Campus Academic Personnel Manual

A. General Provisions

A great university needs to be able to act quickly on its own behalf when standard operating procedures could result in missing potential hires of exceptional benefit to the institution as well as for hiring or retaining top faculty to our campus. Waivers of open recruitment for Senate faculty positions are meant to provide an exceptional hiring strategy for academic units that occurs outside the traditional open search, and requests should be forwarded for consideration with a clear justification for this exception. For a Target of Excellence waiver of recruitment, the justification should include the extraordinary faculty record where it is clear that such faculty would improve the overall excellence of UC Santa Cruz. For a Spousal/ Domestic Partner waiver of recruitment, the justification should include an explanation that the request is being made for hiring or retaining excellent faculty. The latter waiver of recruitment request should meet an identified high priority in the department or division. As the campus pursues excellence through diversity, serious consideration is placed on proposals that contribute to the goals of inclusivity and equity through teaching/mentoring, research/creative work, and/or service activities.

Senate positions should be filled via open recruitments and be based on the Academic Plan of the department and division. Use of waiver policies should not be used as a mechanism to circumvent fair and equitable hiring practices. Requests for waivers of open recruitment should be relatively infrequent, and proposals for both types of waivers must clearly demonstrate a very high probability that the hire will be of significant and continuing value to the UC Santa Cruz campus community. In addition, both types of waiver proposals must outline the resource requirements and include an off-cycle request for recruitment authorization that indicates the divisional source of funding.

When proposals affect more than one department or division, agreement regarding the impact on current and future resources must be reached between the relevant departments and dean(s) in advance of submitting the proposal and documented in the decanal letter of support (see Section C below).  

Proposals for waivers of open recruitment and corresponding documents are considered a recruitment record and as such are subject to the same confidentiality as other recruitment documents.

Justifying a waiver of open recruitment request for a Senate faculty position is through either Target of Excellence (TOE) or Spousal/Domestic Partner. The requestor must choose the appropriate waiver request for their specific case as both options cannot be pursued for the same candidate. Departments must discuss potential candidates with their dean and have decanal support prior to preparing the proposal. Formal consideration of proposals is never guaranteed and deans must discuss preliminary plans for a TOE or Spousal/Domestic Partner proposal with the Campus Provost in advance of submitting a proposal in writing.

1. Target of Excellence (TOE)

The criteria to meet the standards of this waiver of open recruitment are considerable. Justification for a TOE-based waiver of open recruitment requires that the recommending unit provides compelling evidence that the individual is an eminent scholar of outstanding quality, possesses a unique and distinguished record in all aspects of professorial activities (research/creative work, teaching/mentoring, and service), including a commitment to equity and diversity, relative to the proposed appointment level, and would bring prominence to the department, division, and/or campus. In addition, departments must provide detailed information explaining why an open recruitment cannot be conducted. For example, timing is critical as the candidate would no longer be available at the time of an open recruitment due to other offers. Typically, a person being pursued as a TOE hire will be at the tenured level. Proposals for a TOE hire at the Assistant Professor or Assistant Teaching Professor level may be considered, but are rare; however, the candidate is still required to meet all of the distinguished criteria described above, even at the Assistant Professor rank.

2. Spousal/Domestic Partner Hire (See APM 110-4 (10) for definition of Domestic Partner)

A waiver of open recruitment for a Senate position may be requested in cases involving either the recruitment or the retention of a Senate faculty member whose spouse/domestic partner meets the standard qualifications and requirements for appointment at UC Santa Cruz. In this policy, the department/program receiving the spouse/domestic partner is referred to as the “hiring department.”

Justification for a spouse/domestic partner waiver of open recruitment requires that the hiring department provides clear evidence that the individual possesses an academic record that would make a notable contribution to the department, division, and/or campus. This academic record can speak to research/creative work, teaching/mentoring, and service, as well as their contributions and/or plans or commitment to equity and diversity, commensurate with the proposed appointment level.

B. Department Proposal for a Waiver of Open Recruitment

A proposal for a waiver of open recruitment requires the following:

1. TOE Proposals (prepared by the hiring department)

Departments are required to consult with the dean in advance of preparing the TOE proposal to discuss what additional information, such as budgetary information (start-up request, etc.), the dean may require from the department.

