deal” with the
Dean or Chair
• Dean/Chair frequently has no
knowledge of such a deal.
• Reviewers (SPC, CAP, Dean) does not
recognize deals that foster inequitable
treatment of faculty.
Tips in Preparing for Merits and Promotions
Tip # 4
 Outside letters from external referees for
promotions must be “arms-length”
• Don’t ask your mentor, frequent co-author,
best friend, mother, etc.
• Looking for objectives reviewers who can
place your accomplishments within context of
your field.
• Less than arm’s length letters make review
committees believe you lack an independent
reputation
Tips in Preparing for Merits and Promotions
Tip # 5
 Preparing your packet is ultimately your
responsibility!!
• Keep a file to place teaching evals, reprints,
things you don’t want to forget to include!!
• You will be given the opportunity to review
your packet before submission – check to be
sure it is complete and accurate!
• Learn to use My InfoVault
Tips in Preparing for Merits and Promotions
Tip # 6
Don’t buy into the myth that “only research counts”
 All missions are important! But….
• Research is the reason for most denials. It is:
o The mission that distinguishes the different
series.
o The only activity that isn’t scheduled for
you – you need to make time yourself!!
o The only activity without immediate reward
–discipline yourself, learn to say no!
Tips in Preparing for Merits and Promotions
Tip # 7
BEWARE OF EXCESSIVE SERVICE
 Don’t take on excessive service
obligations early!
 Assistant professors are not expected to
have heavy service obligations
 Service obligations increase with rank
internally and in the profession
For more information:
 http://www.ucdmc.ucdavis.edu/facultydev/
• Calendars of faculty development events
• Definitions of series
• Mentoring information
Frequently asked questions and answers:
http://academicpersonnel.ucdavis.edu
 Or call! 916-734-4610
Content of Dossier
 KEY CONTENTS
 Department/Division Letter
 Discuss all the key criteria
 Candidate Statement
 Considered Optional BUT STRONGLY ENCOURAGED
 Medical Student/Resident/Fellow evaluationsscores/comments
 As many as possible for the review period
 Submit an Updated MyInfoVault Packet
 Allows all the FPC members to review the content
Content of Dossier
Departmental letter of recommendation
 Report of the nature and extent of consultation and the vote of
faculty
 Positive and Negative Votes and Comments
 Evaluation (not just enumerate) of
 Teaching effectiveness
 Research
 Service
 Professional competence
 Balanced letter where often the positive and the negative are
included (if negative included an explanation be provided)
 If there a apparent issues in the past or the present it should be
discussion (particularly what remedial actions were taken)
Candidate Statement
General Recommendations
•
•
•
Up to 5 pages
Describe accomplishments
•
•
•
•
Clinical Activity
Research/Creative activity-describe how the research fits together
Teaching-what is the teaching approach
Service
Explain any unusual circumstances which have affected
performance in the various areas
• Problems with teaching and any solutions candidate may have
developed
• Significance of research, any problems which had to be
overcome, breakthroughs that pushed the research forward
• Significance of any awards or honors received during the review
period
• Description of any difficult, time-consuming or noteworthy
committee assignments
Candidate Statement
Tips to be Comprehensive and Complete
 Keep a file of all the letters of acceptance for
manuscripts
 Update the MyInfoValt at regular intervals especially the
“contributions” to manuscripts
 Keep a Folder in the Lotus Notes e-mail
 Teaching scores that are not in e-value system
 Have a .doc file of accomplishments that is updated
regularly
Candidate Statement
Initial Paragraph-Example
……..I was promoted to Full Professor of Clinical
Surgery, Step I effective July 1, 20xx. This Candidate
Statement will outline my achievements since the
promotion and documents the clinical, teaching,
research and service activity in support of my Merit to
Professor of Clinical Surgery, Step II effective July 1,
20xx……
Candidate Statement
 Clinical work

Provide a percentage time you spend in clinical duty
 Clinic hours, # on calls, patient census, OR days, etc
 Use a week as an example

Clinical expertise developed

Any clinical programs established

Clinical competence is harder to describe and judge.
 Perhaps mention outcomes, national benchmark comparison.

