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Academic Personnel, University of California Santa Barbara

For assistance with Academic Personnel related issues, please contact : help@ap.ucsb.edu

Frequently Asked Questions - General Login

What is a UCSBnetID and UCSBnetPassword?

Your UCSBnetID is your campus identifier. Your UCSBnetID and UCSBnetPassword combination provides a single set of campus credentials and authenticates you within various campus web applications. Individuals must still be granted authorization for specific campus web applications by the web applications administrator. (Even if you have successfully authenticated using your correct UCSBnetID and UCSBnetPassword, you may still not have authorization to access certain Academic Personnel applications until you are authorized to do so by the Personnel Administrator.)

How do I obtain my UCSBnetID and UCSBnetPassword?

My UCSBnetPassword does not work. How do I reset it?

First, verify that your UCSBnetPassword does not work in other web applications - e.g. UCSB Identity Editor

If your UCSBnetPassword still does not work, you will need to reset it. Please visit http://www.identity.ucsb.edu/

What are the restrictions for the UCSBnetPassword?

  • Password must be between 8 and 16 characters in length, include at least one upper case character, one lower case character, and one numeric digit.
  • Password may optionally contain one or more of the following special characters: ,._!@#-^+=
  • Password should not be an obvious derivative of a dictionary word or any information easily associated with you (e.g. UCSBnetID, name, email address, phone number).
  • My listed contact information is incorrect. How do I correct it?

    Your email address, telephone number, and other personal information are synchronized with the UCSB Directory. Please update your entry on the Directory. Changes are synchronized the next time you log into the Academic Personnel application.

    Which browsers are supported for use with Academic Personnel web applications?

  • Microsoft Internet Explorer 7.0+
  • Mozilla Firefox 1.0+
  • Apple Safari 1.2+
  • Why do I need to enable cookies/javascript?

    A cookie is a small data file created on your machine by our application and used for authentication and security purposes. In order to provide a secure environment, you must enable your cookies. Javascript is required to create cookies, and so is also required.

    Frequently Asked Questions - Additional Compensation

    Where can I get more information about additional compensation?

    Red Binder VI-10 through VI-17
    Academic Personnel Manual 660 through 667

    Additional Compensation training class; usually offered in the spring. Check the training schedule on the Academic Personnel web site. Slides from the Additional Compensation class, including examples of various PPS input screens; under “Staff Training Materials” on the Academic Personnel web-site.

    Contact Academic Personnel: Stephanie Jordan, x3445 (stephanie.jordan@ap.ucsb.edu)

    What is additional compensation?

    Additional compensation is any salary paid to an academic appointee by the University in excess of their full-time salary. The term “University” includes all campuses within the UC system. The term "additional compensation" refers only to compensation through the University payroll system and is not used to refer to compensation for employment outside of the University.

    What are the limits on additional compensation?

    Additional compensation during the academic year is allowed only for duties not directly related to the faculty member’s recognized University duties. Examples of this include department chair stipends, lectures given on other UC campuses, Extension and Off Campus Teaching, and faculty consulting.
     
    Additional compensation during the Summer quarter is allowed because faculty are paid on a 9 /12 basis. This means that although an academic employee only works for the University from September through June he or she receives 12 paychecks spread over the year. If the employee performs additional work for the University during the Summer, they may receive additional compensation.   The employee will continue to receive their regular pay as well as the additional compensation. All ladder rank faculty, as well as other academic appointees paid on a 9/12 basis are eligible to earn additional compensation. Payment is made using the annual salary at the 1/9th rate (annual salary divided by 9) up to a maximum of 3/9ths per summer. 1/9th may or may not be equal to one month depending on the type of payment and calculation method used.   The 3/9ths must be appropriately adjusted if the academic appointment is less than 100% time.

    Who is responsible for assuring that the maximums are not exceeded?

    It is the responsibility of the department and the faculty member both to assure that the 3/9th  maximum is not exceeded.

    Can I pay summer salary to a faculty member who is on leave fall quarter?

     Yes, the leave status for fall quarter does not interfere with summer compensation. Make sure that the leave is coded in PPS as a leave with pay. If the leave is without pay, the dos code on the distribution line will prevent regular pay from being issues. However, if the leave without pay code is used (08) all pay will be blocked, including the summer compensation. Using the leave with pay code (07) will allow additional compensation payments.

    What is a faculty consultant payment?

