Meeting with Assistant Professors
Campus Provost and Executive Vice Chancellor Kliger encourages Department Chairs to meet with each Assistant Professor annually as part of their mentoring role. This is an opportunity to review research plans, monitor service commitments and review the variety and level of teaching assignments.
Eligibility for Review
Assistant Professors may not defer reviews. A merit or salary increase for an Assistant Professor may become effective before the end of the current two-year term, but such advancement shall mark the beginning of a new term of appointment. Refer to CAPM 400-220 for details.
APM 200 provides information regarding normal periods of service. In addition, APM 200-19b states, "An academic year appointee who has served one quarter or less in any academic year will not receive service credit for that year." Periods of leave may impact both eligibility for review and time counted toward the 8-year limit. See APM 133-17.g.3 and APM 760 for additional information or contact your academic personnel divisional coordinator.
Mid-Career Appraisal
A mid-career appraisal is usually conducted during the fourth year of service. Normally, the timing of the appraisal occurs in conjunction with a reappointment and merit review. In cases where only a mid-career appraisal is specified, contact the divisional academic personnel coordinator to consider alternative scheduling of the mid-career appraisal.
Promotion to Tenure - Assistant Professor to Associate Professor
An Assistant Professor must be either terminated or tenured by the end of 24 quarters of service. A review for promotion is not required until the candidate's seventh year (19 - 21quarters) of service. If service is less than seven years but there has been two years of service at Assistant Professor, Step 4, a promotion would not be considered an acceleration. However, in any event, it is expected that all candidates will undergo at least one merit review prior to review for promotion to tenure. Please see CAPM 410.220 for additional information.
Overlapping Steps for Assistant Professors
Assistant Professor, Steps 5 and 6, are overlapping steps. While advancement to tenure is considered normal after two years at Step 4, many faculty now enter the professoriate at steps above Assistant Professor, Step 1, and may require additional time to generate the necessary record to support a positive tenure decision. A merit to Assistant Professor, Step 5, may be recommended if the new material in the file subsequent to appointment or last advancement is not sufficient to warrant promotion but clearly indicates accomplishments sufficient to warrant a merit increase. Movement to Assistant Professor, Step 6, instead of promotion would be highly unusual and requires an explanation of why promotion is not the recommended action at this time, but that it is the expected recommendation at the next review. If use of Assistant Professor, Step 6 is being contemplated, refer to CAPM 407.690 and also contact your divisional academic personnel coordinator to discuss use of this unusual step.
A maximum of two years of service at Assistant Professor, Steps 5 and/or 6, may count "in lieu" of service at Associate Professor, Step 1. In those instances of service at Assistant Professor, Step 5 and/or 6, followed by service at Associate Professor, Step 1, the normal period of combined service is two years. Service in excess of two years at either Step 5 or 6 will not count in lieu of service at the Associate Professor rank. Normal promotion from Assistant Step 5 or 6 with less than two years of service will be to Associate Professor, Step 1, with time served as Assistant 5 or 6 counting in lieu of service in calculating eligibility for merit to Associate Professor, Step 2.
Off-Scale Salaries
Any merit or salary increase should be recommended in accordance with the campus policy on off-scale salaries. Please refer to CAPM 803. 620 for details.
Salary Increase in Lieu of Merit or Promotion
Salary increase in lieu of merit or promotion: When, following a review for merit increase or promotion, the proposed advancement is denied and a salary increase is granted instead, faculty members will not be placed on the CALL again until another interval of the standard years at step has been served. Should candidates choose to put themselves forward for review before this interval has passed, the action would be considered an acceleration in time because the prior review resulted in some positive advancement action (albeit a salary increase only instead of step or rank advancement) and the candidate would not have completed another interval at step before being reviewed again. (CAPM 400.220.9.c.1)
Denial of Advancement
If a review for normal merit increase or promotion results in denial of advancement of any type (e.g., rank, step or salary), the faculty member will not be placed on the CALL again until another interval of the standard years at step has been served. Should candidates choose to put themselves forward for the same review (i.e., normal merit or promotion) before this interval has passed, that action in and of itself would not constitute an acceleration since the normal time at step has already been served and the material submitted in the prior review was not previously rewarded with any type of advancement. In either event, the subsequent review period would commence with the last positive advancement in rank, step or salary (e.g., for a full professor who served another standard interval, the review period would be six years instead of three years). (CAPM 400.220.9.c.2)
Qualifying Service
As mentioned above, APM 200 provides information on normal periods of service. In addition, APM 200-19b states, "An academic year (9 month) appointee who has served one quarter or less in any academic year will not receive service credit for that year." Periods of leave may impact eligibility for review.
