1. Search Waivers in UC Recruit
March 28, 2017

2. Campus Resources ACADEMIC PERSONNEL
Helly Kwee – MLPS, Engineering, ORUs, Bren x5428
Karen Moreno – Social Sciences, Academic Programs, Creative Studies, Educ, HFA
x5429
Joanna Kettmann – Research Series, Project Scientists, Specialists, UCPath
x5048
Billy Ko – Post Docs, GSRs, academic student titles, Asst. & Jr. Specialists
x4441

3. Campus Resources cont’d
ACADEMIC PERSONNEL (cont’d)
Andrea Dittman – PPS entry; Intercampus payments; Reports, general info
x3445 andrea.dittman.ucsb.edu
June Betancourt – UC Recruit, training, general AP policy
x5728
Equal Opportunity & Discrimination Prevention Office
Lia Cabello x3294
Academic Affairs Information Technology Helpdesk
AAIT x2495
Your Division or College Dean analysts
AAIT – Technical Lead on UC Recruit is David Lynch. Strongly encourage you to utilize his expertise UC Recruit, esp because UC Recruit is constantly evolving
Also Director Cindy Doherty - x8332

4. Today’s Agenda Search Waivers Processing
What’s changing and what’s NOT changing?
Definitions & categories
Preparing & submitting your search waiver request in UC Recruit
Demo

5. What is not changing? Policy is not changing Red Binder VII-1
An open recruitment, available to all qualified applicants, is a preferred hiring mechanism since it provides substantial assurance of compliance with University policy and the quality of the individual offered a position
RB VII-1 – Most academic recruitments will be external recruitments open to all applicants and are listed in various off-campus publications and the UC Recruit job board.
External recruitments help the campus commitment to achieving equal opportunity and diversity.

6. Policy is not changing (cont’d) Open recruitment is req’d for:
Permanent titles
Senate faculty (ladder faculty, LPSOE, LSOE), University Librarian
Temporary titles
Lecturers, Specialists, Project Scientists, Professional Researchers, Academic Coordinators, Adjuncts (paid), Professor of Practice, Librarians, Postdoctoral Scholars*
* If postdoc position is to be filled via open search, standard search protocols apply
Postdoctoral position is a full-time training program of advanced academic preparation and research training under the mentorship of a faculty member

7. Exemptions from Open Recruitment
Policy is not changing (cont’d)
Exemptions from Open Recruitment
Admin positions
Recall appointments
Visiting (Prof, Researcher, Proj Sci series, “true visitor”)
Unit 18 Lecturers openly recruited previously within same department
Positions requiring student or trainee status, e.g. Postdoctoral Scholars*
Change in series
Without Salary (any title)
*see previous slide
True visitor = on leave from or retired from an equivalent position at another academic institution.
Student titles: e.g. teaching assistant, graduate student researchers
Change in series: A modification of the current position from one Senate series to another (i.e. Lecturer SOE to Professor) or one nonsenate research series to another (i.e. Project Scientist to Researcher) assuming the original appointment had either an open search, an approved waiver or is exempt from search due to without salary status.

8. Search Waivers Policy is not changing (cont’d)
Special circumstances may on occasion justify a waiver of the search requirement
A search waiver is formal approval to hire an individual directly into a specific academic appointment without an open recruitment
The individual hired must meet the criteria for the appointment, and if the waiver request is approved, that approval is specific to that individual and cannot be transferred
Search waiver requests must fit an appropriate category and contain required elements as outlined in Red Binder VII-1
Waivers will only be approved in certain circumstances. Please contact the Academic Personnel Office to review search waiver guidelines before submission. Search waivers that do not comply with the guidelines will not be approved.