1. A clear explanation of the situation which gives rise to the request for a waiver of open recruitment, including the background details that have resulted in pursuing a TOE waiver;
2. The reason why the department is pursuing a waiver instead of conducting an open recruitment and inviting this individual to apply;
3. The anticipated rank, salary, and effective date of the proposed appointment. The specific step is not required at this time. If the waiver is approved, the department will provide its recommendation and vote on rank, step, and/or salary as part of the appointment file;
4. The specific outstanding qualification(s) of the individual that would justify a Target of Excellence appointment (See A.1);
5. A description of the individual’s area of expertise and explanation of how this hire would benefit the Academic Plan of the department and division, including the anticipated benefits to the recommending unit; and a discussion of the impact of the hire on the long-term curricular plans of the department and division. Proposals must also include a discussion of how the individual contributed to diversity, equity and inclusion through their research/creative work, teaching/mentoring, and/or service in their past work and/or how they plan to contribute to diversity, equity, and inclusion through their research/creative work, teaching/mentoring, and/or service in their position at UC Santa Cruz; and
6. The individual’s curriculum vitae
7. A statement from the individual addressing their past and/or potential future contributions to diversity, equity, and inclusion through their research/creative work, teaching/ mentoring, and/or service.
8. Proposals in the Professor series must include two to three sample publications or creative works. Proposals in the Teaching Professor series must include evaluations and course materials (syllabi, sample tests, sample assignments, etc.) for a minimum of three courses, as well as commentary by the department or other knowledgeable source on the candidate’s overall teaching effectiveness.

2. Spousal/Partner Hire Proposals (prepared by the hiring department)

Departments are required to consult with the dean in advance of preparing the proposal to discuss what additional information, such as budgetary information (start-up request, etc.), the dean may require from the department.

1. A description of the recruitment or retention situation that gives rise to the request for a waiver. If the recruitment or retention is in a department other than the hiring department, the dean shall address the situation leading to the request for a waiver (see C.1.a. or C.1.b., below);
2. In recruitment-related cases, the proposal shall include the Recruitment Final Ranking Documentation (Search Report from UC Recruit) for the spouse/partner’s open recruitment.
3. The anticipated rank, salary, and effective date of the proposed appointment. The specific step is not required at this time. If the proposal is approved, the department will provide its actual recommendation and vote on rank, step, and salary as part of the appointment file;
4. Discussion and clear evidence that the individual is qualified for appointment at UC Santa Cruz (e.g., significance of record of research and publications/creative works; teaching/mentoring experience; holds an appointment or offer for an appointment as ladder-rank faculty at a UC-comparable institution);
5. A description of the individual’s area of expertise and the benefits to the Academic Plan of the hiring department, division, and campus, including a discussion of the impact of the proposed spouse/domestic partner appointment on the long-term curricular plans of the department.
6. A discussion of how the individual contributed to diversity, equity, and inclusion through their research/creative work, teaching/mentoring, and/or service in their past work and/or how they may contribute to diversity, equity, and inclusion through their research/creative work, teaching/mentoring, and/or service in their position at UC Santa Cruz
7. The individual’s curriculum vitae.
8. Proposals in the Professor series must include two to three sample publications or creative works. Proposals in the Teaching Professor series must include evaluations and course materials (syllabi, sample tests, sample assignments, etc.) for a minimum of three courses, as well as commentary by the department or other knowledgeable source on the candidate’s overall teaching effectiveness.

3. Proposal Routing

The hiring department shall forward the complete proposal to the dean of their division.

