Appendix 23: Faculty Search Guidelines

In all cases which are deemed appointments, the Chair or Director is to prepare a completed "Recruitment-Selection Data and Compliance Form." This form is designed to provide the information and assurance of compliance necessary to determine whether search requirements have been met and to provide data necessary for analyses of the recruitment process.

Chairs and Directors have the responsibility to make decisions whether proposed personnel actions are or are not "appointments" under these guidelines, and to make decisions whether proposed appointments (other than in the Regular Professor Series) are in compliance with these guidelines.

 

I. Actions Deemed Not Appointments

The following personnel actions are not deemed "appointments" and therefore are not subject to the compliance procedures set forth in these guidelines:

  • reappointment of any individual whose original appointment was "in conformity" with full search requirements;
  • permanent or temporary reassignment of an appointee in one of the several professorial series from one unit to another;
  • adding a without-salary teaching title for an individual holding a non-academic or academic research position, in order to authorize instructional activity by the appointee during the course of his or her normal responsibilities;
  • an additional joint appointment (less than full time or without salary) in the same series in a department or unit other than that in which the individual is currently appointed;
  • reclassification of an appointee from Program Representative to Continuing Education Specialist in University Extension; and
  • appointment of an individual in the Regular Professor Series, transferring from an appointment in a different series, where the original appointment of the individual was made in later expectation of the transfer, and the search undertaken at the time of the original appointment was equivalent in character and scope to that which would have been required at the time for the position to which the transfer was contemplated, (e.g., appointee in the Visiting Professor, Professor-in-Residence, or Acting Professor Series later transferred to the Regular Professor Series).

There may be other proposed personnel actions, not included in those listed above, which might also appropriately not be deemed appointments. Questions about such proposed actions may be directed to the Vice Chancellor for Equity, Diversity & Inclusion.

 

II. Recruitment-Selection Data and Compliance Form

The Recruitment-Selection Data and Compliance Form is to be completed for all actions that have been deemed appointments (see 1-6 above for actions not deemed appointments). This document should be forwarded with the appointment dossier or any other appointing document to the Academic Personnel Office. The first page of the form is to be completed in all cases. If the appointment was made in conformity with full search requirements, search information must be entered on the second page with advertisements and announcements attached. Information is gathered from this form for required reporting purposes and for post audit by the Academic Personnel Office.

The Department Chair or Director must sign all Recruitment-Selection Data and Compliance Forms. His/her signature certifies that the appointment is in compliance with the provisions of the campus Academic Search Guidelines. The signature also indicated that the appointment has been made either in conformity with full search requirements or has been determined to be an exception.

The Dean’s signature is required for all appointments made to the Regular Professor Series. It certifies that the appointment in the Regular Professor Series was conducted in conformity with full search requirement as set forth in the campus Academic Search Guidelines.

Files relating to a specific recruiting effort should be retained for 36 months from the beginning of the appointment.

Though not specifically stated on the Recruitment-Selection Data and Compliance Form, the certification of the Chair and/or Dean implies each of the following:

  1. that the department did not define its curricular or programmatic requirements, or other qualifications for the position such as appointment level, so as needlessly to preclude recruitment of women or minority candidates;
  2. that efforts to assure a suitably extensive search were undertaken and that notice was given that UCLA is an Equal Opportunity Employer;
  3. that the decision as to whether and how to advertise the position was consistent with applicable policy guidelines;
  4. that the action taken and the process which led to it were free of bias with respect to race, religion, ethnic background, or sex;
  5. that no individual was denied consideration on the basis of unverified assumptions concerning his or her acceptability to the department or to individual members, his or her career intentions, or his or her child-care or other family responsibilities;
  6. that no individual was denied consideration for appointment because of his or her relationship to another employee of the University; and
  7. that in recruiting for a position in the Regular Professor Series explicit consideration was given during the search to departmental appointees in the Professor-in-Residence Series and other members of the departmental non-ladder staff whose qualifications correspond to departmental programmatic priorities.

