1. Appointments and Advancements
Ladder Faculty
Appointments and Advancements

2. Agenda- Day 1 General Review The Recruitment Process
The Review Process
Appointment Cases

3. Academic Personnel Contacts
Viktoriya Filippova, Sr. Analyst
x5428
Physical Sciences, Bren, Engineering, Depts. of Art, Art History, Theater & Dance, Film & Media Studies, and MATP
Karen Moreno , Sr. Analyst
x5429
Social Sciences, Education, Creative Studies, Humanities and Fine Arts (except those listed above)
Cindy Doherty, Director
x8332
General Policy questions

4. General Review and Information
Ranks and Steps
Salary Scales
Lecturers SOE

5. Salary scales Years at rank and step Overlapping steps
Off-scale, Above Scale

6. Ranks, Steps, and Normal periods of service
ASST PROF ASSOC PROF PROFESSOR (8 year limit, (6 years normal, (indefinite, tenured) non-tenured) tenured) Normal Normal Normal Step period of service Step period of service Step period of service I 2 (not used at UCSB) II 2 III 2 IV 2 V 2 (overlapping step) I 2 VI 2 (not used at UCSB) II 2 III 2 IV 3 (overlapping step) I 3 V 3 (not used at UCSB) II 3 III 3 IV 3 V 3 VI 3 II 3 VIII 3 IX 4

7. FACULTY--LADDER RANKS--PROFESSOR SERIES*
TABLE 1
FACULTY--LADDER RANKS--PROFESSOR SERIES*
ACADEMIC YEAR
Minimum Scale
Salary Scale
Years at
10/1/11
7/1/13
Rank
Step
Annual
Monthly
Assistant II 2
56,400
4,700.00
58,100
4,841.67
57,500
4,791.67
59,300
4,941.67
Professor
III
59,500
4,958.33
61,300
5,108.33
60,700
5,058.33
62,500
5,208.33 IV
62,900
5,241.67
64,800
5,400.00
64,200
5,350.00
66,100
5,508.33
(1300, V
66,000
5,500.00
68,000
5,666.67
67,300
5,608.33
69,400
5,783.33
1308-Visiting
3278-Adjunct
1307-Acting)
Associate I
68,100
5,675.00
67,400
5,616.67
69,500
5,791.67
69,300
5,775.00
71,400
5,950.00
70,700
5,891.67
72,800
6,066.67
73,200
6,100.00
75,400
6,283.33
74,700
6,225.00
76,900
6,408.33
(1200, 3
77,700
6,475.00
80,000
6,666.67
79,300
6,608.33
81,600
6,800.00
1208-Visiting
3268-Adjunct
1207-Acting)
77,800
6,483.33
80,100
6,675.00
79,400
6,616.67
81,700
6,808.33
83,800
6,983.33
86,300
7,191.67
85,500
7,125.00
88,000
7,333.33
(1100,
89,900
7,491.67
92,600
7,716.67
91,700
7,641.67
94,500
7,875.00
1108-Visiting
96,400
8,033.33
99,300
8,275.00
98,300
8,191.67
101,300
8,441.67
3258-Adjunct --
103,300
8,608.33
106,400
8,866.67
105,400
8,783.33
108,500
9,041.67
1107-Acting) VI
111,800
9,316.67
115,200
9,600.00
114,000
9,500.00
117,500
9,791.67
VII
121,000
10,083.33
124,600
10,383.33
123,400
10,283.33
127,100
10,591.67
VIII
131,000
10,916.67
134,900
11,241.67
133,600
11,133.33
137,600
11,466.67 IX
142,000
11,833.33
146,300
12,191.67
144,800
12,066.67
149,200
12,433.33

