OFFICE OF EQUAL OPPORTUNITY

Location: UMD > OEO > Academic, Professional / Administrative Searches > Searches > Guidelines for Academic Searches

Please note: Some of the links on this page are Portable Document Format (PDF) Acrobat files. If you do not have Acrobat you can download the Acrobat viewer from Adobe. This download is for people who do not have Acrobat installed on their computers. It allows you to open and view a PDF file. Additional Adobe free tools are available to assist visually impaired users at access.adobe.com. If you need further assistance obtaining the information contained in these PDF files please contact us.

Guidelines for Academic Searches

Guidelines for Academic Searches in PDF

Deborah Petersen-Perlman, Director
Office of Equal Opportunity
University of Minnesota, Duluth

Required Scope of Searches ( Required Scope of Searches in PDF format )

Steps in a Search

Steps in a Full National Search

Noncompetitive Appointments ( Noncompetitive Appointments in PDF format )

09/97

University of Minnesota, Duluth

Guidelines for Academic Searches

Recruitment of talented academic faculty, administrators and professionals is of crucial importance to the educational mission of the University of Minnesota. The mechanism of the search process has been utilized as the primary way of filling academic positions. The description which follows outlines the principles to be utilized in conducting searches. They reflect the experience of the institution in conducting searches over several decades and are meant to describe the essential elements of the search process for academic, non-student appointments.

Responsibility for conducting effective and fair searches rests with all persons involved in the hiring process. However, the officers of the institution are ultimately responsible for conducting a process which results in the hiring of a diverse and talented academic work force. No procedural steps are a guarantee of such results, but experience has demonstrated that an open search process is an important step toward that goal.

Questions regarding departures from any of the elements of the framework for academic searches require the permission and coordination of the Vice Chancellor for Academic Administration and the UMD Office of Equal Opportunity.

Deborah Petersen-Perlman, Director
Office of Equal Opportunity
University of Minnesota, Duluth

The University of Minnesota is committed to the policy that all persons shall have equal access and opportunity to its programs, facilities, and employment without regard to race, color, creed, religion, national origin, sex, age, marital status, disability, public assistance status, veteran status or sexual orientation.

This publication is available in alternative formats upon request. Please contact the UMD Office of Equal Opportunity, 255 Darland Administration Building, 10 University Drive, Duluth, Minnesota 55812-2496. Telephone: 218-726-6827 or 218-726-6849; TDD/TTY telephone number: 218-726-8251; FAX: 218-726-7505.

UMD Rev. September 1997

Introduction

The purpose of this guide is to assist administrators and those conducting searches for all academic, administrative, and professional positions. It reflects sound personnel practices and fair employment law, as well as University policies. It cannot cover all questions or problems which may arise, nor can it guarantee a successful outcome. However, using it can minimize common pitfalls, including discrimination complaints.

Appointing authorities and search committee members should become familiar with the entire process outlined here before focusing on one step at a time.

The search process is intended to be flexible, to allow its use across a university, such as this one, with the many unique needs of individual departments. However, there are some requirements of process and documentation that indeed are applied across the board to all searches, as well as some guidelines, which have proven effective in conducting fair and successful searches. This document attempts to provide you with two sets of information: requirements that you must fulfill in every search and guidelines, which you will find useful for conducting searches with positive results. In that spirit, the "guidelines" for conducting successful searches are inseparable from the "requirements" of process, and it is the combination of the two that assures an acceptable search with a positive outcome.

Colleges or other units may have their own additional requirements for the search or hiring process and should be the first point of contact in the case of questions. Many units may want to augment these guidelines with their own internal guidelines tailored to meet their specific needs. You should always check with the Director of the UMD Office of Equal Opportunity to ensure that whatever requirements are added do not adversely affect protected category individuals or violate University policies on equal employment opportunity or affirmative action.

Return to Top

Definitions

Appointing Authority -- The individual with primary responsibility for making an offer of employment to a candidate. Selects and charges the search committee and, in some cases, may develop the position description.

Availability -- Refer to data using degree-awarded statistics from across the nation, which show a summary of doctorate recipients from United States universities over a particular time span and within a particular field of study, subdivided into race and gender. The figures are used to give guidance as to the number of individuals in the potential pool, so that you can judge how well your recruiting succeeded in attracting a broad cross section of the pool. Examples of sources for these statistics are "Summary Report, Doctorate Recipients from United States Universities", National Research Council (1981-1995), and "Professional Women and Minorities, A Manpower Data Resource Service", Scientific Manpower Commission, Washington, D.C., Eleventh Edition, January 1994.

Form 16 -- Also known as the "search plan",and formally titled "Description of Available Academic Position at the University of Minnesota". Describes term, type and percentage time of appointment, job responsibilities, details search committee composition, lists advertising that will occur, includes ad copy, sets essential qualif ications, outlines further selection criteria, documents approval at different administrative levels. The UMD Vice Chancellor of Academic Administration also requires that a funding form and recruiting plan be included with the Form 16 for their approval.

Form 17 -- This form is used for two purposes, and it must be submitted for review TWICE, as follows:
1. Review of Form 17 to conduct interviews. (See, Steps 6 and 7) This is also known as the interim report of the pool composition. No interviews, either by the search committee or anyone else, can occur prior to this review.
2. Review of Form 17 to extend an offer. (See, Step 8) This is also known as the final report on the outcome of the search process. An offer of employment cannot be made until all approval levels have signed off on the form.

You will note that signature lines allow space for the approving authority to specify whether "applicant pool"or "to extend offer" approval is being given on a specific date.

Form 24 -- Officially titled the "Applicant Tracking Record for Academic Employment". Used to measure the success of a search in recruiting and considering women, minorities, disabled veterans, Vietnam era veterans, and individuals who have a disability, as indicated by their presence in the pool. To be used in every search to fill a position of 75% time or more. Completion of the form is voluntary, and applicants have the OPTION to identify themselves by name for consideration under an applicable affirmative action program.

Full (National) Search -- A search which uses all eight steps outlined in these Guidelines, completely and in sequence. Sometimes referred to as a "national" search due to the requirement for advertising in a national publication. A full search can exist without national advertising in selected cases, but that is rare and must be determined on an individual case basis through conversation with the UMD Office of Equal Opportunity. (See, "Required Scope of Searches")

Limited Search -- A search which uses all eight steps outlined in these Guidelines, but with some flexibility in sequence and timetable, if approved by the Vice Chancellor of Academic Administration, the UMD Office of Equal Opportunity. (See "Required Scope of Searches")

Noncompetitive Appointment -- An appointment where there is no requirement to do either a full or a limited search. (See "Required Scope of Searches")

Goals -- The minimum number of female/minority individuals required to reflect their availability in the relevant labor market within a particular group of job titles. This is arrived at through assessing workforce and availability. In determining goals for faculty, for example, we would assess:
faculty workforce
UMD data of a "snapshot" variety taken from one specific payroll period, with figures that include professor, associate professor, assistant professor, instructor, and regents' professors (does not include faculty on leave without pay); and availability.
As explained above under the definition "Availability," statistics on degrees awarded nationally, for a specific period of years, subdivided by field of study, race, and gender.

The routing and approval requirements for the University as a whole are found on the President's Form 16 (the search plan) and the President's Form 17 (the interim pool report and final report on the outcome of the process). However, please note that the oversight and approval process for conducting searches may vary depending upon the unit in which the opening occurs. If you choose, insert the specific approval process for your unit here as a permanent reference and notify the UMD Office of Equal Opportunity.

Quick Look Mini Guide

Return to Top

I. Required Scope of Searches

The scope of a search is determined through consideration of factors such as class number, title of position, duration of appointment, percent time of appointment, and extent of responsibility.

Assessing Departmental "Climate" Before the Search

Before the search process is initiated, it is critical that the department assess its climate with respect to diversity, and -- given current strengths and limitations -- examine opportunities for recruiting. Ideally, this should be done before the position description is finalized and before search committee members are appointed.

Sample questions or discussion topics to identify unit strengths and weaknesses for recruiting people from currently under represented groups:

What is the current composition of your unit? How many men and women of different groups are in your unit? faculty? students? staff? alumni?

How much experience do people in your unit have working in multicultural settings? What current research, teaching, or other diversity-related projects are ongoing or planned?

What are the prevailing attitudes, tensions or disagreements about affirmative action, broadly defined?

The UMD Office of Equal Opportunity can suggest workshop/discussion programs on topics such as:

How diversity will strengthen the unit
Success models for recruiting different groups
Developing position descriptions to attract a wider pool of candidates

Return to Top

Do we have to do a search to fill this position?

If it is a reorganization of responsibility for which you augment existing salary:

*no, if the essential job description you are adding to remains the same;
*yes, if the reorganization of responsibility is so great you are essentially rewritting the job description
* If it is moving from less than 75% time to 75% time or greater, not necessarily. Check with the UMD Office of Equal Opportunity.

A. Full (National) Search required for:

All new and vacant positions whose terms and conditions of employment include recurring appointments on a permanent or indefinite basis and specific academic administrative positions. This includes:

Regular faculty, including tenured and tenure-track faculty, also known as "regular" appointments, positions (94XX series), and the following appointment types.
- "P" appointments -- Tenure, plus rank of Associate or Full Professor
- "N" -- Tenure-track or "probationary," which may lead to tenure
- "C" -- Special contract under 3.6 of the Tenure Regulations
Additional references: "Regulations Concerning Faculty Tenure" and "Procedures for Reviewing the Performance of Probationary Faculty" provisions contained in the current University Education Association union contract available from the Office of Vice Chancellor of Academic Affairs.
Academic professional positions, probationary and continuous appointments (96XX and 97XX series), (G) and (H) appointment types.

"Academic professional staff generally parallel disciplinary faculty in having the requisite preparation and specialized knowledge in an academic discipline or field on which practice is based and in exercising independent professional judgment. These individuals are not engaged in full-time teaching and scholarly work as are faculty, but rather are assigned to duties enhancing the research, training, and service functions of the University." (Board of Regents, 12/22/80)

Academic administrative appointments with University/campus/college-wide responsibility, with an annual (K), limited (L), or fixed (J) appointment types.

Positions at UMD subject to a national search
9305 Chancellor
9306 and 9307 Associate Chancellor and Assistant Chancellor
9308 Vice Chancellor
9311 Dean
9314 University Librarian
9334 Director (Campus/College Level)

Chair (9360), Head (9361) and Director 9362) require a national search when combined with a regular faculty appointment, as when filling a full-time, vacant position that has these duties.

Additional references: "Regulations Concerning Faculty Tenure" and "Procedures for Reviewing the Performance of Probationary Faculty" provisions contained in the current University Education Association union contract available from the Office of Vice Chancellor of Academic Affairs.

Return to Top

Hypothetical Examples of a Full Search Situation

The Department of Sociology-Anthropology has received permission to fill a full time, tenure-track position. This would require a full, national search because it is a tenure-track faculty position.

Health Services has an opening for a full-time counselor. The title of the position is counselor and the class number is 9705. This is an academic professional annual appointment, 97XX. It requires a full search, but may not require national advertising if a broad pool of applicants is available locally or regionally. If the position to be filled had been a continuous (G) or probationary (H) appointment, or has an insufficient local or regional pool, a national search, with national advertising, would be required.

The Department of Mathematics and Statistics at UMD has a faculty vacancy to fill. Among this person's responsibilities will be those of chair of the department. This requires a full search with national advertising.