    A faculty member may receive additional compensation for consulting on projects conducted under the auspices of the University if the consulting does not fall within the normal duties of the individual. The rate is negotiated, but may not exceed the daily rate when state funds are used, or the daily rate plus 30% if grant funding is used. The additional 30% is in consideration of the fact that no benefits are paid on the salary. If payment is to come from a grant, the grant should first be reviewed to assure that consultant payments are allowed. Payments are allowed during both the academic year and the summer months. During the summer the compensation counts toward the 3/9ths maximum.
     
    For 9-month employees the daily rate is figured by dividing the annual salary by 171. For 11-month employees the daily rate is figured by dividing the annual salary by 236. The DOS code is FCA.

    I input a Faculty Consultant by-agreement payment but when the payment was made it was less than it should have been. What did I do wrong?

    Based on faculty consultant policy partial months are suppose to be used. However, doing a by-agreement appointment for a partial month may result in the payment being pro-rated based on the number of days used on the distribution line. In order to avoid this problem, figure the correct number of days to be used, based on policy. Note this calculation in the comments. In PPS use the full month to make the FCA payment

    What is the difference between an “intercampus one-time payment form” and a “multi-campus appointment form”?

    Both of these forms are used for processing payments for academic employees who are employed on one UC campus but performing services for pay on a second UC campus. The One-time payment form is used for one-time events. The Multi-campus payment form is used for on-going activity, such as teaching a class for a full quarter.

    What limitations are there on intercampus one-time payments?

    One-time honoraria for lectures and similar services may not be made from state funds, but are permitted from gifts, endowments, contracts and grants with specifically budget provisions for such honoraria or from University Extension.
     
    If non-state funds are not available, a faculty member may only be reimbursed for actual expenses incurred in presenting lectures or performing similar services from 19900 funds.
     
    One-time honorarium payments are allowable up to  $1,500 per event. Exceptions beyond this amount may be requested, but may not exceed $ $3,000. 
     
    The total dollar amount that may be earned via one-time honorarium payments during an academic year is 10% of the faculty member’s annual salary.
     
    Payments for lectures and similar services that take place during the summer count toward the 3/9th limit.
     

    How do I process a one-time payment form?

    The form can be downloaded from the Academic Personnel web site. 

    When UCSB is the host campus, the department will prepare the Intercampus One-time Payment form indicating the desire to hire a person from the home campus.
    The UCSB department should contact the home department to verify the individual’s current title, pay rate and basis of pay. The form should be filled out to include the person's name, title for payment, the host department's name, the rate of pay and the period of the appointment. The appropriate individual in the department should sign as the “Host Campus Fund Source Authorization. The completed form must be submitted to the Academic Personnel office, with a copy sent to College office or other appropriate control point.

    When UCSB is the home campus, the Intercampus One-time Payment form will be prepared and sent by the host campus department directly to the UCSB Academic Personnel office, and will then be forwarded to the home department. The department should verify the accuracy of the information on the form, ensure policy compliance, and obtain the appropriate departmental signature on the “Home Campus Dean’s Office/Academic or Staff Personnel” line. The completed form must be submitted to the Academic Personnel office, with a copy sent to the College office or other appropriate control point.

    How do I put the one-time payment in PPS?

    Payments are made using a one-time intercampus payment form. No PPS entry is involved. Payment is issued by the home campus.

    A faculty member wants to be “released to grant”. What is that, what kind of approvals do I need, and how do I put it into PPS?

    During the academic year a faculty member may not use grant funds to earn in excess of his or her regular 100% salary. The faculty member may, however, use the grant funds in place of a portion, or all, of his or her regular state funded salary for a limited amount of time. This is called a release to grant, it is not additional compensation. The salary being paid from the grant funding must be paid under a Professional Research title, rather than the Professor title. Payments are made on the same basis and at the same pay rate as the Professor appointment (9/12). The DOS code used is REG.

    A faculty member wants to be paid their ‘housing allowance”. What is that and how do I pay it?

    The Faculty Recruitment Allowance (or Relocation Allowance or Housing Allowance), is made available to help newly recruited faculty meet the costs associated with purchasing a home, usually the down payment or closing costs. It may also be used towards the initial deposit necessary for a rental. The relocation allowance can not be paid until after the initial hire date as a faculty member. Payment is made using the title code 3993, with a DOS code of FHA and a PRQ code of EA.
     
    If payment is to be made on the MA or MO pay date the appointment may be set up as Fixed with an R reporting code. For payment on any other date, please coordinate with the Payroll office.

    How do I know what days during the summer can be used for additional compensation payments?

    Only certain days during the summer can be used each summer . This is the time period from the day following the last day of final exams in the spring, through the last day before classes start in the fall.  The dates, along with percentage of time calculations can be found in the Red Binder, VI-10.

