Recruitment Procedures to Implement Policy 230-6

Outline and links to sections below:

• Types of Appointments Requiring an Open Recruitment
• Types of Appointments Exempt from an Open Recruitment
• Forms and Reports for Recruitments
• UCSD Recruitment Plan for Academic Personnel
• Instructions Governing the Contents of a Job Notice
• Instructions Governing Advertising an Open Position
• Identifying the Gender/Ethnicity of Applicants (Academic Applicant Demographic form); Identifying Effective Recruiting Resources
• UCSD Recruitment Outreach Report (for ladder-rank faculty searches, General Campus and SIO only)
• UCSD Recruitment Selection Report
  • Documenting outreach
  • Search Chair Selection Statement
• Demographic Data Transmittal (form)
• Ethnic Categories Defined by Affirmative Action
• Record-Keeping on Recruitments
• Guidelines on Requests to Waive the Open Recruitment Process

Return to Recruitment Procedures, Forms, and Resources

In addition to the information provided below, readers are encouraged to review the Action Checklist of the Open Recruitment Process, which the identifies the roles, responsibilities, and points of intersection in the recruitment process of key participants — department chairs, department staff, search chairs and search committees, faculty equity advisors, deans, and the Office of Academic Diversity and Equal Opportunity.

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Types of Appointments Requiring an Open Recruitment

For the two types of appointments listed below, a thorough and determined open recruitment must be conducted both inside and outside UCSD for a wide range of qualified candidates before a selection is made and an appointment file is prepared.

1. New Appointments
2. Transfers

New Appointments:

A new appointment is defined as employment of an individual whose immediately prior status was either:

• Not in the employ of the University of California, San Diego,
• In the employ of the University of California, San Diego, but with an employment title that is different than the title/series being proposed. (That is, the appointment involves a change in series — for example, a change from the title of Professor In Residence to the title of Professor [with tenure]).

Transfers:

There are two types of permanent transfers:

1. Intercampus (a transfer from one campus to another within the University of California system)
2. Intracampus (a transfer from one department to another within the UCSD campus).

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Types of Appointments Exempt from an Open Recruitment

1. UCSD academic personnel in "recalled" status
2. "Visiting" titles
   Appointee must be on leave from another university, college, or public or private research laboratory
3. Postdoctoral Scholar — Employee
   An appointment in this title is limited to five years.
4. Non-salaried appointments
   These include appointments fully funded (8/8ths) through the Veterans Administration (VA).
   Note:
   UCSD units are strongly encouraged to conduct an open recruitment regardless of VA time in case the balance of UCSD/VA time changes to being in a greater proportion at UCSD.
5. Appointments for 50% time or less
   This includes positions funded 4/8ths (i.e., 50%) or more by the VA.
   Note:
   A full search is required for a ladder-rank position regardless of percentage of appointment.
6. Appointments that are greater than 50% time but are short-term, that is, limited to two quarters or less (9-month/academic-year basis) or six months or less (11-month/fiscal-year basis). This defined short-term period is sometimes referred to as a "grace period."
   Note:
   Any extension beyond two quarters or six months (i.e., "grace period") requires an open recruitment unless the appointment returns to and remains at the level of 50% time or less. Such an extension of time is considered on an accumulative-time basis, i.e., total time worked at UCSD, not on a consecutive-time basis. (See Q/A)
7. Positions requiring student status
   For example, Associate In (e.g., Literature), teaching assistant, research assistant, tutor.

An open recruitment is generally not required for the types of appointments listed above. However, an appointment that exceeds the conditions and limitations set forth above is subject to an open recruitment in which competitive applicants for the position will be fairly considered. The head of an organization unit should inform anyone appointed into a position noted in the above categories the conditions in which the position would become subject to an open search.

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Forms and Reports for Recruitments

Various forms and report formats have been devised to document an open recruitment. These documents and other records relating to the open recruitment process are subject to audit by University, state, and federal authorities. The primary forms used to document a recruitment are listed below, followed by details respective to each document.