The professional category was established to accommodate specific needs in academic departments and support service units that require graduate or professional degree preparation. The particular position description may have highly specialized duties and responsibilities. Most, but not all, professional classes require a graduate or professional degree beyond the baccalaureate. Some professional classes may also require state licensure, such as physician, dentist, psychologist. Academic credentials and relevant experience requirements are defined when the position is established and advertised. Class numbers and types may include:

97XX series, and
MN Extension 9621-9640

Appointments in these classes may be:

annual
fixed term
probationary
continuous.
However, the only ones subject to national searches are:
- probationary (type H)
- continuous (type G)

B. Limited Search is possible for:

New and vacant positions whose terms and conditions of employment do NOT include recurring appointment on a permanent or indefinite basis. Generally, limited searches are used to fill short-term, acting, and/or non-recurring appointments. Positions requiring a limited (but not a full) search include:

non-regular faculty positions in 94XX title series, without a tenure or tenure-track appointment, including adjunct (A), clinical (C), temporary (T) or (F) and visiting (V)
administrative positions in the 93XX title series that are not identified (including acting positions, appointment types (M) and positions that are not in the EEO-6 Executive/Administrative category)
administrative positions that augment a current faculty appointment, such as Chair (9360), Head (9361), or Director (9362)

The following position classifications may be allowed under UMD's Guidelines and Procedures for the Selection of Academic Department Heads and Certain Director Positions, Revised 07/96: Department Head (9361) and Director (9362). Whether to proceed with an internal search will depend on individual circumstances, i.e., interim, short-term appointment, etc. Contact the UMD Office of Equal Opportunity to discuss whether an internal search is appropriate in your situation and to request a copy of the Guidelines and Procedures and checklist to assist in the preparation of such a search.

academic staff professional positions in the 96XX and 97XX title series, except probationary (H) and continuous (G)
post-doctoral positions in the 95XX title series with the following titles:
- 9540 Pharmacy Associate
- 9546 Post-Doctoral Associate
- 9549 Veterinary Medical Associate
- 9554 Medical Fellow
- 9557 Psychology Fellow

Additional reference: "Academic Professional and Administrative Staff Policies and Procedures" October 15, 1990, from Human Resources.

internal searches, where only current University employees are recruited.
Few positions, if any, will be filled without some type of limited search.

(For procedural information, see Section II. B. -- Steps in a Limited Search)

Return to Top

Hypothetical Examples of a Limited Search

The Department of Chemical Engineering wants to hire an adjunct professor to teach one course in conjunction with a full-time faculty member. The appointment would be for one quarter. The class number of the position would be 94XX (A).

The Department of Accounting has a faculty member who is on a one-year sabbatical leave. The teaching and service duties of the faculty member on sabbatical need to be covered. The person hired would be classified as a temporary, non-tenure track instructor or assistant professor.

Internal Searches

Contact the UMD Office of Equal Opportunity to determine whether an internal search is appropriate in your situation.

An internal search is one with applicants recruited only from current employees at UMD. Advertising can be through UMD/University publications, flyers, or postings. An internal search requires permission from the UMD Office of Equal Opportunity. Such a search may be appropriate when:

the unit is not filling a new or vacant position, but augmenting current compensation in return for performance of additional duties (e.g., current faculty member becoming a department head).
a time factor is involved for reasons out of control of the unit, e.g., a sudden resignation, illness, or death of an employee. These would most often be acting appointments or interim positions while a full search can be undertaken.
a unit is not filling a full-time position, but augmenting or exchanging a portion of the duties of a person's current academic or faculty appointment. This is similar to example #1, where compensation is augmented.

Internal searches in general are strongly discouraged, other than for very special circumstances, such as noted above. The decision to do an internal search is usually related to budget in the sense that you determine you do not have enough funding to create a new position, and instead will rearrange some responsibilities to allow the job to be accomplished by someone currently on staff, usually with an augmentation to current salary. The prime example of this would be with department heads or certain directorships selected from current faculty ranks. Internal searches are frequently done for assistant and associate deans. Internal searches must conform to the eight search steps, as does every search.

Return to Top

The following guidelines for selection of academic department heads and certain director positions fall within the definition of an internal search:

GUIDELINES FOR THE SELECTION OF ACADEMIC DEPARTMENT HEADS AND CERTAIN DIRECTOR POSITIONS REVISED (07/96)

The following position classifications are allowed under these guidelines:

* Department Heads
* Director -- Whether to proceed with an internal search will depend on individual circumstances, i.e., interim, short-term, etc. Please contact the UMD Office of Equal Opportunity to discuss whether an internal search is appropriate in your situation.
* The dean of the college or school is responsible for assuring that the process for the selection of an academic department head or director is effective, fair, and provides equal opportunity for all qualified persons without regard to race, color, religion, sex, age, sexual orientation, national origin, veteran or marital status, or any other non-job related factor.
* Existing collegiate constitutions and departmental practices can add further specificity to these guidelines. A copy of the processes and procedures to be followed by each department shall be forwarded by the dean of the college or school to the Vice Chancellor of Academic Administration and the Office of Equal Opportunity.
* The dean of the college or school will forward a recommendation, the departmental recommendation, and a summary of the selection process to Office of Equal Opportunity and Vice Chancellor of Academic Administration.
* Once the process and selection have been approved by Vice Chancellor of Academic Administration and Office of Equal Opportunity will contact the dean of the college or school and the reassignment should be announced by the dean of the college or school to the department and may be announced to others.

C. Noncompetitive Appointments are possible for:

spousal/partner hires
exceptional situation hires
other unusual situations

Hypothetical Noncompetitive Appointment Situations

The Department of Music wants the conductor of the Minnesota Orchestra to join their staff. The desire would be initiated on the basis of that individual's holding of that particular civic post, but the vita of the individual would have to support the criteria of being someone "so recognized in professional or academic achievement as to confer a distinct benefit to the mission of the University."

The Department of Communication's senior faculty member has retired, and the department has an opportunity to hire a nationally recognized and respected ABC News correspondent. The proposed hire is from an under represented minority and someone recognized in her professional field.

Hypothetical Examples of Appointments That Would NOT Be Approved
for Noncompetitive Appointments

The UMD Health Services has an opening for a part-time counselor. They know of a woman who has expressed an interest in working with them. They want to appoint this individual without a search because their current staff is all male and adding a woman would provide a useful dimension to their current counseling abilities. This request would not qualify for approval because there is no compelling time problem (doing a search will not compromise their functioning) and because there is likely a pool of individuals available who could meet their criteria if they advertised

An assistant director in the Department of Facilities Management has done an excellent job over a two-year period. The director is now leaving and the department wants to promote the assistant director to the open position. The assistant director is a woman and the unit has a goal for hiring female employees. The assistant director has appropriate experience, educational qualifications that exceed most of those of potential applicants, and a proven record of accomplishment. This request would not be approved. While the assistant director clearly is a capable and valued employee, the reasons given for hiring this individual into a vacant position without a search are not compelling. There may well be other individuals equally qualified who should be given a fair chance to compete for the position.

Return to Top

II. Steps In A Search

There are eight steps to be followed in all competitive searches, limited, as well as full (national) searches. The steps are required for a full (national) search, but some flexibility in sequence and timing may be allowed in the steps for a limited search. Information about flexibility in sequence and timing of the steps can be found at "Steps in a Limited Search,".

STEPS IN ALL COMPETITIVE SEARCHES

Step 1: Position description and selection criteria
Step 2: Appoint search committee
Step 3: Prepare Form 16 search plan
Step 4: Advertise position
Step 5: Recruit candidates
Step 6: Screen applicants and evaluate the pool composition
Step 7: Conduct interviews and select finalists
Step 8: Appointing authority selects candidate

The Equal Opportunity Statement

The University of Minnesota Equal Opportunity Statement is required by University policy to be included in every University publication. The obvious use in job openings is in published advertisements in magazines and newspapers. It is to be included as well on the job description itself, flyers, electronic list servers & electronic bulletin boards, etc.

We include the statement in job postings to obtain the widest possible pool of applicants by emphasizing the University's commitment to an open and fair search process. We also need to use this statement continuously to ensure the community's awareness that this university is committed to the philosophy and practice of equal opportunity and affirmative action.

There are three different versions of the statement (long, medium, and short) which recognize the practical concerns of saving space on a printed page and keeping costs under control when advertising must be purchased. The long form is particularly intended for use in collegiate bulletins, employee handbooks, and application forms. It is rarely used for hiring situations. The medium form is recommended for the job description and in published job announcements. The short form is for use on posters, in cases of severe space limitations, or where cost would be prohibitive in a published paper or journal.

The long, medium, and short form versions are found in their entirety in the Appendix

Return to Top

Disability Accommodations

It is important for the University to be proactive about:

ensuring disability access when appropriate, and informing people with disabilities of the accommodations and resources available to them.

In the context of searches, it is not necessary to refer specifically to accommodations in advertisements. However, both of the following statements regarding accommodations should be included in all other communications to applicants:

To request disability accommodations, please contact (name, department, address, phone number).
This material is available in alternative formats upon request. Please contact (name, department, address, phone number).

For further information about how to provide the necessary accommodations, please contact the UMD Access Center, 138 Library, 10 University Drive, Duluth, Minnesota. 218-726-8217; TDD/TTY Telephone: 218-726-7380

Well Thought Out Position Descriptions Are Vital!

The position description must be complete. For positions with a faculty appointment, as well as an administrative or professional appointment, list both the description for faculty responsibilities, as well as the description of administrative/professional responsibilities.

Include the following information:

number of positions available (or state "several" if number undetermined)
duties and responsibilities of the position(s)
NOTE: appointment to an administrative position in the 93XX series requires the equal opportunity accomplishments of the candidate selected.
name of the hiring unit(s)
rank(s) or title(s); include qualifications and experience for each rank or a statement that "the rank will depend on qualifications and experience consistent with collegiate and University policy"
the percentage of time (usually 100%) and the annual contract term (for example, 9-11 month appointment, 11-month, etc.)
when the appointment begins (usually fall of the next academic year, e.g., September 1) for UMD
academic preparation (if both essential and desired preparation are used, distinguish between the two)
academic credentials
essential experience
licensure, board certification, or other professional requirements
selection criteria (must be related to essential and desired qualifications and duties for position), e.g., "Ph.D., two years college teaching, demonstrated evidence of research and publication," etc.
Application process (for example: letter of application, curriculum vitae, three references) and contact person/office where application is to be sent
application deadline (last date for receipt of applications)
an equal opportunity statement:"The University is committed to the policy that all persons shall have equal access and opportunity to its programs, facilities, and employment without regard to race, color, creed, religion, national origin, gender, age, marital status, disability, public assistance status, veteran status or sexual orientation."
disability accommodations statement and alternative formats statement.

Developing Diversity-Sensitive Position Descriptions

Position descriptions can signal the University's values and commitments about diversity. Here are a couple of examples of statements that might be included in position descriptions.

"The Department of Education particularly encourages the candidacy of people with research and teaching experience in multicultural, multi-racial settings."

"The University of Minnesota, Duluth strives to provide humane and productive work environments for men and women from varying racial, ethnic, and national background and varying family circumstances."

Return to Top

III. Steps in a Full National Search

STEP 1. Position description and selection criteria

Position request: It is presumed that a unit has authorization to fill a vacancy or create a new position before starting the search process. Check with your supervising administrative unit for the steps necessary to gain approval.
b) Faculty ranks and qualifications: These may vary by college but they must be consistent with University tenure regulations. Qualifications may be tailored to the needs of the department and the University, as well as to the availability of individuals in particular specialty areas. Regular faculty may be appointed as professor, associate professor, assistant professor, or instructor, consistent with existing collegiate and University policy. Initial appointments with tenure may be made only at the associate or full professor rank.
c) Position description: this includes a description of major job functions (a summary of the activities performed to accomplish the objectives of the position) and criteria for evaluation of applicants, and is set by the hiring department and/or appointing authority. These should be done with care as they will become the basis for:
1. The Form 16 ("Description of Available Academic Position at the University of Minnesota"),
2. additional selection criteria,
3. advertising and recruiting strategies, and
4. appointment and composition of the entire search committee.
Selection criteria are those standards you will use to determine which applicants to invite for an interview and, subsequently, the one who will be offered the position. They are the skills, training, and experience necessary for someone to do the job successfully. They must be submitted along with the Form 16 search plan.

