Procedures for Recruitment & Selection of New Faculty
September 27, 2004 (revised)
August 2006 (updated)
This document summarizes practices for recruiting and selecting new faculty. It provides guidance in carrying out orderly, successful and cost effective searches to aid in the selection of new faculty members. Because the University is dedicated to employing a diverse and competent faculty dedicated to institutional mission, goals and academic excellence, this document assumes compliance with faculty legislation, applicable federal regulations and general PLU personnel policies. These procedures apply to the search for all full-time tenure-track faculty positions and multiple-year visiting positions. They do not apply to one-year full-time visiting positions or part-time positions. In these instances, departments and schools are free to make appointments based upon reasonable efforts to secure an applicant pool and appropriate levels of candidate screening.
1. Pre-search Activities
1.1. Faculty Position Planning. Each Dean is
responsible for forecasting the staffing needs of his/her division or school
within the context of program goals, needs and priorities. Requests for faculty positions must include
rationale for the position and be placed within the context of the overall
staffing plans for the department and the division/school. Specific guidelines for the annual submission
of staffing plans and faculty position requests, including timelines and
supporting materials, are available from the Provost. Faculty position planning
will consider the needs of interdisciplinary programs as well as needs of
departments and divisions/schools.
1.2. Faculty Staff Position Request form. When
the Dean receives authorization from the Provost for a search to proceed, the Dean
submits a “Faculty & Staff Position Request” form to the Office of the
Provost and a final position description with recommended language to be used
in advertising for review and approval. In units with departments, the
Department Chair may be the one to prepare this material. Sample position descriptions and advertising
templates are available in HR and the Office of the Provost. To ensure compliance with University hiring
and advertising regulations, final approval of advertising copy resides with the
Director of HR. You may select one of the following statements for position
descriptions, or you may create a similar one.
Ø Application
materials received before [specify date] will be given full consideration, but
the position will remain open until filled.
Ø Applications close [specify
date]
1.3. Search Committee Members. Faculty
members are appointed to the university, not just a division or school, and PLU
emphasizes cross-disciplinary communication, interdisciplinary programs, and
pan-university contributions from all faculty members. Therefore, search committees should be
broadly representative, and including at least one faculty member outside the
department or school is strongly recommended.
Student participation and feedback is strongly encouraged. The size of search committees will vary but
should not be smaller than three. One
member of the search committee will serve as diversity advocate and be the
liaison with HR for promoting diversity strategies.
1.4. Recruiting Plan and Pre-search
Preparation. The Dean (or, if appropriate,
the Department Chair) is responsible for preparing a recruiting plan for each
position; the plan should include:
the names of search committee members, the final position description, a
brief written statement of the major methods to be used to recruit a qualified
and diverse pool of candidates; an estimate of the cost of advertising in the
recommended discipline-specific publications (estimates for others, such as The
Chronicle of HE can be provided by HR); a timeline for search activities;
procedures and criteria to be used by the hiring unit; and a preliminary budget
to complete the search, including a salary range for the position and plans for
start-up costs, if any. Once the Dean
and Provost agree on the recruiting plan and the budget it is the Dean’s
responsibility to track expenses associated with the search. At the end of the search, expenses should be
submitted to the Office of the Provost and a budget transfer will take place.
HR will cover up to $500 in advertising costs.
The Offices of the Provost and HR will assist Deans, Department Chairs,
and search committee members in conducting effective searches, including
understanding legal issues in searches and interviews and matters of
sensitivity and effectiveness in recruiting minority candidates. These offices sponsor a required workshop for
representatives from each unit that anticipates a search during the academic
year.
2. Solicitation
of Candidates and Receipt of Applications
2.1. Publicity. The University generally does not advertise individual positions in
print in The Chronicle but only in
more field-specific publications. As
part of the position recruiting plan, hiring departments and HR should identify
the publicity to employ in the search, including (for example) letters to the
relevant departments of selected graduate schools, electronic bulletin
boards, and appropriate publications.
Electronic bulletin boards should also be used whenever possible and
appropriate. HR will also do general
diversity advertising (Women in Higher Ed, Colors, Hispanic Outlook, as
examples) and post individual positions on both HigherEdJobs.com and the HR web
site.
2.2 EEO/AA Considerations. Hiring units may request appropriate
information from applicants (e.g., a letter of application, letters of
recommendation, curriculum vitae, transcripts and dossiers, summaries of
student evaluations, and information on areas of teaching experience and
research). Search committees may not
solicit information concerning ethnic origin or religious preference, except
for positions where religious preference may be a bona fide occupational
qualification. Search committees should
consult with HR for specific information on the university’s EEO and AA
policies and procedures.