 

III. Faculty Search Requirements

The Recruitment-Selection Data and Compliance Form provides a means of reporting the search undertaken in order to fill a specific position. The nature and the scope of the search is determined by the nature of the position to be filled. In filling a ladder position in the Regular Professor Series, a national search, by advertising and other means, is ordinarily required. In filling a part-time continuing non-ladder position, a search limited to the local geographic area is appropriate. These are examples of searches which are "in conformity" with the Faculty Search Requirements.

A. In Conformity

Normal channels of search should be used to the maximum feasible extent as appropriate for the specific type of position: advertising in appropriate publications, letters, announcements and other communications to organizations and individuals, and the like, to assure that individuals qualified for a position have an opportunity to apply. The position to be filled should be clearly described. For example, if it is possible that appointment might be made at the Assistant or Associate Professor rank, depending on the qualifications of the appointee, the appointment should not be described solely as at the assistant professor level.

Advertisements and other communications should carry the statement, "UCLA is an Equal Opportunity Employer." Copies of advertisements, letters, announcements and memoranda recording verbal communications concerning recruitment should be attached to the Recruitment-Selection Data and Compliance Form."

B. Exceptions

There are several types of situations in which an appointment can properly be approved where there has been a limited search or no search. Exceptions to more extensive search requirements may be approved. Examples of permissible exceptions follow. Please note that there cannot be appointment to a position in the Regular Professor Series by an exception.

1. (i) — Emergency Temporary Exception - Limited Search/No Search

A department may need to make a last-minute appointment, in order to accommodate to an unforeseen occurrence—e.g., to appoint an individual to teach one course in a quarter about to begin. In such situations departments should make whatever search is reasonable in the circumstances. For example, a department may limit the individuals to be considered to qualified individuals holding other types of appointments in the department. Or a department can prepare beforehand panels of names of individuals by appropriate search methods, to draw upon in such cases. An exception because of an emergency is limited to the specific need which must be met, and cannot be for a duration of more than one academic year. Subsequent appointments to the same position may be made only after more extensive search "in conformity." A limited search or no search may also be appropriate for intermittent appointments, which are of a short duration--e.g., an department may have a need for a lecturer every third year for one quarter. Again, a department should prepare beforehand panels of names of individuals to use as a resource for these types of appointments.

2. (ii) — Continuing Exception - No Search

Sometimes departments wish to appoint individuals to academic positions for which search processes are inappropriate because no allocation of a UCLA position is involved. Examples include individuals who have fellowships, sabbatical leaves from other institutions, or grants or awards of various types which will provide their support, and where UCLA academic appointments are desirable, to provide for teaching or research activity which would not otherwise take place. Such exception can be approved, in appropriate cases, as "continuing exceptions," as long as the outside support continues. If reappointment after one year is made where there is a continuing exception the reappointment would not be deemed an appointment for compliance purposes (as set forth in Part I.A.(2) of these guidelines).

3. (iii) — Continuing Exception - Without Salary Appointment - No Search

Another example is the individual who is proposed for a without-salary position, in circumstances in which the department would be ready to provide a similar appointment for any other similarly qualified individual who might be available. In these cases there are not "applicants" or "candidates" for a single position, from whom the appointee is selected, and hence it is appropriate to consider them as exceptions to search requirements. Such exceptions can be approved, in appropriate cases, as "continuing exceptions," as long as the without-salary appointment continues. If reappointment after one year is made where there is a continuing exception the reappointment would not be deemed an appointment for compliance purposes (as set forth in Part I.A.(2) of these guidelines).

Search processes may also be inappropriate in connection with the UCLA academic appointment of an individual who is employed by an organization or institution affiliated with UCLA where the appointment is necessary in order to enable the individual to participate in a UCLA program. An example is the part-time teaching appointment, without salary, of an individual in an outside organization or institution to which UCLA students are assigned for clinical experience. Such an appointment can be made as an exception ("continuing" if appropriate), if the organization or institution follows employment procedures in compliance with relevant legal requirements. When making such a UCLA appointment all qualified employees of the affiliated organization or institution should be considered.