Selecting a Search Committee

The following considerations should be used to select the search committee:

Women, minorities, and individuals with disabilities, whenever possible, should be included. (Faculty, professionals, administrators, staff and students from within and outside the department may be asked to serve.)
A person from outside the department (or from outside the University) should be included particularly when women, minorities and individuals with disabilities are not available within the department.
If the position involves more than one discipline or specialty, include at least one representative from each area.
Include several members with experience on search committees that yielded positive outcomes, i.e., hiring of a woman, minority or disabled individual.
Student representation is encouraged, unless there is a good reason to the contrary.
Additional reference: Memo from Richard J. Sauer, Interim President, on "Student Representation on University Committees," September 2, 1988, from Equal Opportunity office, and "Students Serving on Search Committees, " 1992, from Student Senate Consultative Committee.

A well-qualified chair is:

a highly regarded senior faculty member, experienced professional, or administrator
a person who has the respect of diverse constituencies
a person who has experience in searches successful in recruiting minorities and women
a person who is skilled at conducting meetings
a person knowledgeable about affirmative action, as broadly defined

Return to Top

STEP 2. Appoint search committee

A search committee with a well-defined charge will be assembled by the appointing authority, in consultation with the department's regular faculty or appropriate administrator, the dean or appropriate unit administrator, and the Director of the UMD Office of Equal Opportunity. The list of search committee members must be approved by the collegiate/unit administration, including the Director of the UMD Office of Equal Opportunity before potential members are asked to serve. Any changes in the search committee after the Form 16 is approved and filed must be reviewed and approved through the same channels as the Form 16. For major administrative positions, the Vice Chancellor of Academic Administration, Vice Chancellor of Finance and Operations, or chancellor will appoint the search committee in consultation with appropriate college, campus, or University groups (including faculty, staff, students and the community).

The search committee

Chair: The chair is responsible for overseeing the entire search process, working closely with the appointing authority and the UMD Office of Equal Opportunity to ensure careful records are kept and procedures are followed. A crucial first task of the chair is to establish projected dates: for meetings, reviewing applications, interviewing, and making recommendations to the appointing administrator (within the time constraints imposed by the search plan and the charge to the search committee).
Composition: Search Committee members should understand the position's requirements, the department's needs, and University policy regarding equal opportunity, affirmative action, and diversity. A committee for a national search should have at least five members. This number includes the search chair.
Charge/responsibilities: The appointing authority is responsible for the charge to the committee. At the first meeting with the committee, the appointing authority will clarify the position description, selection criteria, and the charge. The charge, in writing, should include the following:
- approximate date of referral of finalists
- number of finalists to be referred
- equal opportunity and affirmative action requirements, including goals for the position
- arrangements for financial and staff resources (including travel, long-istance phone calls, meals and housing)
- personal responsibility of each member for equal opportunity and affirmative action, and confidentiality
- the requirement to maintain accurate records (including minutes, contacts with applicants/nominees, and decisions)
- any unique concerns regarding the position

Essential Qualifications (Essential Academic Preparation and Experience) and Selection Criteria

When an open position is filled at the University, applicants are evaluated according to certain standards or criteria in order to determine who to interview, and eventually who will receive an offer of employment.

Two sets of standards can be used: essential qualifications and selection criteria.

To determine essential qualifications and selection criteria, list the knowledge, skills, abilities, and academic preparation you believe are relevant to the particular position. Then, review this list and determine what will be considered essential qualifications and what will be considered selection criteria.

For example, if you are hiring a probationary assistant professor in the Department of Chemistry, you would ask yourself, "What is essential for this person to succeed in this role?" Since this position will be covered by the Tenure Regulations, teaching, research and service will all be necessary components of the job. Essential qualifications are likely to include an earned doctorate and a record of publications. Selection criteria might include specialization in a specific subfield, evidence of potential for professional distinction in research, and demonstrated evidence of successful classroom teaching.

Essential qualifications -- These are specific attributes required by the nature of the position and essential to do the job. They are used to determine which applicants are qualified (i.e., "Without this background and experience, an applicant cannot be considered further.") When developing essential qualifications, keep in mind that they must be:

job related
demonstrable and measurable
attributes which cannot be acquired through training normally provided on the job
not so unique that it is unlikely anyone in the anticipated pool will have them
necessary to perform the job successfully

Selection criteria -- These provide a way to measure the extent and quality of the applicants' education, experience, knowledge and skills, as they relate to the specific duties of the position. They are used to determine applicants who will be interviewed and ultimately referred to the appointing authority. In developing selection criteria, keep in mind that they must be:

established prior to recruitment
job related
weighted (percentage assigned) or ranked by importance to the selection
measurable or demonstrable as can be determined in the selection process
free of bias (having no adverse impact on protected class applicants.

See "Evaluating Pools with Diversity in Mind"

Selection criteria must be applied equally and consistently to all applicants. They must be weighted/ranked and evaluated based on the importance and percentage of time spent on tasks. If, for instance, one is searching for a fund raiser in an office where there is a full time writing staff, the fund raiser might use oral communication 80% of the time in his/her efforts and write about 20% of the time. Therefore, writing skill should account for 20% of the assessment. Also, for each selection criterion think about HOW you will assess specifics. Your sources, or measurement tools will include such things as resume/CV, references, letter of application, record of publications, and interviews. If one selection criterion is the ability to write well, your sources might include the letter of application, publications, and written references. If the committee can't agree on evidence (measurement tool(s)) that would support a given selection criterion, this may be one to eliminate.

Return to Top

STEP 3. Prepare Form 16 search plan

After the position description is prepared, the appointing authority must prepare the Form 16 search plan. To develop the plan, the appointing authority should consult with the search committee chair, particularly regarding recruitment strategies (steps 4 and 5). In formulating and executing the search plan, the appointing authority should begin by reviewing the departmental faculty composition (or appropriate work force), availability of women and minority individuals in the discipline(s) and specialty area(s), applicable goals for women and minority individuals and results from previous recruiting and searches during the last five-year period. These data (the "Faculty Employment Profile") are available from the UMD Office of Equal Opportunity. The Form 16 must be approved by the department head, dean, Vice Chancellor of Academic Administration/Vice Chancellor of Finance and Operations, chancellor (if required) , and Director of the UMD Office of Equal Opportunity, before any advertising or recruiting may occur.

The Form 16

The Form 16 is also known as the search plan. It must include:

the position description/announcement (including essential qualifications and selection criteria, as described in STEP 1). Desired qualifications may be included.
advertising copy of the position description, plus a list of specific journals/publication, newspapers, mailings, and other personal or public contacts designed to attract the best candidates from diverse backgrounds. Include a list of professional associations/organizations, if any, and any other recruiting efforts.
the equal opportunity statement (to appear both in ads and announcements): "The University of Minnesota is committed to the policy that all persons shall have access to its programs, facilities, and employment without regard to race, religion, color, gender, marital status, national origin, disability, age, public assistance status, veteran status, or sexual orientation" (medium form). OR "The University of Minnesota is an equal opportunity educator and employer" (short form).
a deadline (postmarked date) for the search.
the chair of the search committee and a list of all committee members.

The UMD Office of Equal Opportunity will review for consistency the Form 16, selection criteria, position description/announcement, ad copy, and essential and desired qualifications. The information contained in those documents should closely match.

The original, multi-part Form 16 and one copy of any attachments must be submitted for approval.

Please see approval path.

Return to Top

Policies Regarding Position Descriptions and Advertising

Take care in determining the essential qualifications for a given position, because once the position is approved on the Form 16 and advertised, no applicant, however outstanding, may be considered unless he/she meets the essential qualifications you have selected.

If the Ph.D. (or MFA, MA, MS, BA, BS) is one of the essential requirements, it is understood that the degree must be in hand when application is made. The search committee Is not permitted to consider an "all but dissertation" (ABD) candidate in this case. (Search committee is responsible for verifying status of degree.) Additional reference: Memo from Carol Carrier, August 2, 1990, "Hiring ABD (all but dissertation) Applicants," Human Resources Additional reference: prohibition against "Age-Related Qualifications in Job Positions," Office of Equal Opportunity and Affirmative Action
To consider applicants who will have the required degree by date of appointment, but not at the time of application, the Form 16 and the advertising must state so explicitly, for example, "Ph.D. by 9/01/97."
A minimum other than a Ph.D. may be appropriate. For example,
if the MA, MFA, or ABD is acceptable and a Ph.D. is preferred,
this fact must be stated on the Form 16 and advertising. In this
case, a graduate degree or ABD is acceptable but preference may
be given to applicants with the Ph.D.
If the Ph.D. in any field is acceptable, the Form 16 and advertising should simply state "Ph.D. required." If a degree in a particular field is required, the Form 16 and advertising must state the field, for example, "Ph.D. in History." Remember that a broader pool of qualified candidates may be attracted by requiring the Ph.D. or other terminal degree "in ________ or a related discipline." In that case, the search committee must be clear on which fields are acceptable. A report of availability of qualified individuals by academic specialty, race and gender (NOT individual names) is available from the UMD Office of Equal Opportunity.
The last date for receipt of applications should allow ample time to attract the best candidates. Under normal circumstances, a minimum of at least six weeks is recommended between the approval of the Form 16 and the application deadline. Depending on the particular position, availability of a diverse pool, and the efficiency or adequacy of the recruiting strategies, a shorter or longer recruiting period may be recommended. The six week time period assumes that the advertisements are placed with journals and other publications in a timely manner. The intent is to give potential applicants and nominees time to respond to the announcements. The deadline for nominations may occur before the deadline for applications or remain the same for both.

Additional reference: Memo from Patricia Mullen, May 26, 1987, regarding the nomination process.

STEP 4. Advertise position

Only after the Form 16 with attachments has been approved by the Director of UMD Office of Equal Opportunity, vice president/provost/chancellor (if required) may advertising and recruiting begin.

Advertising is crucial because the success or failure of identifying, attracting and maintaining a pool of qualified candidates depends, in part, on:

quality and variety of communication and media used to inform potential applicants
coordination and timely placement of advertisements and other announcements
professional and timely response to applicants, inquiries and nominees

Return to Top

selecting journals and publications
- Recruiting strategies should target appropriate professional journals, publications and other methods designed to attract qualified applicants. The advertising sources chosen will depend on the position's identified qualifications and discipline(s) or specialty area(s). In reviewing the following recommendations, keep in mind the need for an open public search and the need to attract a diverse pool of qualified candidates.
  1. Provide written notice of the position to professional associations and appropriate committees concerned with the placement of women, minority individuals, disabled individuals or Vietnam Era veterans (also identified as affirmative action individuals).
  2. At minimum, place an advertisement in an appropriate national publication (for example, the Chronicle of Higher Education or the Chicago Tribune), one professional journal and one other national or regional publication targeted to recruit protected group individuals.
  3. In addition, announcements may be sent to:
  - graduate institutions where qualified women, minority and disabled candidates can be found; organizations and professional caucuses for women, minority and disabled individuals in the discipline/profession for inclusion of position announcement in their journals and newsletters; departments and colleagues at other institutions with the request to contact, nominate or recommend candidates including women, minority individuals, disabled people and Vietnam Era veterans; professional meetings (caution is advised in distinguishing between informal discussions with potential candidates and formal interviews by the search committee); The UMD Commission on Women and the UMD American Indian Advisory Board may be utilized in disseminating position descriptions to interested and qualified candidates. b) advertising and recruiting Searches that do not move ahead in a timely manner can frustrate both the department and the candidates and can lead to unsuccessful outcomes. The search committee or appointing authority must ensure that the approved ads and announcements are submitted in time to meet the publishing deadlines and the search committee's time frame. While it is unlikely that all advertising will occur at the same time, the more visible advertisements should be placed soon after the Form 16 approval to allow potential applicants sufficient time to apply. A search committee member or staff person should be appointed to coordinate advertising, retain copies of all ads and other mailings and record the dates. (See "Recordkeeping During a Search.") c) responding to applicants and nominees The success or failure of a search also depends on the search committee's timely and professional response to candidates through each phase of the search. The committee should decide how it will respond to potential applicants and nominees. (See, STEP 5) Someone should be assigned to this task, and should keep a record of contacts made. Additional reference: "Recruitment Contact Sheet". See, also, "Recruiting Suggestions" and "What is Active Recruiting?" Preliminary screening of applications may begin before the application deadline; however the selection criteria must be determined and recorded before the review starts. Applicants who do not meet the essential requirements should be informed in writing as soon as possible (refer to STEP 6, "Evaluate the pool composition").