    Can I pay all 3/9ths of summer salary my faculty member is earning during the same month?

    Each day during the summer can only be used once (up to 100%).   The only exception to this rule is that summer session dates may overlap with other summer compensation dates

    What title codes do I use to pay additional compensation?

    For release to grant (during the academic year) use:
     GeneralEngineering/Econ
    Asst Res32231985
    Assoc Res32131983
    Res32031981
    For summer additional compensation use:
     GeneralEngineering/Econ
    Asst Res32251986
    Assoc Res32151984
    Res32051982
    Lecturers16081608

    How do I pay 1/9ths from Non-State Funds?

    When paying summer 1/9ths from non-state funds, 3/9ths is equal to 57 working days (not 3 calendar months). Working days are defined as Monday through Friday, including paid holidays. Additional compensation may, therefore, never exceed a total of 57 working days during the summer period. A distribution line on the PPS may show in excess of 1.0000 in a given month, provided that the total compensation is to exceed one month (19 days). For example, if a total of 2/9ths is to be received, the individual could receive more than 1/9th in the first month (distribution line showing more than 1.0000), and the remainder in the second month for the total distributions to equal 2.0000.
     
    The 19-Day Chart is used and the payment is made on a variable payment sub. The chart is used to determine the number of summer days that will be used to make the payments. Payment is made on a Researcher title on a 9/9 basis at the equivalent rank and step. The dos code is ACR.

    What is the NIH cap?

    For faculty earning summer compensation from NIH sources, the NIH places a limit on the annual and monthly rate that the individual may be paid. The cap as of January 1, 2012 is $178,700. (divide by 12 to get the monthly rate= $14,975) So only applies to faculty with an annual rate of $134,775 or higher (14,975 x 9). 
    If the NIH cap figure is lower than the faculty member’s annual salary rate, it will not be possible to earn a full 3/9ths from the NIH grant. The NIH cap figure must be used as the annual rate for the summer payments, and the 19 day chart and the maximum of 57 days must still be observed. It is, however, possible for the faculty member to receive summer compensation from other sources as long as the total does not exceed 3/9ths. Additional sources may include; summer session teaching, chair stipends or payment of NIH salary supplementation from non-state funds (title code 3998).  
     

    I’ve been told to pay out a flat dollar amount of summer compensation, not 1/9th. How do I do this?

    Sometimes start up will be awarded in terms of a flat amount rather than 1/9th. You will have to back into the percentage to pay it. If you have a full month (July or August) available that will be the easiest way to do the calculation.  
    Example: to pay a flat amount of $6,000 to someone with a 1/9th rate of $7,000
     
    $6000/$7000= .8571 Use the full month of July at .8571
     
    If the payment is higher than the monthly rate you will have to extend into a second month. In this case, or if you need to spread the payment over two months for some other reason, please contact Academic Personnel for assistance.

    How do Summer Session payments figure into additional compensation limits?

    Faculty may receive additional compensation for teaching Summer Session classes. The Summer Session’s staff prepares the PPS transaction, rather than departments. These payments count towards the 3/9ths maximum that may be earned during the summer.
     
    Summer Session payments are always made at the 6/30 pay rate rather than the 7/1 pay rate. Payments are made using the Professor title at the 1/9th rate. The DOS code is SSC for individuals who are already members of the University retirement system and SST for those who are not. SSC will cause contributions into the retirement system, SST does not.
     
    The dates used for Summer session payments may overlap with other kinds of summer compensation.

    When can I pay someone an administrative stipend?

    An administrative stipend may only be paid after having been approved by the appropriate Vice Chancellor. Payment may be in a title such as Department Chair, Director, or Associate Dean. During the academic year payments are made using the DOS code STP at the approved rate. 

    Frequently Asked Questions - Case Processing & Reporting Application

    What are the requirements for using the new Case Processing Application?

    • Browser (Firefox, Safari, Internet Explorer, Chrome)
    • Mac or PC
    • PDF Reader

    I need more help. Who can I contact?

    Technical questions may be directed to help@ap.ucsb.edu

    Policy questions may be directed to the College or Academic Personnel analysts.

    What kinds of documents will the application accept?

    The Case Processing Application accepts all types of Microsoft Office and PDF Document types.  Tiff documents are acceptable, however please be careful of its size. You can convert a Tiff to a PDF to reduce its size.   When possible upload the word version which is the smallest in size.  All documents are converted to PDF format upon upload.

    How should I scan in or upload letters of recommendation?

