803.620 - Off Scale Salaries for Appointments and Advancements

UCSC:APO:CAPM rev 6/15

A. General Provisions and Definitions

Off-scale salaries are awarded for a variety of reasons including recruitment, retention, and to reward extraordinary performance during a particular review period. Off-scale salaries can also be awarded in lieu of step advancement or promotion. Nevertheless, in order to preserve the significance and values of the salary scales, salaries should be on-scale to the greatest extent feasible.

An off-scale salary shall be a multiple of $100 when the published scale salaries of the relevant title series are expressed in multiples of $100.

Off-scale salary: A salary rate at a certain rank (or level) and step that exceeds the rate in the published salary scale. The portion of the salary that is higher than the salary rate associated with the particular rank and step is typically referred to as the off-scale component, but also as the off-scale amount or off-scale increment; the remainder is the on-scale salary.

Above-scale salary: A salary rate that exceeds the maximum salary designated for the title series in the published salary scale.

Base salary: An appointee’s total annual salary rate. This is the on-scale salary and off-scale salary component combined or a salary at Above Scale status, excluding stipends and/or additional compensation.

Campus salary limits: A salary limit established by the campus for each salary scale in a series. The campus salary limit does not apply to academic appointees who have obtained Above Scale status.

Salary increase only: An increase in the salary rate only without any advancement in rank (or level) and/or step. This can be the outcome of a retention only review, a reappointment review at Assistant Professor, Step 5, or an advancement review where the file did not warrant an increase in rank and/or step. At specific junctures and in accordance with this policy, it can also be the type of review requested by candidates at Associate Professor, Step 4, Professor, Step 5, and Professor, Step 9 (see section C below for detail).

Above Scale status: Advancement above the highest rank and step in the title series that is the result of a career review. Appointees in the following six title series only are eligible for Above Scale status:

  1. Professor Series (also applies to those appointed as Astronomers)
  2. Lecturer with Security of Employment Series
  3. Professional Research Series
  4. Adjunct Professor Series
  5. Project Scientist Series
  6. Specialist Series

B. Eligibility

Except for student titles, all academic title series that include ranks (or levels) and steps may be considered eligible for off-scale salaries. However, for academic titles covered by a Memorandum of Understanding (MOU), eligibility for off-scale salaries is determined by the terms of the MOU.

C. Limitations on Off-Scale Salaries

1. Professor Series

a) 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 of teaching, research, and service sufficient to warrant promotion to the rank of 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 in recognition of the faculty member’s overall performance during the review period. This recommendation must be accompanied by an assessment of the faculty member's future prospects for promotion. (See CAPM 407.690.C.3, Overlapping Steps, for additional information)

b) Professor, Step 5: It is not appropriate for a faculty member to receive a salary increase only to a rate equivalent to Step 6 or higher without undergoing a Step 6 review. A candidate at Professor, Step 5, with an excellent record who chooses not to proceed with a Step 6 review, but requests review for a salary increase only, may be considered for a modest off-scale increase such as a quarter or a half step in recognition of the faculty member's overall performance during the review period.

c) Professor, Step 9: It is not appropriate for a faculty member to receive an above-scale salary without a review for Above Scale status. A candidate with an excellent record who chooses not to proceed with such a review, but requests review for a salary increase, may be considered for a modest off-scale increase, such as a quarter or a half step in recognition of the faculty member's overall performance during the review period.

2. Campus Salary Limits

a) For the following academic title series only, absent advancement to Above Scale status, the campus salary limit is the annual salary rate for the highest step in the series (specific to academic year or fiscal year basis and Regular or Business/Engineering/Economics scales), plus 11 percent. In the case of the Lecturer with Security of Employment Series (SOE), it is the highest published salary rate in the series (specific to academic year or fiscal year basis), plus 11 percent:

    1. Professor Series (also applies to those appointed as Astronomers)
    2. Lecturer with Security of Employment Series
    3. Professional Research Series
    4. Adjunct Professor Series
    5. Project Scientist Series
    6. Specialist Series

Adjustments to the 11 percent may be considered by the Campus Provost/Executive Vice Chancellor in conjunction with systemwide changes to the salary scales and will be published on the campus academic salary scales.