Recordkeeping During a Search

The University is required by state and federal law to maintain and report summary information (ONLY totals and various groupings -- no names are reported) about applicants and hires by race, gender, disability status, and Vietnam era veteran status. Specific information may be requested pursuant to individual complaints or compliance reviews.

The chair of the search committee is responsible for ensuring that complete records are kept during the search. After the search is completed, storage of the committee files is the responsibility of the appointing authority. As a general rule, the file usually goes where the appointing authority is (or was at the time of the search). For example, in the case of a search for a Collegiate Dean, the appointing authority would be the Vice Chancellor of Academic Administration. Upon completion of the search, all files should be maintained by the office of the Vice Chancellor of Academic Administration.

Search files must be kept for six years after the search is completed. Questions about contents and disposition of the files after six years should be referred to the office of the University General Counsel. (Files on searches which are in litigation must not be disposed of until completion of litigation.)

At a minimum, the committee files should include the following:

the Form 16, position description, ad copy(ies)
actual copies of announcements, advertising, and other solicitations for applications and nominations
applications, nominations, correspondence, evaluations, references (and reference checks), and a record of verbal contacts with or about applicants or nominees
minutes for all committee meetings, to include selection criteria, decision making, voting, etc. The intent is not to record everything said, but to keep accurate records of rules you make and decisions reached
the committee's interim pool report (Form 17) described in STEP 6
evaluations of candidates at each step, evaluations of candidates who are interviewed, reasons why candidates were not referred for selection, and the faculty vote on tenure decisions

Return to Top

Recruiting Suggestions

There should be opportunities among committee members for discussion of effective recruitment strategies early in the process (i.e., after candidates have been identified, but before screening the pool).

While current policy and fair employment law require that positions be publicly advertised, the informal exchange of information among colleagues is still one of the most successful practices for identifying candidates in higher education, so long as protected-group candidates are included.

Often, outstanding candidates do not apply for advertised positions; they may have to be approached by a member of the search committee or another faculty member. These "good faith" efforts should be documented.

In addition to seeking nominations, the search committee and the department are encouraged to use the following activities for current and future positions:

Encourage faculty who will be attending professional conferences or visiting other universities to combine their visits with recruiting efforts. They should be encouraged to solicit curricula vitae from promising candidates. Resources can be current lists of caucuses or subgroups within professional organizations, or ask the Director of the UMD Office of Equal Opportunity for suggestions or presentations of successful models at networking.
Establish a working relationship within other departments where women and minorities are already on board, persons who might be willing to make calls to established networks.
Survey women and minority caucuses within relevant professional associations to solicit names of potential candidates.
Maintain ongoing contact with professional organizations, associations and agencies that have a job referral service.
After sending announcements to departments at other universities, follow up with a personal contact or phone call to inquire about potential candidates at those institutions.

Additional references: "CIC Directory of Minority Ph.D. Candidates and Recipients" lists individuals from the "Big 10" schools and the University of Chicago. "Minority and Women Doctoral Directory (MWDD)" is a national directory of minority and women doctoral students who have recently received their degrees from one of approximately 60 major research universities in the United States. The UMD Library has a copy of both sources that you may consult.

Invite women and minority scholars from other institutions to participate in department-sponsored symposia and visiting appointments.
Use a personal approach to contact potential candidates who have been identified or nominated. If an individual declines a nomination or does not respond to your letter, try to contact the person by phone to determine if the reason for declining can be addressed or resolved.
Use the internet and consider minority publications. Check with your department for list serves on the internet. Check with the UMD Office of Equal Opportunity and/or your department for information on minority publications.
Ask the Director of the UMD Office of Equal Opportunity for presentation of some local or national successful models for activating professional networks.
Use a search firm known for its success in recruiting affirmative action candidates.

Return to Top

STEP 5. Recruit candidates

The search committee is not limited to the advertising and other hiring plan activities on the approved Form 16. Other appropriate strategies should continue to evolve during the recruitment period and before the deadline for applications. a) Nominees: may be given additional time beyond the deadline to complete their applications, as long as the committee has contacted them by the deadline and the nominee has agreed to be a candidate. If the initial contact of the nominee by the search committee is informal (in person or by phone), the committee should document the response and forward a letter of acknowledgment, regardless of the initial response. Nominations may not be accepted after the deadline unless the search is re-opened, requiring approval to amend the Form 16 hiring plan. b) Applicants: acknowledge all applications. Applicants who meet the deadline should be sent a letter of acknowledgment that includes a job description and a request to voluntarily complete and return the Form 24. For incomplete applications, the letter of acknowledgment should include a request to provide the missing information by a specified date, in most cases the last date for receipt of applications. However, the search committee must clearly define the elements of a "complete application" and incorporate them into the entire evaluation and selection criteria. Applications received after the deadline (based either on postmark date or receipt date, whichever was stated in the announcements and ads) cannot be considered by the committee. Candidates should be informed of this in writing. Late applications cannot be considered unless the search is re-opened, requiring approval to amend the Form 16 search plan. At this point the search committee must complete evaluation of the pool of applicants and seek approval of the pool before conducting interviews. The appointing authority will then ask the search committee to:

invite candidates for interviews
reevaluate the current pool and the application of the selection criteria
or extend the search

What is Active Recruiting?

Have you:

asked members of the department to call colleagues at other universities to see if they know of women and minority candidates who might be qualified for and interested in this position?
called or sent the full position description to women and minority caucuses of relevant professional organizations?
made use of appropriate list-serves/computer bulletin boards?
engaged local networks of people in related fields in the University or area colleges, corporations, and businesses to see if they know of potential candidates?
done a survey of departments at other universities to see which departments have a strong record of awarding Ph.D.s to women and minorities?
contacted relevant professional organizations for any rosters of women and minority Ph.D.s in the field?
had a discussion in a department or search committee meeting to brainstorm other active recruiting strategies?

Evaluating Pools with Diversity in Mind

At the outset, before evaluating any applicant's materials, establish explicit criteria for narrowing the pool of candidates.

Avoid disadvantaging people who have "stopped out" of degree programs for a while; take into account things like raising children, getting particular kinds of training, developing a disability, etc.

If you encouraged the candidacy of people interested in women's studies and/or multicultural scholarship, give weight to these qualifications in the screening process for all candidates, not just women and minorities.

While screening, keep in mind that institutions of education have histories too, and some eminently respected ones have only recently begun to actively serve women and minorities. Keep an open mind and do not allow the reputation alone of an institution, however well earned, to blind you to the value of other solid schools, perhaps not as widely known.

Actively work to minimize the effects of unconscious and conscious stereotypes in screening candidates.

Return to Top

HYPOTHETICAL SUCCESSFUL SEARCHES

The Physics department at UMD has recruited two women recently in a field where the pool of candidates is not heavily populated with females. While those involved attribute some of their success to "luck," they helped that "luck" grow in some specific ways. They felt that most important was presenting the U of Minnesota as a good place to be. It is always a good idea to keep in touch with candidates about whom you are enthusiastic. The dean, search committee chair, or department head can call to express interest in the candidate's progress and a real desire to have them join the Minnesota faculty. In this instance, a fortunate factor was that the department had been filling a number of open positions, so many vital, energetic peers were in place, providing an attractive setting for future growth.

The Department of Communication has a particular success story, too. A woman strongly recruited by a number of schools selected Minnesota. Reasons for her choice included being given the strong impression that Minnesota really wanted her. As with the Physics department example above, the head of the Department of Communication called her and kept in touch with her, signaling a strong desire to have her as a faculty member. In addition, she felt they were sensitive to her personal growth. When she expressed a specific need regarding time to establish a publication record, the director detailed for her, before she accepted the offer, exactly how that need would be addressed. The director anticipated her questions before she asked them, so he had answers ready, a signal to her that he had thought about her candidacy thoroughly and sincerely.

STEP 6. Screen applicants and evaluate the pool composition Applicant Pool

As part of the evaluation of the results of search advertising and other recruiting efforts, the search committee must:

screen applicants
prepare a tentative list of candidates to interview or seriously consider
prepare a report (use Form 17) describing the pool composition and documenting the search and evaluation procedures. a) Screening: The search committee's first screening of applicants will be to determine which candidates meet the essential qualifications, as listed on the approved Form 16, the advertising, and the position description. Preliminary screening of the applications may begin before the application deadline IF the selection criteria have been documented in writing. Individuals who do not meet the essential requirements should be informed in writing as soon as possible. One or more members of the search committee, or a staff person, may review the applications to screen for essential qualifications. This will provide for consistency in the initial screening and permit the committee to proceed with further screenings. NOTE: Letters of recommendation and other applicant materials in a search may be considered private information. Search committee members, departmental committees of the whole, and the individuals staffing search committees should understand that some of the information that they have access to in the course of a search is designated as private personnel data under the Minnesota Government Data Practices Act, Minn. Stat. Sec. 13.43, Subd. 3. As such, access to this information should be limited. Therefore, all individuals reviewing or working with search materials should sign a confidentiality agreement indicating that they will not disclose search information to anyone who does not have a need to know. A sample confidentiality agreement may be obtained from the UMD Office of Equal Opportunity. b) Tentative list of candidates to interview: After eliminating those who do not meet essential qualifications, continue to refine the pool, carefully documenting selection criteria used at each screening and recording which applicants meet the criteria. Whatever criteria are used at each screening, they must be applied equally to all candidates at that stage in the process. Repeat the process until a manageable "short list" is agreed upon by the committee. The number of candidates on the short list will vary with the type of position, overall pool size, pool composition or diversity, and constraints imposed by the charge to the committee that relate to budget and number of candidates to be recommended to the appointing authority. c) Interim report and pool approval: After screening the pool is completed, the search committee chair prepares a report on this activity to the appointing authority and/or department head, using the Form 17. (Essentially this interim pool report consists of the top of the Form 17, lines 1-3, plus any additional required documents.) The report must then be approved by the department head, dean, and UMD Office of Equal Opportunity, by signing and dating the Form 17 Interim Pool Report. The original Form 17 will be returned to the search committee chair. If the report is not approved, the UMD Office of Equal Opportunity will notify the search committee chair, and additional efforts will be discussed. The report describing the pool composition should include the Form 17 with the following portions completed:

Form 16 number (example: DU 000)
Department name and department number (taken from the PAF instruction booklet)
Name of College or Unit
Name of Search Committee Chair
Applicants by race/gender
Applicants who meet the essential qualifications by race/gender
Applicants referred for interviews by race/gender
Affirmative action goals and availability percentages for women and minorities

The purpose of this review is to ensure the integrity of the search and reduce the risk of legal liability. The search committee must document the validity and the thoroughness of the search in terms of pool composition, number of candidates, and quality of candidates at each stage of the evaluation and screening process. After this review, the search committee will be asked to either a) invite the candidates for interviews; b) reevaluate the current pool and application of selection criteria, or c) extend the search.

Return to Top

Applicant Pool Checklist (for use by committees, department heads, and reviewers of Form 17)

General considerations:

Does the department have a goal for hiring either minorities or women or both? Does the goal apply to this hire?
Does this department consistently hire, retain and promote minorities and women?

Specific considerations:

Do the percentages of qualified minority and female candidates, as noted in the Form 17, meet or exceed the availability for this particular job?
Do the percentages of proposed minority and female interviewees, as noted in the Form 17, meet or exceed the availability for this particular job?
If not:
- Were the announcements and ads timely?
- Did the search committee unanimously approve the pool of candidates to be interviewed? If not, what reservations were expressed?
- Did the search committee apply the selection criteria equally to all candidates?
- Which of those criteria were not met by people of color or females who will not be interviewed?
- Did the committee members make individual contacts with potential nominators or candidates? (See, Recruitment Contact Sheet)
- Were nominees contacted and encouraged to apply?
- Did the search proceed fast enough so that candidates did not lose interest?
- Were candidates kept informed of the progress of the search?
- How interested in the position are the potential interviewees

Return to Top

Reopening A Search

A decision by the appointing authority to reopen a search may be made when the size, quality, or composition of a pool is not satisfactory. Extending the recruiting period beyond the initial time frame requires amending of the Form 16.