2.3 Pro-active Search. Whether or not a search is envisioned to
occur in a “buyer’s market,” it is important to make selective candidate
solicitation inquiries to improve the chances of filling the position with a
candidate who has particularly desirable characteristics. For example, the ELCA publishes directories
of Lutheran affiliated Ph.D.’s in selected academic areas, as do some other
organizations for specific ethnic minority groups. The Director of HR can provide a list of the
universities that graduate high numbers of ethnic minorities. In addition, search committee members might
make telephone calls to colleagues who may have knowledge of especially well
qualified candidates. It is important to
remember that this is, indeed, a ‘search.’
2.4 Record-keeping. Throughout the search process, the chair of
the search committee is responsible for tracking the status of each application
by using the Faulty Search checklist and Search Report Summary form appended to
this document and available on the HR and Office of the Provost web site. The committee chair may rely on
administrative or support staff to manage record-keeping.
2.5 Confirmation of Application, and
EEO/AA Response Card. As applications come in, the chair of the search
committee is responsible for sending to HR a list of applicants and their
addresses. (An applicant is defined as
one who has submitted all required documents stipulated in the position
announcement). Upon receipt of an applicant’s name and address, HR will send
each applicant an EEO/AA form to complete and return to HR; this also serves to
acknowledge receipt of the application.
At this point in the process, the search committee may determine that
applications do not meet minimal qualifications required for appointment, as
advertised. The chair should so notify
the applicant.
2.6 A
Diverse Applicant Pool. Prior to the
selection of the semi-finalists, the Dean or chair of the search committee will
ask the director of HR to prepare a brief statement that profiles the diversity
of the pool. It is permissible to ask candidates about their eligibility to
work in the
3. Selection of Semi-Finalists
3.1 Procedure for Reviewing and
Ranking Applicants. Search committees will review applications in accordance with procedures
developed by the hiring unit (in consultation with programs involved in the
hire) and documented in the recruitment plan. The criteria used in reviewing
and ranking applicants include but are not limited to: prior levels of
performance, distinction or award; potential for teaching effectiveness,
scholarship, and service; areas of specialization; ability to contribute to
general education and/or interdisciplinary programs; and commitment to
university mission, objectives, goals and academic excellence.
3.2 Semi-finalist Interviews. Semi-finalists must be selected in accordance
with proper search procedures, which may include a phone interview with a
sufficient number of search committee members. Search committees should prepare
interview questions in advance and keep a record of the questions they use as
well as summaries of candidates’ responses.
The purpose of the initial interview is to determine if candidates are
still interested in the position, and further explore candidates’ fitness for
the position. To help in this stage of screening, search committees should make
ample use of PLU 2010 and other documents that explain the mission, goals and
plans of the university.
3.3 References. In narrowing
the field from semi-finalists to finalists, further information may be sought
through telephone calls or correspondence with candidates, the candidates’
references, and past and present peers and superiors. Before contacting references not listed in
application materials, search committees should seek permission of candidates.
3.4 Notification of Candidates Eliminated. The chair of the search committee is
responsible for notifying candidates who are eliminated from further
consideration at this point in the process.
4. Selection of
Finalists for On-Campus Interviews
4.1Consultation with the Provost After
the interviewing of semi-finalists, the search committee selects one, two or
three finalists for campus interviews. Before extending invitations for on-campus
interviews, the search committee chair shall report the finalists to the
Dean (and, if appropriate, the Department Chair), who will consult with the
Provost to review the proposed slate of finalists. That slate needs to maximize the prospect of
hiring a faculty member committed to the university’s objectives and to
academic excellence, as well as bringing diversity, disciplinary and
interdisciplinary expertise. At this point, all finalists that are Foreign
Nationals must be identified so their ability to be employed may be discussed.
Another reason for consultation with the
Provost is to confirm details of the recruitment plan, including salary ranges,
relocation costs, and start-up funds.
These are examples of hiring details that should be discussed internally
and subsequently with candidates before candidates are
invited to campus for interviews. The final decision on finalists rests with
the Provost. The Dean is responsible for consulting with the Provost in a
timely fashion, providing sufficient opportunity for careful consideration of
the pool of finalists.
4.2 Closure for Application.
Once finalists for positions have been selected, new applications will
be accepted only if the position description and advertisement specify the
position is open until filled.
5. The On-Campus
Interview
5.1 Materials Sent to Finalists.
Before their on-campus
interviews, finalists should be made aware of detailed information about the
position, department/school curriculum, and university. Whenever possible, hiring departments are
encouraged to use electronic communication, including an electronic version of
the application for employment. For example, candidates should be directed to
web sites to read important documents, such as the Catalog, PLU 2010, admission materials, the First
Year Handbook, the Faculty Handbook and HR summary of benefits. Finalists should also be notified that the
successful candidate will be expected to satisfactorily complete a background
check (see Section 6.4). Finalists should receive an itinerary of their visit
in advance. This itinerary should
contain time, location and planned activities as well as a contact person’s
name, office location and phone number.
