Faculty Appointments Oct 21 2010 by xiuliliaofz


									    Vice President Academic & Provost‟s

 Lunch & Learn Session
Faculty Appointment Forms
           October 21, 2010

          Sharon Dahmer, Office of the Vice-President, Academic & Provost
          Kim Gingerich, Office of the Vice-President, Academic & Provost
          Ellsworth LeDrew, UARC Chair
          Marie Armstrong, Secretariat, Secretary to UARC
          Alison Zorian, Faculty of Mathematics

   Overview
   Department Level
   UARC Process (Ellsworth Ledrew)
   Faculty Level
   Vice-President‟s Level
   Important Web Addresses
   Feedback
Before appointment forms can be completed, the following steps
should have occurred in the department:
 The advertising procedure has been completed
 Applications have been received
 Department Advisory Committee on Appointments (DACA) will meet
   to discuss files and create a short list of applicants
 Short listed applicants are invited for an interview
 After all interviews have been conducted, the DACA will decide on a
   candidate, the Chair will seek approval from the Dean to go ahead
   with an offer

 If the department is looking at the possibility of a senior
  level hire, it is imperative that the Chair speak to the
  Dean and in turn the Dean speak to the Vice-President.

 Approval by the VP must be given BEFORE senior
  applicants are invited for an interview.
                       Department Level
A candidate has now been decided on, the following information is put
together to create a package which is forwarded to the Dean‟s office:
 Mission Critical Form
    - include a previously signed copy of the form with the package
   Faculty Identification Form
    - this is the same form that is used in the advertising stage, with the name of
      the candidate added
   Full-Time Faculty Appointment Form
    - for regular, definite term, full-time lecturer appointments
   Copies of CV’s for the candidate and the top two contenders
   Copies of letters of reference for all of the above
    - if all of the top contenders are of the same gender, be sure to add the CV and
      letters of reference for the strongest candidate of the opposite gender.
    - if sending by courier, please provide the shipping code to the Dean‟s office
   UARC Summary Form
   Chair’s memo to the Dean
   Copies of all ads - can be copies of published ads copied from the web
                  Mission Critical Position
                                                              Mission Critical Position
                                                                 Submission Form
                     University of                                             2009-2010

This form is         Mission
                                        Faculty: ___________________________________________________________________
required until       Position
further notice.                         Department: _______________________________________________________________

                     ________________   Staff or Faculty Position:             STAFF            FACULTY

                                        Position Name: _____________________________________________________________
                     Complete one
                     form per
                                        Funding Source: ___________________________________________________________

                                        Anticipated Start: __________________________________________________________
                     Submit to:

                     Vice President
                     Academic &
                                        Additional Information: ___________________________________________________
                     NH 3073


                                        Chair/Department Head: ________________________________ Date: _____________

                                        Academic - Faculty Dean: _________________________________ Date: ___________
                                        Administrative - Vice President/Associate Provost/Associate Vice President

                                                                           ___________________________ Date: __________

                                        Vice President Academic & Provost _______________________Date: ____________
                     Revised July 13,

                                        Distribution: Faculty/Department
                                        Human Resources
Identification of Faculty Position
    Process for Completion/Circulation of
   Identification of Faculty Positions Form
             STEP 1 – Request to Advertise Form Attachment
            • Form is completed with candidate name blank, and Chair and Dean signatures, and
              attached to Request to Advertise form
 Dean's     • Signatures imply that Dean has had conversation with Provost re: filling of position and
 Office       related funding

            • VP reviews and adds any comments
            • Copy sent to Finance
Provost's   • Original returned to Dean's assistant

             STEP 2– Faculty Appointment Form Attachment
            • On original returned from Provost's office, candidates name is completed, and
 Dean's       form is attached to Faculty Appointment Form

            • Provost approves and makes final comments on funding sources where centrally
            • Distribution per form: VP's office, Dean's office, original to Finance
Identification of Faculty Positions
Summary of Recruiting Efforts for UW Faculty Positions
         UARC Overview

 What Is UARC?
 Approach of Committee
   New Chairs
   Consistency across Campus in Submissions

 Issues and Potential Future Development
 Q&A
               UARC, 2010-11

 Chair,   Ellsworth LeDrew, (Faculty of Environment)
 AHS      Laurie Hoffman-Goetz (Health Studies
                  and Gerontology)
 ARTS     Christine McWebb (French)
 ENG      Eric (Ric) Soulis (Civil Engineering)
           Dave Fuller (Management Sciences)
 ES       Jennifer Clapp (Environmental & Resource
 Math     Xinzhi Liu (Applied Mathematics)
 SCI      Mario Gauthier (Chemistry)
This Committee, appointed by the VPA&P in
consultation with Deans' Council and the President
of the Faculty Association, shall advise on regular
faculty appointments of duration two years or more.

