June 23, 2009

1. I. Academic Search Process II. Academic OnBoarding Process III. Orientation Process Draft Working Group: Anne Heinz, Sue Eaton, Dawn Rose, Lauren Hull, Derek Karcz, Stacy Watson Guidelines and Processes for Operations Managers In the Department of Surgery June 23, 2009

2. This project describes the faculty search, on-boarding and orientation process. In this, the first step, we work through the initial phases, which involve the identification of need, as well as the search process itself. We have included checklists and links that will help you organize your work (pp.6-7). In separate documents we have provided materials for the hiring/on-boarding and faculty orientation process. In addition, this document provides general guidelines and processes for making academic appointments. However, each case is different. In order to manage the process, it is helpful to understand the bases for the various steps and documentation that are required. To help you manage this process, we have also provided a description of the rationale as well as who is involved and what is required at each step. The search will be successful if there is close collaboration among the Chief, Operations Manager and the department’s central administration: Academic Affairs, Finance, Administration, Research – all play important consultative roles. These guidelines apply to the following tracks: Undifferentiated, Research Scholar, Clinical Scholar, Academic Clinical, Clinical Academic (if salaried), Clinical Associate (if salaried), and Research Associate with parenthetical rank. Keys to success: * Keep everyone updated; * document your actions * ask questions along the way Background:

3. Contents: • Sample Timeline • Checklist with Sample Grid • Overview • Diversity Considerations • Process • Identify Need • Advertisements • Peer Contacts • Requisition • Documentation Requirements • Review Interested Candidates • Interviews • Evaluate Need • Selection of Preferred Candidate • Completion of Search Materials • Negotiating Instrument and Contingent Letter of Offer • Link to On-Boarding Process • Additional Items to Consider • Frequently Asked Questions • Important Contacts • List of Links • Glossary of Terms & Abbreviations

4. Task Schedule: Identify need Ad process Candidate selection process Internal preparation Simultaneous review

5. Sample Timeline Preliminary Steps / Search Process Case Preparation Case Review On-boarding On-boarding Section Managers: review status with Deputy Directors and DOS AA at least monthly

6. Checklist: Process Items Page 11 11 11 13 13 13 15 15 15 14 16 14 16 16 16-17 16 16 16 16 18 18 19 20 20 Documentation of the following items is necessary for search process:

7. Checklist: Candidate Grid

8. Current and Future Implementation: Academic appointments are a precious commodity. • The decision to make an appointment is the result of a consensus on the part of all the stakeholders. • It is important to involve all stakeholders in the beginning of the process in order to ensure the correct input and decision makers are involved.

9. The Academic Faculty Search Process is integral to the Department’s efforts to retain and enhance its reputation as a leader, both within the institution and among external constituents. While it is a process that allows for decision making by each Section Chief, it is also comprised of a series of requirements and considerations that necessitate a collaborative approach if it is to go smoothly. In order to assist everyone involved in faculty searches, this resource provides key information to guide the process. The Department of Surgery fully supports the University’s goal of building a scholarly community that is comprised of a mix of individuals who, through their own diverse experiences, backgrounds, and viewpoints, contribute to the intellectual culture of the University. This goal requires a conscious effort to run effective searches for new faculty. Therefore, it is of vital importance to make use of every opportunity to identify and recruit faculty who will contribute to our diversity. The Provost’s Office expects that all recommendation to appoint new faculty at all ranks include an account of the efforts made to locate minority and women candidates. Overview:

10. Diversity Considerations: In addition to clinical and academic issues, the following questions should be considered when recruiting faculty applicants: • How was diversity considered in discussing departmental priorities? • Did the department discuss which subfields were more likely to yield minority candidates? • Were these subfields included among the department’s hiring priorities? • How was diversity considered in consulting and staffing the search committee? • Were members of the search committee selected with an eye towards including some faculty members with experience or proven success in identifying candidates from a variety of backgrounds? • Was a search committee member charged with the responsibility of making sure that the questions suggested in this document were raised consistently and appropriately throughout the search process? • How was the search advertised? • Were ads placed in journals in addition to the standard professional journals? • Did members of the committee/department get in touch with colleagues in the field to ask for names of potential candidates? • How was diversity considered in drawing up a short list or inviting candidates for campus visits?

