Appointment Review Process

Senate FacultyAppointments and Advancements1Agenda- Day 1General Review

The Recruitment Process

The Review Process

Appointment Cases

2Academic Personnel ContactsViktoriya Filippova, Sr. Analystx5428 viktoriya.filippova@ucsb.edu Physical Sciences, Bren, Engineering

Karen Moreno , Sr. Analystx5429karen.moreno@ucsb.edu Social Sciences, Education, Creative Studies, Humanities and Fine Arts, Academic Programs

3Additional ContactsDeans Offices first point of contact for questions

Office of International Students and Scholars (OISS) for visa related issues for new hires

Office of Equal OpportunityLia Cabello x 3294

General Review and Information

Ranks and Steps

Salary Scales

Lecturers SOE5Salary scalesYears at rank and step

Overlapping steps

Off-scale, Above Scale

Ranks, Steps, and Normal periods of serviceASST PROF ASSOC PROF PROFESSOR(8 year limit, (6 years normal, (indefinite, tenured) non-tenured)tenured)

Normal Normal NormalStep period of serviceStep period of service Step period of service

I2 (not used at UCSB)II2III2IV2V2 (overlapping step)I 2VI2 (not used at UCSB)II 2III 2IV 3 (overlapping step) I 3V 3 (not used at UCSB) II 3 III 3 IV 3 V 3 VI 3 II 3 VIII 3 IX 4

Lecturer SOE series

Similarity to Ladder Rank

Salary scales

PSOE covered by union if less than 100%

TABLE 10 - BLECTURERS AND SENIOR LECTURERS WITH SECURITY OF EMPLOYMENTLECTURERS WITH POTENTIAL SECURITY OF EMPLOYMENT-100% TIMESalary ScaleSalary Scale7/1/147/1/15AnnualMonthlyAnnualMonthly47,5083,959.0048,2164,018.0048,5764,048.0049,3084,109.0049,6804,140.0050,4244,202.0050,8324,236.0051,6004,300.0052,0204,335.0052,8004,400.0053,2444,437.0054,0484,504.0054,4204,535.0055,2364,603.0055,6804,640.0056,5204,710.0057,0124,751.0057,8644,822.0058,3204,860.0059,1964,933.0059,7484,979.0060,6485,054.0061,1285,094.0062,0405,170.0062,5565,213.0063,4925,291.0063,9605,330.0064,9205,410.0065,5205,460.0066,5045,542.0067,0205,585.0068,0285,669.0068,5685,714.0069,6005,800.0070,2965,858.0071,3525,946.0072,0126,001.0073,0926,091.0073,9206,160.0075,0246,252.0075,5166,293.0076,6446,387.0077,3286,444.0078,4926,541.0078,8646,572.0080,0526,671.0080,5566,713.0081,7686,814.0082,8006,900.0084,0487,004.0084,9607,080.0086,2327,186.0086,6887,224.0087,9847,332.00The Recruitment Process

FTE

Affirmative Action

The Search ProcessFTE

Annual Call

Search Waivers

Changes in FTE already grantedOpen RecruitmentBackground: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 all academic positions (RB VII-1)Open Recruitment (Search) ProcessForm departmental search committee including one faculty member designated as the departmental equity/diversity advisor

Compose an ad and complete the Recruitment Plan in UC Recruit (VII-4). Make sure ads and documentation are sufficient for possible non-resident hires.

Submit the Recruitment Plan for review and approval. After approval publish recruitment.

Screen applicants and select finalists to be brought to campus for interviews.

Generate the Short List Report and submit for approval

Interview the finalists

Generate Search Report and submit for approval.

Exemptions and Search Waivers Faculty RecruitmentExemptions to Open Recruitment Policy (RB VII-1, IV)None for ladder faculty

Search Waiver Policy (RB VII-1, III)Partner HireExceptional OpportunityPresidential Postdoctoral Fellowship RecipientResources for Faculty RecruitmentsRed Binder VII-4 Procedures for Recruitment of Senate Faculty and Other Permanent Academic Appointments

Office of Equal Opportunity lia.cabello@oeosh.ucsb.edux3294

Personnel Analyst in Academic Personnel Office or Deans officeThe Appointment Case Review Process

Appointment case review process

Reviewing agencies

Approval Authority

Deadlines

Appointment Case Review Process

Reviewing agenciesDean

CAPMake up of committeeRole in the review of an appointment

Ad HocMake up of committeesRole in the review of an appointmentConfidentialityAppointment Approval AuthorityRB I-1Title requestedAuthority

Assistant Professor II, III, includingDean Acting titles

Other Assistant Professor Associate Vice Chancellor

Associate Professor, ProfessorChancellorLecturer PSOE Dean Lecturer SOE, Sr. Lecturer SOEChancellorDeadlinesRB I-14Internal

UC: April 1

AAU: April 30

Competing offersThe Appointment Case

Contents of a case

Departmental recommendation

External letters

Other items in the case

Items to forward that arent part of the case

Contents of an Appointment CaseDocuments to be submitted by the Chair (RB I-15)

Departmental Letter

External Letters

CV

Biography formPublications

Start-up request

Departmental recommendation

Voting rights

Evaluation of all review areas

Joint or affiliated appointments

Minority opinion letters

Chairs confidential lettersRank, Step & Salary recommendation

Rank and step based on record

Salary based on record plus market (current salary, competing offers)

Intercampus recruitment limitsExternal LettersRB I-46, I-49, I-50, I-51Sample letters

