Academic Affairs Manual (ACD)

Effective: 7/1/1982

Revised:6/8/2007

ACD 505–04: Recruitment/Appointment

Purpose

To describe procedures for recruiting, selecting, and appointing faculty and academic professionals

Sources

41 Code of Federal Regulations § 60-1

Title VII, Civil Rights Act of 1964

Civil Rights Act of 1991

Age Discrimination in Employment Act of 1967

Rehabilitation Act of 1973

Immigration Reform and Control Act of 1986

Vietnam Era Veterans’ Readjustment Assistance Act of 1974

Americans with Disabilities Act of 1990

Office of the Executive Vice President and Provost of the University

Office of Diversity, Human Resources

Applicability

Faculty

Academic professionals

Policy

ASU will pursue an active recruitment and selection process to assure the availability of qualified applicants to meet its employment needs and to assure the provision of equal employment opportunity through affirmative action. To accomplish this, all position vacancies will be announced, posted, advertised, and/or filled as indicated in this policy. When a position is dependent on continuation of funding from a specific source and may, therefore, terminate when the funding is no longer available, this must be clearly stated on the Announcement of Vacancy (AV) and any advertisements/announcements about the position.

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Essential Functions

The essential functions of a position must be determined before advertising that position and must appear on the AV. The essential functions are the core or required duties of a position as opposed to the marginal responsibilities of a position. The following factors should be used in determining essential functions:

1. the reason the job exists is to perform that function(s)
2. the availability of other employees among whom the performance of that job function can be distributed
3. the nature of the function is highly specialized so that the person is hired for his or her expertise or ability to perform the particular function
4. the hiring official’s judgment as to which functions are essential
5. the amount of time spent on the job performing the specific function
6. the consequences of not requiring the incumbent to perform the function
7. the work experience of past incumbents in the job

   and

8. the current work experience of incumbents in similar jobs.

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Advertising/Recruiting Requirements

All vacancies must be advertised except as noted under “ Exceptions to Advertising/Recruiting Requirements (Waivers).” Any exception to this policy must be approved by the director of the Office of Diversity, Human Resources and the vice provost for academic personnel (ASU at Tempe campus and ASU at West campus) or provost (ASU at East campus).

The appropriate scope of advertising depends upon the position. Positions opened for national recruitment must provide an application period of not less than 14 days from the date the last announcement appears. Regional recruitment must have an application period of not less than 10 days and local recruitment of not less than five days from the last date an announcement appears. All advertised positions must appear in Insight once.

All positions must be advertised with a specific application deadline. Departments may use a rolling deadline (e.g., April 1 or the first of the month thereafter until filled) to assist recruiting efforts.

All full-time tenure-eligible faculty and continuing-status-eligible academic professional positions must be advertised nationally. All nontenure-eligible faculty or year-to-year academic professional positions may be advertised through national, regional, or local recruitment depending on which type of recruitment assures affirmative efforts to recruit diversity.

All position announcements and advertisements must include one of the following in the announcement and advertisement: “ASU is an equal opportunity employer,” or “AA/EOE.”

Pool Recruitment

Pool recruitment may be used only for 49 percent FTE faculty associate/faculty research associate positions and 49 percent FTE academic associate positions when the department will hire more than five individuals from the recruitment. The Office of Diversity, Human Resources must approve the Announcement of Vacancy (AV) and ad copy; however, departments need not submit completed Applicant List (AL) forms and the Hiring Process Reports (HPR) to the Office of Diversity, Human Resources for approval. These forms, however, must be completed as noted in Step Four of the procedures of this policy. (The Office of Diversity, Human Resources will review this recruitment after hires are made and will contact departments that do not comply with all requirements. Departments that do not consistently comply with all requirements may be prohibited from using pool recruitment.)

