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 Divisional Academic Personnel Coordinator.
Mid-Career Appraisal (CAPM 408.220)
A mid-career appraisal is usually conducted during the fourth year of service
at UCSC. 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, consult with your Divisional Academic Personnel Coordinator to
consider requesting an exception for alternative scheduling of the mid-career
appraisal.
Promotion to Tenure - (Assistant Professor to Associate
Professor) (CAPM 410.220)
An Assistant Professor must be either tenured or terminated by the end of
24 quarters of service. A review for promotion is not required until the
candidate's seventh year (19 - 21 quarters) 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.
Important Note – Visa Status and Promotion: For
candidates on visas, promotion would be to the Acting Associate Professor title
because the visa status does not permit the University to promote to a title with
an indefinite end date. Service as an Acting Associate Professor must be for a
specified term; therefore, the appointment is for a two-year period and is
subject to reappointment for a subsequent two-year term. The total period of
service as Acting Associate Professor is limited to four years; there is no
exception to this limit. Upon receipt of permanent residency documentation, the
appointment would be regularized to Associate Professor, with tenure. See CAPM
506.235 for additional information.
Overlapping Step for Assistant Professors (CAPM 407.690)
Assistant Professor, Step 5 is an overlapping step (Step 6 is not used on the Santa Cruz campus). While
advancement to tenure is considered normal after two years at Step 4, many faculty now enter the professoriate at steps above Step 1,
and may require additional time to generate the necessary record to support a
positive tenure decision. A merit to 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.
A maximum of two years of service at Assistant Professor, Step 5, may count "in lieu" of service at Associate Professor, Step 1. In those instances of service at Assistant Professor, Step 5, followed by service at Associate Professor, Step 1, the normal period of combined service is two years. Service in excess of two years at Step 5 will not count in lieu of service at the Associate Professor rank. Normal promotion from Assistant Professor, Step 5 with less than two years of service will be to Associate Professor, Step 1, with time served as Assistant Professor, Step 5 counting in lieu of service in calculating eligibility for merit to Associate Professor, Step 2.
Off-Scale Salaries (CAPM 803.620)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 yet have completed another
interval at step before being reviewed again. See 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). See CAPM
400.220.9.c.2.
Qualifying Service
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) (CAPM 410.220)
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.
Important Note – Visa Status and Promotion: For candidates on visas, promotion would be to the Acting Professor title because the visa status does not permit the University to promote to a title with an indefinite end date. Service as an Acting Professor must be for a specified term; therefore, the appointment is for a two-year period and is subject to reappointment for a subsequent two-year term. The total period of service as Acting Professor is limited to four years; there is no exception to this limit. Upon receipt of permanent residency documentation, the appointment would be regularized to Professor. See CAPM 506.235.
Overlapping Steps for Associate Professors
(CAPM 407.690)
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 Step 1, may require more time to generate the necessary
record for promotion. While advancement to Associate Step 4,
is considered normal for those faculty requiring more time, use of Step 5, is
highly unusual. If use of Associate Professor, Step 5 is being considered,
refer to CAPM
407.690.C.2 and contact your Divisional Academic Personnel Coordinator to
discuss use of this 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 Associate Professor, 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. See CAPM 407.690 for additional information.
Off-Scale Salaries (CAPM 803.620)
Any merit or salary increase should be recommended in accordance with the
campus policy on off-scale salaries.
Indefinite Steps
This CALL does not include 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.A.2). At these indefinite steps, there is no normal period of
service; 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 6. In
addition, further advancement in salary at the Above-Scale rank must be
justified by new evidence of merit and distinction; continued good performance 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. See CAPM
400.220.9.f.
Criteria for Advancement to Professor, Step 6 and to
Professor, Above-Scale
Advancement to Step 6 usually will not occur after less than three years of
service at Step 5. 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 9. See CAPM 400.220.9.f.
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 yet have completed another interval at
step before being reviewed again. See 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). See CAPM
400.220.9.c.2.
Deferral (CAPM 402.200)
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.
Mandatory Review (CAPM 402.200)
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.
Career Equity Review (CAPM 412.000)
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,
2011.
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. See CAPM 514.285.
Lecturer and Senior Lecturer with Potential for Security of Employment (PSOE) [100% time 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.
UNIT 18 CONTINUING APPOINTEES (CAPM 516.000)
Merit Increases
Continuing Unit 18 appointees shall be considered for a merit review once
every three academic years; however, a Continuing Appointee may request that
his or her merit review be deferred for up to one year. If the Continuing
Appointee is found to have maintained the excellence standard, he or she shall
receive a two-increment merit increase (see Non-Senate Instructional
Unit 18 Table of Pay Rates/Continuing Lecturers). If a greater than two-increment merit increase is being
recommended, solicited letters of evaluation are required to justify the
exceptional merit recommendation. If a merit increase is denied, a written
remediation plan shall be provided. See CAPM
516.000.V.E.5.