The decision would normally occur:

after the search committee's interim pool report to the appointing authority, or
after conducting interviews, or
after offers are declined by viable candidates.

For requests to reopen the search and to extend the time frame, the search committee chair may send a letter to the UMD Office of Equal Opportunity with copies to the charging officer, department head, dean, and Vice Chancellor of Academic Administration. The request should specify:

the Form 16 number (example DU 000)
the reason for the extension
the new time frame (deadline for applications)
at minimum, a national journal or publication for advertising the new time frame. Explain what ads will be repeated and which will be newly published.
other recruitment activities. What activites will you do this time to ensure a wider pool?

The decision to reopen should be made as soon as possible. Depending on the particular circumstances, the position, and the time of year, the search may have to be terminated.

If a search is reopened, the current applicants must be informed of their status and that of the search. Be straightforward with the applicants about the reason the search is reopened, and as informative as possible about the new time frame. Information about the new applicants that apply must be included with the documentation on the total search.

Substantial changes, including qualifications or duties, may require a new search.

Return to Top

Affirmative Action Obligations in A Search

Affirmative Action is a combination of goals, expectations, and sensitivities that should pervade all of your thinking about the attraction and selection of talent. The search committee must ensure that identifiable affirmative action candidates (by law those individuals who are members of four groups for whom the law requires special attention: ethnic/minority groups, women, persons with disabilities, and Vietnam era veterans) are given serious evaluation and consideration for an interview and selection. This does not mean that individuals who do not meet the essential qualifications must be interviewed or hired. However, it may require additional efforts in the areas of:

re-evaluation of credentials
possible inclusion of "covered applicants" in the next round of the evaluation and selection process when they rank near the cut-off level.

In hiring "the best" candidate, screening beyond essential qualifications becomes increasingly qualitative and difficult. The search committee must define its "standard" for each screening and must document consistent application of it in the evaluation of candidates and credentials. For instance, while publications may be a significant indicator of future success, they are not the only indicator. The committee may wish to examine a candidate's entire career when applying its criteria for selection. A person, for instance, who has earned a degree and entered the academic profession after taking time out will undoubtedly have fewer publications than someone of the same age whose career has been uninterrupted. If one evaluates the publication record, however, in terms of the time period over which it was produced, that person may well be the stronger candidate.

Since cut-off points have an arbitrary character, include affirmative action candidates in the next round if they are near the cut off.

Attachments to the Form 17 for the interim pool report: FIRST, report to the UMD Office of Equal Opportunity by written memo whether any changes in the Form 16 and/or search plan have occurred subsequent to their approval, which have not be discussed and approved by the Director. If the "applicants referred for interviews" includes both women and minorities, no attachments are necessary. If women and minorities are not included in this group, the Form 17 plus the following attachments are necessary:

Any additional criteria used by the search committee
curriculum vitae of all "applicants referred for interviews"
curriculum vitae of all women and minorities from "qualified applicants or applicants who meet the essential qualifications" who were not referred for interviews, along with reasons for individual non-selection for interviews If the female or minority percent of "qualified applicants" is less than the availability figures, (as determined from faculty or P/A goal EEO tables given yearly to the UMD Office of Equal Opportunity) and the search committee chair is satisfied that all possible recruiting efforts have been made, attach the above information plus the following:
a summary of all advertising and other recruiting efforts, with dates [committee files themselves should contain actual copies of all ads and correspondence regarding advertising and recruiting]
if either no women or no minorities applied, document their non-availability by explaining why you think they did not apply, and attach copies of all advertisements, postings, and announcements Any candidate may request the job-related criteria used to evaluate all applications and the evaluation of his or her own application, including letters of reference and reasons for non-selection. If, following the interviews, the search committee is not satisfied with any candidate, they may go back into the pool and select more candidates, but must resubmit the Form 17 with the new information on it.

Return to Top

STEP 7. Conduct interviews and select finalists a) preparing for interviews

Preparations for conducting interviews and sustaining the interest of those candidates will require the concerted efforts of the search committee and the department. The fact that a candidate has agreed to be considered does not necessarily mean that the person would accept the position if it were offered. Before the candidate arrives, a written agenda for the campus visit should be prepared and mailed or given to the candidate upon arrival. The agenda should include the names and titles of the staff or faculty member(s) who will "host" and escort the candidate around the campus. If a candidate is to make a formal presentation, the length should be specified in the agenda. Additional resource: "Resources for Searches to Increase Diversity"' (preparing for campus interviews), from Commission on Women Working Guide in the Recruiting for Diversity Pilot Project materials, from UMD Office of Equal Opportunity. b) campus visit and interviews All candidates should be treated the same in telephone and in-person interviews, housing, tours, and information received. In interviewing candidates, the search committee should develop a set of core questions based on the job-related criteria by which the candidates are to be evaluated. The questions should be asked of all candidates. Follow-up questions based on responses to the initial set of questions are appropriate and will most likely vary with each candidate. Evaluations and rankings should be supported in writing. If interviews are conducted by telephone because of budget constraints, or for other reasons, this process and rationale should be explained in a memo from the search committee chair and addressed to the UMD Office of Equal Opportunity. c) equal opportunity/affirmative action accomplishments record For all appointments in the administrative 93XX title series the search committee must provide the equal opportunity and affirmative action accomplishments of the candidates. This may be obtained during interviews or earlier, but must be submitted at the candidate referral stage. Depending on the particular position, the selection criteria could include the "EEO accomplishments." d) departmental decisions regarding faculty Within the hiring department, the decision to offer an appointment may require a vote of all regular faculty. If the appointment is a shared one, it may require a vote of the faculty of both departments. If the appointment involves the conferral of tenure, the University and collegiate policies apply: Initial appointments with indefinite tenure only may be made at the rank of Associate Professor or Professor. Such appointments may be made only after receiving the positive recommendation of the regular faculty holding indefinite tenure in the academic unit concerned and approval of the dean of the collegiate unit. See "Regulations Concerning Faculty Tenure" provision contained in the current University Education Association union contract available from the Office of Vice Chancellor of Academic Affairs.

Campus Visit

The way the unit presents itself, the University, and surrounding communities during campus visits can have a significant impact on the outcome of the search.

A visit might include: (1) A seminar or formal presentation by the candidate with sufficient time for comments, questions, and discussion. If the appointment involves faculty from more than one unit, representatives from those units should be invited to interview the candidate and attend the presentation. (2) A meeting with the dean or associate dean. The dean should also receive a copy of the candidate's resume and the agenda for the visit.

Candidates should have some voice in the scheduling and logistics of their visit. In advance of their trip they should receive in writing information about:

the interview process
the scholarly interests of people they will be meeting
the unit
the campus
the Duluth community.

Prior to the interview, call the candidates to ask if they would like to add any other appointments or tours, based on materials they were sent. Ask if the proposed schedule presents any problems or if they have particular needs. Ask questions like, "Do you need a slide projector, microphone, video equipment, portable ramp? If you require disability-related accommodations (e.g., transportation), please feel free to request them. Do you have any dietary restrictions or strong food preference?"

Be sure they have the opportunity to meet intellectual and professional colleagues in other units and at various points during their visit.

Anticipate and prevent awkward situations or comments that can skew the interview dynamics: restaurant inaccessibility or inconvenience for disabled; speaking to or having a meal with an entirely white, male group; inappropriate conversations about families, inappropriate remarks and jokes, etc.

Encourage participation in the interviews by inviting women's groups and minority communities. If the unit is all male or all white, be sure to provide opportunities for professional networking outside the unit.

Don't make any assumptions about whether or not members of various minority groups would want to come here (e.g., because of lack of tolerance for the weather, absence of communities to relate to, etc.).

Without asking inappropriate questions about family circumstances, let candidates know we can provide assistance and information about schools, opportunities for partners, child care or elder care, etc. Be inclusive in language about family.

Return to Top

Checklist for Form 17 Attachments

Required attachments to the Form 17 when requesting approval to extend offer:

Curriculum vitae of the candidate
If an appointment is in the 93XX title, administrative series, attach a statement on the equal employment opportunity/affirmative action accomplishments of the candidate.
All applicant tracking forms (Form 24)
For each woman and minority who was referred for, or was interviewed and either withdrew or declined thereafter, attach:
- reason for withdrawing or declining
- date person withdrew
If a woman is interviewed and not selected, attach:
- selection criteria used by the search committee during and after the interviews
- reason(s) for non-selection of all women
- curriculum vitae
If a minority is interviewed and not selected, attach:
- selection criteria used by the search committee during and after the interviews
- reason(s) for non-selection of all minorities
- curriculum vitae
For all qualified women and/or minorities who are included on line B.3 of the Form 17, but not interviewed, attach a memo identifying the reasons for not interviewing those applicants.
For appointments with tenure, report a summary of the vote regarding tenure for the candidate, if available (refer to "Regulations Concerning Faculty Tenure" provision contained in the current University Education Association union contract available from the Office of Vice Chancellor of Academic Affairs.).

STEP 8. Appointing authority selects candidate

The department head or appointing authority reviews the search committee's evaluation of all candidates who were interviewed, the list of candidates who were not recommended for selection, and the reasons candidates interviewed were not referred for selection. The appointing authority, search committee, and Director of the UMD Office of Equal Opportunity should review the goals for the department at this point. The appointing authority may now: a) interview the referred candidates (if this was not done when they were interviewed by the search committee), or b) select a candidate to whom the position will be offered, based on the committee's recommendation, or c) go back and ask the committee to reevaluate candidates, and examine files of any/all qualified applicants who were in the search pool at any point. "Women Academic Employees Policy Statement," approved April 19, 1990, from Human Resources. NOTE: No offer of a position may be extended until the Form 17 has been approved by the Department Head, Dean, Vice Chancellor of Academic Administration or Finance and Operations, Chancellor (if required), and the UMD Office of Equal Opportunity. However, candidates who were interviewed may be informed of the status of the search. VERBAL OFFERS OF EMPLOYMENT MAY CONSTITUTE A LEGAL CONTRACT AND MAY NOT BE MADE UNTIL THE FORM 17 HAS BEEN FULLY APPROVED AS NOTED ABOVE. The Form 17 path The President's Form 17, "Summary of the Affirmative Action Process Assuring Equal Employment Opportunity in Academic Appointments," is required for each individual who will be offered a position. The Form 17 path through the various offices is as follows:

The Form 17 and attachments are completed by the department (or comparable unit or search committee).

The department head signs the Form 17, thereby certifying that the information on the form is correct and that affirmative action procedures were followed. The form is then submitted to the dean's or director's office. The dean or director reviews and approves the Form 17.

If there are questions or concerns, the dean's or director's office will discuss these with the unit before signing and forwarding the form to the appropriate vice chancellor and chancellor's office (if required), who will review the document.

The form is then sent to the UMD Office of Equal Opportunity for review and approval. In the majority of cases, the approval process ends here.

However, in rare instances, the Form 17 is forwarded to the University Equal Opportunity and Affirmative Action office for approval, and, then, to the Twin Cities office of Human Resources for approval on behalf of the UMTC Senior Vice President for Academic Affairs. This typically occurs when part or all of the funding for a position comes from the Twin Cities campus.