UARC shall review the hiring process and provide
advice to the Dean before a hiring recommendation
is sent to the VPA&P for approval.
The Chair (through the Dean) shall provide
UARC with a brief summary of the recruiting
process including efforts to solicit candidates
from the underrepresented gender.
Documentation (such as CVs, letters of
reference) will be provided for the top three
candidates. If all three are of the same gender,
documentation will also be provided for the top
candidate of the opposite gender.
             Role of UARC

UARC monitors the hiring process to ensure that
positions were properly advertised (University
Affairs and/or CAUT Bulletin), that both the letter
and the spirit of the hiring procedure were followed
and that there was a thorough search for
candidates, especially candidates of the
underrepresented gender.
    Role of UARC (cont‟d)

It provides advice to Chairs, Deans and the
VPA&P with respect to faculty hiring, and
reports to Senate annually, via the VPA&P, on
its activities and operation.

 There is a wide range in content and quality of
  the responses forwarded to UARC by the
  Department Chairs.

 This is in part due to inconsistent messages
  being given to the Chairs, as well as lack of
  understanding of the role of UARC.
         Observations (cont‟d)

 We also note that some departments provide
  excellent reports while there is evidence that
  other departments „ignore‟ the process.

 Create a ‘model’ response
           What we look for
 Hiring process is open
 Hiring matches the advertisements
 Consensus in department
 A thorough review
 Consistency in process between departments
  and faculties
 Advertisements in University Affairs and/or
  CAUT Bulletin (mentioned in Policy 76)
        What we do NOT do

 We do NOT re-evaluate the qualifications of the
  candidate – the purview of the Department

 We will do a comparison of candidates across
  campus to identify anomalies and, if there are
  anomalies, look for explanation in Chair‟s
     Submission of files to UARC
• Advise the dean’s office that the file is being
• Complete the Summary of Recruiting Efforts.
• Gather the required documents (use the
  Summary of Recruiting Efforts and Check List
  for UARC File Submission as guides). Put in the
  order of the check list. Do not bind or use tabs
  – the material will be scanned.
• Complete and sign the Check List for UARC File
  Submission. Place it at the front of the
  material. [If anything is missing, hold the file
  until the list is complete.]
• Deliver the material to the dean’s office.
• Advise Secretariat (Bev Seibel) that the file is
  being prepared as soon as hear from the
• Receive the material from department.
• Insert dean’s memo.
• Complete and sign the Check List for UARC File
  Submission. [If anything is missing, contact the
  department and hold the file until the list is
• Scan the material and upload to UARC
• Advise Secretariat (Bev Seibel) that the
  material has been uploaded.
   Check List for
UARC File Submission
   See handout
                   We Need

 FULL discussion of merits of top three candidates
  and candidate of opposite gender
 Recommendation of Dean
 Process to follow if first candidate refuses the
  offer - Contingency Plan
 Reference letters for top three candidates and
  candidate of opposite gender
              Sources of Information
 Policy 76

 http://www.adm.uwaterloo.ca/infosec/forms/facultyappts.

 www.secretariat.uwaterloo.ca/forms/facultyappts.doc

 For science opportunities:
                 Moving To

 Completely Electronic Document Exchange:

 More representation from larger Faculties

 Revision of On-line Documentation

 Central and Consistent Administration Support
   UARC Mantra

“Protect the Process”
             Faculty (Dean) Level

The completed forms have now been forwarded from
the Department to the Faculty.

The Dean‟s office is now responsible for sending the
package off to UARC along with a memo from the
Dean supporting the application.
                       Who Gets Which Forms
DEAN’S OFFICE                             UARC                                       VP’S Office
(from Department)                         (from Faculty)                             (from Faculty)

Mission Critical Form                                                                Mission Critical Form
Appointment Form                          Memo from Dean to UARC                     Appointment Form
Faculty ID Form                                                                      Faculty ID Form
Summary of Recruitment Form               Summary of Recruitment Form
Copy of Chair‟s memo to Dean              Copy of Chair‟s memo to Dean
Copies of Ads                             Copies of Ads
Curriculum Vitae                          Curriculum Vitae                           Curriculum Vitae
Letters of reference                      Letters of reference                       Letters of reference
Files of other candidates                 Files of other candidates
                                                                                     Appointment Letter

