Appendix N

4/28/20

SENATE COMMITTEE ON FACULTY AFFAIRS AND INTRA-UNIVERSITY RELATIONS

Revisions to AC-13 Recommended Procedure for Hiring New Faculty (Formerly HR13)

(Advisory/Consultative)

Implementation: Upon approval by the President

Introduction

AC-13 “Recommended Procedure for Hiring New Faculty (Formerly HR13)” was last revised in 1999. Twenty years later, the policy no longer effectively guides or accurately reflects hiring practices at Penn State. In particular, AC-13 does not provide guidance to academic units about how to conduct faculty searches that attend to issues of diversity, equity, and inclusion.

Consultative process leading to this report

The recommendations to revise AC-13, as shown below, reflect a multi-year consultative effort, led by the Vice Provost for Faculty Affairs (VPFA) and the Associate Vice President for Affirmative Action (AVPAA), involving numerous members of the University Faculty Senate, and dating back to the Fall of 2018. This process of consultation resulted in feedback addressing a wide range of topics, including, but not limited to, search committee composition and size, duration of posting, responsibilities of the search committee, confidentiality, and attention to issues of diversity, equity, and inclusion. The process of consultation included:

  • Spring 2019: The VPFA and the AVPAA shared an early draft of the proposed policy with the Academic Leadership Council (ALC) and Senate leadership for feedback.
  • Fall 2019: The VPFA and the AVPAA revised the draft policy based on feedback they received and then circulated the new draft to ALP for feedback.
  • Winter 2020: After revising the proposed policy again, the VPFA and the AVPAA shared the new draft with Senate leadership who subsequently distributed the draft to the Senate Committees on Faculty Affairs and Intra-University Relations for feedback. After this round of feedback, the VPFA and the AVPAA made final edits in consultation with the chair of the University Faculty Senate.

Rationale for proposed revisions

The proposed revisions embody several general principles.  First, they align policy AC-13 with Penn State’s current practices and strategic goals, especially in relation to diversity, equity, and inclusion.  Second, they add specificity. For example, the proposed revisions provide important guidance on search committee composition related to various positions and appointment types, as well as emphasizing diverse representation in other critical areas. The proposed revisions also explicitly detail the responsibilities of search committee members, the committee chair, and the appointing authority, making it clear that these responsibilities include being held accountable for creating a candidate pool that reflects candidates who are qualified for the position and for implementing recruitment strategies that result in an appropriately diverse candidate pool. Third, the proposed revisions reflect changes in administrative processes at Penn State, for example, through clarifying and standardizing expectations regarding confidentiality, the posting of job announcements, and the locus of decision-making authority.

Recommendation

The committees recommend that AC-13 “Recommended Procedure for Hiring New Faculty (Formerly HR13)” be revised in the following way:

Please note that the following contains bold text for additions. Added text is notated with [Add] [End Add]. Please note that the following contains strikethrough text for deletions. Deleted text is notated with [Delete] [End Delete].

AC13 [Delete]Recommended[End Delete] Procedure for Hiring [Delete]New[End Delete] [Add]Full-time[End Add] Faculty Members (Formerly HR13)

Policy Status: Active

Policy Steward: Vice Provost for Faculty Affairs

POLICY’S INITIAL DATE: May, 1962
THIS VERSION EFFECTIVE: [Delete]June 18, 1999[End Delete]

PURPOSE:

To outline responsibilities [Delete]in[End Delete] [Add]for[End Add] the process of hiring new [Add]full-time[End Add] [Delete]regular[End Delete] [Add]tenure-line and non-tenure-line[End Add] faculty members [Add]as defined in AC21 (Definition of Academic Ranks) [End Add].

[Add]GENERAL:[End Add] [Delete]RECRUITMENT OF CANDIDATES:[End Delete]

The [Add]Academic[End Add] Dean [Delete]of each College[End Delete][Add]or Campus Chancellor[End Add] is responsible for the staffing of [Delete]teaching and research[End Delete] [Add]faculty[End Add] positions within the approved budget of that [Delete]College[End Delete][Add]college or campus[End Add]. [Delete]Questions regarding the budgeting of such positions should be referred to the University Budget Office. [End Delete] [Add]This individual serves as the appointing authority for the college or campus. It is the policy of this university to ensure the application of Penn State’s affirmative action plan to all major phases of this process[End Add].

[Add]

  1. The appointing authority for the academic unit seeking to fill faculty positions is responsible for reviewing their respective affirmative action plan data to determine areas of underutilization. This process is particularly important for those units that have historically had significant underrepresentation of members from specific groups. Attention should also be paid to advancing employment opportunities within the unit for members of other underrepresented groups.
  2. National advertising is required for tenure-line or tenured faculty positions, but is optional for non-tenure-line positions. Exceptions to this policy must be approved by the Executive Vice President and Provost in consultation with the Associate Vice President for Affirmative Action. [End Add]Within the framework of [Delete]a college[End Delete][Add]the academic unit[End Add], the [Delete]recruiting[End Delete][Add] hiring[End Add] of candidates [Delete]to staff[End Delete][End Add] for[End Add] these positions primarily is the responsibility of the department head, [End Add]school director, [End Add] division head, [End Add]director of academic affairs, [End Add] or [Add]dean[End Add], as appropriate.

