416.220 - 100 Percent FTE Transfers of Senate Faculty

UCSC:APO:CAPM rev:01/21

A. PURPOSE

FTE transfers of Senate faculty may occur in order to support an evolution of an individual faculty member’s research and teaching focus, and/or to reflect changes in departmental or divisional academic programming and organizational structure. An FTE 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 dean will coordinate the process with the candidate and both departments, and will submit the transfer proposal to the Vice Provost for Academic Affairs (VPAA) via the Academic Personnel Office. In the case of an interdivisional transfer, the dean of the receiving department will coordinate the process.

The Campus Provost/ Executive Vice Chancellor (CP/EVC) has final authority for FTE transfers following Senate consultation.

If the faculty candidate is transferring to or from a divisional appointment with no departmental affiliation, then the dean will fulfill the departmental responsibilities for the purposes of this policy. If the transfer is to a divisional appointment, there is no department vote.

B. PROPOSAL

Every FTE transfer proposal shall include:

  1. Candidate statement regarding the proposed transfer (if one is provided), and current cumulative biobibliography
  2. Receiving department recommendation, including the report of a vote in accordance with Bylaw 55
  3. Current/originating department recommendation
  4. Statement from the dean of the originating department on the impact of the proposed transfer, including what additional measures are being taken to ensure the stability of the department, if any, and identification of courses that must be immediately covered and how they will be covered
  5. Recommendation of the dean of the receiving department, which must include:
a. Transfer justification and proposed effective date;
b. Statement of the impact of proposed transfer on the receiving department.
c. Discussion of how current graduate students working with the candidate will be affected.

Optionally, but strongly encouraged, any FTE transfer proposal may include a memorandum of understanding (MOU) between the candidate and departments and/or division(s) addressing teaching and service commitments; use of laboratory and other space, equipment and materials; previously approved leaves; startup balances; etc.

In the case of an interdivisional FTE transfer, the proposal shall include an MOU signed by both deans confirming the receiving dean’s commitment to return an open FTE line to the originating division, or alternate arrangements as negotiated by the deans. This FTE return requirement may be waived by mutual agreement of the deans, for example, where the originating department is being disestablished.

C. 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 (BEE) 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 the candidate 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 a faculty member 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. A candidate transferring from the REG to BEE salary scale must have an annual salary rate at least equal to the BEE on-scale salary rate that corresponds to the candidate’s current rank and step.

    (i) 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 BEE scale.

    (ii) 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.
A candidate transferring from the BEE to the REG salary scale will not have their total annual salary rate decreased; however, there will be a change to the proportion of the candidate’s on-scale and off-scale salary components.

(i) If the candidate’s annual salary rate was on-scale on the BEE scale, the new total annual salary rate under the REG scale will have an off-scale increment.

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

D. REVIEW and APPROVAL PROCEDURES

  1. If the transfer is initiated by the candidate, the candidate shall provide a written statement regarding the proposed transfer, along with the candidate’s most recent biobibliography, to the chairs of both the receiving and current/originating departments. If the transfer is initiated by a dean or department chair, the candidate shall be given the opportunity to submit a written statement regarding the proposed transfer and an updated biobibliography. If a statement is provided, it shall be made available to both of the departments (and deans, if applicable) and shall be included in the final proposal reviewed by the Senate and submitted to the CP/EVC.
  2. Faculty members in both the receiving and current/originating departments will be consulted regarding the proposed transfer. Faculty in the receiving department have the right to vote on the acceptance of the candidate into the department in accordance with Bylaw 55 rules for new appointments of senate faculty. 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.
  3. 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 transfer. The recommendation of the receiving department will report the Bylaw 55 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.
  4. In the case of an interdivisional transfer, the originating dean will review the proposal documents submitted from the originating department and candidate, and transmit them along with the originating dean’s recommendation to the receiving dean.
  5. The dean (receiving dean, for interdivisional transfer) will add a written recommendation and submit the entire proposal to the VPAA via the Academic Personnel Office. The VPAA and APO will review proposals for policy compliance and transmit to the Academic Senate for review and recommendation by the Committee on Planning and Budget, Committee on Academic Personnel (CAP), and other committees as the senate chair deems appropriate (e.g., Committee on Educational Policy regarding issues concerning undergraduate curriculum, Graduate Council in cases affecting graduate students or graduate programs). CAP should particularly review the proposed transfer for suitability of the receiving department to evaluate the candidate’s scholarly work.
  6. The Senate will submit its written recommendations to the VPAA.
  7. The VPAA will forward all materials to the CP/EVC.
  8. The CP/EVC will approve or deny the FTE transfer proposal and notify the dean(s) with copies to the candidate, both department chairs, Academic Senate, VPAA, Academic Personnel, and other offices as appropriate. The FTE transfer documentation will be retained at the Academic Personnel Office, which is the office of record.9. 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. Past academic personnel review materials, including student evaluations, will be made available to the receiving department and division, to the same extent that these materials are available for other faculty in that department, in order to facilitate future academic personnel review of the transferred faculty member. 10. The impact of the transfer on matters such as campus contact information, faculty support services, and college affiliation should be addressed and communicated to the candidate by the receiving department or dean as appropriate.