Campus CALL Information 2013-14

Assistant Professors

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.

Overlapping Step for Assistant Professors (CAPM 407.690)
Assistant Professor, Steps 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, Steps 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.  

Reappointment and Salary Increase In Lieu of Merit for Assistant Professor, Step 5:
A faculty member at the rank and step of Assistant Professor, Step 5, with less than seven years (19 quarters) of service will not be automatically placed on the CALL for promotion to tenure. Instead, reappointment and a salary increase as 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.

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.

Off-Scale Salaries (CAPM 803.620)
Any merit or salary increase should be recommended in accordance with the campus policy on off-scale salaries.

Denial of Advancement
If a review for reappointment and merit or reappointment and salary increase in lieu of merit at Step 5, results in reappointment only (i.e., denial of advancement in 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 (typically two unless a review for promotion is required). Should candidates choose to put themselves forward for the same review (i.e., normal merit or salary increase in lieu of merit at Step 5) 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 step or salary (e.g., for an assistant professor who put themselves forward for a merit increase to Step 4 after serving one additional year at Step 3 for example, the review period would be three years instead of two years). See CAPM 400.220.9.c.2.


Associate and Full Professors

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.

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.

Off-Scale Salaries (CAPM 803.620)
Any merit or salary increase should be recommended in accordance with the campus policy on off-scale salaries.

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 CAPM400.220.9.c.2 .

Career Equity Review (CAPM 412.000)
A tenured faculty member initiates a Career Equity Review (CER) by submitting a written CER request form to the department chair or dean no later than May 15, 2013.

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 Step for Associate Professors(CAPM 407.690)
Associate Professor, Step 4 is an overlapping step and the normal period of service at this step is three years. 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. Advancement to Associate Professor, Step 4 is considered normal for those faculty requiring more time.

A maximum of three years of service at Associate Professor, Steps 4 may count "in lieu" of service at Professor, Step 1. In those instances of service at Associate Professor, Step 4, 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 with less than three years of service will be to Professor, Step 1, with time served as Associate 4 counting in lieu of service in calculating eligibility for merit to Professor, Step 2.

Note about Associate Professor, Step 5: During spring quarter 2013, there will be a formal review of the proposed elimination of Associate Professor, Step 5, at UCSC. Historically, use of this step on our campus is highly unusual and there are no faculty currently at this step. Contact the Academic Personnel Office with any questions.

Salary Increases for Associate Professor, Step 4
A faculty member at Associate Professor, Step 4 who is on the CALL for promotion may not present a record of performance in all three areas sufficient to warrant promotion to Professor. 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 such as a quarter or a half step. This recommendation must be accompanied by an assessment of the faculty member's future prospects for advancement.  See CAPM 407.690.C.4.

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 Professor, Above Scale, 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.


Lecturer with Security of Employment Series (CAPM 514.285)

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) [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.

Note about Lecturer and Senior Lecturer with Potential for Security of Employment (PSOE): During spring quarter 2013, there will be a formal review of proposed revisions to CAPM 514.285 that would provide additional information about PSOE titles to the existing campus academic personnel policy.  Contact the Academic Personnel Office with any questions.


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.