100.500

[Refer to University of California Academic Personnel Manual APM 500, RECRUITMENT and APM 035, AFFIRMATIVE ACTION AND NON-DISCRIMINATION IN EMPLOYMENT]

As an employer, UC Santa Cruz is required to satisfy three prescriptions: we may not discriminate illegally; we must provide equal employment opportunity; and to comply with federal requirements, we must act affirmatively to recruit members of the protected classes so as to correct the underutilization of women and minorities. The following definitions may assist in understanding the differences between the three concepts and the corresponding obligations:

NON-DISCRIMINATION: It is the policy of the University not to engage in discrimination against or harass any person employed or seeking employment with the University of California on the basis of race, color, national origin, religion, sex, physical or mental disability, medical condition (cancer-related), ancestry, marital status, or age, or within the limits imposed by law or University policy, sexual orientation, gender identity, pregnancy, citizenship, or status as a Vietnam-era veteran or special disabled veteran. This policy applies to all employment practices, including recruitment. This policy is intended to be consistent with the provisions of applicable State and Federal law and University policies. The safest approach is to base all employment decisions on the DOCUMENTED ABILITY OR INABILITY TO MEET JOB-RELATED QUALIFICATIONS AND REQUIREMENTS.

EQUAL EMPLOYMENT OPPORTUNITY: Equal employment opportunity protects the rights of all persons to seek, have access to, obtain, and hold employment without discrimination on the basis of any of the characteristics described above. It is equal employment opportunity law that requires us to carry out open recruitments for all vacancies, advertise the job-related qualifications for each position, and base each selection for appointment on those qualifications. The requirements of equal employment opportunity mandate that we keep homogeneous applicant pools and compare applicants with similar qualifications for similar positions.

AFFIRMATIVE ACTION: Executive Order 11246 prohibits discrimination on the basis of race, color, religion, sex, and national origin, and requires that federal contractors act affirmatively to correct the underutilization in their workforces of women, African Americans, Asians, Hispanics, and American Indians. It is the policy of the University to undertake affirmative action, consistent with its obligations as a State and Federal contractor, for underutilized minorities and women, for persons with disabilities, and for Vietnam-era veterans and special disabled veterans. The university commits itself to apply every good faith effort to achieve prompt and full utilization of minorities and women in all segments of its workforce where deficiencies exist. These efforts conform to all current legal and regulatory requirements, and are consistent with University standards of quality and excellence. After January 1, 1996, a Resolution of the Regents of the University of California prohibits any use of race or sex as a criterion for employment. In accordance with applicable law, no applicant may be denied employment, nor shall any applicant be selected for employment in preference to an equally or more qualified candidate, on the basis of race, color, national origin, religion, sex, or ancestry. Under the Regents’ Resolution, UCSC’s good faith efforts are concentrated on outreach and fair evaluation of candidates from underutilized groups.

AMERICANS WITH DISABILITIES ACT: The Americans with Disabilities Act of 1990 was enacted in order to eliminate discrimination against individuals with disabilities. It is the University’s intent to establish and maintain employment practices which afford equal opportunity employment to otherwise qualified individuals with disabilities and which do not unlawfully discriminate against and/or have an unlawful disparate or adverse impact upon disabled individuals on the basis of their disability. This includes providing equal access to information about vacancies; equal opportunity to compete for selection to vacant positions and in the selection process; and reasonable accommodation of functional limitations.

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An open recruitment must be conducted for every academic position, regardless of level or duration, unless a waiver of recruitment has been approved for the position or the individual proposed for appointment, or unless the position is one which is exempt from open recruitment. [See Section I for more information about exempted positions.] The recruitment and selection process must be fully documented, reviewed, and approved before a proposed appointment will be acted upon.

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A. AUTHORIZATION TO RECRUIT

A recruitment may not begin until it has been authorized. Only in exceptional circumstances may recommendations for appointment be made at a rank or salary outside the range authorized for recruitment (See Section E, Authorization to Review for Appointment).

1. Ladder rank positions

The executive vice chancellor formally authorizes recruitment after consultation with the dean and the Senate Committee on Planning and Budget.

a. Recruitment may not begin until written authorization has been issued. A provision number will be assigned by the dean’s office.

b. Individual meetings with search committees and the Academic Personnel Office may be arranged to discuss the recruitment process, reporting procedures, and any underutilization goals for the division or units. Search committees are encouraged to focus these meetings on questions specific to their particular situation.