1. UCSD Recruitment Plan for Academic Personnel
2. Academic Applicant Demographic form
3. UCSD Recruitment Interim Report (for ladder-rank faculty searches on the General Campus and at SIO only)
4. UCSD Recruitment Selection Report
5. Demographic Data Transmittal form

Additional forms have been devised for search chairs and committee members for ladder-rank faculty recruitments. These include:

1. Search Chair Evaluation and Process Statement
2. Faculty Applicant Evaluation Template Form
3. Search Chair Selection Statement

See Action Checklist of the Open Recruitment Process for additional information.

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UCSD Recruitment Plan for Academic Personnel

Purpose:    To propose an open recruitment

The recruitment plan presents the proposed:

1. Title(s) and discipline of the position to be recruited
2. Outreach and advertising effort to develop an applicant pool
3. Search committee chair and members
4. Text to be published in journals, Web sites, etc.

Review and approval process:

1. The hiring unit prepares the recruitment plan, which is signed by the unit head. The unit head must be an academic (for example, a department chair, or acting or vice chair in the chair's absence).
2. The plan is submitted to Office of Academic Diversity and Equal Opportunity (OADEO).
3. OADEO reviews and endorses the plan and forwards it to the dean's office (or other office with approving authority).
4. For ladder-rank faculty searches, OADEO forwards a copy of the recruitment plan to the Faculty Equity Advisor.
5. The dean approves the plan and notifies hiring unit.
6. The hiring unit publicly posts the open position. (The unit must not post the job announcement before the dean has approved the recruitment plan.)

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Instructions Governing the Contents of a Job Notice

1. Web address:
   A Web site can be a vehicle to showcase the academic excellence of the unit; therefore, the hiring unit is encouraged to include the unit's Web address in the opening sentence; for example:
   The Department of X, University of California, San Diego, (Web address) is recruiting to fill a faculty position.
2. Asking for references:
   Departments are strongly encouraged to ask for names and addresses of referees, rather than letters of reference.
3. Salary statement:
   A reference to salary should be included in the ad text, preferably in a general manner, for example:
   Salary is based on UCSD pay scales.
4. Application deadline:
   Allow three weeks from the date of the appearance of an advertisement to the date of closing to permit all interested persons adequate time to apply by the deadline. A hiring unit may indicate a specific and firm closing date by using wording such as:

   The deadline to submit an application is (date).

   It may indicate a more open-ended period of time by using wording such as:
   Review of applications will begin (date) and will continue until position is filled.

5. Recruitments for temporary/part time positions:
   If the search is for part time and/or temporary faculty, e.g., lecturers, include language such as:
   The appointment may vary from part time to full time, with the possibility of extension in accordance with department needs.
   This gives the department the flexibility it may need to meet unexpected circumstances and avoids the need to re-recruit for the position if it becomes full time/long term.
6. Contributions to diversity statement:
   For ladder-rank faculty searches, departments are encouraged to include the following sentence:
   Applicants are welcome to include in their cover letters a personal statement summarizing their contributions to diversity.
   For options to augment this sentence, see the position announcement section of the recruitment action checklist.
7. AA/EOE statement:
   At a minimum, "AA/EOE" must be included in the ad. However, hiring units are strongly encouraged to include the following sentence whenever possible:
   UCSD is an Equal Opportunity/Affirmative Action Employer with a strong institutional commitment to excellence through diversity.
   For options to augment this sentence, see the position announcement section of the recruitment action checklist.

Sample of ad text:

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Instructions for Advertising an Open Position

