Human Resources Requirements for Faculty Hiring and Retention

1. Human Resources Requirements for Faculty Hiring and Retention Angela Yudt, PhD, Director, Faculty Affairs, ayudt@uic.edu Tanya L. Jachimiak, JD, Executive Associate Director, Office for Access and Equity tljach@uic.edu Keana Galloway, EdM, Associate Director, Office for Access and Equity kwilke2@uic.edu

2. Overview • Roles of Faculty Affairs, UIC Human Resources, and the Office for Access and Equity • Search Preparation (Access and Equity) • Search Committee and Affirmative Action (Access and Equity) • The Offer (Faculty Affairs) • The Appointment Process (Faculty Affairs)

3. Faculty Affairs The Office of Faculty Affairs, as part of the Office of the Vice Chancellor for Academic Affairs and Provost, is charged with a variety of functions related to all phases of a faculty member’s appointment on the campus. We are campus resources for: • Policy Interpretation: Provides consultation to deans, directors, department heads/chairs, and others involved in hiring, retention, and separation of faculty • Faculty Hiring: Works with units regarding required documentation for the various appointment types (tenure-track, tenured, “Q”, non-tenured, major administrative appointments) and approval processes • Faculty/Administrative Job Descriptions:Reviews and approves job descriptions for administrative appointments held in conjunction with a faculty appointment. • Compliance: Ensures University and State requirements are met with respect to certain annual reporting (e.g. ethics training) The Office of Faculty Affairsworks collaboratively with UIC Human Resources, on matters that may combine general employment matters and specific faculty policy matters.

4. Office for Equity and Access The Office for Access and Equity (OAE), as part of the Office of the Chancellor, is charged with: • Compliance: Ensures Compliance with Equal Employment Opportunity Laws (e.g., complaints, policy, counsel) • Affirmative Action/Academic Hiring:Oversees Development of the Campus Affirmative Action Plans • Dispute Resolution: Provides Effective Avenues for Resolving Workplace Conflict and Disharmony • Training: Offers Interactive Educational Courses

5. Search preparation

6. Getting Started: Is a search required? As a federal contractor and a public entity, the University is required to take affirmative steps to recruit and advance qualified minorities, women, persons with disabilities, and covered veterans. • Identify and analyze potential problems in the participation and utilization of women and minorities in the workforce. • Make good faith efforts to provide equal employment opportunity. • Expand efforts in outreach, recruitment, training.

7. Getting Started: Is a search required? Filling vacancies through the formal search process (i.e., public announcements of a search for qualified applicants) assures that the University maintains compliance with Federal and state affirmative action and equal opportunity laws.

8. Getting Started: Is a search required? • General Rule: Search is Required • Exception: Waiver • Reviewed on case-by case basis • Current “visiting” status is not a basis for a waiver Exceptions • Temporary or visiting faculty appointments up to 3 years; up to 5 years if grant-funded • Adjunct, visiting scholar • Less than 50% total FTE • Trainees: fellows, residents, post-docs, pharmacy externs

9. The Exception: Eligibility for Waiver Certain positions are eligible for search waivers due to: • the existence of statutory or other policy guidelines governing the appointment or search process; • the unique talents and skills required for the position; or • urgent departmental/unit teaching needs that cannot be addressed through the normal search process.

10. The Exception: Eligibility for Waiver An individual named in externally funded grant A faculty member changing from a tenurable to a nontenurable or staff position Groups of employees joining the campus by institutional decision Promotions Reorganization Reassignment Spousal Hires

11. The Exception: Eligibility for Waiver To obtain a waiver, a Request for Waiver form must be submitted with supporting documentation, including: • How the individual for whom the waiver is sought was identified • CV or resume • Detailed explanation for request • Indicate efforts undertaken to identify underrepresented individuals

12. OAE Review Position Notice • Submit Position Notice through HireTouch to OAE ●Type of position: faculty or academic ● Search committee composition ● Job Description (Approved by HR Compensation for AP; FAHR for Faculty) ● Recruitment Plan

