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100.500 - Academic Recruitment Procedures

UCSC:APO:CAPM 04/24

Introduction

A. Authorization to Recruit

B. Announcing the Recruitment

C. Collecting Applicant Data

D. Documenting the Recruitment

E. Authorization to Review for Appointment

F. Pool recruitments (including all ongoing pools)

G. Academic Appointments in Other Units

APPENDICES:

Appendix A:	Participation of Non-Senate members on Search Committees
Appendix B:	Developing a Search Plan
Appendix C:	Developing a Position Description
Appendix D:	Position Approval Form
Appendix E:	Applicant Data Request Cover Letter and Applicant Data Form
Appendix F:	Instruction Sheet for Documenting an Academic Recruitment
Appendix G:	Academic Recruitment Affirmative Action Approval Sheet and Cover Letter for Hiring Unit
Appendix H:	Screening Applicants
Appendix I:	Interviewing Candidates and Selecting a Final Candidate
Appendix J:	Checklist for Search Committees

Introduction

Refer to the 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 address any underutilization of women and minorities. The following definitions may assist in understanding the differences between the three concepts and the corresponding obligations:

Nondiscrimination:
It is the policy of the University not to engage in discrimination against or harassment of any person employed or seeking employment with the University of California on the basis of race, color, national origin, religion, sex, gender, gender expression, gender identity, pregnancy (includes pregnancy, childbirth, and medical conditions related to pregnancy or childbirth), physical or mental disability, medical condition (cancer-related or genetic characteristics), genetic information (including family medical history), ancestry, marital status, age, sexual orientation, citizenship, or service in the uniformed services as defined by the Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA) as well as state military and naval service. This policy is intended to be consistent with the provisions of applicable State and Federal laws 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 based on 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.

An open recruitment must be conducted for every academic position, regardless of level or duration, unless a waiver of recruitment has been approved for either the position or the individual proposed for appointment, or unless the position is one that is exempt from open recruitment. ( Refer to 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.

Affirmative Action:
Executive Order 11246 prohibits discrimination based on 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 covered veterans. Covered veterans includes veterans with disabilities, recently separated veterans, Vietnam era veterans, veterans who served on active duty in the U.S. Military, Ground, Naval or Air Service during a war or in a campaign or expedition for which a campaign badge has been authorized, or Armed Forces service medal 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.

A. Authorization to Recruit

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. Refer to Section E: Authorization to Review for Appointment.

1. Senate faculty positions:

a. The campus provost/executive vice chancellor formally authorizes recruitment after consultation with the dean and the Senate Committee on Planning and Budget. Recruitment may not begin until written authorization has been issued.
b. The dean selects which authorized recruitments the division will initiate from those approved by the campus provost/executive vice chancellor.
c. A search number will be assigned to each search by the Academic Personnel Office.
d. Meetings with search committees and the Academic Personnel Office will 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 search.

2. All other positions:

a. The dean authorizes recruitment.
b. A recruitment number will be assigned to each position by the Academic Personnel Office.

B. Announcing the Recruitment

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

1. Review of vacancy information
The hiring unit submits vacancy information to the dean for approval. The dean will give divisional budgetary approval for the recruitment. (Refer to Appendix D: Position Approval Form ). Upon approval, the dean transmits the approved information to the Academic Personnel Office for review and preparation of an advertisement for the position.

2. Position description

a. The hiring unit prepares the following vacancy information to be included in the position description:

(i) area of academic emphasis;
(ii) rank;
(iii) minimum qualifications - the required criteria for selection of candidates;
(iv) salary range;
(v) date position will be available;
(vi) instructions for submission of material, including confidential letters of reference or names of referees;
(vii) initial review date or closing date for submission of application materials. Refer to Appendix C: Developing a Position Description, for examples and Appendix D: Position Approval Form.

b. Every position description must include:

(i) the campus compliance statement;
(ii) the statement that UCSC is an Equal Employment Opportunity/Affirmative Action Employer;
(iii) the statement that UCSC complies with the requirements of the Immigration Reform and Control Act of 1986; and
(iv) the statement that UCSC complies with the requirements of the Americans with Disabilities Act and California Fair Employment and Housing Act and that the position description is available in alternate formats, which may be requested from the Academic Personnel Office at (831) 459-4300.