4. (iv) —Temporary Exception - Outstanding Qualification & Expertise - No Search

An individual with unique and outstanding qualifications who can fill a special need in a department, can in appropriate cases be appointed as an exception. Approval should be granted only in special circumstances. It is not a sufficient reason for approval as such an exception that the proposed appointee is well or highly qualified for the position. There must be documentation of unique expertise not otherwise reasonably available. Such an exception cannot be made for more than one academic year.

5. (v) — Appropriate exceptions which do not fall within the above categories

Occasionally the circumstances of an appointment will warrant approval as a temporary or continuing exception other than in situations described in the preceding categories. Proposals for such exceptions should be discussed with the Vice Chancellor for Equity, Diversity & Inclusion.

C. Appointments of Opportunity

Exceptions

1. (i) — Occasionally it will be desirable and appropriate to waive search requirements in connection with the proposed appointment in the Regular Professor Series of an individual whose qualifications are so unique and outstanding, and whose potential value to the campus and the department is so great, as to justify the waiver. Examples include Nobel Laureates and members of the National Academy of Sciences and equivalent organizations.

2. (ii) — It may also occasionally be desirable and appropriate to waive search requirements where successful recruitment of the leading candidate in an ongoing search will be ultimately dependent upon a suitable academic appointment for his/her spouse. The Vice Chancellor of Academic Personnel may authorize a waiver of normal search requirements with regard to consideration of the appointment of the spouse if:

  1. the appointment of the candidate in the ongoing search would be of special significance to the campus; or
  2. programmatic need for the spouse’s appointment is demonstrated; and/or
  3. the appointment will be substantially equivalent to one held by the spouse elsewhere, the appointments will be in different departments, and the impact of making both appointments will not be adverse to the University’s overall search efforts.

In either case, a Chair or Director may seek permission to make the appointment without instituting or completing normal search procedures. Such a request, addressed to the Chancellor, should be made by the Chair or Director, with full explanation and justification to the appropriate Dean, by a separate document (not the Recruitment-Selection Data and Compliance form). Such a request is finally acted upon by the Vice Chancellor of Academic Personnel, after consultation with Vice Chancellor for Equity, Diversity & Inclusion and review of the recommendation of the Senate Diversity and Equal Opportunity Committee.

If a waiver of search requirements is authorized, the appointment may then be recommended by the department pursuant to normal procedures. The departmental recommendation will be reviewed by the Council on Academic Personnel, and, if appropriate, an ad hoc review committee, before final administrative decision.

 

IV. Responsibilities of Deans

Deans have the responsibility to review and approve all proposed appointments in the Regular Professor Series and to monitor the determinations of Chairs and Directors with respect to actions not deemed appointments, and other appointments.

In the event the Dean is not convinced of conformity in the case of an appointment to the Regular Professor Series, the Dean should consult as he or she sees fit with the Vice Chancellor for Equity, Diversity & Inclusion. If after such consultation the Dean determines that the action should not be released, the case should be forwarded, if the Chair or Director so requests, to the Vice Chancellor of Academic Personnel with an explanation of the Dean’s findings and recommendation for action, and with any additional comment the Chair or Director may wish to make. In such a case the Vice Chancellor of Academic Personnel will make the final decision whether the proposed action should be released.

 

V. University of California’s Nondiscrimination Policy

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 identity, pregnancy,1 physical or mental disability, medical condition (cancer-related or genetic characteristics), 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).2 This policy applies to all employment practices, including recruitment, selection, promotion, transfer, merit increase, salary, training and development, demotion and separation. This policy is intended to be consistent with the provisions of applicable State and Federal laws and University policies.

University policy also prohibits retaliation against any employee or person seeking employment for bringing a complaint of discrimination or harassment pursuant to this policy. This policy also prohibits retaliation against a person who assists someone with a complaint of discrimination or harassment, or participates in any manner in an investigation or resolution of a complaint of discrimination or harassment. Retaliation includes threats, intimidation, reprisals, and/or adverse actions related to employment.