8. Lecturer SOE series Similarity to Ladder Rank Salary scales
PSOE covered by union if less than 100%

9. LECTURERS AND SENIOR LECTURERS WITH SECURITY OF EMPLOYMENT
TABLE 10 - B
LECTURERS AND SENIOR LECTURERS WITH SECURITY OF EMPLOYMENT
LECTURERS WITH POTENTIAL SECURITY OF EMPLOYMENT-100% TIME
Minimum Scale
Salary Scale
10/1/11
7/1/13
Annual
Monthly
43,908
3,659.00
45,228
3,769.00
44,784
3,732.00
46,128
3,844.00
44,892
3,741.00
46,236
3,853.00
45,792
3,816.00
47,160
3,930.00
45,900
3,825.00
47,280
3,940.00
46,824
3,902.00
48,228
4,019.00
46,980
3,915.00
48,384
4,032.00
47,916
3,993.00
49,356
4,113.00
48,072
4,006.00
49,512
4,126.00
49,032
4,086.00
50,508
4,209.00
49,212
4,101.00
50,688
4,224.00
50,196
4,183.00
51,696
4,308.00
50,292
4,191.00
51,804
4,317.00
51,300
4,275.00
52,836
4,403.00
51,456
4,288.00
53,004
4,417.00
52,488
4,374.00
54,060
4,505.00
52,692
4,391.00
54,276
4,523.00
53,748
4,479.00
55,356
4,613.00
53,880
4,490.00
55,500
4,625.00
54,960
4,580.00
56,616
4,718.00
55,212
4,601.00
56,868
4,739.00
56,316
4,693.00
58,008
4,834.00
56,496
4,708.00
58,188
4,849.00
57,624
4,802.00
59,352
4,946.00
57,804
4,817.00
59,544
4,962.00
58,956
4,913.00
60,732
5,061.00
59,112
4,926.00
60,888
5,074.00
60,300
5,025.00
62,100
5,175.00
60,552
5,046.00
62,364
5,197.00
61,764
5,147.00
63,612
5,301.00
61,932
5,161.00
63,792
5,316.00
63,168
5,264.00
65,064
5,422.00
63,372
5,281.00
65,268
5,439.00
64,644
5,387.00
66,576
5,548.00
64,956
5,413.00
66,900
5,575.00
66,252
5,521.00
68,244
5,687.00
66,552
5,546.00
68,544
5,712.00
67,884
5,657.00
69,912
5,826.00
68,316
5,693.00
70,368
5,864.00
69,684
5,807.00
71,772
5,981.00
69,792
5,816.00
71,880
5,990.00
71,184
5,932.00
73,320
6,110.00
71,448
5,954.00
73,596
6,133.00
72,876
6,073.00
75,072
6,256.00
72,888
6,074.00
74,340
6,195.00
76,572
6,381.00
74,436
6,203.00
76,668
6,389.00
75,924
6,327.00
78,204
6,517.00
76,524
6,377.00
78,816
6,568.00
78,060
6,505.00
80,388
6,699.00
78,516
6,543.00
80,868
6,739.00
80,088
6,674.00
82,488
6,874.00
80,112
6,676.00
82,512
6,876.00
81,720
6,810.00
84,168
7,014.00

10. The Recruitment Process
FTE
The Search Process
Final Candidate (Appointment Case)

11. FTE
Annual Call
EOR
Changes in FTE already granted

12. Open Recruitment Background: Open Recruitment Policy:
Federal contractor so must comply with federal laws prohibiting discrimination and requiring an Affirmative Action Program.
APM-035 Affirmative Action and Non-discrimination in Employment.
Open Recruitment Policy:
Required for any position at 50% time or more and for more than one year (RB VII-1)

13. Open Recruitment (Search) Process
Form departmental search committee
Compose an ad and submit Recruitment Packet, Part 1 (VII-9) with required attachments to EO Office and Dean for approval. Make sure ads and documentation are sufficient for possible non-resident hires.
Create recruitment on UC Recruit.
Complete the Applicant Evaluation Summary and Part 2 of the Recruitment Packet. Submit for appropriate approvals.
Screen applicants and select finalists to be brought to campus for interviews.
Prepare the hiring proposal; Part 3 of the Recruitment Packet. Submit for signatures and forward with appointment case.

14. Exemptions and Exceptions Faculty Recruitment
Exemptions to Open Recruitment Policy (VII-1, IV)
None for ladder faculty
Exception to Open Recruitment Policy (VII-1, VII)
Spousal/Domestic Partner Employment
Unanticipated opportunities

15. References for Faculty Recruitment
Red Binder, section VII-4 “Procedures for Recruitment of Ladder Rank Faculty and Equivalent”
Red Binder, section VII-9 “Academic Recruitment Packet” Also available on the download forms section of AP web site
Questions about Open Recruitment:
Elizabeth Rogers, Equal Opportunity Office
x3294
Personnel Analyst in Academic Personnel Office or Dean’s office.