1. Hiring units may place an advertisement only after receiving notification of approval from the office of the individual with final signature authority, e.g., a dean.
2. Each academic position must be advertised in at least one national or professional resource (preferably a printed journal or job Web site) whose readership, in the judgment of the hiring unit in consultation with the Office of Academic Diversity and Equal Opportunity, includes persons qualified for the position.
   Note:
   When UCSD hires academic employees who are international scholars and who request U.S. permanent residency status, the U.S. Department of Labor (DOL) requires evidence that the job notice used in the open recruitment was published in a printed national professional journal and that the notice stated the name of the prospective employer, where the job was located, the job duties, and the minimum requirements for the position. Job ads posted on Web sites will not meet this DOL requirement. Academic departments are encouraged to place job announcements in printed journals, especially if it is likely that the recruitment will attract international scholars.
3. Hiring units are strongly encouraged to adhere to the best practices in recruiting by announcing the job opportunity to a broad audience through a national publication and by sending the job announcement to targeted groups to develop the largest, most qualified, and diverse applicant pool possible.
4. All advertising and outreach efforts should be documented as extensively as possible. Photo copies of ads posted in journals (showing the name and date of the journal), hard copies of ads posted on Web sites (showing the Web address), hard copies of e-mails sent to colleagues, etc. must be obtained by the hiring unit and submitted to the Office of Academic Diversity and Equal Opportunity as attachments to either the UCSD Recruitment Outreach Report (to be used only in the recruitment of ladder-rank faculty) or the UCSD Recruitment Selection Report.
5. The pool of candidates for academic positions changes continually as job seekers find employment and new applicants enter the job market. To enhance the chances that new applicants in the job pool become aware of job opportunities at UCSD, if a position is not filled within one calendar year following the application deadline (or "begin review of applications" date) stated in the ad, a new UCSD Recruitment Plan for Academic Personnel must be submitted and approved as described above and a new advertisement must be posted.

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Identifying the gender/ethnicity of applicants; identifying effective recruiting resources

It is essential that a mechanism be implemented to capture the gender and ethnicity of all applicants.

For departments with a Web-based electronic application system:
If the department has a Web-based electronic application system, a page should be included in the e-system by which the applicant may identify her/his gender and ethnicity.

For departments without a Web-based electronic application system:
The department is strongly encouraged to acknowledge all applications upon receipt. Such acknowledgments can be done via e-mail, which provides the department an opportunity to ask the applicant to complete and return an attached Academic Applicant Demographic Form.

Applicants should be advised that:

1. Providing demographic information is strictly voluntary
2. The information will not be included with other materials in the application file
3. The information will not be given to the search committee and will not be considered in the review of the application materials.
4. The information is used only for statistical purposes in compliance with federal regulations

Although not required for reporting purposes, departments are strongly advised to also inquire how the applicant became aware of the open position. This will help identify which advertising sources used by the department are the most effective in generating applications.

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UCSD Recruitment Outreach Report (for ladder-rank faculty searches on the General Campus and at SIO only)

Purpose:    This report documents the advertising/outreach effort and the resulting applicant pool. The intent is to enable the dean to intervene to assess the progress and development of the recruitment. If it is felt the outreach effort has been insufficient and may adversely impact the quality, size, and diversity of the applicant pool, the dean may halt the recruitment process — or cancel the recruitment altogether — until an appropriate outreach effort has been demonstrated.

The outreach report includes the following:

1. A display of the applicant pool by gender and ethnicity (number/percent)
2. Documentation of the outreach effort
   Note:
   All advertising and outreach efforts should be documented as extensively as possible. Photo copies of ads posted in journals (showing the name and date of the journal), hard copies of ads posted on Web sites (showing the Web address), hard copies of e-mails sent to colleagues, etc. must be obtained by the department and attached to the outreach report.
3. Search committee membership (should identify any changes to the committee as originally proposed in the recruitment plan, i.e., additions, replacements, withdrawals)
4. Search Chair Evaluation Criteria and Process Statement (completed by the search chair and attached to the report)

Review and approval process:

1. The department prepares the report and it is signed by the department chair (or the acting or vice chair in the chair's absence)
2. The department submits the report to OADEO.
3. OADEO reviews the report.
4. OADEO submits the report to the Faculty Equity Advisor and holds the report for the FEA's endorsement.
5. OADEO endorses and forwards the report to the dean's office.
6. The dean approves the report and notifies the department.

Submission of the report:

Since the dean has the authority to halt the recruitment process if he or she has concerns regarding the outreach effort and/or the applicant pool, departments are encouraged to prepare and submit the outreach report shortly after the application deadline — and well in advance of preparation of a short list of top candidates — to allow for any additional outreach that may be deemed necessary. The department may not invite any applicants to campus for interviews before the dean has approved the outreach report.

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UCSD Recruitment Selection Report

Purpose:    This report summarizes the entire recruitment effort and indicates the proposed candidate.

A separate report should be processed for each candidate proposed for appointment.