Quick Reference: Form 17 path for approval signatures:
Department Head
Dean or Director
Chancellor (if required)
Vice Chancellor of Academic Administration or Finance and Operations
UMD Office of Equal Opportunity

WHAT'S PUBLIC --- WHAT'S NOT? privacy issues

Public Information:

Position description
Names of search committee members
Form 16 (except for sex and race of search committee members)
Attachments to Form 16
Selection criteria
Information about the process followed by the search committee
Names of finalists selected by the appointing authority
Veteran status, job history, education and training background and work availability of finalists
Form 17

Private Information

Names of applicants and nominees (unless they have been selected by appointing authority as finalists)
Information in search committee files about applicants
Information about finalists, except items listed above as public
Form 24s

Requests for information and questions about the search should be referred to the search chair. Requests for information and questions about finalists should be referred to the appointing authority. The University of Minnesota General Counsel's office may be consulted if there is any question about the public--versus--private status of information requested. Each applicant has the right to inspect his or her own file, including evaluations of the application, letters of reference and reference checks, and reasons for non-selection. An applicant does not have the right to information about other applicants. All public documents copied to an applicant should be noted in the search file, to include name of document(s) or information released, date released, and name and address of requesting applicant. If there is a need to consolidate an applicant's search file with another file, a cross-reference should be noted in both files (type a list of documents removed from one file/search and transferred to another file/search). Departments or the search committee chair should notify referees that their letters may possibly be available for review upon the applicant's request, pursuant to the Minnesota Government Data Practices Act. For appointments with tenure, report a summary of the vote regarding tenure for the candidate, if available ). The UMD Office of Equal Opportunity notifies the Dean's office, departmental contact person and/or search chair, immediately after the form has been approved. After notification of approval, the appointing authority may make the job offer to the individual. A copy of the fully executed and approved Form 17 will be sent to the Dean's office, departmental contact person and/or search chair, and UMD Vice Chancellor of Academic Administration. If the department fears losing a candidate while the Form 17 is being processed, someone may "walk" the form through the various offices. Please be prepared, however, to allow time for the form and attachments to be reviewed. Also, the candidate may be informed of the department's recommendation on the search results as long as no offer is made. "University policy re: hiring non-immigrant foreign nationals for tenure-track and tenured positions" 4/14/92, Human Resources.

Notes on Completing the Form 17

When requesting approval to extend an offer, complete the Form 17 as follows:

Refer to the Form 16 for the search and to the records and files kept during the search process.
In the upper right-hand corner of the form in the space provided, type the Form 17 number, which corresponds to the Form 16 number, for example, "DU 000."
Most of the information required for the top two lines can be taken from the Form 16. The salary figure is a "proposed" salary, since the unit has not yet made an offer of the position.
To determine the "pool of candidates" for Item B, Lines 1 to 6, on the Form 17, refer to directions on the reverse side of the Form 17. To complete the ethnic/racial columns, include applicants who are identified by the Form 24, or who are definitely known to be White, Black, Hispanic, Asian or American Indian.
For "all applicants," include all individuals who applied by the last day for receipt of applications or nominees who were contacted by the deadline date and agreed to be a candidate. For "qualified applicants," include all applicants who supplied the application information requested by the search committee and who meet the essential qualifications, academic preparation, and experience, as stated on the approved Form 16.
In deciding the racial/ethnic identification of the interviewees, refer to the Form 24 definitions.

Return to Top

The Second Campus Visit (usually for administrative searches only)

In the past several years, it has become customary to bring finalists for administrative positions back to the campus for a second visit after the search committee has completed its task and given its report to the appointing authority. These visits are not required. If they are scheduled, the following suggestions should be considered.

Be sure the candidate's schedule is not unduly burdensome. Two days of non-stop individual and group presentations, including during meals, is too much. Time should be provided for rest and for activities the candidate might want to schedule.

Since this process is partly for the benefit of the candidate and partly for continuing the evaluation of the candidate, the individual should be aware of both purposes. This is especially true if a public presentation has been scheduled. The type of presentation should be specified and the probable audience should be described.

If persons meeting with the finalist are going to have to input into the final selection, their comments should be submitted in writing. They should also have made efforts to become, at a minimum, familiar with the vitae. The letters should make clear how much contact the commentators had with each candidate.

Some groups, who frequently meet candidates, have formal protocols about the meeting. This is to be encouraged. Also, the more representative these groups are in their composition and interests, the fewer number of such meetings are necessary.

Each candidate, including any internal candidates, should receive the same treatment during these visits, consistent with the dictates of common sense.

All of these suggestions are relevant to first as well as second visits. What needs to be emphasized in second visit preparation is that the candidate as well as the search committee should be clearly informed of the purpose of the second visit, as confusion has occurred in past searches.

Remember!

The University adheres to the anti-raiding policies of the American Association of Colleges and Universities. This means that for candidates who hold probationary or tenured positions at other institutions, offers must be made by May 1. If a unit anticipates needing to extend an offer after May 1, the college must be consulted so that a waiver of this policy can be sought from the candidate's current employer.

STEPS	FULL NATIONAL SEARCH	LIMITED SEARCH
STEP 1. Prepare position description and selection criteria	No difference	No difference
STEP 2. Appoint search committee	At least 5 members on search committee	At least 3 members on search committee. For research and post-doc positions, search committees MAY not be required. Principal Investigator may select candidate . This has not been a practice on the UMD campus.
STEP 3. Prepare Form 16 search plan	Usually minimum of 6 weeks between approval of Form 16 and last date of receipt of applications Recommend four weeks of advertising?	At least 5 days required from posting to last day for receipt of applications. Written notice to all eligible staff or faculty; OR Recommend an ad in the Sunday edition of a local/regional newspaper. Alternatively, or in addition, use a list serve or an employment posting web site such as HigherEdJobs.com. The application period is, at a minimum, three weeks from the appearance of the first published ad or on-line posting.
STEP 4. Advertise position	a. Written notice to professional associations concerned with women and minorities b. Ad in one national publication, one professional journal, one national/regional publication targeted at recruiting protected individuals c. May send notice to graduate institutions, organizations and professional caucuses for protected individuals, colleagues at other institutions, professional meetings	MAY be on-campus OR MAY need broader recruiting (depending on essential requirements and availability of qualified candidates)
STEP 5. Recruit candidates	As in STEP 4 (Advertising) plus all other recruiting strategies committee can devise	Public postings of open position required. (Some possibilities specified in STEP 3.)
STEP 6. Screen applicants and evaluate the pool composition	Pool must be approved by UMD Office of Equal Opportunity prior to interviews	UMD Office of Equal Opportunity approval of pool prior to interviewing.
STEP 7. Conduct interviews and select finalists	Adhere to guidelines	Adhere to guidelines of national search when interviews are conducted. Interviews MAY not be necessary, but in all cases candidates must be treated consistently and fairly. Notify the UMD Office of Equal Opportunity in writing if interviews will not take place or if interviews will be conducted by telephone.
STEP 8. Appointing authority selects candidate	Form 17 requires appropriate approvals of unit, plus UMD Office of Equal Opportunity.	Form 17 requires appropriate approvals of unit, plus UMD Office of Equal Opportunity.

Remember, there are eight steps to be followed in every competitive search. Some flexibility is allowed in steps for a limited search. The sequence of steps remains the same, except that several steps may be combined and implemented together. This section addresses the basic differences between limited and full searches. Step-by-step details are not repeated here. See the table above for an overview of the differences between full and limited searches. Units may develop additional guidelines for limited searches to meet their needs.II. B. Steps in a Limited Search
(The combination of any steps must be justified in the Form 16, written search plan.) STEP 1. Prepare position description and selection criteria Contents of the position description are the same for national and limited searches. The responsibility for it, the ad copy, and the selection criteria remains with the appointing authority/search committee, subject to clarification and approval by the UMD Office of Equal Opportunity/Vice Chancellor of Academic Administration. STEP 2. Appoint search committee A minimum of three people should serve on the search committee. STEP 3. Prepare Form 16 search plan The requirements and contents of a full and limited search are the same with three exceptions in regard to a limited search: (1) a minimum of five working days is required for advertising; most positions will require more time. Recommend three weeks of advertising. (2) for on-campus posting, augmentations, or acting appointments, a minimum of written notice to all eligible staff or faculty, or a notice in a campus publication for three consecutive days and, if appropriate, in a local publication. For academic units which hire on a regular basis in one or more titles, the annual preparation of a Form 16, "multiple hire" may be most appropriate. In this case, the recruitment period, appointment period and deadline for receipt of applications would occur over an annual period, for example, from July to June or other annual cycle. A search committee may want to advertise an assistant professor, instructor, or visiting professor for a one-year, temporary position as a way of increasing the chances of attracting a topnotch person for the position. If the committee takes this approach, it must detail essential qualifications for each classification in the Form 16 and in the ad copy. Such a practice may be counterproductive in that applicants may become confused when reading the ad and thus not apply for the position. An alternative would be for the search committee to run two searches for the single position, i.e., a search for an assistant professor or instructor and a search for a visiting professor. Two Form 16s would be used. If a visiting professor is hired, the search for the assistant professor/instructor would be canceled, and vice versa. STEP 4. Advertise position Depending on the essential requirements and the availability of qualified candidates, on-campus advertising may be appropriate for some positions. However, other positions may require broader recruiting. STEP 5. Recruit candidates When time and circumstances permit, committee members should be responsible for actively developing additional recruiting strategies. Page 26, "Recruiting Suggestions" from STEP 5, Full Searches, may be appropriate for use in limited searches. In all cases, informal conversational recruiting among colleagues must be augmented with additional public postings of open positions. STEP 6. Evaluate the pool composition Positions subject to limited searches require that the UMD Office of Equal Opportunity approve the pool prior to conducting interviews. NOTE: Letters of recommendation and other applicant materials in a search may be considered private information. Search committee members, departmental committees of the whole, and the individuals staffing search committees should understand that some of the information that they have access to in the course of a search is designated as private personnel data under the Minnesota Government Data Practices Act, Minn. Stat. Sec. 13.43, Subd. 3. As such, access to this information should be limited. Therefore, all individuals reviewing or working with search materials should sign a confidentiality agreement indicating that they will not disclose search information to anyone who does not have a need to know. A sample confidentiality agreement may be obtained from the UMD Office of Equal Opportunity. STEP 7. Conduct interviews and select finalists In conducting interviews, the search committee and appointing authority must adhere to the same guidelines for national searches. It may not be appropriate or necessary to conduct interviews in each search. However, candidates must be treated with consistency and fairness throughout the entire process. Notify the UMD Office of Equal Opportunity in writing if interviews will not take place or if interviews will be conducted by telephone. STEP 8. Appointing authority selects candidate The appointing authority makes a decision on the candidates and submits a Form 17 requesting approval to extend an offer. Approval requirements and contents of the Form 17 are the same for national and limited searches except that: For "multiple hire" Form 16s which are filed annually, appointments may be made throughout the annual cycle as individuals are needed and as applications are received. Please note that when departments engage in a search for a temporary position, the appointed candidate may be rehired without initiating a new search, as long as no more than three consecutive quarters have lapsed between appointments. Refer to the Regulations Concerning Faculty Tenure provisions contained in the current University Education Association union contract, and consult with the UMD Vice Chancellor of Academic Administration.

