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Guidelines for Academic Searches
Deborah Petersen-Perlman, Director
Office of Equal Opportunity
University of Minnesota, Duluth
- Required Scope of Searches ( Required Scope of Searches in PDF
format )
- Full (National) Search required
for
- Limited Search is possible for
- Noncompetitive Appointments are possible
for
- 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
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.
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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.
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
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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.
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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)
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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.
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:
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
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.
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.
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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,".
- 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 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
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
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.
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:
- The Form 16 ("Description of Available Academic Position at the University
of Minnesota"),
- additional selection criteria,
- advertising and recruiting strategies, and
- 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.
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
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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.
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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 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.
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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
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- 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.
- 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).
- 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.
- 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").
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
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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.
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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
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?
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.
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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.
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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
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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.
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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.
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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.
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.
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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.
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 agree
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