16. The Review Process Appointment case review process Reviewing agencies
Authority delegation
Deadlines

17. Appointment Case Review Process

18. Reviewing agencies Dean CAP Ad Hoc Make up of committee
Role in the review of an appointment
Ad Hoc
Make up of committees
Confidentiality

19. Appointment Approval Authority RB I-1
Title requested Authority Assistant Professor II, III, including Dean Acting titles Other Assistant Professor Associate Vice Chancellor Associate Professor, Professor Chancellor Lecturer PSOE Dean Lecturer SOE, Sr. Lecturer SOE Chancellor

20. Deadlines RB I-14
Internal
UC: April 1
AAU: April 30
Competing offers

21. The Appointment Case Contents of a case Departmental recommendation
External letters
Other items in the case
Items to forward that aren’t part of the case

22. Contents of an Appointment Case Documents to be submitted by the Chair (RB I-15)
Departmental Letter
External Letters CV
Biography form
Publications
Start-up request
Recruitment Packet
Department Rep. nomination

23. Departmental recommendation
Voting rights
Evaluation of all review areas
Joint or affiliated appointments
Minority opinion letters
Chair’s confidential letters

24. Rank, Step & Salary recommendation
Rank and step based on record
Salary based on record plus market (current salary, competing offers)
Intercampus recruitment limits

25. External Letters RB I-46, I-49, I-50, I-51
Sample letters
Placement files
Confidentiality statement
Materials sent to reviewers
List of evaluators
No identification

26. Additional items in the caseCV
UCSB Biography form
Publications
Other supporting documentation

27. Other items to forward with the appointment case
Recruitment Packet
Faculty Enrichment request
Correspondence
Start-up requests

28. Start-up Items RB I-17 Equipment Recruitment Allowance Removal
Space renovation
Summer salary
Other (research funds etc)
MOP loans
For purchase housing
Rental housing

29. Once a decision is made
Department and College informed, CAP cc’d on letter
Offer letter is sent to the candidate from the Chancellor or EVC
Dean or Chair communicates start-up and other items
Candidate accepts
Department does hire paperwork, enters into PPS.
Becomes an employee and has future advancements
Candidate declines
Department either goes to a second candidate, reopens search, or puts search on hold

30. Appointments and Advancements
Ladder Faculty
Appointments and Advancements

31. Agenda- Day 2
Advancement eligibility
Types of cases
Case preparation

32. Eligibility “Normal” eligibility Off-scale salaries Time off the clock
Other eligibility issues

33. “Normal” eligibility RB I-30
Based on the salary scales and APM
Years at step vs. years since last review vs. years since last salary increase

34. ASST PROF ASSOC PROF PROFESSOR Normal Normal Normal Step period of service Step period of service Step period of service II 2 III 2 IV 2 V 2 I 2 II 2 III 2 IV 3 I 3 II 3 III 3 IV 3 V 3 VI 3 VII 3 VIII 3 IX 4

