Titles in the Professional Research series are assigned to individuals qualified by training, background, and experience to function (under general faculty supervision) in an academic research capacity, implementing research design or securing the execution of research plans.

This title is given only to those who engage personally and directly in research and not to those whose duties are merely to provide technical assistance to a research project.

Appointees normally must possess a doctorate or its equivalent, and must possess research qualifications equivalent to those in the equivalent rank in the regular professorial series — Academic Personnel Manual Section 310.

Note: The Professional Research policy does not apply to an appointee in one of the professorial series who serves on a part-time and/or temporary basis in this series. The status of such an appointee is controlled by the professorial appointment.

When extending an offer to individuals in this series, it is necessary for the Dean or Chair to include the following statement in any correspondence regarding their offer of an appointment or renewal of appointment:

"This appointment is for a specific term, with an ending date as herein set forth, and is not for a longer period unless express written notification is so given to the appointee. In the absence of such express notification, the appointment ipso facto terminates on the specified ending date."

Service requirements are not applicable to the Professional Research series.

Tenure or Security of Employment is not granted in association with appointment to the Research series.

Each source which provides compensation for service in this series must permit research. Utilization of departmental provisions (except when specifically assigned to this series) and of departmental General Assistance funding for appointment of Professional Research appointees requires advance approval of the Chancellor.

It is the responsibility of each Department Chair (in cooperation with any employing Principal Investigator or Director) to assure that each appointee to this series is at all times aware of the financial longevity of the source(s) of support for the appointment.

Appointment to the Research series does not confer membership in the Academic Senate.

III. Compensation

An individual who holds a salaried University appointment to this series is compensated on the salary scale established specifically for the Professional Research series. Compensation at an Off-Scale salary rate may be approved by the Chancellor or, upon specific delegation, by the Dean.

Deans not serving as Chair have Off-Scale approval authority up to and including the next step. All Off-Scale rates must be in multiples of $100. For all other Off-Scale salary up to the Regental threshold, the Chancellor is the final approval authority. Salaries exceeding this threshold require Regental approval (refer to annually published UC Salary Scales for Regental thresholds). See Appendix 17 for "Summary of UCLA Policy on Off-Scale Salaries."

Since an individual’s approved rank and step in this series is based on research qualifications without reference to teaching experience or competence, there should be no assumption that the same rank and step would necessarily be appropriate in the event appointment to one of the professorial series is subsequently proposed.

The Chancellor has the authority to approve Above-Scale salaries up to the Regental threshold (refer to annually published UC Salary Scales for Regental thresholds). Approval of salaries beyond this approval authority require Regental action.

Please see Appendix 22, "Summary of Recruitment Policy" and Appendix 23, "Faculty Search Guidelines" regarding search requirements and required documentation.

Criteria for assessment of individual qualifications are set forth in Appendix 10, "Criteria for Appointment and Advancement in the Professional Research Series."

C. Categories of Personnel Actions

Dossiers are only required for initial appointments made at the Associate Researcher or Researcher ranks, promotion actions and merit increases to Step VI and Above-Scale. Employment encompasses the following types of personnel actions:

1. Appointment

Initial employment in the series or permanent intercampus transfer. Review and submission of a dossier are required if an appointment is made at either the Associate Researcher or Researcher rank. No dossier is required for appointment made at the Assistant rank.

2. Re-employment

Appointment in the same series after a previous separation. Review and submission of dossier are required if re-employment is made at either the Associate Researcher or Researcher rank. No dossier is required for appointment made at the Assistant rank.

3. Renewal of Appointment/Reappointment

Subsequent appointment in this series under the condition that there has not been a previous separation. Review and submission of dossier is not required, provided there is no change in the rank and step.

4. Change in Series

Not applicable to the Professional Research series. Any subsequent appointment to another series is subject to the review and search requirements applicable to that series. See Appendix 26 for further information. Review and submission of a dossier are required.

5. Change of Department

Permanent transfer from one department to another. Review and submission of dossier are required if change is made at either the Associate or Researcher rank.

6. Split Appointment

Salaried appointments where the faculty position is divided between two or more departments. Review and submission of a dossier are required. Also see Appendix 15 for policies governing Interdepartmental Degree Programs and Centers for Interdisciplinary Instruction.

7. Joint Appointment

Appointment to an additional department on a without salary basis where the faculty position remains based in the home department. Review and submission of dossier are required if appointment is made at either the Associate or Researcher rank. Please see Appendix 15 on "Joint and Split Appointment" for instructions regarding secondary department participation in subsequent reviews.

8. Temporary Appointments

Temporary Appointments are not applicable to the Professional Research series.

9. Informal Extra-Departmental Affiliations

An informal relationship (not a Joint or Split Appointment) with an Organized Research Unit, research center, or interdepartmental teaching program, within the University for the purposes of advising or conducting research. An evaluation of the appointee’s contribution to that program should be submitted in all actions requiring a dossier.  Also see Appendix 37 for Interdisciplinary Activity.

Appointment to the Professional Research Series are made on a Fiscal Year basis. The effective date of an appointment is the first day on which payment begins.

