Professor Series | Delegation of Authority Chart
Related Policy: CAPM 400.220 | Professor Series
Delegations of authority refer to the assignment of decision-making responsibilities to a specific individual or group of individuals at UCSC. The chart on this page lists the level of review and authority for each of the indicated titles and actions. If you encounter an accessibility issue with information presented in a table, please contact us at apo@ucsc.edu for assistance.
Delegation Charts by Title Series
Delegations for Professors
Acting Professor
| Actions | CAP/DCAP Review | Authority | Notes |
| Authority and CAP review for all actions affecting appointees in the Acting Professor titles corresponds to the Professor Series titles of equivalent rank, except for regularization | |||
| Regularization of Acting Assistant Professors | None | Dean | |
| Regularization of Acting Associate Professors and Acting Professors, upon gaining lawful permanent residency | None | Dean | |
| Regularization of Acting Associate Professors and Acting Professors upon demonstration of successful university teaching | CAP | CP/EVC |
Assistant Professor
| Actions | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Appointments | The campus off-scale limit for the Professor series is the annual salary rate for Step 9, plus 11 percent | ||
| Appointment to Steps 1-3, up to the annual salary rate for Professor, Step 3 | None* | Dean | *CAP review required when there is greater than 25% dissenting votes by the Bylaw 55 voting faculty. See 4/8/22 memo |
| Appointment to Steps 1-3, if annual salary rate is more than Professor, Step 3 | CAP | CP/EVC | |
| Appointment to Steps 4-5 | CAP | CP/EVC | |
| Merit Reviews, Reappointments, & Non-Reappointments | |||
| Reappointment and merit increase when the salary increase does not exceed one and two-thirds steps | CAP | Dean | Ref. CAPM 803.620 regarding expectations at the campus salary limit. |
| Reappointment and merit increase if the salary increase exceeds one and two-thirds steps | CAP | CP/EVC | Ref. CAPM 803.620 regarding expectations at the campus salary limit. |
| Reappointment and accelerated merit | CAP | CP/EVC | |
| Reappointment only | CAP | Dean | |
| Non-reappointment | CAP | Chancellor | Ad hoc review is normally required, but after consultation with CAP, the CP/EVC may determine that it is not. In cases of non-reappointment, the candidate is entitled to notice or pay in lieu of notice (CAPM 404.220.C.3.d) |
| Mid-Career Appraisal | Effective with the 2012-13 review year, solicited external letters shall not be part of the mid-career appraisal. | ||
| Mid-career appraisals typically include review for reappointment and merit increase; in any event, CP/EVC authority | CAP | CP/EVC | Ad hoc review is not required, except in cases involving non-reappointment. |
| Promotion to Tenure | |||
| Promotion to Associate Professor, with positive recommendation from department and dean | CAP | Chancellor | |
| Promotion to Associate Professor, with department and/or dean recommending acceleration of two or more steps | CAP | Chancellor | Ad hoc review is required. |
| Promotion or denial of promotion to Associate Professor, with negative recommendation from department and/or dean | CAP | Chancellor | Ad hoc review is required. If promotion to tenure is denied, the candidate is entitled to 12 months’ notice or pay in lieu of notice. |
Associate Professor
| Actions | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Appointments | The campus off-scale limit for the Professor series is the annual salary rate for Step 9, plus 11 percent | ||
| Appointment (any step) | CAP | CP/EVC | Ad hoc review is required where 1) the department and/or dean does not support the appointment, or 2) the department and dean do not agree on proposed rank and/or step. |
| Merit Reviews & Promotions | |||
| Merit increase when the salary increase does not exceed one and two-thirds steps | CAP | Dean | Ref. CAPM 803.620 regarding expectations at the campus salary limit |
| Merit increase if the salary increase exceeds one and two-thirds steps | CAP | CP/EVC | Ref. CAPM 803.620 regarding expectations at the campus salary limit |
| Accelerated merits | CAP | CP/EVC | |
| Promotion to Professor rank | CAP | CP/EVC | Ad hoc review is required if: 1) Department and/or dean recommend acceleration of two or more steps (i.e. advancement of three or more steps; or 2) Department and/or dean recommend denial of promotion. |
| Salary Increase Only Reviews | |||
| Salary increase actions for candidates at Step 4 that do not exceed the equivalent of two-thirds of a step | CAP | Dean | Ref. CAPM 803.620 regarding expectations at the campus salary limit |
| Salary increase actions for candidates at Step 4 in excess of two-thirds of a step | CAP | CP/EVC* | *Effective 7/1/21 – 6/30/27Deans have authority for salary increase up to a full step. |
Professor
| Action | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Appointments | The campus off-scale limit for the Professor series is the annual salary rate for Step 9, plus 11 percent | ||
| Appointment to Steps 1-9, up to the UC Salary Threshold | CAP | CP/EVC | Ad hoc review is required where 1) the department and/or dean does not support the appointment, or 2) the department and dean do not agree on proposed rank and/or step. |
| Appointment to Above Scale, up to the UC Salary Threshold | CAP | Chancellor | Ad hoc review is required where 1) the department and/or dean does not support the appointment, or 2) the department and dean do not agree on proposed rank and/or step. |
| Appointment to Steps 1-9 or Above Scale, above the UC Salary Threshold | CAP | Provost- Academic Affairs, UCOP | |
| Merit Reviews | |||
| Merit increase to Steps 2-5 and 7-9 when the salary increase does not exceed one and two-thirds steps | CAP | Dean | Ref. CAPM 803.620 regarding expectations at the campus salary limit |
| Merit increase to Steps 2-5 and 7-9 if the salary increase exceeds one and two-thirds steps | CAP | CP/EVC | Ref. CAPM 803.620 regarding expectations at the campus salary limit |
| Accelerated merits | CAP | CP/EVC | |
| Merit to Step 6 | CAP | CP/EVC | |
| Merit to Above Scale, up to the UC Salary Thresholdor above Indexed Compensation Level with a merit increase of 10% or less | CAP | Chancellor | |
| Merit to Above Scale, above the UC Salary Thresholdwith merit increase greater than 10% | CAP | Provost- Academic Affairs, UCOP | |
| Merit to further Above Scale, up to the UC Salary Threshold | CAP | CP/EVC | |
| Merit to further Above Scale, above the UC Salary Thresholdbut with merit increase of 10% or less | CAP | Chancellor | |
| Merit to further Above Scale, above the UC Salary Thresholdwith merit increase greater than 10% | CAP | Provost- Academic Affairs, UCOP | |
| Salary Increase Only Reviews | |||
| Salary increase actions for candidates at Steps 5 and 9 that do not exceed the equivalent of two-thirds of a step | CAP | Dean | Ref. CAPM 803.620 regarding expectations at the campus salary limit |
| Salary increase actions for candidates at Steps 5 and 9 in excess of two-thirds of a step | CAP | CP/EVC* | *Effective 7/1/21 – 6/30/27Deans have authority for salary increase up to a full step at Professor, Step 5. |
Career Equity Review
| Action | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Career Equity Review | CAP | Authority follows the type of review |
Deferral of Review
| Action | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Deferral of Review | None | Unit Head | Assistant Professors are not eligible for deferrals |
Mandatory Review
| Action | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Mandatory Review only | CAP | Dean | |
| If combined with another review, e.g., mandatory merit review and another review type | CAP | Authority follows the type of review |
Retention
| Action | CAP/DCAP Review | Authority | Notes |
|---|---|---|---|
| Retention Action | CAP | CP/EVC | A retention review does not impact the faculty member’s regular eligibility for review or the associated review period. |