Promotion to Professor -- Associate Professor to Professor
Candidates will be placed on the CALL when they have served two years at Step 3. Promotion with six years at the Associate Professor rank is also considered normal, even if the candidate does not have two years at Step 3. (CAPM 410.220)
Overlapping Steps for Associate Professors
Associate Professor, Steps 4 and 5, are considered overlapping steps. While promotion to full professor is considered normal after two years of service at Associate Professor, Step 3, faculty entering the associate professor rank at steps higher than Associate Professor, Step 1, may require more time to generate the necessary record for promotion. While advancement to Associate Professor, Step 4, is considered normal for those faculty requiring more time, use of Associate Professor, Step 5, is highly unusual. If use of Associate Professor, Step 5 is being contemplated, refer to CAPM 407.690 and also contact your divisional academic personnel coordinator to discuss use of this unusual step.
A maximum of three years of service at Associate Professor, Steps 4 and/or 5, may count "in lieu" of service at Professor, Step 1. In those instances of service at Associate Professor, Step 4 and/or 5, followed by service at Professor, Step 1, the normal period of combined service is three years. Service in excess of three years will not count in lieu of service at the Professor rank. Normal promotion from Associate Step 4 or 5 with less than three years of service will be to Professor, Step 1, with time served as Associate 4 or 5 counting in lieu of service in calculating eligibility for merit to Professor, Step 2.
Salary Increases for Associate Professor, Step 4
A faculty member who is on the CALL for promotion may not present a record of performance in all three areas sufficient to warrant promotion to Professor, or merit advancement to Step 5. In those cases where the faculty member's performance, apart from the deficiency, is extraordinary, the department may wish to recommend a modest off-scale salary increase. This recommendation must be accompanied by an assessment of the faculty member's future prospects for advancement.
When the faculty member is again on the CALL for promotion, if there is no remediation of the deficiency that precludes a positive recommendation for promotion, and his/her performance otherwise continues to be extraordinary, the department may wish to recommend a further modest salary increase in recognition of the faculty member's overall performance over the preceding years. (CAPM 407.690)
Off-Scale Salaries
Any merit or salary increase should be recommended in accordance with the campus policy on off-scale salaries. Please refer to CAPM 803.620 for details.
Indefinite Steps
This CALL does not list any faculty who currently hold the rank of Professor, Step 5, 6, 7, 8, 9, or Above-Scale, unless the faculty member is required to be reviewed under the Mandatory Review policy (CAPM 402.200). There is no normal period of service at these levels of the Professor rank; however, advancement to Steps 6 through 9 will not usually occur after less than three years of service at the earlier step, and advancement to Above-Scale will not usually occur after less than four years of service at Step 9. Advancement at these steps will only be granted on evidence of continuing achievement at the level required for advancement to Step VI. In addition, further advancement in salary at the Above-Scale rank must be justified by new evidence of merit and distinction. Continued good service is not an adequate justification. Intervals between such salary increases may be indefinite, and only in the most superior cases where there is strong and compelling evidence will increases at intervals shorter than four years be approved.
Refer to CAPM 400.220.9.f and APM 220-18-b.4 for further information.
Effective at UCSC July 1, 2009 – Revised Criteria for Advancement to Professor, Step 6 and to Professor, Above-Scale (EVC email memo of October 17, 2008)
“Advancement to Step VI usually will not occur after less than three years of service at Step V. This involves an overall career review and will be granted on evidence of sustained and continuing excellence in each of the following three categories: (1) scholarship or creative achievement, (2) University teaching, and (3) service. Above and beyond that, great academic distinction, recognized nationally, will be required in scholarly or creative achievement or teaching.”