11. Process – Identifying Need: Things to Consider Financial Implications of this faculty position to the section, department and institution The section’s Operations Manager may or may not be involved in this portion of the process Certain aspects will be necessary to consider on a preliminary basis (academic track, full or part time, special qualifications, offsite strategy, payor mix, replacement position, etc.) What to Document Business plan Proposal Notes during your chief meetings to discuss these issues so you can help to develop the necessary documents Approval from Divisional Faculty Position Control Who to Involve Executive Administrator Surgery Finance Surgical Research – if applicable DOS AA Chair Section Chief Section Operations Manager and Deputy Directors Executive Vice Chair/Vice Chair for Academic Affairs Other sections or Departments as applicable Identifying need is the first step in the faculty search process. In this step, your chief/faculty, in consultation with the leadership in Chicago Biomedicine, will determine that a new faculty position in a specific specialty is desired for the benefit of the department and/or institution. The chief and/or search committee (see next page) should consult with the department leadership to develop a comprehensive plan, including a formal proposal and business plan which is submitted to the Chair, Executive Director, Finance Director for review by other principals within the institution.

12. Search Committee: We recommend that a search committee be used • Purpose: To provide a broad perspective on the process and decision; to facilitate the evaluation process • Membership = chief, sr. faculty in the section; faculty with special expertise in the targeted area; Vice Chair for Academic Affairs and the Director of Academic Affairs = ex-officio members; other faculty from outside the Section but with particular expertise

13. Process – Advertisements: Things to Consider What are the minimum qualifications and experience required? Preferred? -- Ad text should tell those interested to submit requested materials (cover letter, cv, etc) to UC JobSite quicklink (see next slide). -- Note: Ads for faculty positions are good for 2 years; ads for Academic Non-faculty are good for only 1 year Do you want to request: Cover letter? List of referees? CV? Reply date? What to Document Send draft text to Surgery Academic Affairs; Surgery will forward to OAA for review prior to posting externally or on UC Jobsite Who to Involve DOS AA Deputy Directors Chief Marketing Advertising for your position is the next step in the process and is essential. Correct and effective advertising can ensure that you are recruiting the very best candidates for the specific faculty position. There are several different options for posting advertisements and a variety of ways in which it can be done; however, there are some guidelines and rules to follow in the process. Section Managers, Deputy Directors and DOS AA should meet monthly to review status of search. Full searches are required for benefits eligible full-time appointments; for less than full time and compensated, a UCJobSite posting for 30 days is sufficient.

14. Process – Requisition on UCJob Site: Things to Consider The exact same job description text must be used for both the external ad and UC Jobsite Requisition should be posted at the same time as the external ad One posting is required for faculty position (UN, RS, or CS track) One posting for academic non-faculty Academic Clinical Research Associate with parenthetical rank Compensated PT or CA If the timeline for filling your position is longer than a year, you must repost the position What to Document Affirmative action emails sent to all qualified applicants (must be retained for 3 years) Consider keeping a spreadsheet as you continue through the process, listing all of the applicants that you send emails to, the date you sent them, whether you interview them or not, reason for disqualification, etc. Retain all materials provided by applicants that will document that the applicant met the procedures for application as described in advertisement (cover letter, CV, reference list) Who to Involve DOS AA Will do the actual posting, then send the affirmative action email link specific to the position; maintains generic posting for temporary Clinical Associates on UCJobsite. Chief DD As of July 1, 2009, candidates for academic positions will submit materials to the UCJobs Site. An electronic process tends to produce more applicants than the hard-copy submission to the Search Committee/Chief and facilitates affirmative action data collection and reporting. After the language for the advertised position has been approved by DOS and BSD Academic Affairs, the position will be posted (using the same language as in the external ads) on the UC Jobsite. Candidates will apply on-line (the text of the external ad should provide the quicklink from UCJob Site). Candidates do not submit applications directly to the Search Committee; instead, the materials that the candidate provides will be available electronically to the Search Committee members. The affirmative action email will be generated and maintained by the UCJobs.