[Delete]

  1. As a part of the recruiting procedure, candidates shall be furnished with a copy of the memorandum, Conditions of Academic Employment, prepared by the Office of Human Resources that includes information about:
    1. Conditions of employment; loyalty oath and tax withholding.
    2. Personal benefits; group life insurance, health care coverages (including hospital/surgical/major medical, dental and vision care), retirement and social security, tenure and the like. [End Delete]

[Add]RESPONSIBILITY[End Add][End Delete]SELECTION OF CANDIDATES[End Delete]:

While the practices in selection of candidates differ in the [Delete]several colleges[End Delete] [Add]academic units,[End Add] a position will be offered to a candidate only upon the prior approval by the dean[End Add]/chancellor[End Add] as to the candidate and [Delete]as to[End Delete] the terms of employment.

[End Delete]National advertising is required for tenure-line or tenured facultypositions. Exceptions to this policy should be approved by the Executive VicePresident and Provost in consultation with the Affirmative Action Officer.[End Delete]

GUIDELINES:

[Delete]The following general guidelines will apply in searching to fill such faculty positions:[End Delete]

[Add]The following guidelines apply to searches for full-time faculty positions. The appointing authority and the search committee chair are responsible for reinforcing adherence to these guidelines. [End Add]

[Delete]

  1. Advisory search committees, appointed by the unit’s academic administrator after appropriate consultation, will be formed to identify candidates.
  2. Faculty members shall be on all search committees. The majority of members of a search committee should be faculty members from the academic unit or those who hold joint appointments with the academic unit in which the appointment will be made.
  3. Faculty members from other academic units, administrators, members of the staff, and students may be included on search committees as appropriate.
  4. The general charge to search committees will be to identify qualified candidates. The unit’s academic administrator will provide specific charges, as appropriate, within the framework of this general charge applicable to all advisory search committees.
  5. The search committee will present its recommendations of candidates to the unit’s academic administrator, who will choose candidates for further consideration from these recommendations. (If the search needs to be continued or reopened, it will be according to the procedures outlined in these guidelines.) At the request of either the committee, the unit’s faculty, or the academic administrator, a meeting to discuss recommendations should be held.

[End Delete]

[Add]

  1. A search committee consisting of a minimum of five (5) members is required for all full-time faculty positions; any exceptions to this minimum must be approved by the appointing authority.
  1. Search committee members will participate in the various phases of the search.
  1. No fewer than half of the members on a search committee will be faculty members of the academic unit in which the new faculty member will be appointed, or those who hold joint appointments with the academic unit.

a. All search committees should represent a broad range of diversity within its members, which includes members of underrepresented groups.

b. If such representation is unable to be obtained within the unit, committee members should be solicited from related units. When such diversity is not represented on a search committee, documentation explaining the lack of representation shall be included in the search record available for review (see the accompanying guidelines for details).

  1. One of the search committee members will be designated as the committee chair. For tenure-line searches, under ordinary circumstances, a tenured faculty member from the academic unit or a closely related discipline should serve as chair.
  1. Faculty members from other academic units, administrators, and students will be included on search committees as appropriate, but are not required in search committee membership.
  1. The general charge to search committees will be to identify qualified candidates. The appointing authority will provide specific guidelines as appropriate within the framework of this general charge applicable to all search committees.

a. The charge will include a review of Penn State Affirmative Action guidelines that must be adhered to.

b. Application deadlines should be at least 30 days from the date the vacancy is first publicized.

c. The search committee chair will document and report on the search committee’s efforts undertaken to recruit applicants who are members of underrepresented groups and on the committee’s assessment of the strengths of and concerns about each candidate recommended for an on-site interview. If either the pool or the list of candidates recommended for an on-site interview position is not viewed as either sufficiently diverse or qualified by the appointing authority, the appointing authority may request that the committee recruit and or review additional candidates, or close the search.

d. The search committee will submit names of candidates it would like to invite for on-site interviews to the appointing authority before such invitations are issued. The appointing authority may request that the search committee provide a ranking of the candidates it has recommended for an on-site interview. The search committee may request to rank the candidates it recommends for an on-site interview. The appointing authority approves candidates for on-site interviews from the list of candidates recommended by the search committee. If requested by either the committee or the appointing authority, a meeting to discuss recommendations will be held.

e. After the on-site interview process, the appointing authority will select a finalist for the position from the candidates interviewed for the position. If a finalist is not or cannot be selected, the appointing authority may decide to close the search or ask the search committee members to return to the candidate pool in search of qualified candidates recommended for an on-site interview.

f. All search committee members will maintain confidentiality and the integrity of the process by discussing candidates and deliberations with only other search committee members and appropriate administrators/faculty/staff. Such confidentiality will be maintained throughout the search and into the future.