“Advancement to an Above-Scale rank involves an overall career review and is reserved only for the most highly distinguished faculty (1) whose work of sustained and continuing excellence has attained national and international recognition and broad acclaim reflective of its significant impact; (2) whose University teaching performance is excellent; and (3) whose service is highly meritorious. Except in rare and compelling cases, advancement will not occur after less than four years at Step IX.” (APM 220-18-b.4)
Salary Increase in Lieu of Merit or Promotion
Salary increase in lieu of merit or promotion: When, following a review for merit increase or promotion, the proposed advancement is denied and a salary increase is granted instead, faculty members will not be placed on the CALL again until another interval of the standard years at step has been served. Should candidates choose to put themselves forward for review before this interval has passed, the action would be considered an acceleration in time because the prior review resulted in some positive advancement action (albeit a salary increase only instead of step or rank advancement) and the candidate would not have completed another interval at step before being reviewed again. (CAPM 400.220.9.c.1)
Denial of Advancement
If a review for normal merit increase or promotion results in denial of advancement of any type (e.g., rank, step or salary), the faculty member will not be placed on the CALL again until another interval of the standard years at step has been served. Should candidates choose to put themselves forward for the same review (i.e., normal merit or promotion) before this interval has passed, that action in and of itself would not constitute an acceleration since the normal time at step has already been served and the material submitted in the prior review was not previously rewarded with any type of advancement. In either event, the subsequent review period would commence with the last positive advancement in rank, step or salary (e.g., for a full professor who served another standard interval, the review period would be six years instead of three years). (CAPM 400.220.9.c.2)
Deferral
Individuals whose actions are deferred will be placed on the CALL again after the normative period at step has been served since the effective date deferral. Should candidates choose to put themselves forward for the same review before this interval has passed, that action in and of itself would not constitute an acceleration since the normal time at step has already been served. (CAPM 402.200.A.3)
Mandatory Review
A faculty member is required to be reviewed at least every six years. Two consecutive deferrals are allowed for Associate Professors, Steps 1-3, and equivalent ranks before mandatory review; one deferral is allowed for all other tenured faculty and equivalent ranks before the mandatory review.
Those faculty members who have exhausted their deferrals are noted on the CALL as requiring a mandatory review. When listed on the CALL for mandatory review, the faculty member is required to submit an updated bio-bibliography, a self-statement, and may submit other evidence by the requisite deadline. If the faculty member does not submit the required materials, the department will conduct the review based on the material available. A faculty member who fails to submit materials by the appropriate deadline will be considered not to be in good standing, which may result in the denial of some privileges, such as sabbatical leave, Committee on Research or divisional research support. Refer to CAPM 402.200.A.2 for information concerning mandatory review procedures.
Career Equity Review Process Guidelines
A tenured faculty initiates a Career Equity Review (CER) by submitting a written CER request form to the department chair or dean no later than May 15, 2009. CAPM 412.000 .
LECTURER WITH SECURITY OF EMPLOYMENT SERIES
Lecturer and Senior Lecturer with Security of Employment (SOE) : The normal period of service to be eligible for a merit review is three years until the salary level is comparable to that of Professor, Step 5. Service at that level and higher may be of indefinite duration. Advancement beyond a salary level comparable to Professor, Step 5, will only be granted on evidence of additional merit and great distinction in teaching, professional achievement and activity, and University and public service, and will not normally occur prior to four years of service since the last increase. Intervals between such salary increases may be indefinite.
Promotion from Lecturer SOE to Senior Lecturer SOE is not normally expected, but may occur when warranted. A promotion review will normally occur only after a minimum of six years in the title of Lecturer SOE; however, there is no obligation on the part of the University to promote a Lecturer SOE to Senior Lecturer SOE solely on the basis of years of service.
Lecturer and Senior Lecturer with Potential for Security of Employment (PSOE) [Full-time basis only; otherwise refer to CAPM 516.000 for applicable procedures] : These are term appointments, and each appointment and reappointment is limited to a maximum term of two years. Lecturers with PSOE are eligible for merit increase and promotion. Promotion would be from Lecturer PSOE to Lecturer SOE or from Senior Lecturer PSOE to Senior Lecturer SOE. The total period of University service in a PSOE title combined with certain other titles (including time spent in a Unit 18 Lecturer title at 50 percent time or more) may not exceed eight years, in accordance with APM 133-0-b . Appointees shall not be continued in a PSOE title after the eighth year unless granted an appointment with security of employment. Notice of non-renewal of appointment must be provided in accordance with APM 285-17.5 .
CAPM 514-285-j provides information regarding eligibility for review.
CONTINUING APPOINTEES (UNIT 18)
Merit Increases
Continuing Unit 18 appointees shall be considered for a merit review once every three academic years. If the Continuing Appointee is found to have maintained the excellence standard, he or she shall receive a two-increment merit increase (see Unit 18 – Non-Senate Instructional Table of Pay Rates ). If a greater than two-increment merit increase is being recommended, solicited letters of evaluation are required to justify the exceptional merit recommendation. A Continuing Appointee may request that his or her merit review be deferred for up to one year. (CAPM 516.000.V)