15. Process – Publishing Advertisements: The same text that is posted on UC JobSite (see previous slides) should be published in external sites that are most likely to attract the broadest pool of qualified candidates. Text for the ad should provide information about how to apply to the UCJobSite Full searches are required for benefits eligible full-time appointments; for less than full time and compensated, a UCJobSite posting for 30 days is sufficient. Things to Consider -- Identify where ad should be posted: minimum requirement is 1 place for at least 30 days; preference is 2-3 places. Ops Manager (or the Chief, if site requires membership) posts the ad -- Online is preferable; particularly on specialty society job sites and diversity sites -- Can use hard-copy (often more expensive and slow) -- Sites with access restricted to members will not meet the posting requirement for the search documentation but may be excellent supplemental options -- Note: Ads for faculty positions are good for 2 years; ads for Academic Non-faculty are good for only 1 year What to Document • Include in the text information about how to apply (e.g., send CV and names of 3 references and cover letter to UCJob Site link) • Copies of posting • Evidence that it was posted for at least 30 days • List of names and affiliations of peers who were contacted (save mailing list if sent out to program directors) • Copies of ads posted on Society message boards or diversity sites • Send draft text to Surgery Academic Affairs; Surgery will forward to OAA for review prior to posting externally or on UC Jobsite Who to Involve • DOS AA • Deputy Directors • Chief • Marketing 11/29/2014 15

16. Process – Peer Contacts: Things to Consider Chief and Search Committee are encouraged to communicate with peers about the opportunity: Directors of training programs Leaders in the field Personal contacts Post position on message boards at professional meetings Diversity considerations from the Provost’s Office What to Document The names, titles, and affiliations of people that the Chief or members of the Search Committee have communicated with and the dates of the communications NOTE: The dates of the communications must follow the posting date; contacts prior to the posting date do not meet the recruitment process requirements. Who to Involve Chief Search Committee Members Any other faculty with a similar subspecialty and who may know others in the field to contact Peer Contact communication is an integral element of the search process. The Chief/Search Committee are encouraged to communicate as broadly as possible with those in the field to alert them to the open position. Also, peers can suggest names of potential candidates. Peer contact can come through personal conversations as well as communications at professional meetings. A list of these contacts will be used in the documentation process at the end of the search process.

17. Process – Review Interested Candidates: Things to Consider -- Some items to consider when recruiting (these may impact the time line of recruitment): Work authorization Board certification Eligibility for Illinois License Things to Do -- Initial Screening: Review CV Check references provided Select candidates for interview (See next page) Match qualifications to the correct requisition (i.e., right track; academic vs. faculty) Send Affirmative Action email to each applicant who meets basic qualifications and do not send them nor follow those who are not candidates (i.e., do not meet the minimum requirements). -- Call Surgery Academic Affairs if you have questions. What to Document Retain copies of inquiry correspondence and attachments. You will need to provide a copy of each inquiry that includes the requested application materials. Retain copies of CVs, Cover Letters, Reference lists, etc. If others in the field are contacted for recommendations, retain a record of these communications. Who to Involve Chief Search Committee, if formed Other Offices / Personnel deemed helpful in assessing applicant (i.e. DOS AA) Faculty with similar specialties within your section – if the chief asks for their input Check in with DD and DOS AA re status This step determines if an applicant is viable for further consideration. Applicant materials are prepared for review. Applicants are screened to determine if basic qualifications are met. Those meeting the criteria established in the advertisement, as determined by persons involved in the search, are eligible to advance to the next phase of recruitment. It may be helpful to consult the business plan prior to reviewing applicants. In order to ensure that they meet the minimum requirements, there should be an initial review by the Chief before any responses are sent to applicants. (See p. 7 for a checklist to keep track of the applicants)

18. Process – Interviews: Things to Consider In-person interviews are highly recommended; however, an initial phone interview may be helpful Candidate should be exposed to the appropriate decision makers and assessed in multiple environments – scheduling a seminar or grand rounds presentation is one example Candidate might also be interested in meeting with other University and/or Hyde Park resources (i.e. Lab School, Housing) that the Operations Manager will also help to arrange. What to Document Appropriate correspondence pertaining to interview arrangements Notes made during telephone interviews, if applicable Conduct of the interview (Interview Instrument) – feedback from interviewers Costs associated with applicant trips (budget) Who to Involve Chief Search Committee Section Faculty Chair Vice Chair of Research Hospital (e.g., Vice President of Surgery) Potential Collaborators from other departments Residents DOS AA Other individuals as deemed appropriate (e.g., Animal Resource Cnt) Applicants deemed as viable advance to the Interview Phase of recruitment. In-person interviews are the preferred method. Generally, a minimum of 2 interview visits should occur prior to a decision. If there is an unusually large pool of qualified applicants, telephone interviews are a helpful tool to narrow it down to the most qualified candidates.