The selection report includes the following:

1. Name and title of the proposed candidate
2. Total applicant pool by gender and ethnicity (number/percent)
3. Information on candidates seriously considered (i.e., the "short list"), including a numerical table displaying data on gender and ethnicity and a second table showing the name, gender, and ethnicity of each candidate.
4. Search Chair Selection Statement

Advertising/outreach documentation:

• For ladder-rank faculty recruitments:
  Documentation of advertising/outreach is not required for selection reports since this documentation was submitted and reviewed with the Outreach Report.
• For recruitments of non-ladder-rank faculty positions and academic positions without instructional responsibilities(e.g., lecturer, researcher positions):
  The recruitment outreach effort must be thoroughly documented. Photo copies of ads posted in journals (showing the name and date of the journal), hard copies of ads posted on Web sites (showing the Web address), hard copies of e-mails sent to colleagues and society committees, etc., must be obtained by the hiring unit and attached to the selection report.

Search chair selection statement

• For ladder-rank faculty recruitments:
  The Search Chair Selection Statement (form) should be attached to the report. (Note: The Search Chair Evaluation Criteria and Process Statement submitted with the Recruitment Outreach Report proposes the evaluation criteria and the process to be implemented from the stage of initial screening to determining applicants to be interviewed. The Search Chair Selection Statement confirms the proposed criteria and process were implemented and describes the remaining stage of interviewing the top candidates and making the final selection.)

• For non-ladder-rank faculty recruitments and academic positions without instructional responsibilities(e.g., lecturer, researcher positions):
  A statement should be written by the search chair and should address the three points below. The search chair should sign the statement and submit it to the person providing staff support for the recruitment effort. The statement should be attached to the Selection Report, which is prepared by staff, reviewed by the Office of Academic Diversity and Equal Opportunity, and approved by the dean.

  1. Identify the selection criteria.
     What criteria were used to screen and select applicants? For example, qualified applicants may have been required to have a Ph.D., publications, demonstrated teaching experience, expertise in a specific discipline, etc.

  2. Describe the selection process.
     The selection statement should describe the process or steps that occurred from the initial review of application materials to proposal of the candidate for the position. The following points may be considered for inclusion:

     • How many search committee members reviewed each application? (As a result of a state audit, at least two are highly recommended, and it is necessary to address this in the statement.)
     • Were several "cuts" made while screening applications? (Progressive narrowing of the applicant pool suggests due consideration of applications.)
     • Of the total number of applicants who reached the seriously considered category, how many were invited for interviews?
     • Did the interview process involve a seminar presentation?
     • Did department faculty meet to discuss and vote on the top candidate(s)?

  3. State how each seriously considered applicant met or did not meet the selection criteria.
     The paragraph should provide objective comments about the strengths and weaknesses of the seriously considered applicants based on the established selection criteria. The selection statement must explain why some seriously considered applicants were de-selected, not just offer positive comments about the proposed candidate. It is also acceptable to state, for example, that two candidates were highly competitive, and that if the proposed candidate declines the job offer, an immediate offer will be made to the other candidate. A subsequent selection statement may then state that the first-choice candidate declined, and the second candidate is now being proposed. It is also acceptable to note whether any candidates withdrew or accepted competing offers and thus are no longer being considered.

     Note:
     It is not necessary to provide comments or information about the applicant pool, since numerical data about the pool is provided in the selection report.

  Review and approval process:

  1. The department prepares the report and it is signed by the department chair (or the acting or vice chair in the chair's absence)
  2. The Department submits report to OADEO
  3. OADEO reviews and endorses the report
  4. For ladder-rank faculty searches the OADEO forwards the report to the Faculty Equity Advisor (FEA endorsement is not required)
  5. OADEO forwards report to the dean's office
  6. The dean approves the report and notifies the department
  7. The department inserts a copy of the approved report into the appointment file

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Demographic Data Transmittal form

Download Demographic Data Transmittal (form)

This form should be provided to all new employees as part of the process in which employee data are collected and entered into the campus Personnel Payroll System (PPS). The information is considered confidential, and the form should be destroyed once the data have been entered into PPS. The Office of Academic Diversity and Equal Opportunity utilizes this information from PPS for statistical analysis of the academic workforce.