E. Senate Review

The following tables apply to all Schools and Colleges.

1. Appointment, Re-employment and Change in Series

2. Renewal of Appointment/Reappointment

When renewal of a self-terminating appointment in this series coincides with a required appraisal, a merit increase, or promotion, a dossier is to be submitted. Such dossier is subject to the review, approval authority policies and procedural requirements governing that action.

3. Change of Department and Split Appointment

4. Joint Appointment (WOS Appointments)

Authority to approve or deny recommendations rests at the indicated administrative levels.

Employment actions for a Academic Year (9-month) appointment approved by the Dean after the first day of the service period requires Chancellor’s approval for the retroactivity.

For Fiscal Year appointees, employment actions approved by the Dean more than 6 months after the effective date of the appointment requires Chancellor’s approval for the retroactivity.

1. Appointment, Re-employment and Change in Series

Employing units which do not report to a Dean of a School or College

All Other Schools and Colleges

2. Renewal of Appointment/Reappointment

All Schools and Colleges

* provided that there is no change in rank and step

3. Change of Department and Split Appointment

Dentistry, Law and Nursing

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Public Health, Public Policy and Social Research, and Theater, Film & Television

4. Joint Appointment (WOS Appointments)

Dentistry, Law and Nursing

Arts and Architecture, Education and Information Studies, Engineering and Applied Science, Letters and Science, Management, Medicine, Public Health, Public Policy and Social Research, and Theater, Film & Television

The following restrictions govern all employment:

1. any action involving employment of near relatives (see Appendix 21, "Employment of Near Relatives") requires approval of the Chancellor;
2. compliance with recruitment and search requirements; and
3. any exception to policy governing the series requires advance approval of the Chancellor.

Advancement encompasses merits, merits to Above-Scale and further Above-Scale and promotions. Advancements become effective July 1st. In all cases funding must be provided from the source(s) which support(s) the individual’s appointment. See APM 200-17a for the policy regarding the payment of salary increases associated with merits and promotions.

Eligibility does not imply automatic advancement. Departments are required to review the record of each individual when the individual becomes eligible for a normal merit increase or promotion to determine whether or not advancement should be recommended. Advancement follows only upon demonstration of qualification following review.

A dossier must be submitted whether or not Senate Review is waived for individuals in the Associate or Researcher ranks. See the "Summary of Procedures" section for detailed procedural requirements associated with each category of advancement.

The responsibilities of Recommending Officers are set forth in Appendix 1, "Guidelines for Department Chairs and Other Recommending Officers" and Appendix 2, "Synopsis of Academic Personnel Manual Section 220." For an individual with a Joint or Split Appointment, see Appendix 15.

In addition, when an individual has an informal extra-departmental affiliation, the primary department is to obtain from the head of the other unit, an evaluation of the individual’s contribution to that program. The evaluation should include the individual’s scholarly work, names of faculty members who might serve as members of a campus ad hoc review committee, and names of persons at other institutions from whom evaluations of the individual’s scholarly work might be solicited by the department. Any such material provided to the department shall be included by the department in the resulting dossier. In the absence of departmental initiative, the head of the other unit may act freely in proposing departmental consideration of an appropriate personnel action, and may submit to the department any of the material described above.

Note: If service began on or before January 1 for a Fiscal Year appointee, the full year is credited toward eligibility.

A. Merit Increase

Advancement in step not involving change in rank. Review and submission of a dossier are required for merit increase made at the Associate Researcher and Full Researcher rank and normally occur during the year prior to advancement. Review for merit increases through Researcher V and to Researcher VII, VIII and IX involves evaluation of performance during the full period of service in the current step. Review for merit increases to Researcher VI and Researcher Above-Scale involves evaluation of performance during the individual’s entire academic career.

1. Normal Merit Increase

All personnel completing the requisite number of years of service in the indicated steps of this series are eligible for normal merit increase to the next higher step effective July 1st:

2. Accelerated Merit Increase

Advancement in step in advance of eligibility or to a higher step than normal constitutes acceleration and requires evidence of exceptional achievement.

3. Deferred Merit

4. Merit Increase to Researcher VI, VII, VIII, IX and Above-Scale

There is no specific normal period of service at the steps above IV and eligibility based on years of service does not apply to advancements beyond Step V. Service at Steps V and above may be of indefinite duration.

1. Advancement to Step VI is based not only upon performance since the last preceding advancement but also upon performance during the individual’s entire academic career. Advancement to Step VI will be granted on evidence of highly distinguished scholarship, highly meritorious service, and evidence of excellent University teaching.  Great distinction, recognized nationally or internationally, in scholarly or creative achievement or in teaching is expected. However, advancement to Step VI will not be granted if performance under any of the criteria -- scholarly or creative achievement, teaching and service -- falls below a level of excellence.  Advancement to Step VI normally will not occur after less than three years at Step V.
    
2. Advancement to Steps VII, VIII and IX will be granted on evidence of continuing achievement at the level required for advancement to Step VI. Advancement normally will not occur after less than three years at the current step.
    