13. OAE Review of Position Notice • Assess for under-representation • Compare utilization of women and minorities in a particular job group to what would reasonably be expected by the availability of qualified women and minorities. • The actual selection decision is to be made on a non-discriminatory basis. • Make recommendations for improving recruitment plan to address under representation

14. Conducting the search

15. Posting/Advertising the Job Once the position notice is approved: • Proceed with on-line postings, placing ads, sending announcements, etc. • Posting job ads in places likely to attract qualified minorities, women, persons with disabilities, and veterans • EEO clause in all job ads

16. Role of Search Committee Help to expand standard recruitment practices • Invite committee members to make personal contacts inviting women and minorities to apply. Outline the recruitment plan Help devise and apply criteria for selection of the most qualified applicant Establish the selection criteria (taking into account the min. quals. from the Approved Job Description)

17. Meets Minimum Qualifications Process—What does OAE look for in this review? • Did the department do what they said they were going to do in the Position Notice? • Did department make an effort to identify a diverse pool of candidates? • Did they evaluate candidates for meeting the stated minimum qualification posted for the position?

18. Reviewing the Candidate Pool Do not exclude a candidate because of race, gender, age or disability status Shift the focus from the racial or gender status of a candidate to job-related criteria

19. Why all these Signatures? Hiring Officer: agrees to follow or have followed process outlined, attests to meeting minimum qualifications and eligible for hire. Implements diversity commitment within department or program. 2nd level signature: accepts responsibility for candidates meeting standards and goals of the larger unit. Enforces diversity commitment of College. Academic Search Coordinator: general compliance with college and campus guidelines, process, etc. OAE: general EEO standards have been met.

20. Triggers the Offer and Appointment Process • After the Meets Minimum Qualifications List has been approved, unit may conduct interviews and proceed with offer to selected candidate(s) • Under represented Recruitment Program (UFRP)

21. Wrap Up, Preserving Search Records • Once the decision to hire has been made and the offer accepted, the unit notifies OAE via HireTouch ● the selected candidate ● offers made to other finalists but declined/withdrew ● status of each candidate, meets min qualifications, denied/not selected, interviewed, finalist, hired • Preserve records on all applicants, not just finalists, for 3 years from date of search closure • If UFRP funds available, follow College and campus policy to procure funds. • Proceed with offer letter and appointment process

22. Post-search

23. Crafting the Offer Letter…. • The Basics • Effective Date • Position/Faculty Title • Appointment Percent and Salary • Tenure/Tenure-Track/Percent and Tenure Code • Service Basis • Benefits Eligibility • Contingent on Board of Trustees Approval • Notification of Appointment

24. Additional Considerations When Crafting the Offer Letter… • For tenure-track Assistant Professors who start after the eight week of the term, the faculty member may choose to count or not count the partial year toward the tenure probationary period. These appointments require completion of the Initial Partial Term Appointment/Tenure Probationary Form • The department head or chair should counsel the prospective faculty member as to the impact of choosing to count or not count this partial year as it has implications for when the faculty member will be reviewed (mid-probationary) and when they will be submitting their application for Promotion and Tenure.

25. Additional Considerations Continued… • Is this a joint appointment? If so the letter should be signed by both departments/colleges. • Are there any courtesy faculty appointments being offered by other departments? • Is this offer being made at the assistant professor level? If so, the new hire must have received their terminal degree prior to the effective date of the appointment. • Are there any administrative appointments being offered? • What other terms are part of the offer? (e.g. moving expenses, summer salary, start-up funds, laboratory space, etc.) • Have all departmental and college processes been followed (e.g. any required consultations with departmental or college committees as required by the bylaws)?

