Research Titles Appointments and Advancements

1. Research TitlesAppointments and Advancements January 15, 2014

2. Agenda • Resources • Who and where • Research Titles Overview • Specialist • Project Scientist • Professional Research • Visiting appointments • Appointments • Search requirements and process • Visa Issues • Reappointments • Advancements • Postdoctoral Scholars

3. Academic Personnel Contacts Joanna Kettmannx5048Joanna.kettmann@ap.ucsb.edu All departments and ORUs Karen Morenox5429karen.moreno@ap.ucsb.edu Social Sciences, Education, Creative Studies, Humanities and Fine Arts (except those listed below) Viktoriya Filippovax5428viktoriya.filippova@ap.ucsb.edu Physical Sciences, Bren School, Engineering, Depts. of Art, History of Art and Architecture, Theater and Dance, MATP

4. Web Resources Red Binder- campus Academic Personnel policies and procedures Academic Personnel Manual (APM) – systemwide Academic Personnel policies and procedures Salary Scales Forms All online https://ap.ucsb.edu/

5. Research Titles • Temporary Appointments • Fiscal Year Basis • No Teaching Component • Funding sources must permit research

6. Specialist Series(RB III-16) • “Academic appointees who assist in research in specialized areas and who do not have any teaching responsibility” • Junior and Assistant levels: enables research as part of a team • Associate and Full levels: provides considerable independent input into the planning and execution of research • No Ph.D. required

8. Project Scientist Series(RB III-14) • “Those who make significant and creative contributions to a research or creative project” • Higher level of independence than Specialist series • Independent research and/or research leadership not required • Ph.D. required

11. Professional Research Series(RB III-12) • “Those who engage in independent research equivalent to that required for the Professor series” • “Continuous and effective engagement in independent and creative activity of high quality and significance” • Review requirements the same as Professor series (i.e., mandatory review, 8 year limit) • Never on state funding

14. Visiting Appointments(RB III-23) • Research or Project Scientist series only • Two year maximum; usually shorter • Usually holds similar position somewhere else • Salary must be at least minimum of rank

15. Without Salary Visitors(RB III-25) • Short-term educational, research, or other academic projects under a supervision of an academic appointee • Visiting Scholar (3299) Visiting Undergrad (3731) Visiting Grad (3739) • Up to one year, reappointments rare • Not employees, no compensation via payroll • WOS Visitor Form Letter

16. Approval Authority All Titles, All Actions AVC for Academic Personnel WOS Research Visitor Chair/Director; AP Post-Audit

17. Search Requirements(RB VII-1) • Open Recruitment Policy: • Required for any position that is 50% or more of full time and for more than one academic or calendar year • If initial appointment does not require search based on above, but reappointment or modification makes the appointment meet the criteria, must do a search

18. Exemptions & Exceptions(RB VII-1) • Exemption (automatically granted): • If appointee is the PI or co-PI on the contract/grant or is named in the grant • Without salary appointments • Postdoctoral Scholars • Visiting titles • Exceptions (must be approved), aka EORs: • Unexpected circumstances (illness, leave) • Spousal or domestic partner hire (of a senate faculty member) • Unique fit to the position (nobody else can do the job) • OEO makes recommendation, AVC approves exceptions

19. Search Process(RB VII-5) • Prepare the Recruitment Packet- Part I, including a copy of the ad, and get appropriate approvals • Enter recruitment in UC Recruit • Process applications and interview • Screen applicants and select finalists to be brought to campus for interviews • Complete the Recruitment Packet-Part III and get appropriate approvals • Submit the Recruitment Packet with the appointment paperwork

20. Questions about search requirements Elizabeth Rogers Office of Equal Opportunity x3294 elizabeth.rogers@oeosh.ucsb.edu

21. Visa issues • Four things to find out: • Nationality • Length of stay • Current or past visa status • Appointment details • Title • Percent time • Pay rate

22. Questions about Visa issues Office of International Students and Scholars Tanya Plant x2354 tanya.plant@sa.ucsb.edu (Employment/Visa issues) Billy Ko x2211 tzefung.ko@sa.ucsb.edu (J-1 visas) Accounting Sona Baboolal x3259 sona.baboolal@accounting.ucsb.edu (Tax questions)

23. Appointments and Reappointments • Initial appointment • New appointment (or after a break in service) • Transition into a new title in research series (except from researcher to lower series) • Online for Researchers, on paper for all others • Reappointment • Extension of existing appointment • Renewal of funding • Use Temporary Academic Appointment Form letter • On paper for all research titles

24. Contents of a case- Appointment(RB III-7) • Departmental Letter or Temporary Academic Appointment form letter • External letters and other related items • Publications • UCSB Biography form and CV • Recruitment Packet or EOR approval

25. Departmental Letter /Appointment Form Letter • Fill in sections I and II completely • Note exceptions (L) • Make sure salary is correct and on current scale • Section “M”—especially if moving from represented to non-represented appointment • “N” and “O” should be analytical and evaluative, and completed by member, not by staff • If external evaluators refer to by coded list only • For online submission use memo format, summary of form letter items

26. External Letters • Requirements vary by title: • Researcher, required at Associate, Full appointment • Project Scientist “desirable” at Associate, Full appointment • Sample letters (RB I-49) with wording modified as appropriate for research title (RB III-12) • Confidentiality requirements (RB I-49) • Statement • Redaction and access since not yet an employee • Identification in departmental letter • List of evaluators, copy of sample letter (RB I-49)

