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CALIFORNIA STATE POLYTECHNIC UNIVERSITY, POMONA
ACADEMIC SENATE
ACADEMIC AFFAIRS COMMITTEE
REPORT TO
THE ACADEMIC SENATE
AA-002-034
CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY RECRUITMENT POLICY AND PROCEDURES
Academic Programs Committee Date:
Steering Committee Received and Forwarded Date: 4/22/04
Academic Senate Date: 5/12/04 AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 2 RECRUITMENT POLICY AND PROCEDURES
First Reading AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 3 RECRUITMENT POLICY AND PROCEDURES
BACKGROUND:
Appendix 38 has requirements that may be unnecessary to meet the current Executive Order for faculty recruitment from the CSU. There should be some clarification of recruitment processes. Does this only apply to candidates who have met the requirements set out in the position announcement?
Some of the college departments have found that the steps in Appendix 38 are long, cumbersome, and subject to different interpretations.
An especially burdensome provision of the current Appendix 38 is from Section IV, C.3:
“Telephone log kept of all contacts relating to recruitment.” This is especially burdensome with contacts from marginal candidates who do not meet minimum qualifications, do not have the requisite degrees, or are not seriously considered for the position, but who constantly call to see where they are in the process. Many searches have 40 or more applicants.
In discussions between the Diversity Director and the Academic Affairs Committee, the Diversity Director stated that this provision was not necessary.
RESOURCES CONSULTED:
All Department Chairs who Recruited Faculty in 2003-4; Dean Lynn Turner, Dr. Vicki Peden, Chair, Accounting Department, Ray Inge, Human Resources, Vinita Dhingra, Diversity Office.
RECOMMENDATIONS:
The major revisions of the policy include removing names and numbers of Executive Orders so that the policy and procedures don’t have to be reconsidered every time there is a change in an Executive Order number unless the change is substantive. Other changes consistent with Proposition 209 are included to give the Deans the authority to verify the adequacy of the pool of candidates. AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 4 RECRUITMENT POLICY AND PROCEDURES
Appendix 38: RECRUITMENT AND APPOINTMENT PROCEDURES FOR TENURE-TRACK FACULTY
Conducting a search in a timely and efficient manner is essential to the process of recruiting well-qualified faculty. Timing is critical if interviews and offers of employment are to be made in a competitive manner. (Some disciplines, for example, require that interviews take place in August.) Delayed searches may face the prospect of a pool that has been depleted of the most qualified individuals. A principal consideration of Appendix 38 is to inform search committees of the main processes involved in a search and to keep committees and administrators within a reasonable timeline. Cal Poly Pomona is committed to diversity and to following local, state, and applicable federal laws.
The enactment of Proposition 209 in 1996 raised many questions about the status of affirmative action in faculty hiring, promotion and retention at the California State University. Proposition 209, which went into effect on August 28, 1997, as Section 31 of the California State Constitution requires that the University shall not discriminate against or grant preferential treatment to any individual or group on the basis of race, sex, color, ethnicity, or national origin. However, Proposition 209 contains language stating that the prohibitions do not apply to actions which are necessary to establish or maintain eligibility for any Federal program, where ineligibility would result in a loss of federal funds to the University. As a Federal contractor, the California State University has an obligation to comply with affirmative action regulations governing all levels of employment, including academic personnel practices. Thus, it may engage in a variety of voluntary practices that promote values of equal employment opportunity and diversity.
The following summary is intended to provide the overall framework of policies and procedures to guide faculty committees, departments, Deans/Directors, and others in achieving the University's goal of managed change and the recruitment and retention of a well-qualified and diverse community of teacher-scholars.
1. BEGINNING A SEARCH
1.1 Departments shall request from the appropriate administrator the opening of a tenure-track position at a time of year appropriate to the traditional hiring calendar within that discipline.
1.2 Departments should strive to develop and have their recruitment packages completed as early as feasible in the process.
2. ESTABLISHING THE POSITION
2.1 Requesting opening of recruitment AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 5 RECRUITMENT POLICY AND PROCEDURES
A description of the requested position(s) must be approved by the majority of the tenured and tenure-track faculty. To assure this concurrence of the department faculty, a majority of the faculty shall approve a memo stating the position including subdiscipline, qualifications, expected rank, and salary range. The transmittal of this memo from the Department Chair to the Dean/Director will formalize the request for a search. This memo shall include:
2.1.1 Position justification (why needed, whether it is a new or replacement position, how it fits the Department’s short and long-term goals, University’s affirmative action goals, etc.)