                   Files of other candidates are returned to the Department along with the job ads.
                         The faculty does not keep this information on file in the Dean‟s office.
                  Appointment Letters
While the package is at UARC, I use this time to create the letter to the
    Information on the appointment form lets me create the letter
    Does the person have their PhD (if not needs special paragraph)
    Canadian or non-Canadian (if non-Cdn needs special paragraph)
    Are the academic credentials verified
    Are there moving expenses (if so needs special paragraph)
    Teaching relief (if so needs special sentence)
    Is there sabbatical credit (if so needs special sentence)
    *No appointments can start with an unpaid leave*
       There are four types of letters:
       1. tenured
       2. probationary term
       3. definite term
       4. visiting scholar/researcher/professor
                      Tenured Position
 If you are hiring a faculty person as a tenured Associate
    or Full Professor a package is prepared and sent to the
    Faculty Tenure & Promotion Committee at the same
    time as the UARC package is sent. When both
    packages come back, they are forwarded to the VP‟s

 In the case of a non-Canadian applicant a package
    goes to HRSDC (Human Resources and Social
    Development Canada)
   (Future session on completing HRSDC forms will be held on January 27, 2011).
                Package to VP‟s Office
In the package to the VP‟s office is an information folder from HR which has:
      CD of benefits and information on health care, dental, insurance,
      Support services offered by Frances Hannigan in WatPort
      Pension plan application
      Bank deposit authorization
      Spouse and/or dependents for benefits form
      Instructions to myHRinfo

I add to this:
     Policy 77 (Tenure & Promotion)
     Policy 76 (Faculty Appointments)
     Policy 28 (Moving Expenses)
     Moving expenses form to be forwarded to Purchasing
     Faculty Association letter and sign up sheet
     Memorandum of Agreement
              University Level

When appointments are received, we look for the
 following documentation:

    Mission Critical Form
    Faculty Appointment Form
    Two copies of letters for the candidate
    Faculty Identification Form
    Copy of a CV
    Copies of letters of reference
                         University Level
Appointment form is checked for the following information:
  Does the candidate have their PhD? If not, make sure that the
    additional statement is included in the letter “This offer is conditional upon
    completion of the requirements for your PhD degree and upon receipt of evidence from
    _____ (granting institution). Please note that if all requirements for the PhD have not been
    met by (date), your initial appointment will be that of a definite term lecturer. Upon receipt of
    written confirmation from ___ (granting institution), that your PhD requirements have been
    fulfilled, your appointment will revert to “Assistant Professor”.

  Have the academic credentials been verified
  Are the dates correct (see Policy 76 #3, B. 2nd paragraph) “A first
    probationary-term appointment shall have an end-date of June
    30th, and its duration shall be at least two years and ten months,
    but less than three years and ten months.”
  Appointment type is checked
   After the file has been checked:

 Given to the Vice-President for final approval

 Once approved, the package is checked to make
   sure that both copies of the letter are in the package
   (provided by the Dean‟s office) and sent out
                What do we keep:

 A copy of the Mission Critical Form
 A copy of the Appointment Form is kept for the VP‟s
   files, original is returned to the Dean‟s office
 A copy of the letter is kept for my files, a copy is given
   to Frances Hannigan in WatPort
 A copy of the Faculty Identification form is kept, one
   copy is sent back to the Faculty and the original is
   sent to Finance
 CV and letters of reference are kept
      When the applicant accepts:

 The Dean‟s office will forward a copy of the signed
   acceptance to the VP‟s office
 A copy of the letter is given to Frances Hannigan in
 A faculty file is created in the VP‟s office
 Should a candidate decline our offer, the Dean‟s
   office is responsible for informing the VP‟s office,
   this is crucial to this office
        Other Appointment Forms
There are two other forms that are used for the purpose
of faculty appointments:
   Part Time Faculty Appointments
     adjunct and sessional
   Non-Faculty Appointments
    visiting scholars, researchers, postdoctoral fellows
Both forms are similar to the full-time forms, if you have
questions please contact the Dean‟s assistant
Forms are available on the Human Resources website,
please remember to only use these forms
Part-Time Definite Term Faculty
Non-Faculty Appointment Approval
                Important Websites
Summary of Recruiting Efforts

Policy 28 – Payment of Moving Expenses and Travel
  Allowances to Newly-Appointed Faculty and Staff Members

Policy 76 – Faculty Appointments

Policy 77 – Tenure & Promotion of Faculty Members

Human Resources Website

Upcoming L&L Sessions
November 25, 2010
       Tenure & Promotion
        Marie Armstrong presenting

January 27, 2011
        WatPort - New Faculty SupPort Office
        & HRSDC for New Hires
        Frances Hannigan presenting

February 24, 2011
        Faculty Sabbaticals
        Kim Gingerich presenting

March 24, 2011
       Tenure & Promotion
        Marie Armstrong presenting

                       Please RSVP

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