Misconduct, Grievances, and Performance Management

The UCSF Academic Employee Relations (AER) office is the primary campus resource for UCSF leadership, faculty, and other members of the campus community seeking advice and consultation on Academic Employee Relations matters. The AER office is responsible for case administration of faculty misconduct investigations, including the administration of discipline, and the disposition process for cases involving Sexual Violence and Sexual Harassment. The office also handles APM 140 grievances by Non-senate Academic appointees.

Each topic section below contains information and links to relevant policies and procedures.

Faculty Misconduct

The Academic Employee Relations team administers faculty misconduct investigations – where a faculty member is alleged to have violated the Faculty Code of Conduct (APM 015), as well as the administration of any subsequent discipline.

A formal faculty misconduct investigation is a peer review process, conducted by an ad hoc committee of faculty members. The Office of Faculty and Academic Affairs utilizes a standing panel of trained faculty members to fill the ad hoc committees. Membership on the standing panel constitutes an important form of University service.

See the following links for relevant policy and process information:

Relevant Policies

Investigation Process

Contact Team

For policy and process guidance, or further information concerning faculty misconduct investigations, contact the Academic Employee Relations team.

Sexual Violence and Sexual Harassment

The Academic Employee Relations team coordinates the disposition phase for cases where the UC Sexual Violence Sexual Harassment (SVSH) Policy is involved. The disposition phase follows the investigation phase which is conducted by the Title IX Office (Office for the Prevention for Harassment and Discrimination – OPHD).

The disposition phase includes engagement of the Peer Review Committee (PRC), and generally concludes after the Chancellor proposes discipline or early resolution, and the faculty member or non-represented non faculty academic (NFA) declines the proposal.

See the following links for relevant policy and process information:

Relevant Policies

Investigation Process

OPHD Information and Resources can be found here:

Contact Team

  • For policy and process guidance, or further information concerning the disposition phase for SVSH cases for faculty or non-represented NFAs, contact the Academic Employee Relations team
Grievances - Non-Senate Academic Appointees

The Academic Employee Relations team facilitates grievances by Non-Senate Academic Appointees filed under APM 140.

See the following links for relevant policy and process information concerning APM 140 Grievances:

Relevant Policies

Relevant Process Information and Forms:

Contact Team

  • For policy and process guidance, or further information concerning APM 140 Grievances, contact the Academic Employee Relations team 
Performance Management

Performance management entails an on-going, interactive process of communication between an appointee and their chair/division chief/PI.  This process serves, among other things, to notify an academic appointee of concerns regarding their performance or conduct and to provide them with information and resources to help them address the concerns.

Non-represented Non-Senate Academic Appointees

(Non-Senate faculty and Non-faculty Academics Appointees Not Covered by a Collective Bargaining Appointment)

APM 150 sets forth the types of and process for corrective action and dismissal of non-Senate faculty members and non-represented non-faculty academic appointees.  It applies to non-Senate academic appointees covered by a collective bargaining agreement only to the extent provided for in the collective bargaining agreement. 

Performance Management (“Corrective Action”) Steps for Departments

  1. When performance management is required, be proactive.
    • Document concerns and performance issues and communicate with the appointee.
    • Document all communications.  
  2. Consult with Academic HR Shared Services and/or your Dean’s Office – Academic Affairs early in the process.  
  3. Make sure expectations are clear and corrective in nature, not punitive.
  4. Following an informal spoken discussion with an appointee, the appointee may be issued a written counseling memo.  (Depending on the circumstances, a counseling memo may not be necessary.  Consult with Academic HR Shared Services for advice.)
  5. A Written Warning identifying the unsatisfactory work performance, dereliction of duty or other concerns related to an appointee’s work performance or conduct must be prepared in consultation with Academic HR Academic Shared Services and your Dean’s Office – Academic Affairs.  
    • A Written Warning must also inform the appointee of the method of correction and the probable consequence if their performance or conduct does not improve.
  6. The appointee must be provided sufficient time to correct the issue(s) giving rise to the Warning.
  7. Consult with Academic HR Shared Services and/or your Dean’s Office – Academic Affairs before making any changes to the work assignments, salary, leave status, work location etc. of an appointee undergoing performance management.
  8. If an appointee shares any personal difficulties they are experiencing, refer them to the Faculty and Staff Assistance Program.

Dismissal Steps for Departments

Dismissal of academic appointees covered by APM 150 may occur only after the above steps have been taken and the unsatisfactory performance, dereliction of duty or conduct continues. 

It is a two-step process requiring a written Notice of Intent, followed by a written Notice of Action.  The appointee has 14 calendar days to respond to the Notice of Intent. Contact Academic HR Shared Services for additional information.  

Represented Non-Faculty Academics and Faculty

Contact Labor and Employee Relation at [email protected].

Senate Faculty

Performance management for Senate faculty should follow the parameters for non-Senate academic appointees in terms of on-going communication and documentation.  Performance management differs from matters covered under the Faculty Code of conduct (APM 015).

Performance Management Steps for Departments

  1. When performance management is required, be proactive.
    • Document concerns and performance issues and communicate with the faculty appointee.
    • Document all communications.  
  2. Consult with Academic HR Shared Services and/or your Dean’s Office – Academic Affairs early in the process.

Relevant Policies

APM 150 - Corrective Action and Dismissal

Other Policies & Procedures Relevant to Academic Employee Relations

The following policies and procedures are not handled by the Academic Employee Relations team, but may be relevant in certain investigations or grievances.