June 26, 2009

1. Academic Search Process • Academic OnBoarding Process • 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 26, 2009

2. We provide here a summary timeline of the faculty onboarding process up through the point of arrival. We have included checklists and links that will help you organize your work (pp. 4). In separate documents, we have provided materials on the search and orientation processes. This document provides general guidelines and processes for making academic appointments. However, each case is different. To help you manage this process, we have provided a description of the rationale, as well as who is involved and what is required at each step. The process will be successful if there is close collaboration among the Chief, Operations Manager and 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, Clinical Associate, and Research Associate with parenthetical rank. Keys to success: * keep everyone updated * document your actions * ask questions along the way Background:

3. Contents of OnBoarding Process: • Task List • Overview • Process • Negotiating Instrument • Contingent Letter of Offer • Academic Appointment • MSO/Licensing/UCPG • Mentoring • Physician Office • Physician Practice Set-up Inpatient Outpatient Offsite • Lab/Research • Marketing/Outreach • Additional Lab School Housing Spouse Etc. • Additional Items to Consider • Frequently Asked Questions • Important Contacts • List of Links • Glossary of Terms & Abbreviations

4. OnBoarding Task Schedule: Review/action outside dept. Sectional and Departmental preparation

5. Academic appointments are a precious commodity. 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. A faculty member cannot start until all of the pieces needed for him/her to work and to get paid are in place. Warning: no privileges? no billing contracts? = no start and therefore, no pay! The on-boarding process involves the completion of a large number of tasks in order for the new member to be able to work. This packet lays out the different tasks and a schedule for accomplishing them. Note: these guidelines will need to be tailored to each candidate, once you know what the specific needs are. Overview:

6. Process – Negotiating Instrument: The offer stage usually follows 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. • The Negotiating instrument (i.e., a written agreement of understanding) is optional and if it is to be used, please consult with DOS AA before proceeding). • Contingent letter of offer (letter from Chair, after review of search, finance, space, etc., by DOS and BSD. Things to Complete: • 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 and 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 in the body of an email, copied to DOS AA • Copy of Negotiating Instrument • Review documentation of Search (see p. 15) – you will need to demonstrate the completeness of the search at the next stage. Who to Involve: • Finance Director • DOS AA • will submit negotiating instrument, CV and business plan to BSD Finance + Academic Affairs offices for review prior to release to the candidate. • Deputy Director

7. Process – Contingent Letter of Offer: • 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 Section Administration. Things to Complete: • Use Divisional template (drafted by DOS AA) • Terms of appointment (search, space, animals, etc., must be approved by Department and division prior to sending the letter to the candidate. • Start date , which is contingent on license, privileges and billing approval • All materials must be submitted to OAA and BSD Finance for review prior to mailing by DOS AA: • CV • Space and Finance Checklist • Business Plan • Search materials (see Academic Search Process for details) • Animal Resources (if used) • Visa plan (if necessary) • Special practice arrangements 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 • Keep Deputy Director informed about any agreements, questions

8. Process – Academic Recommendation The Department recommends the academic appointment to the Dean, who reviews/supports and sends to the Provost for review. DOS AA works with the Operations Manager and Deputy Director to assemble the materials and prepares the Department’s letter. If the recommendation is for a junior position (instructor or assistant professor), the process relies more heavily on Sectional materials. If the recommendation is for a senior appointment (associate professor or professor), the process relies more heavily on departmental direction. NOTE: START THE MSO/UCPG AND LICENSING PROCESS ASAP: may take up to 5-7 months to complete

9. Process – MSO/UCPG/License: The credentialing process involves the review by Medical Staff Organization (MSO) to determine fitness for clinical practice at the University of Chicago Medical Center. The University of Chicago Physicians’ Group (UCPG) reviews the credentials for insurance contracts. Note: it can take up to 3 months after we submit an application to MSO for them to complete their review, so, PLAN AHEAD! Things to Complete: • Request an application for staff privileges for the specific specialty from MSO. • Send application to candidate • Pre-populate the forms to help expedite the process for the applicant. When it is returned, review it for completeness, obtain the Chief’s signature on the privilege page. • If original academic references are not available, candidate/Ops Manager should contact referees listed on state form (copy the page with the 3 referees’ contact information prior to submitting to the MSO). • Submit entire packet to DOS AA for review and Chair’s signature. BE SURE THAT IT IS DELIVERED TO THIS OFFICE WHERE IT WILL BE SCANNED AND REVIEWED. Who to Involve: • DOS AA • MSO (2-3559) for packets • Signatures required from Chief and Chair