[See also SECTION C, Collecting Affirmative Action Information, and APPENDIX A, Search Committees.]

2. All other positions

The dean authorizes recruitment.

[See also SECTION G, Academic Appointments in Other Units.]

a. A recruitment number will be assigned to each position by the Academic Human Resources Office.

B. ANNOUNCING THE RECRUITMENT

Before any announcement or advertisement is released, all vacancy information must be reviewed and approved.

1. Position description

a. The hiring unit prepares the following vacancy information

[See APPENDIX B, Developing a Position Description, for examples and standard format]:

(1) area of academic emphasis

(2) rank

(3) minimum qualifications - the required criteria for selection of candidates

(4) salary range

(5) date position will be available

(6) instructions for submission of material, including confidential letters of reference, if desired.

** For most academic titles, letters of reference are required before an appointment can be made. The hiring unit will have to evaluate whether letters submitted as part of an application are sufficient to meet the criteria for appointment to that title.

(7) application closing deadline

(a) For ladder rank positions, a minimum of two months must be allowed from the beginning of a recruitment (when a position description is approved) to the application closing date.

(b) For all other positions, a minimum of one month must be allowed.

b. Every position description must include:

(1) the campus compliance statement

(2) the statement that UCSC is an Equal Employment Opportunity/Affirmative Action Employer

(3) the statement that UCSC complies with the requirements of the Immigration Reform and Control Act of 1986.

(4) the statement that UCSC complies with the requirements of the Americans with Disabilities Act and that the position description is available in alternate formats, which may be requested from the Academic Personnel Office at (831) 459-4300.

Based on the information provided, the Academic Personnel Office prepares a position description for every recruitment. That position description is included in a monthly bulletin listing academic openings which the Academic Personnel Office mails to educational and research institutions across the country. The Academic Personnel Office will also print up flyers that will be delivered to the hiring unit to be used in their advertising and outreach efforts.

2. Review of vacancy information

The hiring unit submits vacancy information to the dean for approval. The dean transmits the approved information to the Academic Personnel Office for review and preparation of a flyer advertising the position. The dean will give budgetary approval for the recruitment.

3. Advertising

An abbreviated advertisement may be prepared for submission to professional journals, bulletins, etc., when space or cost constraints do not allow publication of the complete flyer text. Abbreviated advertisements must be approved by the dean and reviewed by the Academic Personnel Office before submission for publication.

a. An abbreviated advertisement must contain the statement "UCSC is an EEO/AA/IRCA Employer." A full position description must be provided to all applicants.

b. Advertisements should allow, whenever possible, a minimum of one month between the date of publication and the application filing deadline.

4. Extending the application filing deadline

When a search must be extended beyond the published deadline date for reasons such as augmentation of the search plan or too few applications received, a written request for an extension must be sent to the Academic Personnel Office.

a. The dean must approve the proposed extension.

b. Notice of the extended deadline must be sent to every recruitment source that originally received an announcement and to every individual who has applied.

C. COLLECTING APPLICANT DATA

Applicant data is collected to comply with federal regulations, to provide the data needed to evaluate the diversity of applicants for positions, and to assess recruitment sources.

1. Applicant data requirements

Recruitments for ladder rank and full-time temporary positions require the collection of applicant data. Full-time temporary positions are positions which will be effective at 100% time for one year or more. Data is not collected for part-time temporary positions.

2. Applicant Data Card

The Academic Personnel Office provides forms to solicit information from applicants. Because the Regents’ recent resolution on affirmative action made specific exception for any affirmative action activities necessary to maintain eligibility for Federal contracts, and because affirmative action regulations for Federal contractors require UCSC to maintain an affirmative action program for employment, we are still asking applicants for employment to complete an applicant data card indicating their gender and ethnicity. Completion of this card is voluntary.

[See sample and definitions, APPENDIX C.]

a. The Academic Personnel Office supplies hiring units with Data Cards, cover letters, and postage paid return envelopes.

(1) Data Cards are coded with the provision number assigned to a recruitment.