    There are five different document types to accommodate the letters and related materials: 

    (1) List of external referees

    (2) Sample letter sent out

    (3) List of items sent to reviewers

    (4) Actual letters, in coded order

    (5) Redacted coded letters – if provided to the candidate

    What happens if I need to upload a revised document?

    If a document has to be re-uploaded for any reason, it will appear twice in your list of documents; the second upload will not override the first.  The first version can be deleted, or if appropriate, two documents can remain (for example additional external letters being submitted at a later date.

    What do I need to do before my faculty can sign their Safeguard Statement?

    (1) Choose the appropriate case type

    (2) Save the Coversheet

    How do I remove Tracking Changes from my Word Documents?

    There are two options for removing the tracking from word documents:

    1).  Use the following to remove hidden data permanently:
    http://www.microsoft.com/downloads/details.aspx?FamilyId=144E54ED-D43E-42CA-BC7B-5446D34E5360&displaylang=en
     
    2).  Remove the tracked changes ("View" then un-check "Markup") and then make a PDF of the document to upload

    How can I find out where in the process a case is?

    • Log into the Academic Personnel Website using your UCSBnetID / UCSBnetPassword at https://ap.ucsb.edu
    • Under "Dashboard" -> “Case Processing”, click on “Merits & Promotions”
    • Click on the "Cases Under Review" tab

     

    How do I sign my safeguard statement?

    • Log into the Academic Personnel Website using your UCSBnetID / UCSBnetPassword at https://ap.ucsb.edu
    • Under "Dashboard" module - Click on "Sign Safeguard Statement" and fill out as appropriate.
    • If you hold positive percentage appointments in more than one department you must sign a safeguard for each department.
    • Click “I Agree” to complete.  Your department analyst will automatically be notified.

    What is the Conflict of Commitment and Outside Activities of Faculty Members Annual Report?

    Every faculty member needs to file an annual report of certain outside activities (Category I and II, as described below) with their Department Chair each year.  For information on how to file this form please see How do I complete my Outside Activities Report Electronically?

    Category I activities are likely to raise issues of conflict of commitment. They include such activities as:
    - Assuming an executive or managerial position in a for-profit or not-for-profit business.
    - Administering a grant outside the University.
    - Establishing a relationship as a salaried employee outside the University, including teaching or research at another institution.

    Category II activities are unlikely to raise issues of conflict of commitment and are allowed up to a 39 day limit. They must also be reported on an annual basis and include such activities as:
    - Providing consulting services.
    - Serving on the board of directors of an outside entity
    - Providing workshops for industry.

    Campus procedure for reporting, as well as for acquiring prior approval for Category I activities may be found in Red Binder section I-29.

    How do I complete my Outside Activities Report Electronically?

    • Log into the Academic Personnel Website using your UCSBnetID / UCSBnetPassword at https://ap.ucsb.edu
    • Under "Dashboard" module - Click on "Outside Activates Reporting" and fill out form, including all Category I and II activity.  (Note that the form can be saved for further updating if a faculty member prefers to update throughout the year)
    • Upon completion hit “submit” which will forward the form to the Department Chair(s) for approval.  (Faculty with appointments in multiple departments need to complete the form only once.)
    • If there were no reportable activities during the year, the appropriate box on the form is to be checked and the form submitted to the Chair(s).
    • Department Chairs will also approve the forms online.  Forms will then be stored electronically and be available to departments for upload into personnel cases.
    • Log out of the application

    Forms must be completed no later than October 31 of each year and should include activities for the complete year from July 1 through June 30 of each year.

    Because the annual reports must be included in faculty advancement cases, faculty putting forward cases during a merit and promotion cycle will need to complete the forms prior to the departmental deadline for submission of case materials.
     

    How do I use the new Case Processing Application?

    How do I disable pop-up blockers

    How do I include 2007-08 and earlier Outside Activities Reports as part of my case?

    For Outside Activities Reporting (APM-025) dated 2007-08 and earlier that need to be included as part of the case, please scan, attach in an email, and send to help@ap.ucsb.edu.  Because these reports are being administratively keyed into the system (and not uploaded into the system), please provide a text translation of anything not easily legible, including the name of the department chair signing off on the form.

    How do I process a retention case?

    If the faculty member has a case in the current cycle that has not yet been finalized, the existing case can be amended to include the retention.  On the current summary sheet update the recommendation and vote information to reflect the retention.  Check the “Retention” checkbox on the summary sheet and upload the additional retention materials.  Please contact the Dean’s Office and Academic Personnel to coordinate the processing of the case. 