5.2 Length. On-campus interviews
are conducted over a one or two day period, generally lasting a full day or
slightly more.
5.3 Meetings with President and Provost. All finalists should meet separately with the
President (approximately 30 minutes) as well as with the Provost (approximately
45 minutes). The primary purpose of
these meetings is to discuss the mission and goals of both the university and
the candidate and to determine the extent of congruence between the
parties. Hiring units should reserve
times for these meetings as early in the process as possible. Either the
President or the Provost may designate a replacement for this portion of the
interview.
5.4 Visit to Human Resources.
All on-campus interview candidates should have a short meeting scheduled
with the Director or Assistant Director of Human Resources. In accordance with the “Pre-employment
Screening Policy,” all candidates making campus visits should be advised of a
background check waiver form that is required if the position is offered. By scheduling this short visit with the Human
Resource administrator, these forms can be explained in addition to faculty
benefits information being provided.
5.5 Presentation. All on-campus
visits must include a “teaching session” or a “public presentation”, which will
often closely approximate an actual class or professional presentation. This session should include sufficient
follow-up time after the actual presentation for the candidate and attendees to
pursue a reflective discussion of the questions stimulated.
5.6 Meeting with Students.
Additionally, all on-campus visits must include a meeting with student
groups. Search committees are strongly
encouraged to include vitally interested students centrally in the day’s
activities.
5.7 Contacts with Other Faculty.
All on-campus visits should include significant time for a candidate to
talk with faculty outside his or her division or school. Such faculty may be selected for
interdisciplinary interests, similar career stage, or other salient reasons
(for example, women may meet other women on campus, and people of color meet
others who belong to the same underrepresented group, members of one of the
three diversity committees, and/or the Associate Director of Student Life for Multicultural
Affairs.)
5.8 Prospective Appointment Details.
The Dean will normally be the one to discuss prospective salary range
with finalist candidates, having previously cleared that salary range with the
Provost (Don’t forget to note to candidates:
5.9 Deference to Candidate. We
should remember that PLU is recruiting a prospective faculty member and that
the candidates are looking at us. Do not presume that a candidate will
accept an offer if we were to make one.
5.10
Expenses.
The Dean and the chair of the search committee are responsible for monitoring
search expenses; the Dean approves expenditures and reimbursements. Expenses
exceeding authorized search budgets are the responsibility of the Dean and
hiring unit. Our task is to recruit the best faculty we can hire and, at the
same time, exercise good stewardship of limited resources for searches. The
most effective conversations with candidates often occur in small groups; you
should consider social occasions other than restaurant meals, such as a
reception for department-wide events, to maximize interaction with
candidates. Expenses for restaurant
meals of faculty spouses will not be reimbursed by the university. Contact the Office of the Provost for other
lodging suggestions. The chair of the search committee is responsible for
completing reimbursement forms and gathering appropriate receipts. The Dean is
responsible for authorizing payments.
5.11Spouse
Expenses. The expenses for candidate
spouse visits will not be reimbursed, except by special permission in advance
from the Dean.
6. Final Decision (including Salary, Rank,
Credit toward tenure, Transition and Relocation Allowance)
6.1 Recommendations for Appointment.
After all finalists have been interviewed, the search committee will
collect input from all PLU participants.
The chair of the search committee and/or the Dean (or Department Chair)
will invite comments from the President and Provost. Subsequently the committee will hold its
final deliberations and convey its recommendation for appointment to the Dean,
who will in turn make a recommendation to the Provost with a recommendation for
salary, rank, years of credit toward tenure, relocation allowance and
transition and research startup funds.
Subsequently the Provost will convey the recommendation to the
President, who has final hiring authority.
6.2 Appointment of a Non-U.S. Citizen.
When a recommendation is to offer a position to an already identified Foreign
National or non-US citizen, the Office of the Provost needs to be informed immediately
of the INS employment status of the candidate. It may take months to process an H-1B visa,
and the application for permanent residency (a “green card”) requires extensive
documentation from the search process and must be completed within a designated
time period. (The Director of the
6.3 Communication of Final Decision.
The President, in consultation with the Provost, will make final
decisions on appointment. After
receiving authorization to hire from the Provost, the Dean or search committee
chair shall quickly convey an offer to the preferred candidate and agree
with him/her on the schedule for response.
Either after oral acceptance, or in some cases, during the time of
a candidate’s consideration of PLU’s offer, the faculty contract recommendation
form and a copy of the CV should be conveyed to the Provost for signature and
the immediate preparation and sending of a contract. Immediately following oral acceptance
of the offer by the preferred candidate, all other finalists should be
notified that an offer was extended and accepted.
6.4 Pre-employment Verification.
All position offers are contingent upon the candidate’s satisfactory
completion of pre-employment verifications.