In addition, it is the policy of the University to undertake affirmative action, consistent with its obligations as a Federal contractor, for minorities and women, for persons with disabilities and for covered veterans.3 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.

In conformance with Federal regulations, written affirmative action plans shall be prepared and maintained by each campus of the University, by the Lawrence Berkeley National Laboratory, by the Office of the President, and by the Division of Agriculture and Natural Resources. Such plans shall be reviewed and approved by the Office of the President, and the Office of the General Counsel before they are officially promulgated.

 

VI. University of California Nondiscrimination and Affirmative Action Policy Statement

The University of California prohibits discrimination against or harassment of any person employed by or seeking employment with the University on the basis of race, color, national origin, religion, sex, physical or mental disability, medical condition (cancer-related or genetic characteristics), ancestry, marital status, age, sexual orientation, citizenship, or status as a covered veterans.3

The University of California is an affirmative action/equal opportunity employer. The University undertakes affirmative action to assure equal employment opportunity for minorities and women, for persons with disabilities, and for covered veterans.3

University policy is intended to be consistent with the provisions of applicable State and Federal laws.


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1 Pregnancy includes pregnancy, childbirth, and medical conditions related to pregnancy or childbirth.

2 Service in the uniformed services includes membership, application for membership, performance of service, application for service, or obligation for service in the uniformed services.

3 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.

 

VII. Applying Faculty Search Guidelines

A. Regular Rank Professorial

In Conformity

Exception

Exception

Exception

A full search is required
for all appointments regardless of percentage of appointment.

No search is required when there is an additional joint appointment in the same series in a department or unit other than that in which the individual is currently appointed.

Temporary or permanent change in department actions are not deemed appointments therefore do not require a search.

Search requirements
are waived
for appointments to the Regular Professor Series if the individual is transferring from an appointment in a different series, where the original appointment was made in expectation of the transfer, and the search undertaken at the time of the original appointment was equivalent in character and scope that would have been required at the time for the position to which the transfer was contemplated.

 

B. In-Residence

In Conformity

Exception

Exception

A full search may be required for these appointments. If support for the position is from department funds due to a programmatic need or from endowment funds, a search should be conducted. When funding is not unique to the appointee, every effort should be made to recruit the best qualified candidate.

Continuing exceptions requiring no search are typical of this series. Individuals appointed to this series bring with them their own extramural support and usually have a positions for the life of the grant/funding. Because of the teaching component of the series, a small portion (15%) of support may be from departmental funds. Appointments made to this series must be at 100%.

Continuing exceptions for Without Salary appointments in this series require no search. In order to enable an individual who is employed by an institution or organization affiliated with UCLA to participate in UCLA programs, a WOS appointment is made. When a WOS appointment in this series is made, the Dean must certify that the appointee’s sole professional commitment is to the University, since policy states that appointments to this series must be at 100%.

 

C. Adjunct

In Conformity

Exception

Exception

Exception

A full search may be required for appointments regardless of percentage of appointment. If support for the position is from department funds due to a programmatic need or from endowment funds, a search should be conducted. When funding is not unique to the appointee, every effort should be made to recruit the best qualified candidate.

Continuing exceptions requiring no search may be appropriate to this series if the individual appointed to this series is bringing their own extramural support.

Continuing exceptions requiring no search are appropriate when the Adjunct title is being added to an already established Professional Research appointment to enable the individual to participate in teaching.

Continuing exceptions for Without Salary appointments are appropriate in many schools who offer positions in order to expand affiliations into the professional community. WOS appointments of this nature can be made without a search where the department is ready to provide a similar appointment for any other similarly qualified individual who might be available.

 

D. Clinical X

In Conformity

Exception

Exception

A full search may be required for these appointments. If support for the position is from department funds due to a programmatic need or from endowment funds, a search should be conducted. When funding is not unique to the appointee, every effort should be made to recruit the best qualified candidate.

