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Research Titles Appointments and Advancements. January 15, 2014. Agenda. Resources Who and where Research Titles Overview Specialist Project Scientist Professional Research Visiting appointments Appointments Search requirements and process Visa Issues Reappointments Advancements

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Research titles appointments and advancements

Research TitlesAppointments and Advancements

January 15, 2014


  • Resources

    • Who and where

  • Research Titles Overview

    • Specialist

    • Project Scientist

    • Professional Research

    • Visiting appointments

  • Appointments

    • Search requirements and process

    • Visa Issues

  • Reappointments

  • Advancements

  • Postdoctoral Scholars

Academic personnel contacts
Academic Personnel Contacts

Joanna [email protected]

All departments and ORUs

Karen [email protected]

Social Sciences, Education, Creative Studies, Humanities and Fine Arts (except those listed below)

Viktoriya [email protected]

Physical Sciences, Bren School, Engineering, Depts. of Art, History of Art and Architecture, Theater and Dance, MATP

Web resources
Web Resources

Red Binder- campus Academic Personnel policies and procedures

Academic Personnel Manual (APM) –

systemwide Academic Personnel policies and procedures

Salary Scales


All online

Research titles
Research Titles

  • Temporary Appointments

  • Fiscal Year Basis

  • No Teaching Component

  • Funding sources must permit research

Specialist series rb iii 16
Specialist Series(RB III-16)

  • “Academic appointees who assist in research in specialized areas and who do not have any teaching responsibility”

  • Junior and Assistant levels: enables research as part of a team

  • Associate and Full levels: provides considerable independent input into the planning and execution of research

  • No Ph.D. required

Project scientist series rb iii 14
Project Scientist Series(RB III-14)

  • “Those who make significant and creative contributions to a research or creative project”

  • Higher level of independence than Specialist series

  • Independent research and/or research leadership not required

  • Ph.D. required

Professional research series rb iii 12
Professional Research Series(RB III-12)

  • “Those who engage in independent research equivalent to that required for the Professor series”

  • “Continuous and effective engagement in independent and creative activity of high quality and significance”

  • Review requirements the same as Professor series (i.e., mandatory review, 8 year limit)

  • Never on state funding

Visiting appointments rb iii 23
Visiting Appointments(RB III-23)

  • Research or Project Scientist series only

  • Two year maximum; usually shorter

  • Usually holds similar position somewhere else

  • Salary must be at least minimum of rank

Without salary visitors rb iii 25
Without Salary Visitors(RB III-25)

  • Short-term educational, research, or other academic projects under a supervision of an academic appointee

  • Visiting Scholar (3299)

    Visiting Undergrad (3731)

    Visiting Grad (3739)

  • Up to one year, reappointments rare

  • Not employees, no compensation via payroll

  • WOS Visitor Form Letter

Approval authority
Approval Authority

All Titles, All Actions AVC for Academic Personnel

WOS Research Visitor Chair/Director; AP Post-Audit

Search requirements rb vii 1
Search Requirements(RB VII-1)

  • Open Recruitment Policy:

    • Required for any position that is 50% or more of full time and for more than one academic or calendar year

    • If initial appointment does not require search based on above, but reappointment or modification makes the appointment meet the criteria, must do a search

Exemptions exceptions rb vii 1
Exemptions & Exceptions(RB VII-1)

  • Exemption (automatically granted):

    • If appointee is the PI or co-PI on the contract/grant or is named in the grant

    • Without salary appointments

    • Postdoctoral Scholars

    • Visiting titles

  • Exceptions (must be approved), aka EORs:

    • Unexpected circumstances (illness, leave)

    • Spousal or domestic partner hire (of a senate faculty member)

    • Unique fit to the position (nobody else can do the job)

    • OEO makes recommendation, AVC approves exceptions

Search process rb vii 5
Search Process(RB VII-5)

  • Prepare the Recruitment Packet- Part I, including a copy of the ad, and get appropriate approvals

  • Enter recruitment in UC Recruit

  • Process applications and interview

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

  • Complete the Recruitment Packet-Part III and get appropriate approvals

  • Submit the Recruitment Packet with the appointment paperwork

Questions about search requirements
Questions about search requirements

Elizabeth Rogers

Office of Equal Opportunity

x3294 [email protected]