35. FACULTY--LADDER RANKS--BUSINESS/ECONOMICS/ENGINEERING*
TABLE 3
FACULTY--LADDER RANKS--BUSINESS/ECONOMICS/ENGINEERING*
ACADEMIC YEAR
Minimum Scale
Adjusted Scale
Years at
10/1/11
7/1/13
Rank
Step
Annual
Monthly
Assistant I 2
70,900
5,908.33
73,000
6,083.33
72,300
6,025.00
74,500
6,208.33
Professor II
74,600
6,216.67
76,800
6,400.00
76,100
6,341.67
78,300
6,525.00
III
78,200
6,516.67
80,500
6,708.33
79,800
6,650.00
82,100
6,841.67 IV
82,400
6,866.67
84,900
7,075.00
84,000
7,000.00
86,600
7,216.67 V
85,900
7,158.33
88,500
7,375.00
87,600
7,300.00
90,300
7,525.00 VI
89,000
7,416.67
91,700
7,641.67
90,800
7,566.67
93,500
7,791.67
Associate
86,000
7,166.67
88,600
7,383.33
87,700
7,308.33
90,400
7,533.33
89,100
7,425.00
91,800
7,650.00
90,900
7,575.00
93,600
7,800.00
92,700
7,725.00
95,500
7,958.33
94,600
7,883.33
97,400
8,116.67 3
98,400
8,200.00
100,400
8,366.67
98,300
8,191.67
101,200
8,433.33
100,300
8,358.33
103,200
8,600.00
95,600
7,966.67
98,500
8,208.33
97,500
8,125.00
100,500
8,375.00
101,400
8,450.00
103,400
8,616.67
104,000
8,666.67
107,100
8,925.00
106,100
8,841.67
109,200
9,100.00
110,100
9,175.00
113,400
9,450.00
112,300
9,358.33
115,700
9,641.67 --
116,600
9,716.67
120,100
10,008.33
118,900
9,908.33
122,500
10,208.33
125,400
10,450.00
129,200
10,766.67
127,900
10,658.33
131,800
10,983.33
VII
134,500
11,208.33
138,500
11,541.67
137,200
11,433.33
141,300
11,775.00
VIII
144,000
12,000.00
148,300
12,358.33
146,900
12,241.67
151,300
12,608.33 IX
155,600
12,966.67
160,300
13,358.33
158,700
13,225.00
163,500
13,625.00

36. Off-Scale Salaries RB I-8
Maintained in routine cases
Decrease or increase is not routine
Impact on eligibility when change from on-scale to off-scale
Limit of two within-step increases

37. Time off the clock RB IV-1
Only applies to Assistant Professors/Lecturers PSOE
Reasons include:
Childbearing, Child care, Personal illness, Activity completely unrelated to the academic career
Must be requested; being on leave does not stop the clock
Changes 8 year limit, does not change eligibility
Can not count the time off ‘against’ the person in future reviews

38. Other Eligibility issues
Service on other campus or in other Professor series
Start dates other than 7/1
Special (overlapping) steps

39. Deferrals RB I-4 Assistant Prof. - requires review
Assoc. and Full Prof – notification or non- submission of materials
No deferral of:
Appraisal (unless time off the clock)
tenure review into 8th year
mandatory review

40. Mandatory review RB I-4 Once every 5 years Administrative exemption
Lack of candidate involvement

41. Types of review Routine Other: Non-Routine: On time one-step
Decelerated one-step
Asst. Prof. deferrals
Other:
Reconsiderations
Retentions
Career Equity Review
Non-Routine:
Acceleration
Special steps
Appraisal
Promo to Tenure
Promo to Professor
Merit to Prof VI
Merit to or within Above Scale

42. Routine reviews RB I-30 Any one-step increase. Dean’s Authority
No external evaluation
Expected level of performance in all four review areas

43. Accelerations RB I-36 Kinds of acceleration Justification
In years (early)
In salary/step (more than one-step)
Mixed
Justification
No set measures

44. Special Steps RB I-37 Counts as time in next rank Justification
Assistant V
Associate IV
Justification
Shows evidence of work that is likely to lead to promotion in the near future when completed
Asst. V; can be based on research or teaching

45. Appraisal RB I-38 To assess progress towards tenure/ SOE
Done during 4th year as Assistant Professor/Lecturer PSOE
Full career review
Options for recommendation
Separate vote

46. Promotion to tenure RB I-40
“Superior intellectual attainment, as evidenced both in teaching and in research or other creative achievement” APM 210-1d
Up or out review
Timing of review
Career review
Recommendation to terminate or not promote

47. Promotion to Professor
“Requires an accomplished record of research that is judged to be excellent within the larger discipline or field. Superior intellectual attainment, as evidenced both in teaching and in research or other creative achievement, is an indispensable qualification for advancement to Professor. Sustained excellence in the areas of University and public service as well as professional activity is expected” RB I-41
Career review