    If the faculty member has a case in the current cycle that has been finalized, please contact Academic Personnel so that a new merit record and upload can be created.  The new case will be accessed via the “Search All Cases” tab rather than via the eligibility list.  On the summary sheet check the “Retention” checkbox and upload the required documents. 

    If a faculty member does not have a case in the current cycle (was not eligible or deferred), the retention is initiated by selecting “merit” as the case from the drop down in the eligibility list.  On the summary sheet check the “Retention” checkbox and upload the required documents.  

    Is it possible to get an extension to the deadline for submitting cases?

    Requests for extension of the deadlines should be rare. They should be addressed by email to the AVC for Academic Personnel with copies to both the relevant dean and the college analyst. Requests should be made before deadlines arrive. They should make clear what circumstances require an extension to be granted and how and when these circumstances will be met. Any extension will be brief.

    How do I process an appointment case?

    Sign into the AP website
    Under "Dashboard", "Case Processing", select "Appointments"
    In the "Current Cycle Cases" tab, select "create new appointment cases".  
     
    Fill out the basic information including name and department(s)  and click "Create Appointment Case" at the bottom of the page. You can then upload documents and route the case forward. 
     
    If the appointment is joint between two departments please coordinate so that only one case upload is created.  The upload will be available to both departments once the departmental information is added.

     

    I forwarded a case and now need to make changes or upload additional items but can’t, what’s wrong?

    Because the case is no longer in your queue, your view of the case is condensed (to exclude extraneous information to give you a consolidated view).

    Click on "Maximize/Edit All Sections" on the upper right corner of the screen to reveal the necessary options. 

     

    Frequently Asked Questions - Payroll Personnel System

    Do I have to put a without salary employee in PPS to get them a UCSBnetID?

    If without salary individuals meet the criteria on the chart found in Red Binder VI-21 they do not need to be entered into the PPS system. Instead, use the “Without Salary Visiting Researcher” letter (Red Binder III-23). A copy of that letter will provide the evidence of appointment necessary for the individual to get a UCSBnetID.

    How do I process a faculty separation and rehire as an emeriti?

    Do the separation bundle.

    Make sure that all without salary appointments are ended as well.  Do not do the rehire until after this has happened.

    Wait at least overnight (or until after the end date of the position- see note below on BELI)

    Use the rehire bundle.  On the EPER screen, be sure to update the “hire date” to the date the emeriti appointment starts.  On the EAPP screen, use a 999999 end date on the emeriti appt. and dist.  Use the emeriti codes as found in RB I-70. Make sure coding is all correct for a without salary appointment.  Particularly make sure the pay code is “W”, not “Z”, that the pay schedule is blank and that the basis paid over is blank.  Use the T durations code for tenure faculty.  Also, check back on the ESEP screen and make sure that the separation dates have been removed.

    Do not change the BELI to 5 until after the end date of the faculty position.  Ending it earlier will affect benefits in the last paycheck.

    I’m trying to add a recall appointment and the emeriti faculty is no longer in PPS, what do I do?

    Emeriti faculty can “fall out” of PPS for a variety of reasons.  The emeriti appointment not being set up using the rehire bundle, the coding on the appointment line being incorrect, or the hire date not being updated are just a few of the reasons appointments may no longer show in PPS.  To correct the problem, the emeriti appointment must be reestablished in PPS.  Use the rehire or new-hire bundle, depending on if the person is still active in pps history.  Use the day after the retirement date as the hire date and appointment and distribution begin dates. Use the emeriti codes as found in RB I-70. Make sure coding is all correct for a without salary appointment.  Particularly make sure the pay code is “W”, not “Z”.  Also, check back on the ESEP screen and make sure that the separation dates have been removed.

    You do not have to do new hire paperwork.  In the pps comments indicate “reestablishing emeriti appointment that had fallen out of pps.

    I have a faculty member who is approved for a quarter of childbearing and ASMD. How do I reflect both in pps when they are in the same quarter?

    Because the pay period and service period dates differ, it is not possible to show the service days of the leave in PPS.  The input will need to be based on the pay periods.  Figure the portion of the quarter that will be on childbearing and the portion that will be ASMD and then prorate that out into the pay period and input dates accordingly.

    Example:
    Fall quarter will be 6 weeks childbearing and 6 weeks ASMD.  Pay period is 7/1-10/31 so ½ of that should be childbearing and ½ ASMD.  7/1-8/31 is childbearing, 9/1-10/30 is ASMD. 

    My department is hiring a new faculty member and they are going to be on leave for the first quarter of the appointment. How do I put this in PPS?

    Input the new hire using the academic new hire bundle as if the person were going to be here on paid status.
    Wait over night
    Use the leave bundle to input the leave.

