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Ladder Faculty. Appointments and Advancements. Agenda- Day 1. General Review The Recruitment Process The Review Process Appointment Cases. Academic Personnel Contacts. Viktoriya Filippova , Sr. Analyst x5428 viktoriya.filippova@ucsb.edu Physical Sciences, Bren, Engineering

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ladder faculty

Ladder Faculty

Appointments and Advancements

agenda day 1
Agenda- Day 1
  • General Review
  • The Recruitment Process
  • The Review Process
  • Appointment Cases
academic personnel contacts
Academic Personnel Contacts

ViktoriyaFilippova, Sr. Analyst

x5428 viktoriya.filippova@ucsb.edu

Physical Sciences, Bren, Engineering

Karen Moreno , Sr. Analyst

x5429 karen.moreno@ucsb.edu

Social Sciences, Education, Creative Studies, Humanities and Fine Arts

additional contacts
Additional Contacts

Deans Offices – first point of contact for questions

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

general review and information
General Review and Information
  • Ranks and Steps
  • Salary Scales
  • Lecturers SOE
salary scales
Salary scales
  • Years at rank and step
  • Overlapping steps
  • Off-scale, Above Scale
ranks steps and normal periods of service
Ranks, Steps, and Normal periods of service

ASST PROF ASSOC PROF PROFESSOR

(8 year limit, (6 years normal, (indefinite, tenured)

non-tenured) tenured)

NormalNormal Normal

Stepperiod of serviceStepperiod of serviceStep 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

lecturer soe series
Lecturer SOE series
  • Similarity to Ladder Rank
  • Salary scales
  • PSOE covered by union if less than 100%
the recruitment process
The Recruitment Process
  • FTE
  • Affirmative Action
  • The Search Process
slide12
FTE
  • Annual Call
  • EOR
  • Changes in FTE already granted
open recruitment
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 any position at 50% time or more and for more than one year (RB VII-1)
open recruitment search process
Open Recruitment (Search) Process
  • Form departmental search committee
  • Compose an ad and submit Recruitment Packet, Part 1 (VII-4) 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.
exemptions and exceptions faculty recruitment
Exemptions and Exceptions Faculty Recruitment
  • Exemptions to Open Recruitment Policy (VII-1, IV)
    • None for ladder faculty
  • Exception to Open Recruitment Policy (VII-1, V)
    • Spousal/Domestic Partner Employment
    • Unanticipated opportunities
references for faculty recruitment
References for Faculty Recruitment
  • Red Binder, section VII-4 “Procedures for Recruitment of Ladder Rank Faculty and Equivalent”
  • “Academic Recruitment Packet” Available on the download forms section of AP web site
  • Questions about Open Recruitment:

Office of Equal Opportunity

lia.cabello@oeosh.ucsb.edux3294

  • Personnel Analyst in Academic Personnel Office or Dean’s office.
the review process
The Review Process
  • Appointment case review process
  • Reviewing agencies
  • Authority delegation
  • Deadlines
reviewing agencies
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
appointment approval authority rb i 1
Appointment Approval AuthorityRB I-1

Title requestedAuthority

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

deadlines rb i 14
DeadlinesRB I-14
  • Internal
  • UC: April 1
  • AAU: April 30
  • Competing offers
the appointment case
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
contents of an appointment case documents to be submitted by the chair rb i 15
Contents of an Appointment CaseDocuments to be submitted by the Chair (RB I-15)
  • Departmental Letter
  • External Letters
  • CV
  • Biography form
  • Publications
  • Start-up request
  • Recruitment Packet
departmental recommendation
Departmental recommendation
  • Voting rights
  • Evaluation of all review areas
  • Joint or affiliated appointments
  • Minority opinion letters
  • Chair’s confidential letters
rank step salary recommendation
Rank, Step & Salary recommendation
  • Rank and step based on record
  • Salary based on record plus market (current salary, competing offers)
  • Intercampus recruitment limits
external letters rb i 46 i 49 i 50 i 51
External LettersRB I-46, I-49, I-50, I-51
  • Sample letters
  • Placement files
  • Confidentiality statement
  • Materials sent to reviewers
  • List of evaluators
  • No identification
additional items in the case
Additional items in the case
  • CV
  • UCSB Biography form
  • Publications
  • Other supporting documentation
other items to forward with the appointment case
Other items to forward with the appointment case
  • Recruitment Packet
  • Faculty Enrichment request
  • Correspondence
  • Start-up requests
start up items rb i 18
Start-up ItemsRB I-18
  • Equipment
  • Recruitment Allowance
  • Removal
  • Space renovation
  • Summer salary
  • Other (research funds etc)
  • MOP loans
  • For purchase housing
  • Rental housing
once a decision is made
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
ladder faculty1

Ladder Faculty

Appointments and Advancements

agenda day 2
Agenda- Day 2
  • Advancement eligibility
  • Types of cases
  • Case preparation
eligibility
Eligibility
  • “Normal” eligibility
  • Off-scale salaries
  • Time off the clock
  • Other eligibility issues
normal eligibility rb i 30
“Normal” eligibilityRB I-30
  • Based on the salary scales and APM
  • Years at step vs. years since last review vs. years since last salary increase
slide35

ASST PROF ASSOC PROF PROFESSOR

Normal Normal Normal

Stepperiod of serviceStep period of serviceStep 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

off scale salaries rb i 8
Off-Scale SalariesRB 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
time off the clock rb vi 1
Time off the clockRB VI-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
other eligibility issues
Other Eligibility issues
  • Service on other campus or in other Professor series
  • Start dates other than 7/1
  • Special (overlapping) steps
deferrals rb i 4
DeferralsRB 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 8thyear
    • mandatory review
mandatory review rb i 4
Mandatory reviewRB I-4
  • Once every 5 years
  • Administrative exemption
  • Lack of candidate involvement
types of review
Types of review
  • 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
routine reviews rb i 30
Routine reviewsRB I-30
  • Any one-step increase.
  • Dean’s Authority
  • No external evaluation
  • Expected level of performance in all four review areas
accelerations rb i 36
AccelerationsRB I-36
  • Kinds of acceleration
    • In years (early)
    • In salary/step (more than one-step)
    • Mixed
  • Justification
  • No set measures
special steps rb i 37
Special StepsRB 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
appraisal rb i 38
AppraisalRB 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
promotion to tenure rb i 40
Promotion to tenureRB 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
promotion to professor
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
advancement to prof vi
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
above scale
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
reconsiderations rb i 10
ReconsiderationsRB 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
retentions rb i 44
RetentionsRB 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
career equity review
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
advancement approval authority rb i 1
Advancement Approval AuthorityRB 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

deadlines rb i 2
DeadlinesRB 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
slide57

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 documents
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
candidate supplied documents cont
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
bio bibliography
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
external letters rb i 46
External LettersRB 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
departmental recommendation rb i 35
Departmental recommendationRB 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
safeguard statement rb i 26
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
once a decision is made1
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