7. All internal searches must be approved by the Office of the Executive Vice President and Provost in consultation with the Affirmative Action Office. The following general guidelines will apply to internal searches if they have been approved:

a. The unit must provide equal promotional opportunity to women, racial/ethnic minorities, individuals with disabilities, protected veterans, and members of other represented groups, documented by advertising the vacancy with an application deadline at least 30 days from the date the vacancy is first publicized and by fairly considering all qualified applicants internal to the University.

b. Additional proactive efforts are expected to be implemented and documented to encourage internal potential candidates who are members of underrepresented groups to apply.

 c. When an appointing authority utilizes the internal search method, prior to an offer being made, an Internal Recruitment report will be provided to the Affirmative Action Office with the following information:

i. Copy of position description
ii. Curriculum Vitae of selected employee

iii. Curriculum Vitae of other employees who were considered for the position
iv. Reason for selection of successful candidate
v. Affirmative Action recruitment efforts implemented and/or considered.

d. Faculty transfers from non-tenure-line to tenure-line or vice-versa are rare and must be approved by the Office of the Executive Vice President and Provost. No faculty member may be transferred (or promoted) from one type of faculty role to another (i.e., non-tenure-line to tenure-line or tenure-line to non-tenure-line) unless the faculty member under consideration was originally hired via a nationally advertised search.

[End Add]

[Delete]No employee may be transferred (or promoted) from a Fixed-Term Appointment (non-continuing) to a Standing Appointment (continuing) without going through a nationally advertised search unless the person selected on the Fixed-Term Appointment was chosen after a national search.[End Delete]

NOTIFICATION OF CANDIDATES:

It is the responsibility of the dean[Add]/chancellor or their designee[End Add] to notify a successful candidate in writing of the offer of employment. [Delete]Three copies of a Memorandum of PersonalService will accompany the letter of offer.[End Delete]


Clean Copy

AC13 Procedure for Hiring Full-time Faculty Members (Formerly HR13)

Policy Status: Active

Policy Steward: Vice Provost for Faculty Affairs

POLICY’S INITIAL DATE: May, 1962
THIS VERSION EFFECTIVE:

PURPOSE:

To outline responsibilities for the process of hiring new full-time tenure-line and non-tenure-line faculty members as defined in AC21 (Definition of Academic Ranks).

GENERAL:

The Academic Dean or Campus Chancellor is responsible for the staffing of faculty positions within the approved budget of that college or campus. This individual serves as the appointing authority for the college or campus. It is the policy of this university to ensure the application of Penn State’s affirmative action plan to all major phases of this process.

  1. The appointing authority for the academic unit seeking to fill faculty positions is responsible for reviewing their respective affirmative action plan data to determine areas of underutilization. This process is particularly important for those units that have historically had significant underrepresentation of members from specific groups. Attention should also be paid to advancing employment opportunities within the unit for members of other underrepresented groups.
  2. National advertising is required for tenure-line or tenured faculty positions, but is optional for non-tenure-line positions. Exceptions to this policy must be approved by the Executive Vice President and Provost in consultation with the Associate Vice President for Affirmative Action. Within the framework of the academic unit, the hiring of candidates for these positions primarily is the responsibility of the department head, school director, division head, director of academic affairs, or dean, as appropriate.

RESPONSIBILITY:

While the practices in selection of candidates differ in the academic units, a position will be offered to a candidate only upon the prior approval by the dean/chancellor as to the candidate and the terms of employment.

GUIDELINES:

These guidelines apply to searches for full-time faculty positions. The appointing authority and the search committee chair are responsible for reinforcing adherence to these guidelines.

1. A search committee consisting of a minimum of five (5) members is required for all full-time faculty positions; any exceptions to this minimum must be approved by the appointing authority.

2. Search committee members will participate in the various phases of the search.

3. No fewer than half of the members on a search committee will be faculty members of the academic unit in which the new faculty member will be appointed, or those who hold joint appointments with the academic unit.

a. All search committees should represent a broad range of diversity within its members, which includes members of underrepresented groups.

b. If such representation is unable to be obtained within the unit, committee members should be solicited from related units. When such diversity is not represented on a search committee, documentation explaining the lack of representation shall be included in the search record available for review (see the accompanying guidelines for details).

4. One of the search committee members will be designated as the committee chair. For tenure-line searches, under ordinary circumstances, a tenured faculty member from the academic unit or a closely related discipline should serve as chair.