10. Process – MSO/UCPG/License (cont.): Things to Complete: • Candidate applies for the Illinois license (also Indiana if that will be a practice site). • http://www.idfpr.com for Illinois license application. • If candidate does not have a current Il. License, include copy of the application with the MSO packet. Who to Involve: 3/10/2014 10

11. Protocol: The Operations Manager is responsible for managing the credentialing process to ensure that the new faculty is set up with all payors prior to start date so that all bills for services will go through on a timely basis. Contact for credentialing questions: Gerry Robinson, 773-702-1558. Contact for professional billing questions: TBN If concerns/questions, contact your Deputy Director to escalate. Process – MSO/UCPG/License: 3/10/2014 11

12. Process – Mentoring: New faculty will benefit greatly from mentoring. Mentoring will provide the opportunity to discuss professional issues and interact with senior faculty; to receive timely informal feedback on career progress; to have clear information on promotion and tenure; and to have access and guidance to resources for career development. With proper mentorship, one is made to feel they are an integral part of the work group, they gain more confidence, and as a result, become productive more quickly. This also helps to confirm they have made the right choice in choosing the University of Chicago. Things to Complete: • Chief to assign a mentor. • Arrange for a “meet and greet” between the mentor and new faculty. • Schedule regular meetings with the mentor. • The mentor should be available, as time permits, for questions, conversation, acclimation, socialization, etc… • Further discuss the culture of the University and Medical Center, the Department and the Section, “how to”, and who to contact. Who to Involve: • Section Chief • Assigned mentor • Operations Manager, as needed, nudges chief, mentor and new faculty.

13. Process – Physician Office: Office space should be identified at the conclusion of the search process. Appropriate arrangements should be made with Facilities Project Manager who will coordinate the physical renovations of the space. Timing is key, as you want to allow adequate time to set up the office so that on day 1, it is ready for the new faculty. Things to Complete: • Fix up office (paint, carpet, light fixtures etc) order furniture (if necessary – allow 6-8 weeks for delivery/assembly) • Order/install IT equipment (computer, printer etc) and communication equipment (phone/pager). • Order keys from plant for office, conference rooms etc. • Order office supplies, stationary, business cards. • Order name plate for office door, lab coat. • Email / Voicemail set up. • SARF request for various UCMC computer application. • Make Occ. Med appointment, obtain ID badge, arrange parking Who to Involve: • Facilities Project Manager • Ops Manager • Deputy Director • IT / NSIT Staff • HR

14. Process – Physician Practice Set-up: Inpatient To the new physician, probably the most important process to have set up. This will include determining OR time, needs, and all of the appropriate accesses are in place. As much as possible should be done prior to arrival. It is also important to make sure proper training is done and that meetings are set up prior to their start, if possible. Things to Complete: • OR block allocation. • Scrub access. • Swipe access / door access. • Medical Records dictation. • Set up patient access computer applications (EPIC, Oacis etc.) • Ensure mutually agreed upon capital requests from CLO are in place prior to arrival. • Establish preference cards with specialty manager in OR. • Request locker. Who to Involve: • Chief • OR Specialty Manager • Ops Manager • IS • Finance (if necessary for capital requests) • Peri-Op Services • Deputy Director

15. Process – Physician Practice Set-up: Outpatient The outpatient practice set up includes everything relating to the on-site outpatient practice (DCAM clinic). Day/time assignments will need to be agreed upon with the new faculty and the chief. It will be best to find out if there are specific scheduling requirements (i.e. wants to view films before appointment, doesn’t accept kids, etc.) as well as volume they typically like to handle (news/returns) so that the template can be set up and scheduling can start ASAP. The goal is to allow them to have as full of a schedule as possible when they arrive. Things to Complete: • Clinic days, times, and room assignment. • Create template (establish patient scheduling preferences). • Nurse and support staff assignment. • Scribe / EMDAT access. • Special clinic equipment mutually agreed upon (CLO). • Clinic orientation (space, staff, processes etc). • Update/revise charge ticket as needed. • Keys, locker, swipe access. Who to Involve: • Ops Manager • DCAM Administration • Chief • Deputy Director • HR (if necessary for additional staff/job descriptions)