2.1.2 Request for recruitment funds (publicity, travel, and related items) Summary of consultation with faculty.
2.1.3 Current number of tenured and tenure-track faculty in the Department and number of Lecturers (FTEF) hired during the most recent quarter.
2.2 The Dean/Director after consultation with the Provost/Vice President for Academic Affairs must acknowledge receipt of this memo and inform the Department of the decision in writing within five (5) working days.
2.2.1 Memo from the Dean/Director to the Department Chair approving/disapproving the search.
The Dean/Director can respond to the memo requesting the opening of the recruitment process in one of three different ways:
2.2.1.1 A memo stating that the search, as defined by the memo requesting the opening of the recruitment process, is approved;
2.2.2.2 A memo stating that the search, as defined by the memo requesting the opening of the recruitment process, is approved with specific conditions. Each condition should be clearly articulated; or
2.2.2.3 A memo stating that the search, as defined by the memo requesting the opening of the recruitment process, is disapproved. Reasons why the search is disapproved should be clearly articulated. AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 6 RECRUITMENT POLICY AND PROCEDURES
2.2.3 In each case, copies of the memo shall be sent to the Provost/Vice President for Academic Affairs and the Director of Diversity.
2.2.4. The Department may appeal the decision of the Dean/Director to the Provost/Vice President for Academic Affairs.
3. PREPARATION FOR THE SEARCH
3.1 A Search Committee consisting of tenured and tenure-track faculty is elected by tenured and tenure-track department faculty. “Each departmental peer review committee recommendation report shall be approved by a simple majority of the membership of that committee.” (CBA 12.23)
3.2 Search Committee Composition and Duties: The Department shall make a good faith effort to include women and faculty of color, and document this effort. If there are not enough tenured women and faculty of color within the Department, the Department faculty may elect members from related disciplines within Cal Poly Pomona.
Although the Collective Bargaining Agreement [CBA] requires that the search committee assume the responsibility of reviewing and recommending individuals for appointment, all tenured and tenure-track faculty shall have access to the candidates' application files and shall be invited to participate in the interview process. [CBA 12.23]
3.3 The Search Committee elects a chair by majority vote at the first meeting, and transmits this information to the Dean/Director.
3.4 The Department Chair or the Search Committee Chair sends a memo to the Dean/Director identifying Search Committee Members and Chair. Copies are also sent to the Diversity Office.
3.5 The Search Committee establishes an Applicant Tracking System (ATS) (Sample attached.)
3.6 The Search Committee develops recruitment materials for the Recruitment Package. The timing of advertising tenure-track positions may require that ads be developed and placed before the recruitment packages are completed. It is desirable to develop the ad along with the recruitment package.
3.7 All Search Committee decisions and recommendations must be made by a majority vote of all members of the committee. AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 7 RECRUITMENT POLICY AND PROCEDURES
4. A RECRUITMENT PACKAGE IS PREPARED.
The Diversity Office serves as a resource to the Search Committee in the preparation of its recruitment plan and provides assistance as needed. A Package consists of:
4.1 Position description. This shall be consistent with the department’s approved RTP criteria for hiring and anticipated needs, including the discipline(s), degree(s), skills, abilities, and professional potential. The position announcement shall include a statement similar to the following: "Materials submitted by the candidate will be available for examination by all tenured and tenure-track faculty of the department."
4.2 Proposed advertisement for publication(s), consistent with the position description.
4.3 List of proposed publication(s), approximate date or issue(s) in which ad will run, and estimated cost if known.
4.4 List of proposed academic, professional, industrial, and/or corporate contacts to whom recruitment materials will be sent and/or with whom personal contact will be made at the discretion of the Department.
4.5 If past recruitment has indicated success in attracting women and faculty of color in the discipline through contacts/ads in professional publications of the discipline, advertisements in these professional publications is adequate.
4.6. Sample letters to be used for recruitment communications are available. (See the Sample Recruitment Package in the Diversity Office.) These are only samples.
5. SEARCH PROTOCOL
5.1 Establish approximate timeline, including type of application deadline.
5.2 Establish procedure for determining when and how the second pool of candidates will be utilized, if applicable. See 6.12.3.