New employees should be advised that:

1. Providing demographic information is strictly voluntary
2. The information will not be included with other materials in an employee's file
3. The information, whether voluntarily provided or declined by the new employee, will not affect the individual's employment
4. The information is used only for statistical purposes in compliance with federal regulations

Note:

This form should not be provided to applicants for open positions as a means to collect ethnicity data on applicant pools. Requests to individuals to identify themselves as persons with disabilities and/or as veterans, as contained in this form, may only be submitted to the individual after a job offer has been made and accepted. Use the Academic Applicant Demographic Form to obtain gender/ethnic information from applicants.

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Ethnic Categories Defined by Affirmative Action

The table below provides primary and sub-codes used to identify ethnic categories.

Category	Definition	Main Code	Sub-Code
BLACK/AFRICAN-AMERICAN (not of Hispanic origin)	Persons having origins in any of the Black racial groups of Africa.	A	A
ASIAN OR PACIFIC ISLANDER		B
Asian/ Pacific Islander Sub-Categories:
Chinese/ Chinese-American	Persons having origins in any of the original peoples of China.		2
Japanese/ Japanese-American	Persons having origins in any of the original peoples of Japan.		B
Filipino/Philippino	Persons having origins in any of the original peoples of the Philippine Islands.		L
Pakistani/East Indian	Persons having origins in any of the original peoples of the Indian sub-continent (e.g., India and Pakistan).		R
Other Asian	Persons having origins in any of the original peoples of the Far East (including Korea), Southeast Asia, or Pacific Islands (including Samoa), not included in any of the Asian categories listed above.		X
AMERICAN INDIAN or ALASKAN NATIVE	Persons having origins in any of the original American Indian peoples of North America, including Eskimos and Aleuts, or who maintain cultural identification through tribal affiliation or community recognition.	C	C
HISPANIC (Including Black individuals whose origins are Hispanic)		E
Hispanic Sub-Categories:
Mexican/Mexican-American/Chicano	Persons of Mexican culture or origin, regardless of race.		E
Latin-American/ Latino	Persons of Latin American (e.g., Central American, South American, Cuban, Puerto Rican) culture or origin, regardless of race.		5
Other Spanish/ Spanish-American	Persons of Spanish culture or origin, not included in any of the Hispanic categories listed above.		W
WHITE (not of Hispanic origin)	Persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.	F	F

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Record-Keeping on Recruitment

The hiring unit must maintain complete and accurate records of actions regarding each recruitment. These records, including applicant files, must be retained in the unit for a period of five years from the date the recruitment effort is considered closed, i.e., the date when the last candidate proposed for an appointment accepted/declined the formal job offer. Recruitment records are subject to audit by the Director of OADEO at any time. Recruitment records are also subject to University, state, and federal audits.

The following should be retained in the record:

1. Information on the applicant pool (name, gender, and ethnicity of each applicant; all application materials submitted to the hiring unit by each applicant; materials and data relating to the screening and selection of applicants).
2. UCSD Recruitment Plan for Academic Personnel (copy showing final approval signature)
3. UCSD Recruitment Outreach Report (for ladder-rank faculty recruitment only; copy showing final approval signature)
4. UCSD Selection Report (copy showing final approval signature).

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Guidelines on Requests to Waive the Open Recruitment Process

A department chair/ORU director may submit a letter requesting a waiver of the open recruitment process to the Office of Academic Diversity and Equal Opportunity (OADEO). Units are encouraged to review the guidelines below and/or to contact the OADEO to determine whether a request a waiver of the open recruitment process is appropriate.
Note:
SOM units should first route requests to the Associate Dean for Academic Affairs.

Waiver Categories

1. Principal Investigator (PI):

In addition to describing the candidate's skills and qualifications (see sample letter format below), the request must state and document that the individual has an award and that the award provides (X) percent of the PI's salary. A minimum of 50% is required for a PI waiver. Please state total salary (x-portion only). Attach the following documentation to the request letter:

• a copy of the "Notice of Grant Award" letter from the agency to the PI (include section showing funding allocation)
• a copy of the PI's budget page showing proposed salary and/or effort

2. General:

The waiver request must describe the skills and qualifications of the candidate and provide a justification as to why an open recruitment should not be conducted (see sample letter format below). Spousal/partner issues that are critical in a recruitment/ retention effort should be noted in the request.