C. Decanal Support for a Waiver of Open Recruitment

1. Decanal Support Documentation

1. A letter of support for the proposed waiver of recruitment, which must include the dean’s assessment of the benefits to the hiring department, division, and campus of the TOE or Spousal/Domestic Partner hire, including a discussion of the impact of the proposed appointment on the long-term curricular plans of the department and division and how the proposed appointee may contribute to diversity, equity, and inclusion through their research/creative work, teaching/mentoring, and/or service;
2. In Spousal/Domestic Partner hire cases, if the recruitment or retention issue is within the division but in a department other than the hiring department, the dean, after consultation with the department trying to recruit or retain a faculty member, shall also include an assessment of the impact on that department if the recruitment or retention is not successful. When a Spouse/Domestic Partner proposed hire is in a division other than the one trying to recruit or retain a faculty member, the proposal requires contributions from both deans. The hiring dean (the dean who will gain the spouse/domestic partner) will provide the assessment described in C.1.a., above; whereas the dean handling the recruitment or retention case will address the points outlined in section B.2.a. of this policy. Each of the dean’s assessments must outline the financial obligations their division will commit to the proposed new hire. In some cases, divisions may wish to develop an MOU to accompany the proposal.
3. An off-cycle request for recruitment authorization of a Senate position form. The proposal must include an outline of the expected financial contribution of the division(s) and department(s). For both TOE and spousal/domestic partner hires, it is expected that the provision be underwritten with a vacant permanent faculty position and be of high priority to the division. The department/division will make usual contributions to salary and startup expenses. All TOE and spousal/domestic partner hires count as part of the receiving department’s faculty complement.

2. Proposal Submission

The hiring division will forward the completed proposal to the Academic Personnel Office with a copy to the Vice Provost for Academic Affairs. Any missing material may significantly delay the review process.

D. Review of the Proposal

After preliminary review of the proposal, if the Campus Provost/Executive Vice Chancellor (CP/EVC) has verified funding availability for the position and has assurance that this request fits divisional priorities, the proposal will be sent to the following Senate Committees for review and input: Committee on Affirmative Action and Diversity, Committee on Academic Personnel, and Committee on Planning and Budget. Following receipt of the Senate Committees’ assessment letters, the entire proposal is forwarded to the CP/EVC for final review for budgetary and waiver authorization.

E. Authority

The Campus Provost/Executive Vice Chancellor (CP/EVC) has authority for budgetary authorization for a Senate faculty position after consultation with the Academic Senate Committee on Planning and Budget.

The CP/EVC has delegated authority to approve or deny a waiver of open recruitment for a Senate faculty position after consultation with the Academic Senate Committee on Academic Personnel and Committee on Affirmative Action and Diversity.

Upon approval, the hiring division will be provided with a waiver number to verify recruitment compliance and to be included in the appointment dossier.

If a waiver request is denied, there is no opportunity to appeal the decision unless there is a significant change in circumstances or a procedural error has occurred. Hiring units should consult with the Vice Provost for Academic Affairs, who will determine whether an appeal is appropriate.

F. Decision

The hiring division will be informed of the CP/EVC’s determination, with copies to the department. Departments and divisions will be provided with copies of the responses from the Senate committees at the time they are notified of the final decision.

The offer of a Senate faculty appointment to a spouse/domestic partner under a waiver of open recruitment is contingent on the acceptance of a Senate faculty appointment by the recruited candidate, or the successful retention of a current Senate faculty member. This contingency must be stated in the offer letter to the spouse/domestic partner.

G. Appointment Process

If the proposal for a waiver of open recruitment is approved, including budgetary authorization, the appointment dossier will follow the normal academic appointment procedures detailed in CAPM 404.220-A.4, including review by the Committee on Academic Personnel. Appointment files for both TOE and spousal/domestic partner hires must include all the same materials required for appointments following open recruitment, including external letters.

For tenured and security of employment level appointments, departments will be required to solicit external evaluation letters independent of letters solicited by or names provided by the candidate, before an appointment offer can be extended.

In addition, for TOE hires, the appointment file must contain substantial evidence that the candidate is truly distinguished, and external evaluation letters must be from scholars who are independent from the candidate and who themselves are distinguished. This may require the department to solicit additional letters beyond what is normally included in tenured appointment files.

TOE appointment files must also contain the candidate’s statement addressing their past and/or potential contributions to diversity, equity, and inclusion through their research/creative work, teaching/mentoring, and/or service. The expectation is that a TOE appointment file would be able to address their past efforts as well as their plans for contributing to an inclusive environment at UC Santa Cruz.

For spousal/domestic partner hire candidates, departments are strongly encouraged to ask prospective spousal/domestic partner hire candidates to submit a statement addressing their past contributions to diversity, equity, and inclusion through research/creative work, teaching/mentoring, and/or service, and their potential plans for contributing to an inclusive environment at UC Santa Cruz.