These backgrounds checks, for criminal background check, degree
verification and social security tracking, do not replace the references that
should be conducted by the search committee. Once the position has been offered
by the Dean and verbal acceptance has been received, a contract recommendation
form should be completed. Once HR receives the recommendation form an
employment contract will be produced and mailed to the candidate. The contract
includes language directing the candidate to return a completed application and
waiver form to the Director of Human Resources. The Dean will be notified if
there are any concerns with the pre-employment verifications.
6.5 Extension of Search. In
cases where no finalist has generated an enthusiastic response at PLU for
tenure track or multiple-year positions, the university may extend or delay the
search or fill the position with a one-year visitor or part-time faculty
members.
7. Search Report
7.1 Search Report. Within one
calendar month of the conclusion of the search, the Dean (or, if
appropriate, the Department Chair), based upon the report of the search
committee, submits a brief summary report to the Provost that includes (1) the
completed Search Report Summary form, (2) names of applicants invited
to finalist interviews and reasons for selecting the finalists, and (3) the
results of those final interviews and appointment offers.
7.2 Preservation of Search Records.
The department/school will preserve all search materials during the
search. At the search’s conclusion,
essential applicant records along with a copy of the search report should be
sent to HR for the necessary period of preservation (normally, three
years). Records should be sent to HR in
a manageable way, preferably in a clearly labeled, unsealed storage box (12”x
15” x 10”). The original CV and application materials of the person selected
should be forwarded under separate cover to HR for inclusion in his/her
personnel file, with a copy of the CV sent to the Office of the Provost. If the selected candidate is a non-US
citizen, the records will be kept until a green card has been obtained.
Faculty
Recruitment Plan (sample)
Position #________________ Position Title__________________________________
Department/School/Program Name__________________________________________
Directions: Provide
responses to these items and attach Position Request Form, position description
and advertising copy.
1. List names and departments of Search
Committee members; identify Committee Chair and Diversity Advocate.
2. Specify
timeline for search activities.
- Specify procedures and
criteria used by Committee and/or hiring unit
Explain
interdisciplinary and/or cross-departmental program consultation in search.
Explain
diversity strategy.
Provide
budget plan (including proposed recruitment costs, salary range, start-up
funds, relocation allowance, other)
Other
relevant information related to search
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FACULTY SEARCH CHECKLIST
Before
the Search
|
o |
Dean
obtains preliminary approval of position from Provost;, including final
position description and advertising copy. |
|
o |
Submit
position request form to the Office of the Provost. |
|
o |
Dean
submits recruiting plan, including search committee membership, timelines,
search strategies, proposed budget and salary; Provost authorizes search
budget. |
|
o |
Search
committee coordinates publicity with HR, consults with HR and Office of
Provost on search details, and prepares for receipt of materials. |
During the
Search
|
o |
Maintain
accurate candidate records, using Search Report Summary form. |
|
o |
As
candidate materials are received, send names and addresses to Human Resources
who will send a confirmation letter and EEO/AA form to each candidate. Individuals who do not meet the minimum
qualifications should be notified accordingly. |
|
o |
Ask
Human Resources to prepare profile of diversity of candidate pool. Then, the Dean or chair of search shares
summary with Office of the Provost. |
|
o |
Evaluate
candidates based on established criteria and select semi-finalists. |
|
o |
Conduct
telephone interviews with semi-finalists.
In some cases, such as at annual conferences, this may be done
face-to-face. |
|
o |
Narrow
the field by seeking reference information. |
|
o |
Promptly
notify candidates who are eliminated from the running. |
|
o |
Select
two or three finalists to bring to campus and review list with Dean and
Provost. Notify
the Provost if a finalist is not a |
|
o |
Extend
invitation to finalists for on-campus interviews. |
|
o |
Arrange
schedules for on-campus visits and mail PLU information and itinerary to
finalists. |
|
o |
Conduct
on-campus interviews. |
|
o |
Gather
input from interviewers and deliberate with search committee to identify
candidate who best fits position requirements. |
|
o |
Dean
recommends top candidate to Provost with contract information. |
|
o |
After
receiving confirmation of candidate selection from the Provost, extend verbal
offer by telephone and follow-up with completing the Faculty Contract
Recommendation form. A welcome letter
is produced by the Provost and a contract is produced in Human Resources. Note: all position offers are
contingent upon candidate’s satisfactory completion of pre-employment
background check. |
After the Search
|
o |
Send
personalized letters to all finalist candidates notifying them of
status. |
|
o |
Within
a month of search conclusion, submit report to Provost including Search
Report Summary and other relevant information. |
|
o |
Send
all search materials and copy of Search Report Summary to Provost and Human
Resources, including the original CV of individual hired. |
|
o |
Essential applicant records along with a
copy of the search report should be sent to HR for the necessary period of
preservation (normally, three years).
|
|
o |
Prepare for your new colleague to join PLU! |