3. Advertising

Based on the information provided, the Academic Personnel Office prepares an advertisement of the position description for every recruitment. That advertisement is included in the online listing of academic openings, which the Academic Personnel Office maintains. If requested by the hiring unit, the Academic Personnel Office will print a limited number of advertisements for the hiring unit to be used in their advertising and outreach efforts.

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 advertisement text. Abbreviated advertisements must be approved by the dean before submission for publication.

An abbreviated advertisement must contain:

a. The statement "UCSC is an EEO/AA/Vet/Disability/Minority Employer."
b. The rank of position.
c. The initial review date or closing date for submission of application materials.
d. A link to online listing of full position description. A full position description must be provided to all applicants.

4. Application filing deadline

a. Senate faculty positions , a minimum of two months must be allowed from the beginning of a recruitment (when a position description is approved and the job listing is posted by the Academic Personnel Office) to the initial review date or closing date for submission of application materials.
b. All other positions, a minimum of one month must be allowed.
c. Abbreviated advertisements should allow, whenever possible, a minimum of one month between the date of publication and the initial review date or closing date for submission of application materials.

5. Extending the application filing deadline

When a search must be extended beyond the published closing date, and is not advertised as open until filled, 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 data needed to evaluate the diversity of applicants for positions, and to assess recruitment outreach sources.

1. Applicant data requirements
Recruitments for senate faculty 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. Refer to Appendix E: Applicant Data Request Cover Letter and Applicant Data Form.

2. Applicant data requests
The Academic Personnel Office provides mechanisms to solicit information from applicants. The Regents' resolution on affirmative action made specific exception for any affirmative action activities necessary to maintain eligibility for Federal contracts, and the affirmative action regulations for federal contractors require UCSC to maintain an affirmative action program for employment. As a result, we ask applicants for employment to voluntarily submit applicant data indicating their gender and ethnicity. This information is confidential and submitted directly to the Academic Personnel Office.

a. The Academic Personnel Office supplies hiring units with an Instruction Sheet for Documenting an Academic Recruitment which contains the Uniform Resource Locator (URL or Web Address) specific to each recruitment to be used in the solicitation of applicant data.
b. Upon request, the Academic Personnel Office will make available to hiring units a paper copy of the Applicant Data Request Cover Letter and Applicant Data Form , and postage paid return envelopes.
c. The hiring unit sends an electronic data request (or in paper form when necessary) to each applicant as soon as possible after receipt of application. This can be done through the divisional database used for managing the recruitment process or via an individual email. Refer to Appendix E: Applicant Data Request Cover Letter and Applicant Data Form.

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. Equal Employment Opportunity Approval Sheet

The Academic Personnel Office prepares an Academic Recruitment Affirmative Action Approval Sheet and Cover Letter for Hiring Unit 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.

a. National availability data by gender and ethnicity for the discipline under recruitment is added to the approval sheet as an indication of the characteristics of the applicant pool. 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 requests is entered for comparison to availability figures.
c. The dean reviews the recruitment record, including applicant data, and evaluates the selection process. Underutilization data for the division or hiring unit may be obtained from the EEO/AA office.

2. Determining and documenting applicant status

Categories of applicants:

Applicant: Anyone who submitted application material for the advertised position within the announced filing period, regardless of qualifications.
Candidate: Applicants who meet the minimum qualifications listed in the position description.
Interviewees: Candidates who are finalists for the position and the hiring unit proposes to interview.
Alternate Interviewees: Candidates who are finalists for the position and may be interviewed at a later time, (e.g., in case interviewees withdraw or the group of interviewees needs to be augmented).

The following information provides guidance on how to evaluate applicants according to the advertised position description. The above mentioned categories of applicants must be used based on the following guidelines:

a. Applicants:

(i) basis for the elimination of an applicant must be stated in the recruitment record;
(ii) any applicant who does not meet the advertised minimum qualifications for the position is eliminated from further consideration; and
(iii) 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).

b. Candidates:

(i) if a candidate is eliminated from further consideration, the basis for the decision must be stated in the recruitment record;
(ii) assessment of the candidate should be made on the basis of specific departmental and curricular needs, and any and all requirements listed in the advertised job description; and
(iii) where a candidate has applied for a position at a lower rank than the candidate currently holds, the department may not eliminate the candidate because the candidate is perceived to be “overqualified”. Refer to CAPM 110.500 on overqualified candidates. Departments should clearly communicate to the candidate that the hire will be made at the advertised rank.

c. Interviewees:

(i) the basis for the selection must be stated in the recruitment record;
(ii) those who will be interviewed must be indicated; and
(iii) departments must offer an interview to all identified as interviewees. Refer to APPENDIX H- Screening Applicants.

d. Alternate Interviewees:

(i) the basis for the selection must be stated in the recruitment record;
(ii) interview alternates must be ranked in order of possible interview; and
(iii) comment briefly on why alternates were not selected for interview at this time. Refer to APPENDIX H - Screening Applicants.