26. Making an Offer and Prior Approval Some offers require that prior approval of the Vice Chancellor for Academic Affairs (VCAA) and Provost be obtained before a formal written offer can be made. • Tenured appointment (Associate or full Professor). This also requires Graduate College approval and may require campus P&T approval based on the faculty member’s current rank • “Q” appointment with an initial term greater than three years • Non-tenured and tenure-track appointment with a salary outside the normal range for that rank and discipline • Unit executive officers, i.e., heads, chairs, directors of major units or schools (these appointments will generally be associated with a tenured faculty appointment) and require prior Board approval in addition • Other major administrative appointments reporting directly to the dean (e.g., associate deans, directors, etc.). These are generally in conjunction with a tenure-track or tenured faculty appointment

27. Prior Approvals Not Required The following appointment types do not require prior approval and once the decision is made to hire, the formal written offer may be issued: • Assistant Professor, Tenure-Track, with Salary in Range • Associate or Full Professor on an Initial 3-Year “Q’ Contract. A “Q” contract allows the hire of a new associate or full professor, as a probationary appointment, on an initial term, or “Q” appointment, for as long as three years. • Non-Tenure Track Faculty (Lecturer/Instructor, Clinical and Research Faculty)

28. Submission of Offer Packet • For appointments requiring prior approval, a packet consisting of an electronic briefing document, the draft offer letter, current CV, and tenure portfolio must be submitted to Faculty Affairs for review and routing of necessary approvals (see next slide for checklist). • For appointments requiring Board reporting only, a packet consisting of the accepted offer letter and current CV must be submitted to Faculty Affairs

29. Prior Approval Checklist • Draft offer letter • Endorsement of hire by the Dean (if tenured then P&T process and votes must be noted) • Current curriculum vitae • Briefing Document (BD) including comparable salary data • If applicable, tenure approval by the Graduate College (and campus P&T if applicable) is required in the form of a “portfolio.” • External evaluation letters for tenured appointments (3-5, but at least 3 are required) • Job Description (if administrative position offered) • Search: Required/Completed/Waived

30. Offer Packet Routing for Prior Approval • The department should forward the completed packet to their college for review and forwarding to the Office of Faculty Affairs. • Once received, Faculty Affairs will review and contact the college if questions on material submitted. • Packet will be sent for Provost approval and once granted, a copy of the approved draft offer letter will be faxed/emailed to the college for the department to make the offer.

31. Offer Accepted and Next Steps • Once offer is accepted, Faculty Affairs should be notified. • If any terms of the appointment have changed from what was submitted by the department/college in the draft offer letter, a revised letter should be submitted. NOTE: This may require that the terms be re-approved. • If applicable, Faculty Affairs will prepare the biosketch for Board approval. • For offers which include administrative appointments, prior BOT approval is required. Therefore early notification to Faculty Affairs is encouraged. Otherwise the appointment will be temporary (visiting, acting, interim) until the BOT approves the permanent appointment. • For faculty appointment offers only, the biosketch will be prepared and sent to the Board at the time of acceptance notification to the next regularly scheduled meeting. • Faculty Affairs will notify the college once the formal approval is granted by the BOT.

32. Template Letters of Offer • Faculty Affairs is currently engaged in a project to provide template letters that will include the necessary employment language for the variety of faculty appointments including both 9-month and 12-month service, different ranks, administrative and faculty appointments, and visiting/interim appointments • An Excel spreadsheet will provide categories of additional considerations and resource items that units may be providing • This project should be completed in the next few months and will provide flexibility for the unit but at the same time ensure that the required aspects are present • Once completed, all template letters will be posted to the Faculty Affairs Web Guide on the main Faculty Affairs website

33. Other Useful Information • A working draft of an on-line Web Guide is on the Faculty Affairs website (http://www.uic.edu/depts/oaa/faculty/). It lists hiring approval processes as well as provides policy related information, templates, process flow maps, and deadlines for a variety of other faculty appointment matters including: sabbaticals, interruptions to the probationary period, leaves, mid-year increases, counteroffers, separations, etc. It is currently located at: http://www.uic.edu/depts/oaa/faculty/guide_policies.html • Faculty Handbook: http://www.uic.edu/depts/oaa/fachandbook/ • Work has begun on policy and procedures review project • Plans are in the developmental stages to further streamline processes and eliminate paper where possible. This includes analyzing options for interactive forms and electronic routing of documents. Feedback/suggestions are welcome. Email: facultyaffairs@uic.edu