27. Other items in appt. case • Publications • Representative sampling for Research series (one-of-a-kinds) • UCSB Bio-form and CV • No set format for CV • UCSB Bio-form • Search Paperwork • Academic Recruitment Packet, or approved exception to open recruitment must be included if required by policy

28. Reappointment • Temporary Appointment Form Letter (only section 1 is needed) • Modification: for changes in items F, G

29. Eligibility for Advancement • “Normal” eligibility- routine reviews • Based on the salary scales and policy • 6 months or more in fiscal year=1 year of service • Tracking eligibility • Off-scale salaries (RB I-8) • Not allowed in Specialist series • Maintained in routine cases

30. Types of Advancement • Regular Merit • Accelerations • Justification • No set measures • Kinds of acceleration • In years • In salary • Mixed • Promotion • Special Steps • “No Change” Decisions

31. Types of Advancement • Promotion to Associate (RB III-8, III) • Research series • 8 year limit as Asst. • Time off the clock • Project Scientist & Specialist • Promotion to Full (RB III-8, IV) • Research series • Project Scientist & Specialist • Special Steps (RB III-8, V) • Asst Researcher V, Assoc Researcher IV • Asst Project Scientist V, Assoc Project Scientist IV

32. Types of Advancement: Research series • Mandatory Review (RB III- 8, VII) • Every 5 years • No deferral • Terminal Appointment (RB III-8, VI; I-39) • Merit to Researcher VI (RB III-8, VIII) • Career review • Merit to or within Above Scale (RB III-8, IX) • Career review

33. Advancement Deadlines • All actions are effective July 1 • Specialist & Project Scientist • April 1 to Office of Academic Personnel • Hard deadline; exceptions rare • Researcher • March 1 to Office of Academic Personnel—ORUs • March 1 to Dean’s office—Academic Departments • Hard deadline; exceptions rare • Need for internal deadlines for submission

34. Deferrals • Specialist & Project Scientist ok at any time • Assistant Researcher- • Non-submission of material causes automatic deferral • No deferral of 8th year review • Associate Researcher and Researcher – notification • Non-submission of material in other than mandatory reviews causes automatic deferral. • No deferral of mandatory review

35. Contents of a case- Advancement(RB III-9) • Online Case/Research Title Review Form • Departmental Letter • Bio-bib required; updated CV optional • External letters and other related items • Publications • Safeguard Statement

36. Case Summary/Research Title Review Form • Red Binder III-4 • Summarizes content of case and recommendation • Statement of departmental vote or review procedure

37. Departmental letter • Analytical evaluation of the case • Explain any accelerations, negative recommendations or special circumstances • Identify external evaluators by code only

38. Bio-Bibliography and Publications • Bio-Bib must follow format in Red Binder • Research • Cumulative (others since last review) • oldest = lowest number • Changes since last review • Publications numbered to match bio-bib • All, or representative sampling of publications depending on case type and series

39. External Letters • Requirements vary by title: • Researcher, required for promo to Associate or Full • Project Scientist “desirable” for promotion to Associate or Full • Sample letters (RB I-46) with wording modified as appropriate for research title • Confidentiality requirements • Statement • Redaction and access for employees • Identification in departmental letter • List of evaluators, copy of sample letter

40. Safeguard Statement • For all merit or promotion actions • Not used for initial appointment at University. • Assures candidate rights • Follows steps outlined in “Departmental Checklist for Academic Advancement” RB I-22

41. Postdoctoral Scholars • Employed in a full-time training program of advanced academic preparation and research training under the mentorship of a faculty member • Payroll title of Postdoctoral Scholar: • Employee • Fellow • Paid Direct • Note: policies apply equally to individuals in all three titles • Appointment in a non-Postdoc title is grievable if relationship is Postdoctoral in nature

42. A Postdoc or not?Postdoctoral Scholar Classification flowchart:www.graddiv.ucsb.edu/pubs/postdocs/pdf/scholarpositions.pdf A Postdoctoral Scholar • A program of mentorship and training • Five years or less since PhD • Initial appointment of at least one year • Appointment is 100% time Not A Postdoctoral Scholar • Support position on research team • Independent researcher • Short term visitor • Appointment is part time

43. Appointment/Reappointment Process • All steps take place prior to hire date • Department/PI has preliminary conversations with the Postdoc • Department submits hiring request to Graduate Division 30 days prior to start date • Graduate Division approves appointment • Department sends offer letter/notice of appointment to the Postdoctoral Scholar (30 days prior for reappointment) • Postdoctoral Scholar signs and returns the notice, copy goes to Graduate Division • Department enters employee into PPS

44. Exceptions • Less than 100% for a limited time if: • Also holding a teaching title (Lecturer) • At the employee’s request • Note that this is used for reduced effort, not for reducing pay • More than five years since PhD conferred • Need reasonable justification • Total limit of services no more than 6 years

45. Reviews & Mentoring • Annual Review/Evaluation • Must be done in writing every 12 months and included with reappointment request • Sample form available on Graduate Division web site • Individual Development Plan • Includes Postdoc’s general individual research goals, professional development and career objectives, developed by Postdoc and discussed with PI • Progress Assessments • Evaluation of the Postdocs progress and accomplishment in research & professional development

46. Minimum Salary

47. Campus Contacts for Postdocs Graduate Division: Melanie Hoven, melanie.hoven@graddiv.ucsb.edu, x4652 Labor Relations: Staci Richards, staci.richards@hr.ucsb.edu, x4669 Benefits: Mayra Magana, mayra.magana@hr.ucsb.edu, x4263 Academic Personnel: Karen Moreno x5429 Viktoriya Filippova x5428 Cindy Doherty x8332