IV. NONCOMPETITIVE APPOINTMENTS

Appointments to academic positions without a search or competition are to be discouraged. This is especially the case for permanent and full-time positions. We have a dual goal in taking this strong stance: we want both to improve the results of searches and also to engage in a fair process that is effective and satisfying not only for the persons hired but also for other candidates and for members of the University community involved in the search. However, because there are sometimes serious considerations that may warrant such actions, they are permitted under some circumstances: A. spousal/partner hires B. Exceptional situation hires C. other unusual situations, as specified in these guidelines, which are automatically exempt from the competitive process Requests for appointments under categories A and B may be proposed only by the President or a senior administrator such as a Vice President, Provost or Chancellor. Appointments without a search may be permitted: A. when a hire can be made under the University spousal/partner hire regulations, e.g., a case where the University wants to hire a highly qualified individual who has been identified as the finalist in a search process and for whom a major condition of their acceptance of the position is the employment of his/her spouse or partner. A spousal/partner hire might also be considered in retention cases of valued faculty where the employment of a spouse or partner may be a factor in the decision to stay or leave. B. when an exceptional hiring situation occurs, such as the opportunity to hire an under represented minority, and /or someone so recognized in professional or academic achievements as to confer a distinct benefit to the University of Minnesota's mission. All appointments under categories A. (spousal/partner hires) and B.1. (exceptional hires --Category 1. Faculty and Academic Professionals) will be reviewed by the Senior Vice President for Academic Affairs and the Director of Equal Opportunity and Affirmative Action who will make the final decision. Such a request to make an appointment without a search replaces the Form 16. Approval of the request and the Form 17 require the same procedures for approval as STEP 8 of a full national search. To prepare the Form 17, use "EX" in place of the Form 16 number and leave Section B, Applicant Pool, empty except for Line 6 (race & sex of the candidate selected). Attach a request letter responsive to the points of consideration that will go into the decision making process, and the curriculum vitae of the person to be appointed. The original and two copies of the request and accompanying documentation should be routed to the Associate Vice President for Human Resources (217 Morrill Hall) for action by the Senior Vice president for Academic Affairs and the Director of Equal Opportunity and Affirmative Action. A. Spousal/Partner Hires In reviewing requests for spousal/partner hires the following factors are prerequisites to University approval: 1. The faculty of the academic unit, the dean of the academic unit, and where appropriate, vice president, provost, or chancellor, agree that the proposed spousal/partner hire has credentials that meet the criteria for appointment at the proposed rank as demonstrated by a written record comparable to that developed in an open search. In the case of a faculty member who is to receive indefinite tenure or an academic professional to be granted a continuous appointment, the recommendation of tenured faculty in the unit or appropriate review committee must accompany the request. If the ballot cannot be taken at the time of hire, the Form 17 must indicate that tenured appointment or continuous appointment is contingent on the recommendation to be made at a later date. 2. The Senior Vice President for Academic Affairs and the Director of the Office of Equal Opportunity and Affirmative Action must approve the proposed hire. 3. If the University is primarily interested in hiring or retaining a male, the academic unit of the male must not have goals for hiring one or more women academic employees at the proposed tenure status as determined by the Office of Equal Opportunity and Affirmative Action unless the male is a member of an under represented minority in the department. The guidelines do not address the funding for a spousal/partner position and do not commit the University to fund a position even though it might meet the guidelines. Funding must be arranged before a spousal/partner position is requested. In reviewing requests for spousal/partner hires, the following factors will be considered: 1. Whether a woman has been identified by a search or an academic unit is attempting to retain a woman. 2. Whether the academic unit of the woman has a goal for hiring one or more women academic employees as determined by the Office of Equal Opportunity and Affirmative Action. 3. Whether the subject matter expertise of the proposed spousal/partner candidate is consistent with the unit's existing academic priorities/plans. 4. The affirmative action record of the unit and the impact of the proposed spousal/partner hire will be taken into account in the decision to permit hiring. Note: See the following for a checklist of documentation needed for spousal/partner hire requests.

Return to Top

Checklist of documentation needed for spousal/partner hire situation requests:

The original of each of the following items listed below go from the appropriate UMD Chancellor or Vice Chancellor, and, after approval, to the UMD Director of the Office of Equal Opportunity, and, finally, to the UMTC Vice President for Human Resources and the UMTC Director of the Office of Equal Opportunity and Affirmative Action, in the numbered order, with a completed Form 17 for the proposed hire:

____ 1. Form 17 with attachments for the primary hire.
____ 2. Curriculum vitae for the primary hire.
____ 3. Completed Form 17 for the proposed hire.
____ 4. Curriculum vitae for the proposed hire.
____ 5. Prepare Position Description. A position description must be completed for all spousal/partner hires. This should include a description of the major functions and responsibilities of the position. For appointments with more than one position (e.g., department director plus tenured faculty), information about all positions should be included. The position description should include the essential and preferred qualifications of the positions.
____ 6. Letter from the appropriate senior official (UMD Chancellor or Vice Chancellor) addressed to the UMTC Vice President for Human Resources and the UMTC Director of the Office of Equal Opportunity and Affirmative Action that includes the following information:

Statement of proposed rank, appointment type and term, academic appointment title, salary, and percentage time of spousal hire.
Statement describing the funding arrangements for the spousal/partner hire. If applicable, please attach a copy of the application letter for Bridge Funding for Faculty of Color Hires. The application letter should be addressed to Robert Jones of the UMTC Office of the Executive Vice President and Provost, 110 Morrill Hall, 100 Church Street, S.E., Minneapolis, MN 55455.
Description of how the subject matter or professional expertise of the proposed spousal/partner hire impacts the unit's existing academic priorities and long-range plans.

____7. Analysis of credentials for the proposed spousal/partner hire that is responsive to Section IV. A.1 of the UMD Guidelines for Academic Searches (revised 09/1997).
____8. Copy of hiring goals for the department affected by the proposed spousal/partner hire and an explanation of the impact of this hire on the goals
____9. If the proposed spousal/partner hire does not contribute to the elimination of an affirmative action goal, provide description of a convincing pattern of affirmative action in the past hiring activity of the unit.
____10.Where applicable, the recommendation of the unit faculty on the awarding of indefinite tenure or the committee's recommendation on awarding continuous appointment.
____11. Funding Form.
____12. Description of the Search Strategy Used form.
____13. Hiring Certification form.After the appropriate UMD collegiate/chancellor/vice chancellor/Equal Opportunity director approvals have been obtained, a copy should be faxed to Karen Linquist (FAX: 612-624-6372) to route for final approval by the UMTC Vice President for Human Resources and the UMTC Director of the Office of Equal Opportunity and Affirmative Action. Karen Linquist of the UMTC Department of Human Resources will notify the UMD Office of Equal Opportunity of the decision. The UMD Office of Equal Opportunity will notify the appropriate administrator on the UMD campus.

B. Exceptional Hires In reviewing requests for exceptional situation hires the following factors are prerequisites to University approval: Category 1. Faculty and Academic Professionals The faculty or staff and dean of the academic unit, and, where appropriate, vice president, provost, or chancellor agree that the proposed candidate has credentials that meet the criteria for appointment at the proposed rank (and appointment type) as demonstrated by a written record comparable to that developed in an open search. In the case of a faculty member who is to receive indefinite tenure or an academic professional to be granted a continuous appointment, the recommendation of the tenured faculty in the appropriate academic unit or review committee must accompany the request. If the ballot cannot be taken at time of hire, the Form 17 must indicate that tenured appointment or continuous appointment is contingent on the recommendation, to be made later. Category 2. Academic Administrators In the case of academic administrators (93XX ongoing -- not interim-- positions), a noncompetitive hire will be allowed ONLY in the case of an emergency situation. It is not envisioned that this will be the normal method of selection for these positions. The intent of this policy is to preserve the integrity of the search process by restricting the potential for exceptional situation hires in the administrative ranks to the fewest possible situations. If there is a unique situation of this sort, the President shall consult with persons knowledgeable about the requirements and current demands of the position. Those individuals will be asked to give their assessment of the appropriateness of the candidate's credentials (usually as presented in a resume or curriculum vitae) for the duties of the position (usually as presented in a job description that contains criteria for the job). The President shall also consult with the University Equal Opportunity Officer; however, the only approval necessary would be the President's. If the candidate is also being considered for tenure or continuous appointment, the recommendation of the tenured faculty in the appropriate academic unit or review committee must accompany the request. If the ballot cannot be taken at the time of hire, the Form 17 must indicate that tenured appointment or continuous appointment is contingent on the recommendation to be made at a later date. In reviewing requests for exceptional situation hires, the following factors will be considered. a. Whether the subject matter expertise and skills of the proposed candidate are consistent with the unit's existing academic priorities/plans. b. In the case of academic administrators: 1) the adequacy of the candidate's affirmative action accomplishments; and 2) the results of the consultation process. c. The affirmative action record of the unit and impact of the proposed hire will be taken into account in the decision to permit the hiring. If the unit or job group is under represented and/or the hiring of the individual will make a positive contribution to the affirmative action obligations toward minorities or women, this will be regarded positively. If that is not the case, the unit or appointing authority must identify a convincing pattern of affirmative action in their past hiring and promotion activity. Note: See the following page for a checklist of documentation needed for exceptional situation requests.

Checklist of documentation needed for exceptional hire situation requests:

____1. Form 17 for proposed hire.
____2. Curriculum vitae for the proposed hire.
____3. Prepare Position Description. A position description must be completed for all exceptional hires. This should include a description of the major functions and responsibilities of the position. For appointments with more than one position (e.g., department director plus tenured faculty), information about all positions should be included. The position description should include the essential and preferred qualifications of the positions.
____4. Letter from the appropriate senior official (UMD Chancellor or Vice Chancellor) addressed to the UMTC Vice President for Human Resources and the UMTC Director of the Office of Equal Opportunity and Affirmative Action that includes the following information:

Statement of proposed rank, appointment type and term, academic appointment title, salary, and percentage time of exceptional hire.
Statement describing the funding arrangements for the hire. If applicable, please attach a copy of the application letter for Bridge Funding for Faculty of Color Hires. The application letter should be addressed to Robert Jones of the UMTC Office of the Executive Vice President and Provost, 110 Morrill Hall, 100 Church Street, S.E., Minneapolis, MN 55455.
Description of how the subject matter or professional expertise of the proposed exceptional hire impacts the unit's existing academic priorities and long-range plans.

____5. Analysis of credentials for the proposed exceptional hire that is responsive to Section IV. A.1 of the UMD Guidelines for Academic Searches (revised 09/1997).
____6. Copy of hiring goals for the department affected by the proposed exceptional hire and an explanation of the impact of this hire on the goals.
____7. If the proposed exceptional hire does not contribute to the elimination of an affirmative action goal, provide description of a convincing pattern of affirmative action in the past hiring activity of the unit.
____8. Where applicable, the recommendation of the unit faculty on the awarding of indefinite tenure or the committee's recommendation on awarding continuous appointment.
____9. Funding Form.
____10. Description of the Search Strategy Used form.
____11. Hiring Certification form.

After the appropriate UMD collegiate/chancellor/vice chancellor/Equal Opportunity director approvals have been obtained, a copy should be faxed to Karen Linquist (FAX: 612-624-6372) to route for final approval by the UMTC Vice President for Human Resources and the UMTC Director of the Office of Equal Opportunity and Affirmative Action. Karen Linquist of the UMTC Department of Human Resources will notify the UMD Office of Equal Opportunity of the decision. The UMD Office of Equal Opportunity will notify the appropriate administrator on the UMD campus.

Return to Top

C. Other You will need neither a search nor a request for exemption in the following circumstances: 1) AWARDS AND GRANTS Individuals from either within or outside the University who have been awarded a grant through a search or competition (from either within or outside the University), including, but not limited to: Young Investigator awards and Principal Investigators. 2) CONVERTED GRADUATE ASSISTANTSHIPS Students who graduate while they hold ASSISTANTSHIPS and have not been officially admitted into another graduate level degree program, may complete any remaining full quarters of an appointment after graduation with a change of class title. The individual would change to one of the following titles in that case: Teaching Assistants to either Instructor (9404), if they have completed the master's degree, or Assistant Professor (9403), if they have completed the Ph.D., Research Assistants to Research Specialists (9755), and Administrative fellows to either Research or Teaching Specialists. The appointment cannot extend beyond June 15 (B term) or June 30 (A term). Additional reference: "Academic Personnel Policies and Procedures Manual" for complete information regarding posting requirements and guidelines for holding ASSISTANTSHIPS. 3) VISITING FACULTY Individuals may be hired on a visiting appointment, nonregular faculty appointment, Type "V," without a search. "The appointment is designated a Visiting appointment because the faculty member is from another institution or is a professional from a government or private agency on a leave of absence to accept a temporary appointment at this University" (Tenure Regulations, Sections 3.3 and 3.4). The appointment is date-specific and the rank is the same as his or her rank at the home institution. For professionals from government or private agencies, the appropriate rank depends on the person's qualifications and experience. 4) ONE-QUARTER APPOINTMENTS Individuals may be hired for one quarter (or equivalent three-month period), either full or part-time, without a search. The appointment must be date specific and is limited to one quarter. No reappointment or extension is permitted without an appropriate search. Approval of a request for this appointment must be sought from the UMD Office of Equal Opportunity, Vice Chancellor of Academic Administration or Finance and Operations, Dean, and Department Head. 5) ACTING ADMINISTRATIVE APPOINTMENTS There are three options for appointing these individuals in acting administrative ("M") positions: a) a limited search may be conducted to select a candidate for an acting position for a term specified in the search document. Only in a situation in which the search for the permanent position fails may the appiontment be extended. b) a noncompetitive appointment without an approved Form 16 on file at the outset of the acting term may be made for three months, but may not be extended. c) a noncompetitive appointment may be made for up to six months, if there is an approved Form 16 on file at the outset of the acting term, and if a search is commenced within two weeks. All noncompetitive appointments are automatically terminated at the end of the noncompetitive appointment period except as otherwise provided in paragraph (a). The first option is desired, as it maintains the standard of conducting a search of some degree for every position, while it gives flexibility to the unit involved. The second option is intended to cover the following situations:

an individual's job description specifies that he or she is acting for an administrator in his or her absence, or

a search for the permanent position can reasonably be accomplished in three months.