16. Process – Physician Practice Set-up: Offsite This process includes everything relating to the off-site outpatient practice. This will be specific to each section, depending on where your physicians typically go. If there is a new site, further work may be required (configuration of offices, waiting rooms, staff hiring, etc.). The same day/time/scheduling requirements will need to be discussed with the new faculty prior to their arrival. Things to Complete: • Credentials for offsite facility if UCPG does not bill • Contract and malpractice extension in place. • Support staff and nursing coverage available. • Clinic days, times, and room assignment. • Create template (establish patient scheduling preferences). • Nurse and support staff assignment. • Special clinic equipment mutually agreed upon (CLO). • Clinic orientation (space, staff, processes etc). • Update/revise charge ticket as needed. • Keys and facility access. Who to Involve: • Legal Affairs • Ops Manager • Deputy Director • UCMC Administration (for contract)

17. Process – Physician Office/Practice Set-up: Checklist

18. Process – Lab/Research Lab space and research needs should be identified at the conclusion of the search process. New faculty will have already met with all necessary parties (Matlin, animal research etc) regarding lab/research needs, and start up funds and resources will have already been agreed upon. Things to Complete: • Physical space clean, set-up to new faculty specifications. • Support staff/research staff allocation/hiring as promised in CLO. • Equipment ordered/ in place as promised in CLO. • If external funding, accounts set up. • Door access to appropriate research areas around the campus and passwords (BSD ID etc). Who to Involve: • Director of Surgery Research • Deputy Director • Facilities Project Manager • Finance / Grant Administrator • Ops Manager • Vice – Chair for Surgical Research • HR (if hiring needed)

19. Process – Marketing/Outreach Marketing and outreach are necessary so that the new faculty are able to successfully attract patients and grow their practice here at UCMC as fast as possible. There are certain things that we can help with (materials, website, etc) and some things will depend on their eagerness and willingness to go out into the community. Things to Complete: • Website profile (surgery webpage and UCMC webpage). • Arrange for photo. • Marketing materials (brochures, pamphlets, mailings, signs/posters in clinic etc). • Referral list mailing to notify of arrival of new faculty. • Set up talks, grand rounds, lectures etc. Who to Involve: • Ops Manager • UCMC Marketing • UCMC Web Marketing • DOS Communications • Deputy Director

20. Process – Additional Considerations • Visa issues? • Moving arrangements? • Lab School • Housing • Spouse • Etc. Things to Complete: • Review with the candidate at an early point any additional issues that may need to be resolved before their arrival. Who to Involve: • Depends on the issue; consult with your Deputy Director and DOS AA as primary resources.

21. Comprehensive on-boarding checklist: Covers search and on-boarding up through first 6 - 12 months For summary of academic piece, see: Secman/Academic/Section folders/aheinz/Candidate work flow.xls For a more detailed list of tasks to be handled within the Section, see: Secman/Academic/Section folders/aheinz/Final Academic hiring process.xls

22. Additional Items to Consider: • International Applicants (Visa Issues; Practice Implications) • Out-of-state applicants (Illinois State Licenses) • Spouse (Time for them to get a job; dual recruits) • Advertising (Broad-based advertising will enhance practice startup; account for cost; Chief networking) • Interview Process (Scheduling availability of faculty and staff who need to meet candidate) • MSO Applications (Need 3 original 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?) • 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.

23. 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 • Director of Finance, Andrew Swiatek: aswiatek@surgery.bsd.uchicago.edu; Ext. 2-6335 • Deputy Directors • Executive Director, Virginia Roberts: vroberts@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 • Chair, Dr. Jeffrey B. Matthews: jmatthews@surgery.bsd.uchicago.edu; Ext. 2-0881Practice Administrator: Jan Spicer • Medical Staff Office: Ext. 2-3559

24. List of Links: • Biological Sciences Division Office of Academic Affairs: http://oaa.bsd.uchicago.edu • Appointments • Re-Appointments • Promotions • Resources • Forms • Office of International Affairs: https://internationalaffairs.uchicago.edu • 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/

25. 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 • BSD: Biological Sciences Division • 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 • CE: (See Academic Clinical (Instructor, Assistant Professor, Associate Professor, or Professor); appointees in this category are normally full-time salaried employees. • CBM: Chicago BioMedicine (includes both Biological Sciences Division and the University of Chicago Medical Center) • 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 • 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) • UCMC: University of Chicago Medical Center