3. UCSC academic recruitment record

For senate faculty searches, the dean reviews the recruitment record in three stages to evaluate the selection process to that point. The dean's signature on the Equal Employment Opportunity 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.

For 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.

A three-part document summarizes the search and selection process.

a. Search plan (Part A of the recruitment record)

- This is a summary of the recruitment activities undertaken for all academic recruitments. For all senate faculty recruitments, Part A should be filed and approved before the initial review date or closing date for the recruitment. Part A records:

(i) names of the search committee members, specifying the chair and diversity liaison;
(ii) all recruitment sources informed about the position vacancy; and
(iii) any journals or publications in which advertisements appear.
Refer to Online Enterable Part A and Appendix B - Developing a Search Plan

b. Applicant screening (Part B of the recruitment record)

-The applicant screening is a record of every person who applied for this position and specific reasons why they were eliminated or selected.This is a summary of the review and evaluation of applications before interviews are held. A curriculum vitae for each interviewee and alternate interviewee must be forwarded with the Part B recruitment record. Part B records:

(i) evaluation of every applicant;
(ii) designation of those who are candidates , those who are proposed for interview, and those proposed as alternate interviewees . (Refer to Section D.2 for definitions of applicant categories)

Before interviewing and selecting the final candidate – please refer to Appendix I: Interviewing Candidates and Selecting a Final Candidate for helpful guidelines.

c. Final ranking (Part C of the recruitment record)

- This is an evaluation of those individuals who were identified as an interviewee or alternate interviewee for this position. Part C must discuss all individuals noted as selected for interview in Part B and any alternates who were interviewed. Additional comments on alternates not interviewed need not be included. Part C records:

(i) names and evaluations of interviewees and alternate interviewees identified in Part B. All candidates interviewed must be identified as such;
(ii) the name of the selected candidate that is recommended for review for appointment; and
(iii) the ranking of the final interviewed candidates (this is optional and left to the discretion of the search committee). If ranked, detailed, concise reasons for ranking must be given.
- (1) if selected candidates are not ranked, it will be necessary to file revised recruitment documentation (Part C) if the first choice selected candidate withdraws or declines;
- (2) alternate interviewees who were not interviewed need not be ranked; and
- (3) if there is no selected candidate, Part C must reflect the review process and the reasons for non-selection.

4. Review of documentation

The chair of the search committee is responsible for the preparation of the recruitment record, and signs each part for submission for decanal review and approval.

a. For senate faculty positions, Parts A, B, and C of the recruitment record are submitted separately to the Academic Personnel Office.

(i) Academic Personnel Office reviews the documentation at each stage, enters demographic data on the Approval Sheet, and forwards to the dean;
(ii) dean reviews the documentation at each stage of the recruitment and evaluates the selection process up to that point;
(iii) dean authorizes the next stage of the recruitment by returning the signed Approval Sheet to the Academic Personnel Office. The Academic Personnel Office will provide copies of the signed approval sheet to the division and unit; and
(iv) no appointment file may be forwarded until the recruitment records is reviewed and approved.

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.

(i) Academic Personnel Office prepares the necessary documentation and forwards to the dean for review and authorization;
(ii) after the dean has approved Part C, the recruitment record is reviewed by the Academic Personnel Office for compliance; and
(iii) no appointment file may be forwarded until the dean has reviewed and approved the recruitment record.

5. Additional information

The campus provost/executive vice chancellor, the assistant vice chancellor for Academic Personnel, or the dean may request additional information regarding the selection or rejection of individuals at any point in the recruitment process.

6. 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 period of three years.