(2) A cover letter accompanies each Data Card stating that providing information is voluntary.

b. The hiring unit indicates an approximate number of cards needed at the time the vacancy information is submitted for approval, and requests additional cards as needed during the course of the recruitment.

c. The hiring unit sends an Applicant Data Card to each applicant as soon as possible after a curriculum vitae or letter of inquiry is received.

3. Equal Employment Opportunity Approval Sheet

The Academic Personnel Office prepares an Approval Sheet for those recruitments requiring the collection of applicant data. This sheet is used to record the review and approval of each stage of the recruitment process.

[See also SECTION D, Documenting the Recruitment.]

a. National availability data by gender and ethnicity for the discipline under recruitment is added to the Approval Sheet as an indication of the applicant characteristics that might be expected in the recruitment. For some disciplines, appropriate data may not be available. The Academic Personnel Office may consult with the unit regarding appropriate disciplines to be used for comparison to the applicant pool.

b. Information from returned Applicant Data Cards is entered for comparison to availability figures.

c. The dean reviews the recruitment record, including applicant data and any underutilization established for the division or hiring unit, and evaluates the selection process.

(1) For ladder rank searches, the dean reviews the recruitment record in three stages to evaluate the selection process to that point. The dean's signature on the Approval Sheet indicates approval of that stage of the recruitment. The search committee may not proceed to the next stage of the recruitment until approval has been received.

(2) For full-time temporary searches, the dean reviews the recruitment record AFTER a final candidate has been selected. No offer of appointment may be made until the dean has reviewed and approved the recruitment record.

D. DOCUMENTING THE RECRUITMENT

A record of every academic recruitment must be prepared so that the campus can respond to questions, complaints or audits. The record must include a valid, job-related reason for the selection or rejection of each individual who applied for the position. The reasons must be based on the advertised job description.

1. UCSC Academic Recruitment Record

This three-part document summarizes the search and selection process. For all ladder rank recruitments the Search Plan should be filed and approved before the closing date for the recruitment. Instructions for completing and filing Parts A, B, and C are printed on the forms.

[See sample, APPENDIX D.]

a. SEARCH PLAN (Part A of the Recruitment Record) - This is a summary of the recruitment activities undertaken.

[See APPENDIX E, Developing a Search Plan.]

Part A records:

(1) names of the search committee members,

(2) all recruitment sources informed about the position vacancy,

(3) any journals or publications in which advertisements appear.

b. APPLICANT SCREENING (Part B of the Recruitment Record) - This is a summary of the review and evaluation of applications BEFORE a final selection has been made.

[See also APPENDIX F, Screening Applicants.]

Part B must evaluate every applicant, and designate those who are candidates and serious candidates:

(1) Applicants

Anyone who submitted application material for the advertised position within the announced filing period, regardless of qualifications.

(a) The basis for the elimination of an applicant must be stated.

(b) Any applicant who does not meet the advertised minimum qualifications for the position is eliminated from further consideration.

(c) An applicant who fails to submit the application materials advertised in the position announcement may be eliminated from further consideration. All applicants must be treated consistently in this respect (e.g., if one is eliminated because letters of reference are lacking, all applicants lacking letters of reference must be eliminated).

(2) Candidates

Of the listed applicants, those who meet the minimum qualifications listed in the position description.

(a) If a candidate is eliminated from further consideration, the basis for the decision must be stated.

(3) Serious Candidates

Of the listed candidates, those who are finalists for the position or "short-listed."

(a) The basis for the selection must be recorded.

(b) Those who will be interviewed should be indicated. Comment briefly on why any remaining serious candidates were not selected for interview at this time

c. FINAL RANKING (Part C of the Recruitment Record) - This is a summary of the evaluation of serious candidates.

[See also APPENDIX G, Selecting a Final Candidate.]

Part C must discuss all individuals noted as selected for interview in Part B. Provide detailed and concise reasons for any ranking, and indicate who will be proposed for appointment. Serious candidates in pool recruitments need not be ranked.

[See POOL RECRUITMENTS, Section F.]

2. Review of Documentation

The Chair of the Search Committee is responsible for the preparation of the Recruitment Record, and signs each part to indicate approval.

a. For ladder rank positions, Parts A, B, and C of the Recruitment Record are submitted SEPARATELY to the Academic Personnel Office.