5. Faculty members from other academic units, administrators, and students will be included on search committees as appropriate, but are not required in search committee membership.

6. The general charge to search committees will be to identify qualified candidates. The appointing authority will provide specific guidelines as appropriate within the framework of this general charge applicable to all search committees.

a. The charge will include a review of Penn State Affirmative Action guidelines that must be adhered to.

b. Application deadlines should be at least 30 days from the date the vacancy is first publicized.

c. The search committee chair will document and report on the search committee’s efforts undertaken to recruit applicants who are members of underrepresented groups and on the committee’s assessment of the strengths of and concerns about each candidate recommended for an on-site interview. If either the pool or the list of candidates recommended for an on-site interview position is not viewed as either sufficiently diverse or qualified by the appointing authority, the appointing authority may request that the committee recruit and or review additional candidates, or close the search.

d. The search committee will submit names of candidates it would like to invite for on-site interviews to the appointing authority before such invitations are issued. The appointing authority may request that the search committee provide a ranking of the candidates it has recommended for an on-site interview. The search committee may request to rank the candidates it recommends for an on-site interview. The appointing authority approves candidates for on-site interviews from the list of candidates recommended by the search committee. If requested by either the committee or the appointing authority, a meeting to discuss recommendations will be held.

e. After the on-site interview process, the appointing authority will select a finalist for the position from the candidates interviewed for the position. If a finalist is not or cannot be selected, the appointing authority may decide to close the search or ask the search committee members to return to the candidate pool in search of qualified candidates recommended for an on-site interview.

f. All search committee members will maintain confidentiality and the integrity of the process by discussing candidates and deliberations with only other search committee members and appropriate administrators/faculty/staff. Such confidentiality will be maintained throughout the search and into the future.

7. All internal searches must be approved by the Office of the Executive Vice President and Provost in consultation with the Affirmative Action Office. The following general guidelines will apply to internal searches if they have been approved:

a. The unit must provide equal promotional opportunity to women, racial/ethnic minorities, individuals with disabilities, protected veterans, and members of other represented groups, documented by advertising the vacancy with an application deadline at least 30 days from the date the vacancy is first publicized and by fairly considering all qualified applicants internal to the University.

b. Additional proactive efforts are expected to be implemented and documented to encourage internal potential candidates who are members of underrepresented groups to apply.

c. When an appointing authority utilizes the internal search method, prior to an offer being made, an Internal Recruitment report will be provided to the Affirmative Action Office with the following information:

i. Copy of position description
ii. Curriculum Vitae of selected employee
iii. Curriculum Vitae of other employees who were considered for the position.
iv. Reason for selection of successful candidate.
v. Affirmative Action recruitment efforts implemented and/or considered.

d. Faculty transfers from non-tenure-line to tenure-line or vice-versa are rare and must be approved by the Office of the Executive Vice President and Provost. No faculty member may be transferred (or promoted) from one type of faculty role to another (i.e., non-tenure-line to tenure-line or tenure-line to non-tenure-line) unless the faculty member under consideration was originally hired via a nationally advertised search.

NOTIFICATION OF CANDIDATES:

It is the responsibility of the dean/chancellor or their designee to notify a successful candidate in writing of the offer of employment.


SENATE COMMITTEE ON FACULTY AFFAIRS

  • Kathy Bieschke
  • Renee Bishop-Pierce, Chair
  • Richard Brazier
  • Julia Bryan
  • William Butler
  • Gary Calore
  • Alison Chetlen
  • Ed Evans
  • Beth Farmer
  • David Fusco
  • Julie Gallagher
  • Leland Glenna
  • Terrence Guay
  • Kathryn Jablokow
  • Rosemary Jolly
  • Matthew Jordan
  • Zuleima Karpyn
  • Lisa Kitko
  • Angela Linse
  • Jonathan Mathews
  • Rajen Mookerjee
  • John Nousek
  • Eric Novotny
  • Laura Pauley
  • Rosemarie Petrilla, Vice Chair
  • Nicholas Pyeatt
  • Richard Robinett
  • Sue Rutherford Siegel
  • Amit Sharma
  • Stephen Snyder
  • Emily Strohacker
  • Bonj Szczygiel

SENATE COMMITTEE ON INTRA-UNIVERSITY RELATIONS

  • Elizabeth Boyer
  • Anthony Buccitelli
  • Madyln Hanes
  • Robert Hoffman
  • Maureen Jones, Chair
  • Davis Kahl
  • Kelly Karpa
  • Kevin Koudela
  • Janelle Larson
  • Xin Liu
  • Clifford Maurer
  • Kevin McDade
  • Karyn McKinney, Vice Chair
  • Mari Pierce
  • Paul Riccomini
  • Martin Skladany
  • Rajarajan Subramanian
  • Paul Thompson
  • Michael Tyworth
  • Aiyana Southorland
  • Samuel Bilotta