The third option provides additional time for the search to be accomplished. It is to be used:

when time is needed to reorganize the duties of the department or position, or

when a search cannot reasonably be done in three months.

Note: A search is not required if the appointment for an adjunct faculty member is without salary. Sometimes, adjunct faculty appointments are made to fill a particular need in a particular year. The department should appoint a two-to-three person committee to recruit, screen and select a candidate and the Dean should have final approval. If hiring adjunct faculty becomes a more regular process within the department, then the committee will want to consult with the Office of Equal Opportunity regarding implications.

How to Process a Noncompetitive Hire under the C ("Other") category

PLEASE NOTE: "One Quarter Appointments" must have the approval of the UMD Office of Equal Opportunity, Vice Chancellor of Academic Administration or Finance and Operations, Dean, and Department Head BEFORE the Distribution Document is prepared.
Complete a Distribution Document.
In the "Comment" section, cite the reason for the proposed hire under this category. Example: "Visiting faculty as listed under noncompetitive searches in guidelines"

EXTENDING THE OFFER ONCE A DECISION IS MADE
(for all academic hires regardless of search process used)

After the unit has received notification that the Form 17 has been approved, the unit may extend an offer to the candidate. The offer may be made by telephone, but the terms of the offer should be specified in a letter, and must include the following:

Regents' approval (if required): the appointment is contingent upon approval by the Board of Regents or delegates.
Type of appointment: the appointment is a regular, tenured appointment or a regular, probationary appointment leading to the possible conferral of tenure, in which case the individual's work and progress will be evaluated annually, and the decision on tenure must be made no later than the sixth probationary year.
Department in which the person is to be hired, and department in which tenure is to be held (if a shared appointment).
Percent of time of appointment (usually 100%).
Term of appointment: "M" appointments for the academic year (9 months) begin on September 1. "A" appointments (12 months) usually begin on July 1.
Rank.
Salary.
For probationary, tenure-track appointments only, tenure credit from previous service at other institutions will be granted in accordance with University policies. The unit makes a recommendation to the college, which then presents a recommendation to the Twin Cities Office of Human Resources. Tenure credit will be assigned on the basis of previous tenure-track service at a comparable institution, as the tenure code requires.
For all tenured and tenure-track faculty appointments, sabbatical credit will be granted in accordance with University policies. Sabbatical credit is not tied strictly to previous tenure-track or tenured appointment, but, like tenure credit, requires approval from the dean's office, the appropriate vice president's office and the Office of Human Resources.
If this appointment is to be a shared one (e.g. workload in more than one unit), the letter should spell out these arrangements. Where appropriate, include details on how merit salary evaluation and the promotion and tenure procedures will be handled among the units.
Remember to copy the college dean. If the appointment is contingent upon completion of the Ph.D., or if the start date of the appointment is delayed, or if any other special circumstances are involved, consult with the dean's office before sending out the final draft of the letter of offer. After the candidate has accepted the offer, the dean should ask the candidate to send a brief acceptance letter.

Return to Top

Material For The New Appointee

Once an offer has been accepted, the new colleague should receive copies of either:

the current "P and A Manual"
OR
College and University promotion and tenure documents as follows:
- Regulations Concerning Faculty Tenure and Procedures for Reviewing the Performance of Probationary Faculty provisions contained in the University Education Association union contract
- the guide to promotion and tenure for the appropriate college
- the indices and standards for promotion and tenure of the appropriate unit; (the 7.12 statement), and
- the sex-neutral guidelines for merit pay determination of the appropriate unit.

IV. General Questions Regarding Searches Who can look at search committee files and when? The search committee; appointing authority; academic dean; EEO officer. Faculty can look at candidates' files, but only those of finalists after that group is selected. Why do we not allow appointing authority to sit on the search committee? This is a check against potential interference with the search, and because feedback from chairs, when this was allowed, indicated it was burdensome. We're doing a limited search, and someone from New York applies. What do we do? S/he can go through the process the same way as any other candidate. The only problem would be if you were doing an internal search and someone outside the University applied. That person would not be allowed to be an applicant. What should be a part of the written record? Position description, charge to committee, selection criteria, Forms 16, 17, all Form 24s all committee minutes that deal with decision making, evaluations of candidates, reasons for dropping someone out of the group at every point those decisions are made, communications with candidates, written record of verbal contacts and/or references, actual ads and announcements, recruitment efforts, recommendations to appointing authority, and faculty vote on tenure if applicable. What is the relationship between the appointing authority and the search committee? The search chair should keep this individual apprised of search status at all points. This person has access to the entire applicant pool and may choose to select additional applicants for further consideration, if qualified; and may nominate individuals as candidates. The appointing authority may not serve on the search committee. Should search committees rank their list of recommended candidates? Yes. However, the role of the search committee is to provide the appointing authority with a number of qualified individuals who could do the job desired. The appointing authority has the task of selecting the individual. Although the appointing authority has the ultimate responsibility of making a selection, some sense of rank order is bound to emerge. Why don't we use "until position is filled" as a deadline the way some organizations do? We feel it leads to too much preventable confusion and possibility for abuse. What authority does a manager have to reorganize, or give limited assignments? Significant authority, as long as the reorganization is not so great as to essentially create new positions. My department has designated as chair of a search committee the person leaving the post. Is this proper? Not as chair but possibly as a member. WHAT IF . . .? . . . Our first offer is declined? If a candidate is offered a position and declines, a new Form 17 must be submitted, and clearly marked at the top right as "second offer." If a unit is concerned that an initial offer may not be accepted, and time is a critical factor, the unit can submit multiple Form 17s, indicating the sequence of offers: the forms can then be reviewed and approved at the same time. . . . We want to hire a non-citizen? Employment of anyone who is not a United States citizen or permanent resident (holds a "green card") requires special procedures. Please contact the International Institute (Twin Cities campus) at 612-647-0191 for information and guidance at the beginning of a search if there is any possibility of hiring a foreign national. The Department of Labor (Tel. 218-720-5405) does monitor positions as well, and you should get some special guidance as you proceed. See, May 4, 1988 memorandum from Patricia A. Mullen concerning the EEOC Nondiscrimination Policy under Title VII and the Immigration Reform and Control Act of 1986. . . . our search is unsuccessful? If the search fails to identify a qualified candidate, or when those offered the position decline, and re-opening a search is not feasible, please notify the college or administrative unit and the UMD Office of Equal Opportunity. Although conducting a search can be time-consuming and costly, a unit should never accept a candidate simply to fill a position. The University is committed to identifying and attracting the very best candidates. Any consideration to abort a search should be discussed with the Dean or appropriate administrator. Depending on the circumstance, re-opening the search and extending the time frame may be possible. Refer to STEP 6 . . . we want to do multiple hires? For "multiple hire" appointments, one or more individuals may be hired throughout the academic year, fiscal year, or other annual cycle, with one or more deadlines (quarterly or yearly) from an approved Form 16 provided that: 1) a separate Form 17 is approved for each candidate selected; 2) the same Form 16 number is used for each Form 17; 3) the faculty rank or other academic title, appointment type, essential qualifications and selection criteria are consistent with those on the Form 16; 4) the pool of applicants must reflect the cumulative pool; and 5) the last date for receipt of applications and appointing period is current for the Form 16 on file. Please note that each multiple hire must be approved by the Director of the UMD Office of Equal Opportunity. . . .a candidate has not listed as a reference a specific individual whom we know to be familiar with the candidate. Can we contact that individual? You cannot check such a reference unless the candidate gives you permission or the candidacy is public. . . . we want to hire at an open faculty rank? The Form 16 must include selection criteria for each rank. The Form 17 should use hiring goals for each rank. You can either submit three separate Form 17s or one form with three separate lines for each level "qualified" and referred for interview. . . . our position is less than 75% time? A search is required for all new or vacant positions, period. Positions of less than 75% do not require the use of the Form 24 in the search process. . . . we want to use a search firm? Occasionally an appointing authority may decide to employ a search firm to assist the search committee in conducting the search. Typically, these firms will assist with any of the tasks associated with the search, including the development of the position description, placing ads, recruiting candidates doing reference checks and helping the appointing authority in maintaining communication with the finalists. Two points are critical if the relationship is to be successful: the firm and the appointing authority must agree on the specific tasks and expectations (such as reaching affirmative action candidates) to be performed by the firm. This agreement should take the form of a contract which has been reviewed by the office of the General Counsel. In addition, the procedure used by the firm not previously used by the University must meet with UMD Office of Equal Opportunity before they undertake any activities. The name of the firm should be noted in the advertising section of the Form 16. . . . a candidate is known to one or more members of the committee? Discussion of a candidate known to one or more members of the search committee tends to influence the evaluation of the candidate. The search chair should not permit such discussion except within the context of the selection criteria and when comparable information is used for all candidates. . . . we have a class we offer every other year, taught at night only (a part time position). We do a search to find someone to teach it. Once found, can we reappoint that person every other year? You can, but might be advised to do a search every few years to see if the pool has changed. Such individuals may be rehired as long as the reappointment takes place within one academic year. Those individuals hired to teach University College courses cannot be hired to teach during the day unless they have successfully participated in a search. However, an individual hired through a search to teach during the day can teach University College courses without a search. . . . a department is asked to sponsor someone attempting to secure citizenship? There is no legal obligation or requirement to fund attempts by an individual to gain citizenship. All offers of employment should be made on the condition of proof of appropriate citizenship and immigration documentation (I-9 form verifies employment eligibility) and failure to provide verification of immigration status will cause revocation of employment or an offer of employment. . . . we want to begin interviews before the deadline date on a full (national) search? It is not viewed as a good practice to get into, although we have permitted it on occasion IF the selection criteria are in writing and on file. In no case may hiring be done until after the deadline.

Call Office of Equal Opportunity for copies of Appendix Documents
(218-726-6827)

Back To Main Page

OFFICE OF EQUAL OPPORTUNITY

Guidelines for Academic Searches

University of Minnesota, Duluth

Guidelines for Academic Searches

UMD Rev. September 1997

Introduction

A. Full (National) Search required for:

B. Limited Search is possible for:

GUIDELINES FOR THE SELECTION OF ACADEMIC DEPARTMENT HEADS AND CERTAIN DIRECTOR POSITIONS REVISED (07/96)

C. Noncompetitive Appointments are possible for:

Hypothetical Examples of Appointments That Would NOT Be Approved for Noncompetitive Appointments

II. Steps In A Search

III. Steps in a Full National Search

STEP 1. Position description and selection criteria

STEP 2. Appoint search committee

Essential Qualifications (Essential Academic Preparation and Experience) and Selection Criteria

STEP 4. Advertise position

Applicant Pool Checklist (for use by committees, department heads, and reviewers of Form 17)

The Second Campus Visit (usually for administrative searches only)

Remember!

Checklist of documentation needed for spousal/partner hire situation requests:

Checklist of documentation needed for exceptional hire situation requests:

How to Process a Noncompetitive Hire under the C ("Other") category

EXTENDING THE OFFER ONCE A DECISION IS MADE (for all academic hires regardless of search process used)

Call Office of Equal Opportunity for copies of Appendix Documents (218-726-6827)

Hypothetical Examples of Appointments That Would NOT Be Approved
for Noncompetitive Appointments

EXTENDING THE OFFER ONCE A DECISION IS MADE
(for all academic hires regardless of search process used)

Call Office of Equal Opportunity for copies of Appendix Documents
(218-726-6827)