    Do I need to enter the step information on the distribution line for an affiliated appointment?

    It is fine to have the step entered, but it is not necessary.   If it is entered, the department needs to assure that it is updated when the individual has advancements on their paid appointment. The step may be left blank but the rank (Asst. Prof, Assoc. Prof., Prof) must always agree with the home department appointment.

    I have a faculty member going out on a medical leave. What leave type should I use in PPS?

    In PPS leave bundle, the leave type code should be 15 (FML-without pay) or 16 (FML-with pay) if the leave reason meets the FMLA criteria. For further information on FMLA please see the Human Resources Benefits web-site at: http://hr.ucsb.edu/benefits/disability_fml.php

    What is the difference between an “intercampus one-time payment form” and a “multi-campus appointment form”?

    Both of these forms are used for processing payments for academic employees who are employed on one UC campus but performing services for pay on a second UC campus. The One-time payment form is used for one-time events. The Multi-campus payment form is used for on-going activity, such as teaching a class for a full quarter.

    What limitations are there on Multi-campus appointments?

    Total employment between the two campuses is limited to 100%. Appropriate approvals for each appointment are required.

    How do I process a multi-campus appointment form?

    The form can be downloaded from the Academic Personnel web site. 

    When UCSB is the host campus, the department will prepare the Multi-campus Appointment form indicating the desire to hire a person from the home campus.
    The UCSB department should contact the home department to verify the individual’s current title, pay rate and basis of pay. The form should be filled out to include the person's name, title for payment, the host department's name, the rate of pay and the period of the appointment. The appropriate individual in the department should sign as the “Host Campus Fund Source Authorization. The completed form must be submitted to the Academic Personnel office, with a copy sent to College office or other appropriate control point.

    When UCSB is the home campus, the Multi-campus Appointment form will be prepared and sent by the host campus department directly to the UCSB Academic Personnel office, and will then be forwarded to the home department. The department should verify the accuracy of the information on the form, ensure policy compliance, and obtain the appropriate departmental signature on the “Home Campus Dean’s Office/Academic or Staff Personnel” line. The completed form must be submitted to the Academic Personnel office, with a copy sent to the College office or other appropriate control point.

    How do I put the Multi-campus appointment in PPS?

    If UCSB is the host campus, no PPS entry in required. If UCSB is the home campus, the Payroll office will contact the department to coordinate PPS input. Funds will be transferred from the host campus to the home campus to cover the payments. Checks will all be issued by the home campus.

    How do I do PPS input for a Postdoctoral Scholar?

    Code the input as follows:
    BELI code= P for all postdocs

    DOS Code
    REG Use this for Postdoctoral Scholar employees (TC 3252) paid on a regular monthly basis through PPS

    PDW  Use this code for Postdoctoral Scholar fellows/paid-directs (TC 3253 and 3254) whose appointments are without pay in PPS. PDW functions similarly to the WOS code.

    FEN Use this code for Postdoctoral Scholar fellows (TC 3253) who are citizens or resident aliens and whose appointment is with pay in PPS. The University is not required to report or tax fellowship/scholarship payments to citizens or resident aliens.

    FEL Use this code for Postdoctoral Scholar fellows (TC 3253) who are non-resident aliens and whose appointment is with pay in PPS. These individuals will receive a 1042S with income code 15 at the end of the year.

    Time Report Code
    R Use this code when the DOS code is REG, FEL, or FEN
    W Use this code when the DOS code is PDW

    Leave Code=N for all postdocs. Departments are responsible for maintaining records on sick leave eligibility and usage. 

    How do I know what salary rate to use on the appointment and distribution lines?

    Every input action should be backed up by an approval letter. The approval letter will have the salary rate in it. If the salary rate is on an annual basis, you can look up the correct monthly rate on the UCSB academic salary scales on the Academic Personnel web site. You only need to input the distribution line rate; the appointment line rate is derived.

    What is a “basis paid over”?

    The first number indicates the number of months in a year the employee works, the second number indicates how many paychecks they will get. The options are:
    9 over 9: used for teaching titles when employed for only one or two quarters and for all graduate student teaching titles. The pay dates and service dates are available in Red Binder VI-9
     
    9 over 12: used for teaching titles when employed three or more quarters. The pay dates and service dates are available in Red Binder VI-9
     
    11 over 12: used for fiscal year appointments, mainly research titles. The 11 comes from the fact that individuals in this title earn the equivalent of one month of vacation over the year so would only have to physically be at work 11 months if they used all their vacation time.

    What is a duration code?