It is not appropriate for an individual appointed to any of these six academic title series listed above to be advanced from the highest step (or salary rate for the SOE Series) in the title series to a salary rate that exceeds the corresponding campus salary limit without undergoing a review for advancement to Above Scale status. A candidate at the highest step (or salary rate for the SOE series) with an excellent record since last advancement who chooses not to proceed with a review to Above Scale status but instead requests review for a salary increase only, may be considered for a modest off-scale increase such as a quarter or a half step in recognition of the candidate’s performance during the review period, but not to exceed the campus salary limit for that title series.

However, academic appointees in any of these six title series who advance from any step other than the highest step in their title series (or salary rate for the SOE series) to a salary rate that exceeds the corresponding campus salary limit, will not necessarily be held to the corresponding campus salary limit.

This difference in the application of the campus salary limit acknowledges that some academic appointees have been appointed, advanced, or retained with off-scale salary components that may result in base salaries that exceed the campus salary limit as the result of an advancement review. For example, advancement from Professor, Step 7, off-scale to Professor, Step 8, further off-scale, may result in an off-scale salary that exceeds the campus salary limit for that series. This is distinct from a candidate who has served four years at Professor, Step 9; while there is no policy requirement or expectation that such an appointee must undergo the overall career review for advancement to Above Scale status, mere length of service and continued good performance at Step 9 are not sufficient to justify further salary advancement that exceeds the campus salary limit.

b) For all other academic title series eligible for off-scale salaries but not eligible for Above Scale status, the campus salary limit for the series is the highest published salary rate for the series. (See the Campus Academic Salary Scales).

D. Future Advancement for those with Off-Scale Salaries

In all cases, reviewers should consider the merits of the file during the review period to determine the appropriate salary recommendation, which may include a reduction or increase in an existing off-scale component, or an alignment to an on-scale salary.

E. Effect of a General Scale Adjustment on Off-Scale Salaries

The off-scale component of the salary is not subject to a general salary scale adjustment unless the Chancellor gives explicit directions to the contrary. This means that any academic appointee with an off-scale salary component within established salary scales at the time of a general scale adjustment will receive the same dollar increase in salary as those of the same title, rank, and step on the applicable salary scale (i.e., only the on-scale salary shall be adjusted unless the Chancellor directs otherwise). When an individual is appointed or advanced to an off-scale salary, the deciding authority may specify that the salary is to be unaffected by the first concurrent or subsequent general scale adjustment. In such cases, the individual must be notified in writing by the deciding authority of this stipulation.

F. Authority

In addition to this section, see the campus Delegation of Authority Chart:

  1. The Dean has authority to approve off-scale salaries for delegated actions as follows:
    1. Off-scale salaries for appointments to Assistant Professor, at Steps 1 through 3, up to the annual on-scale salary rate for Associate Professor, Step 4;
    2. Off-scale salaries for advancement actions up to the campus salary limit for the applicable salary scale, provided the salary increase does not exceed $100 less than two steps;
    3. Off-scale salaries for advancement actions in excess of the campus salary limit for the applicable salary scale once the Campus Provost/Executive Vice Chancellor has approved the initial exception for a salary rate higher than the campus salary limit, provided the salary increase does not exceed $100 less than two steps; and Salary increases at Associate Professor, Step 4, Professor, Step 5, and Professor, Step 9, that do not exceed the equivalent of a half-step increase.
  2. The Campus Provost/Executive Vice Chancellor has authority to approve off-scale salaries for actions including:
    1. Any increase in the amount of the off-scale increment that is higher than $100 less than two steps;
    2. Initial exception to the campus salary limit up to the Indexed Compensation Level; and
    3. Salary increases at Associate Professor, Step 4; Professor, Step 5; and Professor, Step 9, that exceed the equivalent of a half-step increase.
  3. The Chancellor has authority to approve salaries above the Indexed Compensation Level in cases involving merit increases of 10 percent or less for any academic title series.
  4. The UC Provost and Executive Vice President has authority to approve salaries above the Indexed Compensation Level that involve new appointments, retention actions, and merit increases greater than 10 percent for any academic title series.
  5. The Campus Provost/Executive Vice Chancellor has authority to set the campus salary limit.