48. Advancement to Prof. VI
“Evidence of sustained and continuing excellence in each of the following categories (1) scholarship or creative achievement, (2) University teaching, (3) University and public service, and (4) professional activity. In addition, great distinction, recognized nationally or internationally in scholarly or creative achievement or in teaching is required” RB I-42
Career review
Merit, not promotion
Not automatic, can stay at Prof V indefinitely

49. Above Scale
“Scholars and teachers of the highest distinction (1) whose work of sustained and continuing excellence has attained national and international recognition (2) whose University teaching performance is excellent, (3) whose University and public service is highly meritorious, and (4) whose professional activity is judged to be excellent.” RB I-43
7% increase for “sustained excellence in all four review areas as well as new evidence of merit and distinction”
Initial above scale merit vs. within Above Scale
Same standards for within Above Scale actions

50. Reconsiderations RB I-10
Justification:
New documentation of material in the case prior to cut off
Evidence that reviewing agencies neglected important features of the case
Recommendation same as in original case
Different standard for promo to tenure

51. Retentions RB I-44 May be abbreviated case if:
Case with same effective date already done
Change in o/s only to match outside offer
Retentions other than advancement

52. Career Equity Review
“To examine cases in which normal personnel actions from the initial hiring onward may have resulted in an inappropriate rank and/or step; i.e., a faculty’s rank, step, and/or salary is not commensurate with the candidate’s merit as assessed in the areas of research, teaching, professional activity, and service and in terms of the standards appropriate to the candidate’s field, specialization, and cohort.” (RB I-6)
Not an alternative to regular review process; must be done with an advancement case
No reconsideration/appeal
Initiated via the Department or via the Dean

53. Advancement Case Review Process

54. Advancement Approval Authority RB I-1
Merits
On-schedule merits Dean
Decelerated one-step merits Dean
Merit to Professor VI, to and Chancellor
within Above Scale
Other merits Associate Vice Chancellor
Formal Appraisal Associate Vice Chancellor
Promotions
Associate Professor, Professor Chancellor
Lecturer SOE, Sr. Lecturer SOE Chancellor

55. Deadlines RB I-2 Departmental College Routine: 2nd Monday in November
Non-Routine: 2nd Monday in December
Internal: Dean to AP, AP to CAP
All cases finalized by June 30

56. Contents of a case Documents to be submitted by the Chair for Routine (RB I-31) Documents to be submitted by the Chair for Non-Routine Cases (RB I-34)
Departmental Letter
Bio-bib
Report on outside activities
Safeguard Statement
External Letters and other related items
Self Statements
Sabbatical Leave Reports
Teaching evaluation
Publications

57. Candidate supplied documents
Evaluation of teaching
ESCIs
Publications
Appropriate for the review period
Can be hard copy of via link in bio-bib
Numbered to match bio-bib if hard copy
Self statements
As required by department or college
Research and/or other activities, including contributions to diversity

58. Candidate supplied documents (Cont)
Sabbatical leave reports
Report on outside activities (APM-025)
Done on-line beginning
Category I and II reported
Other supporting documentation
Anything they want as long as not in conflict with rights of others or policies

59. Bio-Bibliography Must follow format in Red Binder (I-28)
Cut off of 9/15 (or earlier if set by department)
Research
Cumulative
oldest = lowest number
Changes since last review
Other areas are since last review
Check links if publications are being submitted electronically

60. External Letters RB I-46 Candidate suggested names
Candidate has right to receive redacted copies and make comment
All else same as with appointment cases
Sample letters
Confidentiality statement
List of evaluators
No identification

61. Departmental recommendation RB I-35
All same as with appointment cases
Voting rights
Evaluation of all review areas
Minority opinion letter
Chair’s confidential letter
Candidate right to respond
To the Chair/Department
To the Dean

62. Safeguard Statement (RB I-26)
Assures faculty rights and access to confidential documents
Request concerning ad hoc committees
Follows steps outlined in “Departmental Checklist for Academic Advancement” RB I-22
Can request reviewing agency reports at close of case
Must be completed for every case, for each department
Completed on-line by the faculty member

63. Once a decision is made
Decision letter is sent to the faculty member from the Chancellor or AVC, with copy to Dean, Department and CAP
Candidate and Department are happy; move on to next review period
Candidate or Department is not happy; reconsideration possible