Visa issues
Visa issues

  • Four things to find out:

    • Nationality

    • Length of stay

    • Current or past visa status

    • Appointment details

      • Title

      • Percent time

      • Pay rate

Questions about visa issues
Questions about Visa issues

Office of International Students and Scholars

Tanya Plant x2354 [email protected]

(Employment/Visa issues)

Billy Ko x2211 [email protected]

(J-1 visas)


Sona Baboolal x3259 [email protected]

(Tax questions)

Appointments and reappointments
Appointments and Reappointments

  • Initial appointment

    • New appointment (or after a break in service)

    • Transition into a new title in research series (except from researcher to lower series)

    • Online for Researchers, on paper for all others

  • Reappointment

    • Extension of existing appointment

    • Renewal of funding

    • Use Temporary Academic Appointment Form letter

    • On paper for all research titles

Contents of a case appointment rb iii 7
Contents of a case- Appointment(RB III-7)

  • Departmental Letter or Temporary Academic Appointment form letter

  • External letters and other related items

  • Publications

  • UCSB Biography form and CV

  • Recruitment Packet or EOR approval

Departmental letter appointment form letter
Departmental Letter /Appointment Form Letter

  • Fill in sections I and II completely

    • Note exceptions (L)

    • Make sure salary is correct and on current scale

    • Section “M”—especially if moving from represented to non-represented appointment

    • “N” and “O” should be analytical and evaluative, and completed by member, not by staff

    • If external evaluators refer to by coded list only

    • For online submission use memo format, summary of form letter items

External letters
External Letters

  • Requirements vary by title:

    • Researcher, required at Associate, Full appointment

    • Project Scientist “desirable” at Associate, Full appointment

  • Sample letters (RB I-49) with wording modified as appropriate for research title (RB III-12)

  • Confidentiality requirements (RB I-49)

    • Statement

    • Redaction and access since not yet an employee

    • Identification in departmental letter

  • List of evaluators, copy of sample letter (RB I-49)

Other items in appt case
Other items in appt. case

  • Publications

    • Representative sampling for Research series (one-of-a-kinds)

  • UCSB Bio-form and CV

    • No set format for CV

    • UCSB Bio-form

  • Search Paperwork

    • Academic Recruitment Packet, or approved exception to open recruitment must be included if required by policy


  • Temporary Appointment Form Letter (only section 1 is needed)

  • Modification: for changes in items F, G

Eligibility for advancement
Eligibility for Advancement

  • “Normal” eligibility- routine reviews

    • Based on the salary scales and policy

    • 6 months or more in fiscal year=1 year of service

    • Tracking eligibility

  • Off-scale salaries (RB I-8)

    • Not allowed in Specialist series

    • Maintained in routine cases

Types of advancement
Types of Advancement

  • Regular Merit

  • Accelerations

    • Justification

    • No set measures

    • Kinds of acceleration

      • In years

      • In salary

      • Mixed

  • Promotion

  • Special Steps

  • “No Change” Decisions

Types of advancement1
Types of Advancement

  • Promotion to Associate (RB III-8, III)

    • Research series

      • 8 year limit as Asst.

      • Time off the clock

    • Project Scientist & Specialist

  • Promotion to Full (RB III-8, IV)

    • Research series

    • Project Scientist & Specialist

  • Special Steps (RB III-8, V)

    • Asst Researcher V, Assoc Researcher IV

    • Asst Project Scientist V, Assoc Project Scientist IV

Types of advancement research series
Types of Advancement: Research series

  • Mandatory Review (RB III- 8, VII)

    • Every 5 years

    • No deferral

  • Terminal Appointment (RB III-8, VI; I-39)

  • Merit to Researcher VI (RB III-8, VIII)

    • Career review

  • Merit to or within Above Scale (RB III-8, IX)

    • Career review

Advancement deadlines
Advancement Deadlines

  • All actions are effective July 1

  • Specialist & Project Scientist

    • April 1 to Office of Academic Personnel

    • Hard deadline; exceptions rare

  • Researcher

    • March 1 to Office of Academic Personnel—ORUs

    • March 1 to Dean’s office—Academic Departments

    • Hard deadline; exceptions rare

    • Need for internal deadlines for submission


  • Specialist & Project Scientist ok at any time

  • Assistant Researcher-

    • Non-submission of material causes automatic deferral

    • No deferral of 8th year review

  • Associate Researcher and Researcher – notification

    • Non-submission of material in other than mandatory reviews causes automatic deferral.