19. Reviewing Candidates • Search committee members or the section manager may sign on to UC JobSite as a guest to download applicant materials.

20. Process – Evaluate Needs: Things to Consider Space (lab, office, clinical) Equipment (clinical/research/educational) Support staffing Animals in research? Core facilities? Collaborations? Off-site arrangements? Education role? Moving/housing issues? Dual careers? Education for children? Clinical incentives? What to Document Requests from applicants for resources These issues may arise before decision is made: Commitments made Any negotiation meetings and/or conversations Correspondence related to the negotiation Exchange of offers / counter-offers relating to candidate needs (not compensation) Who to Involve Deputy Director Facilities Vice President of Surgery Vice Chair of Surgical Research Staffing: DOS HR/AA, Section Administration Animals: DOS AA; ARC Dual careers/family: DOS AA Budget & Funding: Finance Director This step focuses on assessing the professional and personal expectations of the candidate. * Develop a checklist to track the status of all of the expectations/requests of each of the final candidates. * Compare the requests with the business plans to determine whether the expectations of the candidate and the expectations of the Department/Section are aligned. * Appropriate parties should be consulted during this process to ensure expectations can be met.

21. Process – Selection of Preferred Candidate: Once sufficient information has been gathered about the candidates and the interviews have been completed, the search process moves to the selection phase. The decision should be communicated to the Department Chair and other appropriate offices before any verbal commitment or offer is made to the candidate. Things to Consider Candidate’s expectations were evaluated; consensus was reached as to which can be met Business plan Mission/vision Organizational strategic priorities Section/Department goals Factors that may delay start date (spouse employment, child schooling, work authorization, etc) What to Document Feedback from parties involved These issues may arise before decision is made: Commitments made Any negotiation meetings/conversations Correspondence related to the negotiation Exchange of offers / counter-offers relating to candidate expectations other than compensation Who to Involve Chief Chair Finance Director Deputy Director DOS AA Other offices deemed appropriate to the specific circumstances

22. Process – Completion of Search Materials: After the decision is made and there is agreement on the terms, you will need to document the search process prior to submitting the draft of the Contingent Letter of Offer. It may be useful at the start of the process to develop filing system that you can use to organize and maintain all pertinent materials. You should be able to easily access documents for future reference. But you are not done! We need to ensure that the candidate actually arrives and is able to work – see the next page for the links to that process. Things to Consider Review the files related to the search Assemble materials for review with the CLO Complete the Search Grid (on SecMan drive on Surgery server) Complete Search Summary (template on SecMan drive) → Review with Chief Gather successful candidate’s application materials What to Document Copy of ad proving that it ran for no less than 30 days Search grid Search summary Copy of candidate’s application materials Who to Involve Chief Search Committee, if any DOS AA

23. Offer Stage – Negotiating Instrument Things to Consider Start with department templates from DOS AA Negotiating Instrument (during final negotiations with the candidate): -- Tailor the letter to the needs of the candidate, including issues agreed-upon -- Check track, rank, and start date (only after billing, privileges are approved) -- Work with Finance re: incentives -- Prior to giving document to candidate, send draft to Finance Director and DOS AA for review, along with business plan and CV -- Chief sends document to candidate via email, copied to DOS AA What to Document Copy of Negotiating Instrument Review documentation of Search (see Page 15) – you may need to demonstrate the completeness of the search process soon! Who to Involve Finance Director DOS AA Deputy Director Upon submission by DOS AA, all negotiating instruments must be reviewed and approved by BSD Finance + Academic Affairs offices The Offer Stage may follow a one or two-step process: • Negotiating instrument (an email sent by the Chief after review by DOS and BSD Academic Affairs) is developed to confirm the status of final discussions. This is not, technically, an offer letter. • This is optional and if you want to communicate the proposed terms in writing with the candidate, please consult with DOS Academic Affairs first . • Contingent letter of offer (letter from Chair, after review of search, finance, space, etc. by DOS and BSD) (see next page)