Possible Future Inclusions:
 cFTE = work RVU percentage of FPSC (Faculty Practice Solution
Center) benchmark for the review period
Candidate Statement
Clinical Activity-Example
……. I
continue to also develop my practice in primary and metastatic
liver cancers by collaborating with faculty in Anesthesia and Radiology
to integrate Low CVP anesthesia, radiofrequency ablation, portal vein
embolization and radioembolization to increase safety of hepatic
surgery. To provide the latest ablative therapy to patient’s with liver
tumors, I attended a course that has certified me to incorporate
ultrasound-guided microwave technology for liver tumor destruction.
Evolution of this clinical interest in gastrointestinal malignancies has
blended well with my recent academic activity including publications,
Editorial membership, and membership to The American HepatoPancreato-Biliary Association as outlined below…………
Candidate Statement
 Teaching Activity
 Provide summary of teaching activity (Quantity and
Quality)
 # courses, lectures, labs, discussion sessions, one-onone teaching, # of teaching clinics per month etc.
 Summary of teaching evaluation score (mean
score/scale maximum) for ward, consult clinic
evaluations, OR teaching, etc.
 Rank in Department or Division either thirds or
quartiles
Candidate Statement
 Teaching Activity
 Teaching Awards
 Mentoring of Medical Students (mentoring residents
is considered service)
 Have you made efforts to improve in areas where
student or peer comments have been negative?
 If there has been a serious problem with a class, has
the candidate sought help from the Department Chair,
the Teaching Resources Center, or a departmental
mentor?
Candidate Statement
Teaching-Example
……. With Dr. Kumari, the past Assistant Dean for Curricular Affairs, I
designed and serve as the Co-IOR (now with Dr. Blankenship from
Department of Anatomy) for the 4-week Clinical Anatomy Special
Study Module that was an important component of the SSM Task Force
Report presented to the FEC and the CEP for approval. A core group of
surgical, radiology and pathology faculty was assembled to provide
comprehensive instruction on clinically relevant anatomy. The Applied
Anatomy SSM has been a valuable tool for preparing students
contemplating a career in surgery or surgery-related careers. Dr.
Ruebner from the Department of Pathology has developed the
Gastrointestinal Oncology SSM and I will be participating as an
Instructor…….
Candidate Statement
 Research/Creative Work

Percent effort of candidate time spent on this endeavor

# pubs during period of review (divided into types-original,
reviews, editorials, etc)
 Provide reference to the pub # as stated in MyInfoVault

Creative work: textbook, periodical editor, multimedia
pubs, educational materials

Trainee mentoring for research
 As the candidate advances in merit/promotion more senior
authorship strongly recommended
Candidate Statement
 Research/Creative Work
 # of extramural grants and contracts held during
study period as PI/co-PI or investigator
 Impact of publications= ?accompanied by an
editorial, most downloaded article, etc
 Research Awards
Candidate Statement
Research-Example
…….Thus far, my research and creative work comprises xx
publications that include original manuscripts, textbooks
(paper bound and online) and textbook chapters. Since my
promotion to Full Professor, I have had xx publications (xx
as first-author, xx as senior author and x collaborator) in
impact journals such as Annals of Surgical Oncology,
Radiology, Journal of the American College of Surgeons,
Hepatogastroenterology and Editorials in Annals of
Surgical Oncology (Pub.# xx) and Journal of Clinical
Oncology (Pub# xx)…….
Candidate Statement
 Institutional/Regional/National Service

Major administrative/committee responsibilities

Service been done locally for the university, academic senate, or
hospital

List work done nationally and internationally, particularly
leadership roles. True public service should then be listed.

Lectures as outreach for dissemination of knowledge

Include service on Editorial Boards, ad hoc reviewers

Service should increase with advancement in the series.