5.3 Establish the screening criteria to be used.
5.4 Determine at what point in the search process the candidate will be asked for permission to contact references, including others who may have information about the candidate. AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 8 RECRUITMENT POLICY AND PROCEDURES
5.5 Establish a list of questions for telephone interviews of candidates, if applicable.
5.6 Establish a list of questions for telephone interviews of persons serving as References including how many will be called, and how many Reference letters are required.
5.7 Determine contacts or other resources, such as the World Wide Web, to be consulted, if applicable.
5.8 Establish a tentative itinerary for finalists while on campus
5.9 Establish procedures for interviewing finalists, including interview questions.
5.10 The search committee may amend this protocol by majority vote of the Committee and with approval of the Dean/Director.
5.11 The Search Committee forwards the recruitment package to the Dean/Director and to the Diversity Office.
5.12 Within two working days the position announcement and all advertising copy will be approved by the Diversity Office in consultation with the Dean/Director. The Department Chair and the Chair of the Search Committee are notified that the search is officially open and may begin. At least two people in the Diversity Office must be authorized for approvals so the process is not delayed.
6. THE SEARCH PROCESS
The Search Committee makes efforts to recruit a large and diverse pool of applicants. All announcements and other publicity materials are distributed. Information is sent to all appropriate resources, contacts and publications. The Search Committee Chair is responsible for responding to inquiries and correspondence in a timely manner.
Everyone having access to the candidates' application files must keep such information confidential. Some applicants will want their candidacy to remain confidential until they become finalists. When an applicant requests this, his/her wishes must be respected. The search process is as follows:
6.1 Applicant Tracking System: As the Search Committee receives applications, it follows the established ATS (Applicant Tracking System available from the Diversity Office) to document the search activities.
6.2 *The format for the ATS is the Applicant Flow Analysis [found in the AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 9 RECRUITMENT POLICY AND PROCEDURES
Affirmative Action Compliance Report (AACR) available from the Diversity Office]. The support staff responsible for record-keeping sets up files and procedures to collect the information as it arrives.
6.3 Position advertisement: The position is announced, using the approved recruitment package material. The search committee arranges with Faculty Affairs to create an online link to the position announcement, with an additional link to the application form. The Search Committee retains copies of all published position advertisements as they actually appear, and forwards them with the AACR.
6.4. Incoming material is logged and date-stamped prior to review by the Search Committee.
6.5 All search material is to be stored in a secure and confidential place, separate from regular department files.
6.6 Records to be kept of each applicant’s material which usually includes curriculum vitae, application form, references, and general correspondence.
6.7 Closing dates of the search, as stated in publicity, may be viewed in two ways: All material must be received by application deadline for a candidate to be considered. No material is accepted after that date. Or, position is open until filled.
6.7.1 Current University policy encourages the use of the following language: "Position is open until filled. To be included in the first review, completed applications must be received by ______“
or
6.7.2 “Position is open until filled. All application material must be postmarked by ______, for a candidate to be considered.”
6.8 As soon as practical and prior to the closing date of the recruitment, all applicant files must be reviewed for completeness. Applicants with incomplete files should be notified by telephone or by mail about items not received, reminded of the deadline, and encouraged to complete their applications. Only completed application packages are reviewed by the Search Committee.
6.9 At the close of the response period, and before the Search Committee begins its initial screening; the Search Committee Chair sends the ATS to the Dean/Director (who consults with the Office of Diversity) to determine if AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 10 RECRUITMENT POLICY AND PROCEDURES
the pool is adequate and viable. The Dean/Director responds to the Search Committee within two working days as to the adequacy of the pool.
6.10 Once the Applicant Flow Analysis (found in the AACR) is approved by the Dean, the Search Committee can evaluate the candidate pool as a whole. However, individual committee members may review the application packages as soon as they are complete.
6.11 If there is disagreement between the Department Search Committee and the Dean about the adequacy of the applicant pool, the Department Search Committee shall notify the Provost/Vice President for Academic Affairs about the lack of consensus. Within three (3) working days the Provost/Vice President for Academic Affairs shall decide how or if the Search Process continues.
6.12 The Search Committee sorts the applicant pool into three groups:
6.12.1 Applicants with completed files that meet minimum qualifications. The Search Committee further evaluates these applicants.
