UCSC:APO:CAPM: rev 6/09

FORMAL REVIEW: PROPOSED REVISIONS TO CAPM 112.000

112.000: WAIVER OF OPEN RECRUITMENT: TARGET OF EXCELLENCE

A waiver of open recruitment for a ladder-rank faculty position can be requested when a department/division has identified an individual of outstanding quality and unique qualifications who will improve the overall excellence of UC Santa Cruz. Often, timing may preclude an open recruitment. It is expected that proposals for such a waiver of open recruitment will be infrequent.

A. AUTHORITY

The authority to approve the budgetary authorization for a Target of Excellence rests with the Campus Provost/Executive Vice Chancellor (CP/EVC). The authority to approve a waiver of open recruitment for a Target of Excellence rests with the Chancellor.

B. ELIGIBILITY

All campus academic departments are eligible to initiate requests for waivers of open recruitment for a Target of Excellence.

C. PROCEDURES  

The Proposal

The department shall initiate the request for a waiver of open recruitment by submitting a proposal through the cognizant dean. The proposal takes the place of a waiver request form.

The department shall include as part of the proposal:

  1. The title and effective date of the proposed appointment;
  2. A current curriculum vitae for the proposed Target of Excellence candidate;
  3. An outline of the expected financial contribution of the department to the proposed Target of Excellence hire;
  4. Evidence that the proposed Target of Excellence candidate is of outstanding quality and is distinguished in all aspects of professorial activities (research/scholarship, teaching and service) relative to their proposed appointment level. Teaching, research, professional and public service contributions that promote diversity and equal opportunity are encouraged and will be given recognition in the evaluation of the candidate's qualifications. Evidence of excellence may include the submission of external letters;
  5. A description of the benefits to the department of the proposed Target of Excellence candidate including an indication of the relationship between the proposed Target of Excellence candidate and the long-term curricular plan of the department.

Submission of the Proposal for Review
The hiring department shall forward the proposal to the dean of the hiring division. The dean of the hiring division shall add:

  1. A letter of support for the proposed waiver of recruitment, including a description of the benefit of the proposed Target of Excellence candidate to the division and campus; and
  2. If necessary, an off-cycle request for authorization of a ladder-rank position. The request should include an outline of the expected financial contributions of the division and hiring department. It is expected that the provision will be underwritten with a vacant or forward funded permanent faculty position within the hiring division and will count against future recruitments. The hiring department/division will make usual contributions to salary and startup expenses.  

The division will then forward two copies of the completed proposal to the Academic Personnel Office.

In cases where timing is critical, the department/division may wish to prepare the appointment dossier on the potential Target of Excellence candidate simultaneous to the preparation of the proposal requesting a waiver of open recruitment. It should be noted, however, that a waiver is never guaranteed.

An appointment dossier processed simultaneously with the proposal requesting a waiver of open recruitment will follow the normal academic appointment procedures enumerated in CAPM 404.220-A.4, except that once the dossier has been forwarded to the Academic Personnel Office it must wait for approval of the waiver of open recruitment before any further review.  

Budgetary Authorization Review
If necessary, the Academic Personnel Office will forward the proposal to the CP/EVC for consideration of the off-cycle request for budgetary authorization. Such consideration will include how the proposed Target of Excellence candidate furthers the stated goals of the department/division's academic plan.

The authority to approve the budgetary authorization phase rests with the CP/EVC, after consultation with the Committee on Planning and Budget. Only those proposals which receive budgetary authorization from the CP/EVC are eligible for approval of a waiver of open recruitment.

Waiver of Open Recruitment Review
Simultaneous to the budgetary authorization review, the Academic Personnel Office will coordinate a review to determine whether the proposal submitted by the department, and augmented by the dean, evidences justification to approve a waiver of open recruitment for the proposed Target of Excellence candidate.

The Authority to approve the waiver of open recruitment rests with the Chancellor, after consultation and review by both the Vice Provost and Dean, Academic Affairs (VPDAA) and the CP/EVC. The VPDAA shall consult with the Committee on Affirmative Action and Diversity.

Approval of the Waiver of Open Recruitment and Budgetary Authorization
The division will be informed of the Chancellor's determination, with copies to the department.

If the Chancellor approves the waiver, the appointment file will undergo the usual review and approval process, including review by the Committee on Academic Personnel (APM 200 , CAPM 404.220.)