Continuing exceptions requiring no search may be appropriate if the individual appointed to this series is bringing their own extramural support. Appointments made to this series must be at 100%.

Continuing exceptions for Without Salary appointments in this series require no search. In order to enable an individual who is employed by an institution or organization affiliated with UCLA to participate in teaching, a WOS appointment is made. When a WOS appointment in this series is made, the Dean must certify that the appointee’s sole professional commitment is to the University, since policy states that appointments to this series must be at 100%.

 

E. Health Sciences Clinical Professor Series

In Conformity

Exception

Exception

A full search may be required for these appointments. If support for the position is from department funds due to a programmatic need or from endowment funds, a search should be conducted. When funding is not unique to the appointee, every effort should be made to recruit the best qualified candidate. For appointments made at the Assistant rank, if on-going pools from the residency training program are utilized, this can be considered a search that is "in conformity."

Continuing exceptions requiring no search are typical for appointments made at the Associate and Full ranks. Fees charged from patient care and clinical services support appointments to this series. Individuals appointed are generally drawn from professional practices, therefore bringing in patients that will self-support the individual’s funding through the collection of fees.

Continuing exceptions for Without Salary appointments in this series require no search. In order to enable an individual who is employed by an institution or organization affiliated with UCLA to participate in UCLA programs, a WOS appointment is made.

F. Professional Research

In Conformity

Exception

Exception

Exception

A full search may be required for these appointments. If the position is an outgrowth of a department programmatic need, a search should be conducted. When funding is not unique to the appointee, every effort should be made to recruit the best qualified candidate.

Continuing exceptions requiring no search may be appropriate to this series if the position to which the individual is being appointed is supported by extramural funds.

Emergency temporary exceptions may be necessary when a last minute appointment must be made due to an unforeseen occurrence. No search or a very limited search may be acceptable. Emergency action may have to be taken if the original appointee becomes unavailable and the grant or work to be performed must start immediately. Waiting to appoint someone at the last minute does not qualify as an emergency, when there was ample time to conduct a search or limited search. Appointments made as an exception cannot be made for more than one academic year and subsequent appointments can only be made after a full search.

Temporary exceptions due to outstanding qualification & expertise may be made without a search to individuals who can fill a special need in the department and there is documentation of unique expertise not otherwise reasonably available. Appointments made under this exception cannot be for more than one academic year.

 

G. Project (e.g., Scientist)

In Conformity

Exception

Exception

Exception

A full search may be required for these appointments. If the position is an outgrowth of a department programmatic need, a search should be conducted. When funding is not unique to the appointee, every effort should be made to recruit the best qualified candidate.

Continuing exceptions requiring no search may be appropriate to this series if the position to which the individual is being appointed is supported by extramural funds.

Emergency temporary exceptions may be necessary when a last minute appointment must be made due to an unforeseen occurrence. No search or a very limited search may be acceptable. Emergency action may have to be taken if the original appointee becomes unavailable and the grant or work to be performed must start immediately. Waiting to appoint someone at the last minute does not qualify as an emergency, when there was ample time to conduct a search or limited search. Appointments made as an exception cannot be made for more than one academic year and subsequent appointments can only be made after a full search.

Temporary exceptions due to outstanding qualification & expertise may be made without a search to individuals who can fill a special need in the department and there is documentation of unique expertise not otherwise reasonably available. Appointments made under this exception cannot be for more than one academic year.

H. Lecturer

In Conformity

Exception

Exception

Exception

A full search is required for all appointments regardless of percentage of appointment. Depending on the number of classes, size of department and scope of instructional need, Schools may place annual, semi-annual, or quarterly advertisements in order to develop a pool of qualified candidates to fill positions as they occur during the academic year. Each pool has a duration of one year.

Emergency temporary exceptions may be necessary when a last minute appointment must be made due to an unforeseen occurrence. No search or a very limited search may be acceptable. Emergency action may have to be taken if the original appointee becomes unavailable to teach and there is either no pool available from which to select from or no time to develop a pool of candidates. Appointments made as an exception cannot be made for more than one academic year and subsequent appointments can only be made after a full search.