24. Offer Stage: Contingent Letter of Offer When negotiations with the candidate are complete, you are ready to start the OnBoarding process (see next packet). Nevertheless, the search process is not complete until the process has been approved, which occurs when the candidate’s CLO is submitted to the Division for review, along with all of the supporting documents for the search. • CLO: created only after candidate and Chief agree upon all terms • This is a commitment by the Department and Division, but is still contingent upon approval of the academic appointment by the Offices of the Dean and Provost. • The CLO is prepared by DOS AA in consultation with the Section Administrator. Things to Consider • Terms of the appointment (search, space, animals, etc.) must be approved by Department and Division prior to sending the letter out. • Start date contingent on license, privileges and billing approval. • DOS AA uses Divisional template All materials must be submitted to OAA and BSD Finance for review prior to mailing by DOS AA What to Document • Space and Finance Checklist • Search materials • Copy of external ad • Evidence ad was open for at least 30 days • UC Jobsite requisition • Candidate spreadsheet • Search memo • Animal resources (if used) • CV • Citizenship Who to Involve • Meet with DOS AA to review status of materials as soon as agreement between Chief and candidate is reached on the terms of the appointment

25. Additional Items to Consider: • International Applicants (Visa Issues; Practice Implications) • Negotiations (Back and forth between Chief and applicant; Section timeline vs. applicant timeline) • Out-of-state applicants (need Illinois State Licenses) • Spouse (Time for them to get a job; dual recruits) • Advertising (Broad-based advertising will enhance the candidate pool; account for cost; Chief networking) • Interview Process (Scheduling availability of faculty and staff who need to meet candidate) • MSO Applications (reference letters; sign off on missing items) • COAP hearing materials/dates (Only 1/month; busy months harder to get a date; takes 3 months to develop the case within the department prior to submission; referee letters) • Costs associated with recruitment (Has the section budgeted sufficiently for advertising and travel costs?) • Financial implications of one recruit over another • Timeline: (see Page 3)If materials are not submitted in a timely manner, the appointment and privileges will be delayed; interim appointments will not be allowed.

26. FAQs: 1. When should we advertise a faculty position? • Answer: As soon as the potential position has been approved. 2. Ours is a very small field: why should I bother with the advertisement if I already know whom we want to recruit? - Answer: All positions must be advertised – that is the University policy. We want to recruit the best candidates and to do that we need to make an affirmative, open search that will produce a diverse pool of candidates. 3. If we don’t find a candidate in a year, do we need to place a new advertisement/start the process over? - Answer: You will need to start the process over after one year for Academic Non-faculty and two years for Faculty (UN, RS and CS) 4. Do we need to do a full external search for part-time or temporary appointments? • Answer: If the position is less than full-time but is compensated, you must do a 30-day posting on UC JobSite. A generic posting may be available: consult with DOS AA. 5. Is any on-line job site acceptable? • Answer: Preference is for one that is open to all possible candidates (if site can be viewed only by members, it may be used but you must have another site that is open). Listings on Monster.com, etc., are probably not good choices because it is unlikely that qualified surgical specialists would consult it or equivalent generic sources. Most professional societies have on-line postings. 6. Does this conclude the Process? - Answer: No! Next comes the OnBoarding Process and then the Orientation Process