Placement files

Confidentiality statement

Materials sent to reviewers

List of evaluators

No identification

Additional items in the case

CV

UCSB Biography form

Publications

Other supporting documentation

Other items to forward with the appointment caseFaculty Enrichment request

Correspondence

Start-up requestsStart-up ItemsRB I-18EquipmentRecruitment AllowanceRemovalSpace renovationSummer salaryOther (research funds etc)

MOP loansFor purchase housingRental housing

Once a decision is madeDepartment and College informed, CAP ccd on letterOffer letter is sent to the candidate from the Chancellor or EVCDean or Chair communicates start-up and other itemsCandidate acceptsDepartment does hire paperwork, enters into PPS.Becomes an employee and has future advancementsCandidate declinesDepartment either goes to a second candidate, reopens search, or puts search on holdLadder FacultyAppointments and AdvancementsAgenda- Day 2Advancement eligibility

Types of cases

Case preparation

EligibilityNormal eligibility

Off-scale salaries

Time off the clock

Other eligibility issues

Normal eligibilityRB I-30Based on the salary scales and APM

Years at step vs. years since last review vs. years since last salary increase

ASST PROF ASSOC PROF PROFESSOR Normal Normal NormalStep period of serviceStep period of service Step period of service

II2III2IV2V2 I 2 II 2III 2IV 3 I 3 II3 III3 IV3 V 3 VI 3 VII 3 VIII 3 IX 4

Off-Scale SalariesRB I-8Maintained 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

Time off the clockRB VI-1Only applies to Assistant Professors/Lecturers PSOE

Reasons include:Childbearing, Child care, Personal illness, Activity completely unrelated to the academic career, significant circumstance or event

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

Other Eligibility issuesService on other campus or in other Professor series

Start dates other than 7/1

Special (overlapping) steps

DeferralsRB I-4Assistant 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 yearmandatory reviewMandatory reviewRB I-4Once every 5 years

Administrative exemption

Lack of candidate involvementTypes of reviewDeans Authority:On time one-stepDecelerated one-stepAsst. Prof. deferrals

Other:ReconsiderationsRetentionsCareer Equity Review

Expanded:AccelerationSpecial steps AppraisalPromo to TenurePromo to ProfessorMerit to Prof VIMerit to or within Above ScaleDeans Authority reviewsRB I-30Any one-step increase.

No external evaluation

Expected level of performance in all four review areas

AccelerationsRB I-36Kinds of accelerationIn years (early)In salary/step (more than one-step)Mixed

Justification

No set measures

Special StepsRB I-37Counts as time in next rankAssistant VAssociate IV

JustificationShows evidence of work that is likely to lead to promotion in the near future when completed

Asst. V; can be based on research or teachingAppraisalRB I-38To assess progress towards tenure/ SOE

Done during 4th year as Assistant Professor/Lecturer PSOE

Full career review

Options for recommendation

Separate votePromotion to tenureRB I-40Superior 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

Promotion to ProfessorRequires 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 reviewAdvancement to Prof. VIEvidence 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

Above ScaleScholars 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 ScaleSame standards for within Above Scale actionsReconsiderationsRB I-10Justification:New documentation of material in the case prior to cut offEvidence that reviewing agencies neglected important features of the case

Recommendation same as in original case

Different standard for promo to tenure

RetentionsRB I-44May be abbreviated case if:Case with same effective date already doneChange in o/s only to match outside offer

Retentions other than advancement

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 facultys rank, step, and/or salary is not commensurate with the candidates merit as assessed in the areas of research, teaching, professional activity, and service and in terms of the standards appropriate to the candidates 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 DeanAdvancement Case Review Process

Advancement Approval AuthorityRB I-1MeritsOn-schedule merits DeanDecelerated one-step meritsDeanMerit to Professor VI, to andChancellor within Above ScaleOther meritsAssociate Vice ChancellorFormal AppraisalAssociate Vice Chancellor

PromotionsAssociate Professor, ProfessorChancellorLecturer SOE, Sr. Lecturer SOEChancellor

DeadlinesRB I-2Departmental

CollegeDeans Authority: 2nd Monday in NovemberExpanded: 2nd Monday in December

Internal: Dean to AP, AP to CAP

All cases finalized by June 30

Contents of a caseDocuments 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

Candidate supplied documentsEvaluation of teachingESCIs

PublicationsAppropriate for the review periodCan be hard copy of via link in bio-bibNumbered to match bio-bib if hard copy

Self statementsAs required by department or collegeResearch and/or other activities, including contributions to diversity

Candidate supplied documents(Cont)Sabbatical leave reports

Report on outside activities (APM-025)Done on-line beginning 2008-09Category I and II reported

Other supporting documentationAnything they want as long as not in conflict with rights of others or policiesBio-BibliographyMust follow format in Red Binder (I-27)

Cut off of 9/15 (or earlier if set by department)

ResearchCumulativeoldest = lowest numberChanges since last review

Other areas are since last review

Check links if publications are being submitted electronically

External LettersRB I-46Candidate suggested names

Candidate has right to receive redacted copies and make comment

All else same as with appointment cases Sample letters Confidentiality statementList of evaluatorsNo identification

Departmental recommendationRB I-35All same as with appointment casesVoting rightsEvaluation of all review areasMinority opinion letterChairs confidential letter

Candidate right to respondTo the Chair/DepartmentTo the Dean

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 memberOnce a decision is madeDecision 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 possibleQuestions?