416.220 - 100 Percent FTE Transfers of Senate Faculty

UCSC:APO:CAPM rev:01/17

A. PURPOSE and PROPOSAL

FTE transfers of Senate faculty may occur to support individual faculty research and teaching focus and/or departmental or divisional academic plans. Such a transfer is treated as a permanent appointment in the receiving department or division.

An FTE transfer may be proposed by an individual faculty member, hereafter, candidate, a department chair, or dean. However, faculty who are undergoing an academic personnel review cannot initiate a transfer request until the review has been concluded. The receiving dean will coordinate the process with the candidate, involved departments, and current dean (if applicable), and will submit the transfer proposal electronically to the Vice Provost for Academic Affairs (VPAA), with a copy to the Academic Personnel Office. The Campus Provost/ Executive Vice Chancellor (CP/EVC) has final authority for FTE transfers following Senate consultation.

The FTE transfer proposal includes:

  1. Candidate statement regarding the proposed transfer and current biobibliography
  2. Receiving department recommendation
  3. Current department statement
  4. Receiving dean recommendation, which must include:
    • Transfer justification and proposed effective date;
    • Impact of proposed transfer on department(s) workload, research, and programmatic needs;
    • Whether the department losing the FTE will receive a replacement;
    • Identification of courses that must be immediately covered and how they will be replaced;
    • Discussion of how current graduate students working with the candidate will be affected; and,
    • As applicable, a proposed draft MOU between the candidate and departments and/or division addressing teaching and service commitments; use of laboratory and other space, equipment and materials, etc.
  5. If more than one dean is involved, an independent statement from the current dean is solicited by the receiving dean.

B.  SETTING THE INITIAL ANNUAL SALARY RATE IN THE NEW DEPARTMENT

If the FTE transfer involves moving from a department covered by the regular ranks (REG) salary scale to one that is covered by the Business/Economics/Engineering (B/E/E) salary scale or vice versa, the total annual salary rate (on-scale rate plus off-scale increment, if any, combined) will remain the same unless it would result in candidates being below the published rate for their current rank and step in the new department. In no event will the total annual salary rate of the candidate be decreased solely as a result of the FTE transfer; however, the off-scale increment may be decreased or entirely absorbed into the new annual salary rate. The initial annual salary rate in the new department will be set according to the following principles.

  1. Candidates transferring from the REG to B/E/E salary scale must have an annual salary rate at least equal to the B/E/E on-scale salary rate that corresponds to their current rank and step.

    (a) If the candidate’s annual salary rate on the REG scale does not include any off-scale increment, the annual salary rate must be increased so that it matches the published salary rate for the corresponding rank and step on the B/E/E scale.

    (b) If the candidate’s annual salary rate on the REG scale includes an off-scale increment, the off-scale increment will be entirely or partially absorbed into the new annual salary rate, with the result that the new total annual salary rate could have no off-scale increment or a lesser one.
  2. Candidates transferring from the B/E/E to the REG salary scale will not have their total annual salary rate decreased; however, there will be a change to the proportion of their on-scale and off-scale salary components.

    (a) If the candidate’s annual salary rate was on-scale on the B/E/E scale, the new total annual salary rate under the REG scale will have an off-scale increment

    (b) If the candidate’s annual salary rate on the B/E/E scale included an off-scale increment, the amount of that off-scale increment will be increased under the REG scale.

C. REVIEW and APPROVAL PROCEDURES

  1. Faculty members in both the receiving and current departments will be consulted regarding the proposed transfer. Because the transfer is treated as a permanent appointment, faculty in the receiving department have the right to vote on the acceptance of the candidate into the department in accordance with Bylaw 55. If additional information about the candidate is needed by the faculty in the receiving department in order to evaluate the proposed transfer fully, the receiving department will work directly with the candidate to obtain the materials.
  2. The chair of each department will submit a letter to the dean of that department presenting an analysis of the expected effect of the proposed transfer on the department’s programs, together with a recommendation regarding the proposed action. The recommendation of the receiving department will report the faculty vote; in the case of any negative votes, any relevant discussion should be included. The receiving department will also submit the candidate’s biobibliography and a written statement from the candidate regarding the transfer request. A dean may request additional information as needed.
  3. The receiving dean will submit the proposal to the VPAA, with a copy to the Academic Personnel Office, who will transmit it on behalf of the CP/EVC to the Academic Senate for review and recommendation by the Committee on Planning and Budget, Committee on Academic Personnel (CAP), and other committees as appropriate (e.g., Committee on Educational Policy regarding issues concerning undergraduate curriculum, Graduate Council in cases affecting graduate students or graduate programs). CAP will particularly review the proposed transfer for suitability of the receiving department to evaluate the candidate’s scholarly work.
  4. The Senate will submit its recommendations to the VPAA.
  5. The VPAA will make a written recommendation to the CP/EVC.
  6. The CP/EVC will approve or deny the FTE transfer request and notify the dean(s) with copies to the candidate, involved departments, Academic Senate, VPAA, Academic Personnel, and other offices as appropriate. The FTE transfer documentation will be forwarded to the Academic Personnel Office, which is the office of record.
  7. Upon approval of an interdivisional FTE transfer request, the candidate’s entire personnel file will be forwarded from the current dean’s office to the receiving dean’s office. Student evaluations will remain with the current department; however, it is expected that the evaluations will be made available to the receiving department as needed to conduct an academic personnel review of the transferred faculty member (e.g., Step 6 review). At the conclusion of the review, the student evaluations shall be returned to the department that provided them.
  8. The impact of the transfer on matters such as campus mail-stop, phone extension, faculty support services, and college affiliation should be addressed and communicated as appropriate.