    The duration code coincides with the type of employment security the individual has. Associate and Full Professors who have tenure are coded “T” and have a 999999 end date on the appointment and distribution lines
    Lecturers and Senior Lecturers in the SOE series are coded “C” and have a 999999 end date on the appointment and distribution lines.
    All other academic titles must have ending dates on the appointment and distribution line and are coded as “ N”.

    What vacation accrual code should I use for an academic appointment?

    Codes for all can be found in Red Binder VI-8.
     
    9 month appointees don’t earn vacation or sick leave. Vacation is taken during the summer and sick leave is dealt with in other ways (paid medical leave). They are coded “N”
     
    11 month appointees accrue at 16 hrs vacation, 8 hrs sick if full time, leave code is “D” except for Grad Student Researchers and Postdoctoral Scholars. Please see Red Binder VI-8 for information on those titles.

    What do I put in the FTE field?

    FTE is the ‘full time equivalency’ or, part of a full time position, that a person holds. This is used for budgeting purposes. The formula for figuring FTE is (% time/3) times the number of quarters. It is only filled in for appointments on 19900 funds

    How do I know what to put in the “step” field?

    The “step” field is either filled in or left blank as appropriate to the individual and title. The salary scales will indicate if the title has a step or not. The step is entered as a single digit, for example: 4 not 4.0 or IV.

    What is the “o/a indicator” field?

    An off-scale salary is a salary rate that is higher than the salary listed for that particular step on the salary scale. There are limits and policies that govern off-scale salaries, they can be found in the Red Binder.   Salaries may also be “Above-scale” which is a salary for a professor who has gone above step VIII. 
    O (the letter O, not zero) is used to indicate off-scale, A is used to indicate Above scale. When using the O/A indicator: O must have a step associated with it, A does not have a step. 

    What about employee relations codes and employee relations units?

    The Employee Relations Code for most academics will be E. Graduate Students are coded H.
     
    The Employee Relations Unit is A8 for ladder faculty, BX for graduate students, FX for Professional Researchers, IX for lecturers and 99 for all other academics.   If a student is in two titles; one covered, one not- they should be coded for the covered title.

    What do I use for the “next salary review date” for an academic?

    The “next salary review date” is always left blank for academic appointees. There may be a warning message that the field is blank; continue with the update. Academic merit eligibility is tracked outside of pps.

    Where can I find all of the codes used in PPS?

    A number of resources are available for PPS entry:
    PPS Procedures Manual: http://hr.ucsb.edu/hris/pps.php
    Within pps, put the curser on the data field and hit F1 for a list of codes that can be used in the field.

    What do I do if a 9/12 employee is signing their paperwork after the pay start date?

    The Oath signed date must be on or before the first day on payroll and the I-9 signed date must be on or before the first day of work.    For appointees on a 9/12 basis, the individual may be on payroll from the beginning of the pay period; the form must be completed prior to the first day of actual work. For example, an employee starting on payroll July 1 (fall quarter) must sign the form prior to the first day of the quarter (end of September or so).   No paychecks will be issued until the forms have been received in payroll.

    How do I hire a Teaching Assistant or Associate starting September 1 for fall quarter?

    During Fall quarter only, TA’s and Associates can be paid on a four-month basis. This is NOT 9/12 or 9/9, but rather by exception, only for these employees. This exception is allowed as a way of having new grad students coming in not have to wait all the way until November 1 to get their first check.  Department can do the regular 9/9 or the four month pay for Fall. For the four month basis the dates of Sept 1- Dec 31 are used. The monthly rate is the quarterly rate (found on the salary scale) divided by 4. Because a ‘basis paid over’ is required, 9/9 is still used. This will generate an incorrect annual rate, but that is ok.- the distribution is what generates the pay.
     
    It is important to remember that if the person continues on into Winter quarter, they will need to be changed back to the real 9/9 rate as of January 1.

    How do I input a merit increase for an academic employee?

    When a merit occurs, it is a change in step only, not title. The appointment line is not changed (unless it is also an extension of the appointment in which case only the end date changes). The old distribution line is ended the day prior to the effective date and a new distribution line is added with the new step and salary rate. The new information should never be input over the old information on the existing distribution line. The action code on the new distribution is 04 (for a merit). The annual rate is a derived field and will be adjusted by the system once the effective date has passed.   If you try to change it prior to the effective date, it will just change back.

    How do I input a promotion for an academic employee?

    When a promotion occurs, it is a change to the title as well as the pay rate, so the old appointment and distribution must both be ended and a new appointment and distribution added.  The action code is 10 (promotion) on the new appointment line.  The annual rate is a derived field and will be adjusted by the system once the effective date has passed.   If you try to change it prior to the effective date, it will just change back.