  • No deferral of mandatory review

Contents of a case advancement rb iii 9
Contents of a case- Advancement(RB III-9)

  • Online Case/Research Title Review Form

  • Departmental Letter

  • Bio-bib required; updated CV optional

  • External letters and other related items

  • Publications

  • Safeguard Statement

Case summary research title review form
Case Summary/Research Title Review Form

  • Red Binder III-4

  • Summarizes content of case and recommendation

  • Statement of departmental vote or review procedure

Departmental letter
Departmental letter

  • Analytical evaluation of the case

  • Explain any accelerations, negative recommendations or special circumstances

  • Identify external evaluators by code only

Bio bibliography and publications
Bio-Bibliography and Publications

  • Bio-Bib must follow format in Red Binder

  • Research

    • Cumulative (others since last review)

    • oldest = lowest number

    • Changes since last review

  • Publications numbered to match bio-bib

  • All, or representative sampling of publications depending on case type and series

External letters1
External Letters

  • Requirements vary by title:

    • Researcher, required for promo to Associate or Full

    • Project Scientist “desirable” for promotion to Associate or Full

  • Sample letters (RB I-46) with wording modified as appropriate for research title

  • Confidentiality requirements

    • Statement

    • Redaction and access for employees

    • Identification in departmental letter

  • List of evaluators, copy of sample letter

Safeguard statement
Safeguard Statement

  • For all merit or promotion actions

  • Not used for initial appointment at University.

  • Assures candidate rights

  • Follows steps outlined in “Departmental Checklist for Academic Advancement” RB I-22

Postdoctoral scholars
Postdoctoral Scholars

  • Employed in a full-time training program of advanced academic preparation and research training under the mentorship of a faculty member

  • Payroll title of Postdoctoral Scholar:

    • Employee

    • Fellow

    • Paid Direct

  • Note: policies apply equally to individuals in all three titles

  • Appointment in a non-Postdoc title is grievable if relationship is Postdoctoral in nature

A Postdoc or not?Postdoctoral Scholar Classification

A Postdoctoral Scholar

  • A program of mentorship and training

  • Five years or less since PhD

  • Initial appointment of at least one year

  • Appointment is 100% time

Not A Postdoctoral Scholar

  • Support position on research team

  • Independent researcher

  • Short term visitor

  • Appointment is part time

Appointment reappointment process
Appointment/Reappointment Process

  • All steps take place prior to hire date

    • Department/PI has preliminary conversations with the Postdoc

    • Department submits hiring request to Graduate Division 30 days prior to start date

    • Graduate Division approves appointment

    • Department sends offer letter/notice of appointment to the Postdoctoral Scholar (30 days prior for reappointment)

    • Postdoctoral Scholar signs and returns the notice, copy goes to Graduate Division

    • Department enters employee into PPS


  • Less than 100% for a limited time if:

    • Also holding a teaching title (Lecturer)

    • At the employee’s request

  • Note that this is used for reduced effort, not for reducing pay

  • More than five years since PhD conferred

    • Need reasonable justification

    • Total limit of services no more than 6 years

  • Reviews mentoring
    Reviews & Mentoring

    • Annual Review/Evaluation

      • Must be done in writing every 12 months and included with reappointment request

      • Sample form available on Graduate Division web site

    • Individual Development Plan

      • Includes Postdoc’s general individual research goals, professional development and career objectives, developed by Postdoc and discussed with PI

    • Progress Assessments

      • Evaluation of the Postdocs progress and accomplishment in research & professional development

    Campus contacts for postdocs
    Campus Contacts for Postdocs

    Graduate Division:

    Melanie Hoven, [email protected], x4652

    Labor Relations:

    Staci Richards, [email protected], x4669


    Mayra Magana, [email protected], x4263

    Academic Personnel:

    Karen Moreno x5429

    Viktoriya Filippova x5428

    Cindy Doherty x8332