(1) The Academic Personnel Office reviews the documentation, enters data on the Approval Sheet, and forwards to the dean.

(2) The dean reviews the documentation for each stage of the recruitment and evaluates the selection process up to that point.

(3) The dean authorizes the next stage of the recruitment by sending the signed Approval Sheet to the Academic Personnel Office. The Academic Personnel Office will provide copies of the approval to the Division and unit.

b. For all full-time or part-time temporary positions, the Chair of the Search Committee submits all three parts of the Recruitment Record to the Academic Personnel Office AFTER a final candidate has been selected.

(1) The Academic Personnel Office reviews the documentation and forwards to the dean for review and authorization.

3. Additional Information

The executive vice chancellor, the assistant vice chancellor for faculty relations, or the dean may request additional information regarding the selection or rejection of individuals at any point in the recruitment process.

4. Retention of Records

All recruitment materials such as vitae, letters of recommendation, etc., for all applicants for a position must remain in the department's files for a minimum period of three years.

5. Exceptions

Exceptions to the Academic Recruitment Procedures require the written concurrence of the unit and the dean, and the approval of the assistant vice chancellor for faculty relations.

E. AUTHORIZATION TO REVIEW FOR APPOINTMENT

The complete Recruitment Record will be reviewed for compliance to these guidelines. Normally, recommendations for appointments may not differ from the position as advertised in rank or salary Exceptional situations should be brought to the attention of the Academic Personnel Office as early in the process as possible.

1. Notification of Compliance

The hiring unit will receive written notice when the recruitment has been reviewed and approved. No offer of appointment may be made until the recruitment record has been approved.

a. For ladder rank positions, the executive vice chancellor or designee authorizes the initiation of review for appointment, as detailed in the Academic Personnel Manual, Sections 210 and 220, by signing the Equal Employment Opportunity Approval Sheet.

b. For full-time and part-time temporary positions, the dean will issue a letter of compliance after reviewing the entire recruitment record.

2. Reappointments

A recruitment is not required in order to reappoint an individual when that individual was previously recruited for the same position, provided that no more than two years have elapsed since the last period of service.

[See also SECTION H, Waiver of Recruitment.]

F. POOL RECRUITMENTS

Hiring units may wish to establish a pool of individuals qualified for temporary appointments over an extended period (not to exceed three years). Pools may be useful when several temporary positions are involved or where staffing needs will depend on enrollment.

1. Documenting pool recruitments

The authorization and documentation requirements for pool recruitments are the same as for normal recruitments, except that:

a. in addition to the elements described in Section B-1, the position description must specify:

(1) the range of possible duties (e.g., list of courses to be offered, or areas of acceptable teaching expertise),

(2) the period during which possible appointments would be made (e.g., winter or spring quarters; 1996-97 and 1997-98 academic years),

(3) whether the pool includes the possibility of openings for instruction in Summer Session.

b. Part C of the Recruitment Record must specify which individuals have been selected for possible appointment during the period covered by the recruitment. Those individuals are considered to be serious candidates and need not be ranked

2. Additions to approved pools

After the application filing deadline for a pool recruitment, and during the extended period listed in the position description, additions to the pool require either of the following:

a. approval of an exception documenting why selected candidates cannot be appointed and why the additional names warrant an exception to normal recruitment procedures.

[See SECTION H, Waiver of Recruitment], or

b. a new recruitment. The position description must specify whether the new pool is intended to supplement or replace the previous pool.

(1) A SUPPLEMENTAL POOL may be required if the position description remains the same, but an insufficient number of qualified individuals are available. Individuals identified in the previous pool need not reapply to remain under consideration for appointment.

(2) A REPLACEMENT POOL may be required if the position description has changed. Applicants from the previous pool must reapply.

3. Ongoing Lecturer Pools

The purpose of implementing ongoing lecturer pools is to provide greater flexibility to departments that have difficulty in finding qualified candidates. This may be due to various reasons such as lack of availability in certain fields, small percentage appointments, or past history of failed searches. As with all recruitments, hiring units are required to ensure that equal employment opportunity and affirmative action policies are followed in accordance with federal, state, and university policy.

a. Process for Documenting Ongoing Lecturer Pool

(1) Department prepares flyer text - forwards to APO through Division for review and inclusion in the monthly Academic Opportunities Bulletin. ( Departments are not required to mail flyers if other sources of advertising are deemed more appropriate.) Flyer will contain a statement about the ongoing nature of the pool with an explanation that applicants will need to update their cv’s periodically if they are interested in remaining in the pool. If the Department wishes to do so, they may add a statement to the flyer giving a deadline for receipt of application materials in order to be considered for positions in a particular quarter.