Temporary exceptions due to outstanding qualification & expertise may be made without a search to individuals who can fill a special teaching need in the department and there is documentation of unique expertise not otherwise reasonably available. Appointments made under this exception cannot be for more than one academic year and subsequent appointments can only be made after a full search or further significant evidence that there are no other candidates reasonably available.

Continuing exceptions for Without Salary appointments are appropriate in many schools who offer positions in order to enhance the teaching program by calling upon the expertise of professionals in the community. WOS appointments of this nature can be made without a search where the department is ready to provide a similar appointment for any other similarly qualified individual who might be available.

 

I. Academic Coordinator

In Conformity

Exception

Exception

Exception

A full search is required for all appointments regardless of percentage of appointment. Individuals in this series are eligible to be appointed to the Lecturer series WOS without a search in order to allow for teaching within the unit and program.

Continuing exceptions requiring no search are not applicable since this series oversees programs of teaching and research rather than participation. Individuals appointed on a academic year basis may be employed as Professional Researchers during the summer period without a search.

 

Temporary exceptions due to outstanding qualification & expertise are not allowed in this series. Any waiver of search must be reviewed by the Vice Chancellor for Equity, Diversity & Inclusion and approved by the Vice Chancellor of Academic Personnel.

Emergency temporary exceptions are not allowed in this series unless reviewed by the Vice Chancellor for Equity, Diversity & Inclusion and approved by the Vice Chancellor of Academic Personnel.

 

J. Academic Administrator

In Conformity

Exception

Exception

Exception

A full search is required for all appointments regardless of percentage of appointment.

Continuing exceptions requiring no search are not applicable even though policy allows for participation in both teaching and research. If an individual is identified as a Principal Investigator, individual should be appointed to an appropriate rank and step of the Professional Research Series.

Temporary exceptions due to outstanding qualification & expertise are not allowed in this series. Any waiver of search must be reviewed by the Vice Chancellor for Equity, Diversity & Inclusion and approved by the Vice Chancellor of Academic Personnel.

Emergency temporary exceptions are not allowed in this series unless reviewed by the Vice Chancellor for Equity, Diversity & Inclusion and approved by the Vice Chancellor of Academic Personnel.

 

K. Specialist

In Conformity

Exception

Exception

Exception

A full search is required for all appointments regardless of percentage of appointment.

Continuing exceptions requiring no search are not applicable because of the subordinate status or service nature of the position, providing research projects with special skills rather than doing direct research as a Principal Investigator.

Temporary exceptions due to outstanding qualification & expertise are not allowed in this series. Any waiver of search must be reviewed by the Vice Chancellor for Equity, Diversity & Inclusion and approved by the Vice Chancellor of Academic Personnel.

Emergency temporary exceptions are not allowed in this series unless reviewed by the Vice Chancellor for Equity, Diversity & Inclusion and approved by the Vice Chancellor of Academic Personnel.

 

L. Clinical Volunteer

Exception

Continuing exceptions for Without Salary appointments are made in the School of Medicine for appointments with the working title of Clinical Volunteer. Appointments made in this title are primarily used to enhance the teaching program at UCLA and are offered to qualified professional individuals in the community on an on-going basis.

 

M. Visiting

In Conformity

Exception

A full search may be required for appointments regardless of percentage of appointment. If support for the position is from department funds due to a programmatic need a search should be conducted. If the Visiting appointment is being made on an interim basis, refer to search guidelines for the series where the appointee will be proposed for his/her regular appointment.

Continuing exceptions requiring no search are typical of this series due to a maximum service period of 2 years. A search is usually inappropriate because no allocation of a UCLA position is involved. Usually this type of appointment is made for an individual who has a fellowship, a faculty member who is on leave from his/her institution or affiliation.

 

 


Revised 7/1/15

Web page updated 8/5/15