7. Exceptions

a. Exceptions to the academic recruitment procedures require the written concurrence of the unit and the dean, and the approval of the assistant vice provost for Academic Personnel.
b. The only exception to appointment at the advertised rank will be to meet a competing offer, in which event, an offer may be made at one step above the advertised range, or at Step 1 of the next rank, if the competing offer includes promotion. Further review may be required for offers made at the next rank. Refer to CAPM 404.220 – Professor Series: Appointment, Reappointment, and Nonreappointment and CAPM 110.500 – Overqualified Candidates

E. Authorization to Review for Appointment

The complete recruitment record will be reviewed for compliance. 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 notice when the recruitment record has been reviewed and approved. No offer of appointment may be made until the recruitment record has been approved.

2. Senate faculty positions

The campus provost/executive vice chancellor or designee authorizes the initiation of review for appointment, as detailed in the Academic Personnel Manual, Sections 210 and 220 , by reviewing the recruitment record and signing the Academic Recruitment Affirmative Action Approval Sheet.

3. Full-time and part-time temporary positions

The dean will issue a letter of compliance after reviewing the entire recruitment record.

4. 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 in that position.

F. Pool Recruitments (including all ongoing pools)

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.

Hiring units may wish to establish ongoing lecturer pools 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.

1. Establishing pool recruitments

Department prepares advertisement text and forwards to the division for review. Once the vacancy information has been approved by the dean, it is then forwarded to the Academic Personnel Office for review and posting (refer to Appendix D: Position Approval Form and Appendix B: Developing a Search Plan ).

(i) Academic Personnel will assign a search number;
(ii) search plan (Part A) shall be forwarded to the Academic Personnel Office for review and then sent to the dean for approval. The dean will review the search plan, and if approved, sign and return to Academic Personnel; and
(iii) 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 the Academic Personnel Office.

2. Documenting pool recruitments

a. The authorization and documentation requirements for pool recruitments are the same as for other recruitments, except that in addition to the elements described in Section B, the position description must specify:

(i) the range of possible duties (e.g., list of courses to be offered, areas of acceptable teaching expertise);
(ii) the period during which possible appointments would be made (e.g., winter or spring quarters, specific academic year(s)); and
(iii) whether the pool includes the possibility of openings for instruction in Summer Session.

b. As letters of application and cvs arrive within the department, records must be created in the divisional database that contain the names of all applicants and the date the application was received.

(i) From the list of applicants, all qualified candidates will be identified as pool qualified 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. The documentation should include valid, job-related reasons for the selection or rejection of each individual who applied to the pool;
(ii) Before appointments can be made from the pool, the recruitment documentation (Part B & Part C) must be forwarded to the Academic Personnel Office for review for compliance with recruitment guidelines;
(iii) Academic Personnel 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;
(iv) A copy of the approved documentation shall be returned to the Academic Personnel Office. Upon receipt of the approved recruitment documentation, Academic Personnel will notify the department.

c. Adding names to an ongoing pool

(i) The department may continue to receive applications and evaluate whether these applicants meet the qualifications necessary for inclusion in the pool. The same process as in 2.b. above will be followed for the dean's review and approval;
(ii) after the dean approves the amended documentation, it will be returned to the Academic Personnel Office. Upon receipt of the approved recruitment documentation, Academic Personnel will notify the department;
(ii) 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 name will be dropped from the list. Departments may establish shorter intervals for contacting candidates if they prefer; and
(iii) The retention period for recruitment records is three years. Materials for all applicants must be kept for three years from the date of application. If a pool qualified 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.

G. Academic Appointments in Other Units

Proposed appointments to academic titles in units other than a department 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 senate faculty recruitments apply to recruitments for academic positions in the University Library, except that:

a. The university librarian authorizes the recruitment.
b. Vacancy information is directly submitted to 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 organized research unit who recommends appointment to an academic title is responsible for conducting a recruitment or securing a waiver of recruitment. Refer to CAPM 103.500
b. Certain positions may be exempt from open recruitment. CAPM 103.500, provides information on when an exemption is appropriate.
c. The recruitment record, request for a waiver, or exemption must be reviewed and approved before an appointment can be made.

3. Student titles
Student titles are exempt from open recruitment requirements under CAPM 103.500.

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. See CAPM 103.500.
b. Pool recruitment advertisements may include the possibility of openings for instruction in Summer Session. Applicants can be drawn from these pools when course coverage requires a department to seek outside instructors. Individuals interested in teaching in Summer Session only must apply for an appointment through the appropriate department's pool recruitment. Summer Session does not run separate recruitments just for teaching during the summer. For procedures, refer to Section F - Pool Recruitments.