    How do I input a leave for an academic emloyee

    Always use the LEAV bundle. 
    The ELVE screen is the first screen in the bundle. The leave of Absence Action Code will always be 07 (leave with pay) never 08 (leave without pay which blocks all types of pay in the system). The Leave begin date is the beginning of the pay period (not the work period) that the faculty member will be gone. The return date is the first day back on pay status (not the last day of the leave). The type code will depend on the kind of leave. 
     
    On the EAPP screen, the appointment line is not affected by the leave. The current distribution is ended the day prior to the beginning of the leave. A distribution line is added for the period of the leave. This line will have the same step and pay rate, but the FTE field is left blank and the DOS code is changed to the code appropriate for the leave (SLN, LNS, etc.)   For a leave without pay, an appropriate without pay DOS code willl be used and will prevent the individual from getting their regular pay. A second new distribution line is added for the period after the leave. This line starts the first day back on payroll, includes the FTE and REG DOS code.

    How do I enter visa information into PPS?

     If a UCSB employee holds a non-immigrant visa status (see list below), the following procedures must be followed for PPS input:

        * Visa Type:  Enter the correct non-immigrant visa category in the employee’s EALN screen.  Use the F1-Help menu to see the appropriate codes.  When an individual changes their immigration status, the department must enter the new visa category and corresponding new work permission end date.  The following non-immigrant visa categories are the most commonly used by employees at UCSB:

                F-1    Student
                J-1    Exchange visitor
                H-1    Temporary worker- specialty occupations
                O-1    Alien with extraordinary ability
                TN    Canadian or Mexican Citizen with TN-1 classification

        * Work Permit End Date:  Enter the end date that appears on the immigration document (such as an I-20, DS-2019 or Notice of Approval).  Please note that the visa stamp in the passport IS NOT the immigration document that authorizes work permission.  If an individual extends or changes their visa status, the work permit end date must be updated to reflect the new end date.  If you are uncertain how to determine the work permit end date, please call the Office of International Students and Scholars at x2929.

        * Appointment Line:  Enter the end date for the approved length of the appointment. The appointment can continue beyond the work permit end date.

        * Distribution Line:  Enter the end date of pay.  This date must not be later than the work permission end date. 

    Frequently Asked Questions - Research Titles Processing

    What titles are covered by the authority and processing change?

    Researchers (including Visiting), Project Scientists (including Visiting), Specialists, recall appointments for temporary academic research employees, and without salary academic research visitors (see new policy information below.)

    Do I need to resend paperwork if I already sent it to Office of Research?

    No, any requests that are in process at the time of the transition will be forwarded to Academic Personnel for completion.

    Does the change mean all appointments, reappointments, and advancements can be done on-line?

    At this time only Research series appointments and advancements are done on-line. We will be bringing appointments and advancements for Specialists and Project Scientists, as well as reappointments for all three series on-line within the next 6-9 months.

    Where do I send the Academic Recruitment Packet for “control point” signature?

    Academic Personnel will function as the control point for purposes of the Academic Recruitment Packet. An updated form will be posted on the Academic Personnel web-site as of January 13.

    Are there any other changes I need to know about?

    If you are in an academic department, your Research series appointment and advancement cases will now route through the Dean’s Office before coming to Academic Personnel. This routing will occur through the on-line case processing system.

    Do current without salary visitors need to be entered into PPS?

    Current visitors will be entered at the time of reappointment. All new appointments will be entered into PPS.

    What documents are required for an appointment as a Without Salary Visitor?

    The Visitor Form Letter must be submitted to Academic Personnel. Initial appointments also require a UCSB biography form and a patent agreement.

    Can appointments be for longer than one year?

    Appointments may only be made for one year at a time. Reappointment is possible, however individuals with longer term associations with the University may be better suited for either appointment into another title or affiliate status (see below.)

    Are all “visitors” covered by the new policy?

    No. Only visitors who meet the criteria outlined in the policy are covered. Individuals who do not meet the criteria may still receive a UCSBnetID by holding affiliate status through identity management. Further information is available at http://www.identity.ucsb.edu/customers/affiliates/

    Do visitors need to sign a state oath or I-9 form?

    By policy, visitors covered by this policy are not employees. As such, they do not need to sign a state oath or an I-9 form. They are however, required to sign a patent agreement. In PPS, the “I-9 signature date” field may be left blank. The “oath signature date” should be filled in using the patent agreement signature date.



        


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