9. QUIZ
TRUE or FALSE?
Your department needs to find a Unit 18 pre-six lecturer to teach Engineering Ethics 101. A faculty member tells you about a candidate who holds a degree in engineering, as well as teaching experience at Cal Poly in the very course for which you’re recruiting. You have seen this candidate’s excellent course evaluations (they were provided to you directly by the candidate), and she’s a perfect fit for the position. You can use the exceptional opportunity category to justify the search waiver request.
FALSE – exceptional opportunity is not a category available for non-senate titles.
Follow up question: it’s Sept 19th, and classes start Sept 22nd, and the ladder faculty assigned to teach Engr 101 just went out on medical leave for fall quarter. Is there a search waiver category available to use?
Yes – emergency hire

10. Senate Search Waivers Red Binder VII-1
Senate title categories
Partner Hire
Exceptional opportunity
President’s Postdoctoral Fellowship
Dept sends waiver request memo to EVC via Dean in UC Recruit
Category
Identify FTE
Dept Vote
Discussion
Exceptional Opportunity justification (if applicable)
Campus consultation (OEO, CPB, CAP)
EVC Approves or denies search waiver in UC Recruit
Dept preps appt case if request approved
If not approved, open search must be conducted
Campus consultation can involve CAP (Committee on Academic Personnel), CPB (Council of Budget and Planning), and EO (Equal Opportunity Office).
The Director of Equal Opportunity & Discrimination Prevention will provide information regarding the request in the context of the Campus Affirmative Action Plan and placement goals. The Council on Planning and Budget will provide guidance regarding resource allocation for the position. The Committee on Academic Personnel will provide an initial assessment of the candidate’s qualifications for an academic senate position
Consistency with the criteria above does not guarantee a waiver will be granted.
(To request a search waiver, the department prepares memo addressing the following: • Which category of waiver is being requested. • The departmental vote on the request for a waiver. • A report of the departmental discussion of three major issues: 1) the candidate’s qualifications; 2) the candidate’s programmatic fit within the departmental academic plans; and 3) the source of the FTE and the impact of the appointment on the departmental FTE plan • In the case of an Exceptional Opportunity request, an explanation why it is not possible to consider the candidate as an applicant in an open search (for example, the individual under consideration is available only for a limited period of time.)

11. Non-Senate Search Waivers Red Binder VII-1
Non-Senate title categories
Emergency Hire
Spousal or Domestic Partner Hire
PI/Co-PI/Leadership Status
Continuation of Training
Research Team
Dept sends waiver in UC Recruit
EEO analysis memo
Dean review (for positions where approval is AVC)
Dean or AVC
Approves or denies search waiver in UC Recruit
Dept prepares appt if approved
If not approved, open search must be conducted
Emergency hire: Unexpected circumstances result in insufficient time to recruit: ( e.g., unexpected illness, leave of absence of faculty , emergency research need) Waivers will be granted with a specific end date.
2. The hire of a spouse or domestic partner in order to initially hire or retain a Senate faculty member: Waivers will be granted for the duration of employment in the job series.
3. The proposed appointee is the principal investigator, co-principal investigator of a grant/contract, or has been named in the grant/contract for a specific leadership role. Supporting documentation must be
available in the departmental file and may be requested as necessary. Waivers will be granted for the duration of the contract or grant.
4. the proposed appointee is currently a graduate student researcher or postdoctoral scholar at UCSB and will remain for a short period to complete a research project begun while in the current status. Waivers may not be granted for longer than one year.
5. the proposed appointee is part of an existing research team of a new faculty member relocating from another academic institution and will be continuing in the same capacity in the lab. The waiver is valid for the duration of appointment in the same title within the same team.
Dean review is req’d for Acad Coord, Adjunct Assoc or Adjunct Full in academic departments.

12. Policy is not changing (cont’d)
Question: What is the“Other” category in the UC Recruit search waiver menu?
Answer:
“Other” is not a search waiver category – do not select it
Other

13. UC Recruit – NEW Search Waivers module
What is changing?
UC Recruit – NEW Search Waivers module
Documentation & reporting features track how the campus fills academic positions
Open Search, Search Waiver, or Exemption
Exemptions module eventually will be added to UC Recruit
Official record of hiring mechanism; subject to audit
Helps ensure that the campus meets its requirements as an equal opportunity employer and as a federal contractor