REMEMBER this university has a degree of SELFGOVERNANCE
Candidate Statement
Service-Example
……. Since 2008, I have been a member of the Medical
Claims Review and Advisory Subcommittee which advices
the University Counsel to determine whether “standards of
care” have been met in cases that involve UC Davis. In
2009, I was elected as the Surgical Science representative to
the Faculty Executive Committee. Since 2009, I have also
been serving on the Value Analysis Committee that reviews
and makes recommendations on submission for medical
devices by faculty…….
Academic Dossier
Think about Service assignment
 Particularly for Senior Professors-Service obligations
increases with rank
BUT
 Beware of excessive service for Junior faculty
Academic Dossier
Encourage the Faculty to become
Educated
and
Engaged
with their Own Dossier Preparation
 Preparing the packet is ultimately the CANDIDATE’S
responsibility!!
Academic Dossier
 The Candidate should become
Educated
and
Engaged
with their Own Dossier Preparation
 Preparing the packet is ultimately the CANDIDATE’S
responsibility!!
ACCELERATIONS
 DEPARTMENT LETTER: State explicitly the
reasons for requesting the acceleration and
highlight the accomplishments succinctly
 Include a CANDIDATE STATEMENT
 Do not Use Acceleration in lieu of Equity Review
 APM 220: Unusually high academic achievement in at
least one category (teaching, research, or service) since the
last advancement, and at least normal progress in the other
categories, i.e., accelerations are not granted if any
component of the record is below par.
Step Plus
School of Medicine
Academic Personnel
February 12, 2015
Abigail Reyes
Step Plus Basics
 Academic Senate faculty only (Ladder Rank, In Residence, Clinical X)
 All merits will take place on a fixed two, three or four year schedule
(determined by rank and step)
 At every review, candidate may be considered for more than one step –ie:
1.5 steps, 2 steps
 New appointees must be appointed at full steps; half steps will only apply
to merits and promotions
 The only actions allowed at intervals less than normative time:
 Accelerations in time for promotions to Associate Professor and Full
Professor.
 Action after a deferral; advancement action can be pursued the next
year
 Action after denial; advancement action can be pursued the next year
 Action after a Five Year Review that does not result in advancement;
an advancement action can be pursued the next year
Basics cont’d
 Temporary off scales will be applied to compensate for any salary
loss due to elimination of accelerations in time (off scales will end
after normative time at step)
 Academic appointees have the option to request an “acceleration
in time” for the first action during the first three years of the Step
Plus system
 Academic appointees whose normal eligibility year is 2014-2015
are automatically included in Step Plus
1.5 Step criteria
 1.5 Step Advancement: Strong record with outstanding
achievement in at least one area of review (research, teaching,
service); however, outstanding achievement in one area may
not warrant 1.5 step advancement
2.0 Step criteria
 2.0 step advancement will require a strong record in all three areas of
review, with outstanding performance in at least two areas. In most
cases, one of those areas will be scholarly and creative activity,
however, exceptional performance in two other areas (teaching,
University and public service, professional competence and activities)
might warrant such unusual advancement.
Half Step Criteria
 Advancement Beyond Two Steps: Extremely rare; requires
exceptionally strong record with extraordinary levels of achievement
in two areas (including research) and excellent contributions in a
third area.
Above Scale
 Larger-than-normal Above Scale Increments: Advancement of
1.5 Steps require an exceptionally strong record of excellence in
all three areas of review, exceptional achievement in research
and outstanding performance in at least one additional area
Delegation of Authority
 Less than 2 steps  Possible FPC review, Dean
approval (unless Promotion, Step VI or Above Scale)
 Equal to or greater than 2 steps  CAP review, VP
approval
 Above Scale  CAP review, VP approval
Voting and Ballots
Votes can be conducted with or without a specific
step proposal
Ex: Professor X is eligible for merit
advancement from Professor, Step 2, effective
7/1/2015. The review period for this action is
7/1/2011 -6/30/2014.
Ex: Professor X is being considered for merit
advancement from Professor, Step 2 to
Professor, Step 3, effective 7/1/2015.
Voting Website
Ex: Professor X is eligible for merit advancement from Professor Step 2, effective
7/1/2015. The review period for this action is 7/1/2011 -6/30/2014.
Type: "Step Plus – No Proposed Step "
VOTE:
~Choose ONE selection~
Yes, 1.0 Step
Yes, 1.5 Steps (additional .5 Step)
Yes, 2 Steps (additional 1 step)
No, do not support advancement (comment required)
Abstain
Voting Website and
Ballots
Ex: Professor X is being considered for merit advancement from Professor, Step 2 to
Professor, Step 3, effective 7/1/2015.
Type: "Step Plus - Proposed 1.0 Step"
VOTE:
~Choose ONE selection~
Yes, support 1.0 step, as proposed
Yes, but support 1.5 steps
Yes, but support 2.0 steps
No, do not support advancement (comment required)
Abstain
Voting Website and
Ballots
Ex: Professor X is being considered for merit advancement from Professor, Step 2 to
Professor, Step 3.5, effective 7/1/2015.
Type: "Step Plus - Proposed 1.5 Step"
VOTE:
~Choose ONE selection~
Yes, support 1.5 steps, as proposed
Yes, but support 2.0 steps
No to proposed, but support 1.0 step (comment required)
No, do not support any advancement (comment required)
Abstain
Voting Website and
Ballots
Ex: Professor X is being considered for merit advancement from Professor, Step 2 to
Professor, Step 4, effective 7/1/2015.
Type: "Step Plus - Proposed 2.0 Step"
VOTE:
~Choose ONE selection~
Yes, 2.0 steps, as proposed
No to proposed, but support 1.0 step (comment required)
No to proposed, but support 1.5 step (comment required)
No, do not support any advancement (comment required)
Abstain
Voting Website and Ballots
Vote Outcomes
Department Letter
• Must include a recommended action
• Should be objective, factual, based on dossier and vote outcome
• Must report vote distribution for all step options
• Ex: The Department of Radiology recommends the merit
advancement of Professor X from Professor Step 2 to
Professor, Step 3.5, effective July 1, 2015. The Department
of Radiology has 23 Academic Senate voting faculty
members. A vote was conducted according to the
Department’s Senate voting procedures approved on
October 16, 2009. The votes regarding this merit were as
follows: 16 votes in favor of 1.0 step advancement, 5 votes
in favor of 1.5 step advancement, 2 votes in favor of 2.0 step
advancement, 0 No votes and 0 abstentions
Candidate Statement
and
Rejoinder Letter
The candidate has two opportunities to express his/her desire to
pursue a specific step recommendation.
1)
Candidate Statement: The candidate can explain or
defend the appropriateness of a 1.0, 1.5 or 2.0
advancement based on the strengths of his/her dossier.
This statement will be seen by the voting faculty.
2)
Rejoinder Letter: If, after the vote is conducted, the
candidate does not agree with the outcome of the vote or
any comments included with the vote, he/she may address
these concerns in a Rejoinder Letter. This letter will not be
seen by the voting faculty.
Benefits of Step Plus
 Reduces workload for faculty, staff and
administrators
 Increases likelihood of uniformly equitable
decisions since all actions will cover a
fixed period (two, three or four years)
 Provides a mechanism for “less
aggressive” faculty to reap benefits of an
acceleration in performance
REMEMBER!
This is a Transparent Process
Questions?
Good Luck!