1. Senate 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 viktoriya.filippova@ucsb.eduviktoriya.filippova@ucsb.edu Physical Sciences, Bren, Engineering Karen Moreno, Sr. Analyst x5429karen.moreno@ucsb.edukaren.moreno@ucsb.edu Social Sciences, Education, Creative Studies, Humanities and Fine Arts, Academic Programs

4. Additional Contacts Deans Offices – first point of contact for questions Office of International Students and Scholars (OISS) – for visa related issues for new hires Office of Equal Opportunity Lia Cabello x 3294

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

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

7. 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 serviceStep period of service Step period of service I2 (not used at UCSB) II2 III2 IV2 V2 (overlapping step)I 2 VI2 (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

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

10. TABLE 10 - B LECTURERS AND SENIOR LECTURERS WITH SECURITY OF EMPLOYMENT LECTURERS WITH POTENTIAL SECURITY OF EMPLOYMENT-100% TIME Salary Scale 7/1/147/1/15 AnnualMonthlyAnnualMonthly 47,5083,959.0048,2164,018.00 48,5764,048.0049,3084,109.00 49,6804,140.0050,4244,202.00 50,8324,236.0051,6004,300.00 52,0204,335.0052,8004,400.00 53,2444,437.0054,0484,504.00 54,4204,535.0055,2364,603.00 55,6804,640.0056,5204,710.00 57,0124,751.0057,8644,822.00 58,3204,860.0059,1964,933.00 59,7484,979.0060,6485,054.00 61,1285,094.0062,0405,170.00 62,5565,213.0063,4925,291.00 63,9605,330.0064,9205,410.00 65,5205,460.0066,5045,542.00 67,0205,585.0068,0285,669.00 68,5685,714.0069,6005,800.00 70,2965,858.0071,3525,946.00 72,0126,001.0073,0926,091.00 73,9206,160.0075,0246,252.00 75,5166,293.0076,6446,387.00 77,3286,444.0078,4926,541.00 78,8646,572.0080,0526,671.00 80,5566,713.0081,7686,814.00 82,8006,900.0084,0487,004.00 84,9607,080.0086,2327,186.00 86,6887,224.0087,9847,332.00

11. The Recruitment Process FTE Affirmative Action The Search Process

12. FTE Annual Call Search Waivers Changes in FTE already granted

13. Open Recruitment Background: ◦ 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)

14. Open Recruitment (Search) Process Form 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.

15. Exemptions and Search Waivers Faculty Recruitment Exemptions to Open Recruitment Policy (RB VII-1, IV) ◦ None for ladder faculty Search Waiver Policy (RB VII-1, III) ◦ Partner Hire ◦ Exceptional Opportunity ◦ Presidential Postdoctoral Fellowship Recipient

16. Resources for Faculty Recruitments Red Binder VII-4 “Procedures for Recruitment of Senate Faculty and Other Permanent Academic Appointments” Office of Equal Opportunity lia.cabello@oeosh.ucsb.edulia.cabello@oeosh.ucsb.edux3294 Personnel Analyst in Academic Personnel Office or Dean’s office

17. The Appointment Case Review Process Appointment case review process Reviewing agencies Approval Authority Deadlines

18. Appointment Case Review Process

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

20. Appointment Approval Authority RB I-1 Title requestedAuthority Assistant Professor II, III, includingDean Acting titles Other Assistant Professor Associate Vice Chancellor Associate Professor, ProfessorChancellor Lecturer PSOE Dean Lecturer SOE, Sr. Lecturer SOEChancellor

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

22. 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

23. 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

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

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

26. 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

27. Additional items in the case CV UCSB Biography form Publications Other supporting documentation

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

29. Start-up Items RB I-18 Equipment Recruitment Allowance Removal Space renovation Summer salary Other (research funds etc) MOP loans For purchase housing Rental housing

30. 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

31. Ladder Faculty Appointments and Advancements

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

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

34. “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

35. ASST PROF ASSOC PROF PROFESSOR Normal Normal Normal Step period of serviceStep period of service Step period of service II2 III2 IV2 V2 I 2 II 2 III 2 IV 3 I 3 II3 III3 IV3 V 3 VI 3 VII 3 VIII 3 IX 4

37. 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

38. Time off the clock RB VI-1 Only 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

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

40. 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 8 th year ◦ mandatory review

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

42. Types of review Dean’s Authority: ◦ On time one-step ◦ Decelerated one-step ◦ Asst. Prof. deferrals Other: ◦ Reconsiderations ◦ Retentions ◦ Career Equity Review Expanded: ◦ Acceleration ◦ Special steps ◦ Appraisal ◦ Promo to Tenure ◦ Promo to Professor ◦ Merit to Prof VI ◦ Merit to or within Above Scale

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

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

45. Special Steps RB I-37 Counts as time in next rank ◦ 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

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

47. 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

48. 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

49. 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

50. 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

51. 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

52. 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

53. 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

54. Advancement Case Review Process

55. Advancement Approval Authority RB I-1 Merits On-schedule merits Dean Decelerated one-step meritsDean Merit to Professor VI, to andChancellor within Above Scale Other meritsAssociate Vice Chancellor Formal AppraisalAssociate Vice Chancellor Promotions Associate Professor, ProfessorChancellor Lecturer SOE, Sr. Lecturer SOEChancellor

56. Deadlines RB I-2 Departmental College ◦ Dean’s Authority: 2 nd Monday in November ◦ Expanded: 2 nd Monday in December Internal: Dean to AP, AP to CAP All cases finalized by June 30

57. 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

58. 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

59. Candidate supplied documents (Cont) Sabbatical leave reports Report on outside activities (APM-025) ◦ Done on-line beginning 2008-09 ◦ Category I and II reported Other supporting documentation ◦ Anything they want as long as not in conflict with rights of others or policies

60. Bio-Bibliography Must follow format in Red Binder (I-27) 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

61. 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

62. 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

63. 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

64. 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

65. Questions?