6.12.2 Applicants whose files are incomplete.
6.12.3 Applications that are completed after the deadline and that meet minimum qualifications. These are placed in a second pool.
6.13 If there is a firm deadline:
6.13.1. Applicants with incomplete files are sent notification letters indicating they will not receive further consideration after the stated deadline.
6.13.2 Applicants whose files are complete but who do not meet minimum qualifications are sent notification letters indicating they will not receive further consideration.
6.14 The Search Committee will determine a list of the semi-finalists who will be interviewed by phone. Such interviews shall be conducted by at least two committee members. A summary of the conversation, date and time of phone call, along with name of the candidate, shall be recorded.
6.15 The Search Committee will select their finalists according to the established protocol, rank them, and continue to use this finalist list until a person or persons is selected to fill the position. AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 11 RECRUITMENT POLICY AND PROCEDURES
6.16 The list of finalists is sent to the Dean/Director and the Director of Diversity.
6.17 The Dean/Director approves or disapproves the finalist pool within two (2) working days. Reasons for failure to approve must be provided in writing to the Chair of the Search Committee and the Provost/Vice President for Academic Affairs.
6.18 If a consensus cannot be reached between the Department Search Committee and the Dean/Director regarding the finalist pool, the Department Search Committee may appeal to the Provost/Vice President for Academic Affairs.
6.19 The Provost/Vice President for Academic Affairs will notify the Search Committee Chair of this determination within three (3) working days.
6.20 Other candidates may be notified indicating that they will not receive further consideration, or they may be reserved for future consideration.
6.21 The following steps may be undertaken before or after the on-campus visits by the candidates:
6.21.1. Degrees are verified (official sealed transcript from the institution granting the degree or foreign equivalent verification).
6.21.2. References are checked.
6.22 On-campus visits of finalists as ranked shall be scheduled and interviews conducted per protocol. Departments are encouraged to include student feedback wherever possible in the hiring process.
6.23 After deliberations and consultation with their department faculty, the Search Committee votes by a simple majority to select the candidate(s) and any alternate(s) it wishes to recommend for the position.
6.24 The Search Committee Chair completes the AACR (Affirmative Action Compliance Report) and forwards it to the Department Chair with a memo recommending rank, salary, service credit, and initial term of appointment.
6.25 An AACR Applicant Flow Analysis lists specific reasons why unsuccessful candidates were not selected.
6.26 The AACR includes a brief written comparative discussion of finalists. It must include reasons for recommending the selected finalist AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 12 RECRUITMENT POLICY AND PROCEDURES
and reasons other finalists are not being recommended. However, if candidates took other positions before the CPP search has concluded there is no reason to include them in this analysis.
6.27 Within two working days, the Department Chair reviews and forwards the original AACR to the Dean/Director with the Search Committee’s recommendations.
The work of the Search Committee is now complete.
7. APPOINTMENT PROCESS
7.1 Dean/Director reviews all documents and recommendations by the Search Committee and writes a memo to the Provost/Vice President for Academic Affairs/ to signify approval of the recommended candidate.
7.2 The AACR with signatures from the Search Committee Chair, the Department Chair, and the Dean is forwarded to the Diversity Office for compliance review.
7.3 The Diversity Office completes compliance review and sends to the Associate Vice President for Faculty Affairs within two working days of receipt of the AACR. The AACR may (1) be determined to be incompliance with the University’s affirmative action policies and procedures; (2) be found in substantial compliance; or (3) fail to meet the minimum standards for compliance.
7.4 The Associate Vice President for Faculty Affairs then makes a recommendation to the Provost/Vice President for Academic Affairs.
7.5 The Provost/Vice President for Academic Affairs makes a recommendation to the President.
7.6 President, or designee, extends formal written offer of employment describing the terms discussed with the candidate in the telephone offer from the Dean/Director.
7.7 If the recommended candidate accepts, the Search Committee informs the other candidates that the position has been filled and the search is closed. If this initial offer is not accepted, each alternate (if any) is extended an offer until there is an acceptance.
7.8 If no recommended finalist accepts the position, the Dean/Director in consultation with the Department will determine the appropriate action to be taken. Revised April 2004 AA-002-034, CLARIFYING AND STREAMLINING APPENDIX 38 - FACULTY 13 RECRUITMENT POLICY AND PROCEDURES