14. UC Recruit – Search Waivers module What does the department upload in UC Recruit?*
Dept creates new search waiver by clicking on the “Create New Search Waiver” button within the module, generating a unique SWR#, similar to the JPF# in searches
Dept populates WAIVER INFO fields by clicking through:
Position – position working title [name of waiver in the system], home Dept, AY in which request was initiated, position duties field, affirmative action goals
Candidate – name, CV, current UC employment, qualifications open text field
Appointment – Dept, title code, step, percent time, appt date(s)**
This is a summary of the information that the department puts into the search waiver request – full department user guide is available on AP’s Training and Materials website
EXR# will be used for exemptions
*see the full User & Approver guides on AP’s Training and Workshops webpage
** recommended

15. Dept populates WAIVER INFO fields (cont’d):
Justification –
identify type (Senate/Non-Senate) & category of waiver
Justification narrative field
Waiver duration – effective date and whether time limited or permanent
Previous waivers, if applicable and within same department
Documentation – supporting documents (Dept memo for Senate waivers can go here)
Non-senate requests should use text fields in the module
Senate requests can be dept memo as they are now; enter “See Department Memo in Documentation section“ in text fields
This is a summary of the information that the department puts into the search waiver request – full department user guide is available on AP’s Training and Materials website
If search waiver is created in error, analysts can delete it, but only if it has not already been submitted for approval
Once submitted for approval, only a UC Recruit administrator can delete the waiver. Waivers cannot be undeleted, even by administrators.

16. How does the department send the request for approval via UC Recruit?
Preview your search waiver request under APPROVALS section by clicking “Preview waiver request PDF” (optional)
When the search waiver is ready, click the link in the status bar, Submit it for approval
If the waiver is incomplete, a checklist appears. Follow the "Add Now" links to reach the missing data fields

17. Search waiver approval in UC Recruit (cont’d)
Try again! Return to the status bar and click the link again, Submit it for approval
When the waiver is complete, a list of approver's steps appears
Cancel if approvers list seems incorrect & contact help at – Otherwise, click Yes, submit for approval
The approval request screen opens
Add a comment: Permanently attach a comment to this waiver request. Approvers will see your comment when they log in. Approvers can add comments here as well
Notify approvers: also records a comment, and sends notification; use this option judiciously
“Notify approvers” sends and blast. May choose to send to:
All approvers
Previous approvers
Current approver
Pending approvers

18. Search waiver approval in UC Recruit (cont’d)
Each approval action triggers notification to next approver in the queue
Changes requested by an approver and made by the department while approval is in progress will “live update”
The last required approver in the approval workflow is the Final Authority and will make the final decision on the search waiver request
The final authority has the ability to approve or decline the search waiver
If all approvers have approved, the system records a “snap-shot” PDF, similar to Search Plans, Short List Reports, and Search Reports in recruitments. This is a snapshot in time; a historical record of what was approved. The final PDF of the approved search waiver is available for download. Click the Preview waiver request PDF button

19. Search waiver approval in UC Recruit (cont’d)
Once the final approver approves or denies the request, the department will receive an notification advising of the outcome
If the search waiver request is denied
Conclude waiver
Dept may search to fill position with open recruitment process in UC Recruit
If the search waiver request is approved
Prepare appointment request for submission, referencing the SWR#
Hire once proposed appointment authorized

20. Concluding a waiver
Concluding a waiver indicates that the entire waiver process is complete. The waiver should be concluded whether it was approved or denied.
Conclusion records hiring outcome information (was the candidate hired or not?) and indicates that the waiver is done
If Yes, the candidate was hired and entered into payroll; has a start date and an employee ID
If No, the candidate was ultimately not hired for some reason, even though search waiver was approved
Conclusion provides the central offices with the information they need for reporting
Conclusion can be reverted if search waiver is concluded by mistake

21. Extensions of approved search waivers (Non-Senate)
Requests for extensions of existing waivers may be forwarded as part of the reappointment request as long as they are for the same position and within the same category. Depts do not need to initiate a new request in the system.
From RB VII-1: An existing waiver with an end date may be extended if the appointment continues to meet the criteria under which the waiver was originally granted. The request to extend the waiver may be included with the reappointment request and must specify the new end date.
The approved SWR# may be referenced within the reappointment request.

22. QUESTIONS?