27. Important Contacts: • Surgery HR/Academic Affairs • Anne Heinz: aheinz@surgery.bsd.uchicago.edu; Ext. 2-0962 • Dawn M. Rose: drose@surgery.bsd.uchicago.edu; Ext. 2-6647 • Gerry Robinson: grobinso@surgery.bsd.uchicago.edu; Ext. 2-1558 • Stacy Watson: swatson1@surgery.bsd.uchicago.edu; Ext. 4-5180 • Mireille Lampkins: mlampkin@surgery.bsd.uchicago.edu; Ext. 5-1468 • Finance Director, Andrew Swiatek: aswiatek@surgery.bsd.uchicago.edu; Ext. 2-6335 • Deputy Directors • Executive Director, Virginia Roberts: vroberts@surgery.bsd.uchicago.edu • Director of Finance, Andrew Swiatek: aswiatek@surgery.bsd.uchicago.edu • Executive Vice Chair/Vice Chair of Academic Affairs, Dr. John Alverdy: jalverdy@surgery.bsd.uchicago.edu; Ext. 2-4876 • Vice Chair of Research, Dr. Karl Matlin: kmatlin@surgery.bsd.uchicago.edu; Ext. 4-8044Administrative Assistant: Ruth Crawford • Director, Animal Resource Center, Dr. George Langan: glangan@uchicago.edu; Ext. 4-4375 • Chairman of Surgery, Dr. Jeffrey B. Matthews: jmatthews@surgery.bsd.uchicago.edu; Ext. 2-0881Practice Administrator: Jan Spicer • Medical Staff Office: Ext. 2-3559 • Waldo Johnson, Director of the Center for the Study of Race, Politics, and Culture (CSRPC)Ext. 2-8063 or csrpc@uchicago.eduWilling to assist with searches by alerting faculty networks about upcoming searches and by participating in the recruitment of candidates

28. List of Links: • Posting Faculty & Other Academic Positions (OAP): http://jobs.uchicago.edu/faculty_positions.shtml • Frequently Asked Questions • Applicant Email Request • Guidelines for Faculty Searches: http://jobs.uchicago.edu/guide_to_faculty_searches_0904.html • Defining an applicant • Reaching the broadest applicant pool • Tracking applicant flow • Documenting the search process • Guidelines for Conducting OAP Searches • OAP & Faculty Ranks in UChicago Jobs • How to Create a Requisition • Applicant Log • Biological Sciences Division Office of Academic Affairs: http://oaa.bsd.uchicago.edu • Appointments • Re-Appointments • Promotions • Resources • Forms

29. List of Links (continued): • List of Professional Organizations for Women and Minorities: http://jobs.uchicago.edu/diversity/resources/professional.shtml • Additional resources for diversity: http://jobs.uchicago.edu/diversity/resources/index.shtml • Office of International Affairs: https://internationalaffairs.uchicago.edu • University Online Posting Site for Managers: https://jobopportunities.uchicago.edu/userfiles/jsp/shared/frameset/Frameset.jsp?time=1229038925950 • University Bylaws & Statutes: http://trustees.uchicago.edu/articles • University Policies & Procedures: http://facultyhandbook.uchicago.edu/policies • University HR Benefits Summary: http://hr.uchicago.edu/benefits/spds/ • University HR New Hire Benefits Orientation Video: http://hr.uchicago.edu/benefits/orientation/ • Greater Chicago Higher Education Recruitment Consortium (GC HERC): http://www.gcherc.org/home/index.cfm?site_id=1684Features job listings and relocation resources for dual career couples in higher education

30. Glossary of Terms & Abbreviations: • AA: Department of Surgery Academic Affairs • AC: Academic Clinical (formerly called Clinician Educator (CE) • Applicant: an individual who has expressed interested and submitted their CV to be considered for the specific position advertised • ARC: Animal Resource Center; must approve any negotiations related to use of animals in research • Candidate: an applicant who has been screened, determined to meet the minimum requirements, and selected to advance to the next step in the recruitment process • CA: Clinical Associate (can be part or full-time). • CE: (See Academic Clinical (Instructor, Assistant Professor, Associate Professor, or Professor); appointees in this category are normally full-time salaried employees. • Clinical Academic: (formerly Part-Time track) Part-time faculty with teaching responsibilities; usually uncompensated. • CLO: Contingent Letter of Offer, sent after Surgery and BSD vetting • CS: Clinical Scholar; appointees in this category are normally full-time salaried employees. • DOS: Department of Surgery • HR: Department of Surgery Human Resources • Negotiation Instrument: Optional vetted e-mail communication describing current state of discussions about position. Sent prior to CLO. • OAA: Biological Sciences Division Office of Academic Affairs • PT: Part-Time Faculty Track • RS: Research Scholar (formerly Tenure Track) • UN: Undifferentiated (Assistant Professor); appointees in this category are normally full-time salaried employees. After an initial appointment, faculty must declare track (among AC, CS or RS)