(2) APO will assign an alpha/number code.

(3) The Search Plan (Part A) shall be forwarded to APO for review and then sent to the Dean for approval. The Dean will review the search plan, and if approved, sign and return to APO. As new advertising sources are identified, the Search Plan will be amended. Search Plans and amendments may be sent via email or hard copy to APO.

b. Establishment of Ongoing Pool

(1) As letters of application and cv’s arrive within the Department, a data base will be created to include the names of all applicants, and the date the application was received. From the list of applicants, all qualified candidates will be identified for inclusion in the pool. Reasons should be given for not including applicants. The department may chose to list names in sub fields as well as note availability for particular courses. Before appointments can be made from the pool, the recruitment documentation (Part B & C) must be forwarded to APO for review for compliance to recruitment guidelines. The documentation should include valid, job-related reasons for the selection or rejection of each individual who applied to the pool. APO will forward the material to the Dean for final review and approval. By approving the documentation, the Dean is authorizing the names in the pool. (Offers cannot be made prior to the approval of the recruitment record.) A copy of the approved documentation shall be returned to APO.

c. Adding Names to the Pool

(1) The Department may continue to receive applications and will evaluate whether these candidates meet the qualifications necessary for inclusion in the pool. The same process as in b (1) above will be followed for the Dean’s review and approval. After the Dean approves the amended documentation, it will be returned to APO.

Commencing no later than the third year and each year thereafter annually, the Department will contact candidates who have been in the pool for up to three years, but have not been appointed during that period, asking them to send a current cv if they want to remain in the pool for another three years. If they do not respond, or indicate they are no longer interested in remaining in the pool, their names will be dropped from the list. Departments may establish shorter intervals for contacting candidates if they prefer.

The retention period for recruitment records is three years. Materials for applicants and candidates (those who are not considered serious candidates and therefore not included in the pool) must be kept for three years from the date of application. If a serious candidate is removed from an ongoing pool after three years, the department should keep the candidate's materials for 3 years from the date the individual was removed from the pool.

The procedures for divisions whose deans have been delegated authority for recruitments are the same as in 3 b. and c. above, with the exception that recruitment documentation (Parts B & C) will be sent directly to the division for review and approval and then forwarded to APO.

G. ACADEMIC APPOINTMENTS IN OTHER UNITS

Proposed appointments to academic titles in units other than a Department of Study are also governed by these procedures. Questions concerning how campus procedures apply to individual situations may be directed to the Academic Personnel Office.

1. Library recruitments

Campus procedures as described for ladder rank recruitments apply to recruitments for academic positions in the University Library, except that:

a. the university librarian authorizes recruitment.

b. the University Library submits vacancy information directlyto the Academic Personnel Office for preparation of an announcement.

c. recruitment documentation is reviewed and compliance approved by the University Librarian.

2. Research titles

Campus procedures apply to recruitments for research titles recommended by research units or individual faculty. Questions concerning how campus procedures apply to research positions may be directed to the Academic Personnel Office or the division.

a. A principal investigator or director of an organizedresearch unit who recommends appointment to an academic title is responsible for conducting a recruitment or securing a waiver of recruitment.

[See SECTION H, Waiver of Recruitment.]

Certain positions may be exempt from open recruitment. Section I, Exemptions to Open Recruitment, provides information on when an exemption is appropriate.

b. The recruitment record or request for a waiver or exemption must be reviewed and approved BEFORE an appointment can bemade or an individual can be named in a grant.

3. Student titles

Campus recruitment procedures do not apply to student titles.

4. Summer Session

Campus procedures apply to recruitment for Summer Session employment as follows.

a. Teaching faculty hired during the academic year, and UCSC graduate students are exempt from recruitment requirements for assignment to summer session instruction.

b. Pool recruitment advertisements may include the possibility of openings for instruction in Summer Session. Applicants can be drawn from this pool when course coverage requires a department to seek outside instructors. Individuals interested in teaching in Summer Session only should apply for an appointment through the appropriate department's pool recruitment.