Change in Series

If the request is for a change in series, the unit should also address the following factors as appropriate:

• Job Evolution:
  The job has evolved to such a degree that a new job title is warranted to reflect the individual's acquired expertise and increased job responsibilities.

• Continuity:
  The individual will continue to work in the same unit/lab with the same supervisor.

• No New Position/No Vacancy:
  The new job title does not represent the creation of a new position, i.e., a new position in addition to the old position; and the old position is not vacated such that a new individual may be appointed as a replacement.

• Contribution:
  The individual is an integral part of a research program and has contributed to a grant proposal that will fund the grant.

• Only One:
  If there are several individuals in the same series in the unit, the unit supervisor should explain why one person is being proposed for the change in series and others are not.

Sample Format for a Letter to request a Waiver

ADDRESSING: TO: (Appropriate person (e.g., a dean); see table below) VIA: Carla Solomon, Director, Office of Academic Diversity and Equal Opportunity FROM:Dept/Unit Chair

PARAGRAPH #1: State what is requested; for example: The Department of (X) requests a waiver of the open recruitment process in order to appoint (full name) to the position of (rank, step), at (%) time, at a salary of ($), effective (date).

PARAGRAPH #2: Describe the skills and qualifications of the individual. If the person is at the junior level, describe the educational background and training that has led this person to the threshold of the proposed appointment. If the individual is at a more senior rank, describe the area of research, the person's national or international reputation in the field, and the uniqueness of skills and knowledge.

PARAGRAPH #3: Provide a justification for hiring the individual without an open recruitment. Answering the following questions may be of help in developing appropriate details for the justification: What will this person do for the unit? What functions will the person perform? How the skills of the individual be used to perform the function? What are the business (i.e., research, teaching) needs of the unit? Why is it essential that the unit have someone with the skill set described above? Are the skills and qualifications of the individual so unique that no one else could be obtained via an open recruitment to do the job? Explain how or why these skills are so unique. (In other words, fully describe the connection between the unit's business needs, the function of the job, and the skills of the person.) For a very senior candidate, how will the skills and qualifications enhance the excellence of the unit and the University? If the request is for a change in series, consider addressing the factors presented above under General Waivers.

A waiver request must always be signed by the department chair/ORU director. Please include the initials of the person writing the letter or a department contact at the bottom of the request.

Addressing and Routing Waiver Requests

Addressing: Use the table below to identify the person to whom the request should be addressed. OADEO is usually included in a "Via" line. Routing: Letters should be routed first to OADEO. Exception: Letters from SOM units should first be routed to the Associate Dean for Academic Affairs.

GENERAL CAMPUS (Instructional Positions)
Campus Unit	Address Request To:
Jacobs School of Engineering	Dean Frieder Seible (for LRF) or Assoc. Dean Jeanne Ferrante (for non-LRF)
Division of Physical Sciences	Dean Mark Thiemens
Division of Biological Sciences	Dean Steven Kay
Division of Social Sciences	Dean Jeffrey Elman
Division of Arts & Humanities	Dean Seth Lerer
Graduate School of IR/PS	Kim Barrett, Dean of Graduate Studies
Rady School of Management	Kim Barrett, Dean of Graduate Studies
Colleges	Barbara Sawrey, Associate Vice Chancellor for Undergraduate Education
GENERAL CAMPUS (Positions in ORUs and Centers; positions in Research, Project Scientist, and Specialist titles)
All Units	Sandra A. Brown, VC for Research
GENERAL CAMPUS (Library/Extension Positions)
University Libraries	Carla Solomon, Director of the Office of Academic Diversity and Equal Opportunity (MC 0065)
Extended Studies & Public Programs
HEALTH SCIENCES (All Positions)
School of Medicine	Andrew Ries, Associate VC for Academic Affairs, HS
School of Pharmacy & Pharmaceutical Sciences	Andrew Ries, Associate VC for Academic Affairs, HS
SCRIPPS INSTITUTION OF OCEANOGRAPHY (All positions)
SIO -- All Units	Ray Weiss, Associate Dean for Academic Affairs, SIO

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