3. Advancement to an Above-Scale salary is reserved for scholars of the highest distinction, whose work has been nationally and, where relevant, internationally recognized and acclaimed. Except in rare and compelling cases, advancement will not occur after less than four years of service at Step IX. Mere length of service and routine good performance at Step IX is not a justification for further advancement. There must be demonstration of additional merit and distinction beyond the performance on which advancement to Step IX was based. A further merit increase in salary for a person already serving at an Above-Scale level must be justified by new evidence of merit and distinction. Intervals between such salary increases may be indefinitely long and only in the most strongly justified cases will increase at intervals shorter than four years be approved.  Faculty who have attained the rank of Above-Scale may use the title “Distinguished Professor X” as a working title.

5. Senate Review

All Schools and Colleges

*Senate Review is waived except in cases where two (2) consecutive, two-year accelerations have been sought.

5. Approval Authority

Authority to approve or deny recommendations rests at the indicated administrative levels except that:

1. any merit increase involving compensation at an Off-Scale rate requires Chancellor’s approval for the Off-Scale rate (unless authority has been generally delegated to the Dean); and
    
2. Any merit increase for a Fiscal Year appointee approved by the Dean after September 1st, requires Chancellor’s approval for the retroactivity.
    
3. any merit increase of two years acceleration in the Research Series (except Research Step VI) has the final approval authority of the Dean, except in cases where two (2) consecutive, two-year accelerations have been sought; the Chancellor has final approval authority.

Employing units which do not report to a Dean of a School or College

All Other Schools and Colleges

Advancement in rank within series. Review and submission of dossier are required for Promotion and normally occur during the year prior to advancement. Review for Promotion involves evaluation of performance during the full period of service in the current rank.

1. Normal Promotion

All personnel completing the requisite number of years of service in the indicated steps of this or other professorial series are eligible for normal promotion to the indicated rank and step effective July 1st. Eligibility does not imply automatic advancement. Advancement follows only upon demonstration of qualification following review:

2. Accelerated Promotion

Promotion in advance of eligibility or to a higher rank or step than normal constitutes acceleration and requires evidence of unusual achievement and exceptional promise.

3. Senate Review

All Schools and Colleges

4. Approval Authority

Employing units which do not report to a Dean of a School or College

All Other Schools and Colleges

Resubmission of a departmental recommendation for advancement or promotion of an Associate or Full Researcher in a case in which there was a final negative decision may be made, after appropriate departmental review of the resubmitted file, in any year succeeding the year in which the original submission was made. Except in unusual cases, a final academic personnel decision will not be reconsidered in the same year the case was originally submitted, and a resubmitted proposal will not be approved unless sufficient new evidence has been added to the file.

Fourth-Year appraisals are not applicable to the Professional Research series.

Eight-Year Limit Reviews are not applicable to the Professional Research series.

VIII. Non-Renewal/Non-Reappointment of an Assistant Researcher as a result of a Personnel Review

Though an appointment to a title in this series with a specified ending date expires by its own terms on that date, a recommendation not to continue made on the basis of performance, can only occur as the result of a review. See Section XI if non-renewal is due to budgetary reasons, programmatic changes, or lack of work.

All Schools and Colleges

Note: The final decision by the Chancellor not to renew, cannot be made without the appropriate Preliminary Assessment process. See Section IX for process.

If as a result of a review of an Assistant Researcher, the Chancellor’s preliminary assessment is to make a terminal appointment, is not to renew or promote, or is contrary to the departmental recommendation, the Department Chair and the candidate shall be notified of this in writing by the Chancellor.

The final decision, made by the Chancellor to renew or promote, shall not be made without the appropriate preliminary assessment notification process and opportunity to respond being provided to the candidate.

1. The Department Chair and the candidate shall be notified of this in writing by the Chancellor and be provided with all records placed in the personnel review file subsequent to the departmental review.
    
2. The candidate shall have the opportunity to provide additional information and documentation and may respond in writing either to the Department Chair or directly to the Chancellor.
    
3. The Chair, after appropriate consultation within the department, shall have the opportunity to respond in writing and to provide additional information and documentation.
    
4. The personnel review file, as augmented by the added material, shall then be considered in any stage of the review process as designated by the Chancellor before a final decision by the Chancellor is reached.

B. Terminal Appointment

When a personnel review results in a final decision (1) not to renew the appointment of an Assistant Researcher, or, (2) not to promote to Associate Researcher as the result of an Eight-Year Limit Review, the Chancellor will provide the individual with written notification of a terminal appointment.

If so desired, the individual may request of the Chancellor that a written statement of the reasons for the non-renewal or decision not to promote be provided. This statement will only be provided upon receipt of a written request.

X. Reconsideration of Terminal Appointment of an Assistant Researcher

Reconsideration of terminal appointments are not applicable to the Professional Research series.

Policies regarding layoffs or involuntary reduction in time due to lack of work, lack of funds, or programmatic change are contained in Appendix 33, "Policy Governing Layoff of Non-Senate Academic Appointees."

All appointments to this series are self-ending.

Policies regarding dismissal prior to an ending date are contained in Appendix 34, "Non-Senate Academic Appointees Corrective Action and Dismissal."

Five-Year Reviews are not applicable to the Professional Research series.