[See Section F, Pool Recruitments, for procedures to be followed.]

c. Summer Session employment not covered in paragraphs a and b above are subject to the requirements of Section H, Waiver of Recruitment.

H. WAIVER OF RECRUITMENT

A waiver is an exception to the Academic Recruitment procedures which authorizes review for appointment without a recruitment. A waiver will be granted for temporary visiting and short-term appointments only; normally waivers will not be granted for ladder rank appointments.

1. Duration

A waiver is granted for a specific period, generally not longer than a one-year period. If reappointment is recommended, documentation will be reviewed to determine whether the reasons for a waiver still apply or an open recruitment must be conducted.

2. Documentation

The recommending unit prepares a written request which includes:

a. a current curriculum vitae of the proposed appointee if the justification for the position is the candidate's unique qualifications;

b. the proposed title, effective date, and length of the appointment;

c. the duties of the position;

d. and the justification for the request.

3. Justification

Valid reasons for waiving the recruitment process could include:

a. the candidate is highly qualified for a unique position based on research expertise or specific knowledge, skills, abilities or experience (e.g., Professor X, a leading expert in Y, is doing research in the Santa Cruz area, and is available to offer a specialized course in his/her field).

b. there is not enough time to conduct a recruitment (normally less than two months until employment begins), and the candidate has the expertise and is available to begin immediately, and there is an urgent need to fill the position because:

(1) a recruitment has failed to produce qualified applicants,

(2) a recruitment has been conducted, but all qualified applicants have been appointed or declined the position, or

(3) authorization for the position was secured too late to recruit.

4. Review of the waiver request

The recommending unit sends the request to the dean.

a. The dean reviews the request, makes a recommendation, and sends the waiver request to the Academic Personnel Office.

b. Units such as University Extension and University Library submit requests directly to the Academic Personnel Office.

c. Final review is by the assistant vice chancellor for faculty relations.

(1) The request will be returned to the unit with approval or reason for denial.

(2) A copy of the request will be sent to the dean and one will be retained in the Academic Personnel Office.

d. Any questions about the process should be addressed to the Academic Personnel Office.

Click here to access the on-line enterable Waiver Request Form:
Waiver Request Form

I. EXEMPTIONS TO OPEN RECRUITMENT

Certain categories of positions are exempt from open recruitment. All other policies associated with a specific academic title still apply to positions exempt from open recruitment. An exemption is continuous until one or more qualifying conditions, as indicated below, are changed.

1. Exemptions
The following are automatically exempt unless subject to approval as indicated:

a. Principal investigator, when principal investigator status is in effect for at least half as long as the appointment period.

b. Co-principal investigator, when co-principal investigator status is in effect for at least half as long as the appointment period.

c. Individuals specifically named in a contract or grant.

d. Visiting appointee who is a "true visitor", i.e. is on leave from an academic or research position at another educational institution, or research institution, and is visiting the campus for research activity or to teach a course in his/her area of expertise.

e UCSC registered student appointment to a student academic title. (Refer to ASE contract)

f. Graduate who remains for a short period, up to 15 months, to complete a research project begun while in student status. Exemption is subject to approval of the dean.

g. An individual who is the recipient of and supported by a competitive award or fellowship, e.g., President's Fellowship Program, UC Faculty Fellow.

h. An individual who comes to the campus to further postdoctoral education (normally appointed a Postdoctoral Scholar) under the guidance of a particular faculty member. These appointments are viewed as mentoring opportunities; link to postdoc policy.

i. Positions of less than one quarter (without the possibility of extension), and with salaries of $2,000 or less.

j. Individuals in non-senate academic research titles who are appointed as lecturers without salary (refer to lecturer procedures) to teach or co- teach classes and/or serve as advisors to students. Courses to be taught must be directly related to the individual's research program.

k.Current UCSC academic employees and graduate students to positions of instruction in the Educational Partnership Center in their outreach efforts (summer programs and year-round partnership school efforts).

l. Graduate students from other institutions who come to UCSC for a period of 15 months or less as part of the program of study at their home institution.

2. Documentation
In the appointment file, add a statement describing the exemption status.

UCSC-APO:07/04