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Exceptions to Advertising/Recruiting Requirements (Waivers)

Advertising may be waived when the vice provost for academic personnel (ASU at Tempe campus and ASU at West campus) or provost (ASU at East campus) and the director of the Office of Diversity, Human Resources decide that it is in the university’s best interests to follow a different recruiting procedure. Waivers are usually for temporary positions or to hire individuals who would bring particular distinction to the university and would not usually be someone who could be attracted through regular recruitment. The hiring official must complete a “Request for a Waiver” form outlining the reasons for requesting a waiver and include a copy of the candidate’s curriculum vitae or résumé. The request form and vita/résumé must be submitted to the director, Office of Diversity, Human Resources for approval who, upon approval, will forward the material to the vice provost for academic personnel (ASU at Tempe campus and ASU at West campus) for approval. At ASU at East campus, the waiver must be submitted to the provost first and after approval, the waiver will be sent to the director, Office of Diversity, Human Resources for approval. After both approvals, the department will be notified.

Grant and Contract Positions

When a proposed faculty member or academic professional is specifically identified by name in a grant or contract proposal, the person will be hired without advertising the position. The procedures for exceptions to advertising/recruiting must be followed for these appointments.

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Screening, Interviewing, and Selecting Applicants

Search Committees

The hiring official is responsible for organizing a search committee (see ACD 111–01, “Faculty Voting Rights,” for establishment of search committees). A search committee consists of at least two people who evaluate the applications to determine who to recommend for interview (or hire when interviews will not be conducted). The search committee (or selection committee, for GRA/GTAs) shall be used to recruit, evaluate, and interview applicants, and make recommendations to the hiring authority on all positions. Search committees must include an Office of Diversity, Human Resources-trained unit or college affirmative action representative (AA rep) who is in the same employment category as the position opened for recruitment. Search committees must review the academic unit’s utilization of women and minorities and its goals and timetables for remedying any underutilization that may have been identified.

Nondiscrimination

Every person involved in screening, interviewing, and selecting applicants must exercise judgment at each step in the process to ensure that no applicant is discriminated against on the basis of race, color, religion, national origin, citizenship, sex, gender identity, sexual orientation, age, disability, Vietnam-era veteran status, other protected veteran status, newly separated veteran status, or special disabled veteran status.

The screening of applicants must be based on the qualifications listed in the advertisements. All individuals selected for interview (or hire when interviews are not conducted) must meet the required qualifications advertised. If a specified degree is listed as required, only candidates who are expected to have completed all requirements for that degree before the appointment begins may be considered.

Only those individuals who have submitted all application materials required, by the application deadline, may be considered for interviews.

Interviews

No campus interviews, formal or informal, may be held before the application deadline date and before the pool is approved by the dean (if required) and certified by the Office of Diversity, Human Resources (except for pool recruitment positions and waivers). Job-related reasons must be provided for all applicants not recommended for interview; “does not meet qualifications” is an unacceptable reason—specificity as to which of the required/desired qualifications has not been met must be provided to the Office of Diversity, Human Resources.

Requirements for Reimbursement of Interviewee Expenses

At ASU at Tempe campus, the Office of the Executive Vice President and Provost of the University provides reimbursement for interview expenses for two campus interviews when the applicant pool is certified by the Office of Diversity, Human Resources. Special permission is required from the Office of the Executive Vice President and Provost of the University for reimbursement for a third campus interview. At ASU at West campus, the Office of the Provost provides a stipend to each college for each approved search; the stipend is to assist in covering costs of the search including reimbursement for interview expenses. At ASU at East campus, each college is responsible for reimbursement for campus interviews.

Selection and Recommendation

No offers of employment may be made before the hiring recommendation is approved by the hiring authority and is certified by the Office of Diversity, Human Resources. When a department is offering a position to someone who anticipates degree completion by the appointment date, written notification from a knowledgeable source at the degree-granting institution must be provided with the HPR before the Office of Diversity, Human Resources will certify the hire recommendation. Only job-related reasons may be used in making employment recommendations.

Employment-Eligibility Verification

Persons selected for hire must be able to provide verification of employment eligibility by the time employment begins, as required by the Immigration Reform and Control Act of 1986.

Reopening a Search

If a position is not filled within the fiscal year approved for the search, i.e., on the Authorization to Recruit form (AR), it may be reopened for recruitment. When the only change to the original recruitment is a new application deadline, a department must submit a new AR along with a memo indicating a wish to reopen the search to the Office of Diversity, Human Resources. When qualifications are to be changed, the department must submit a new AV, ad copy, and a new AR.

Rehires

Nontenure-eligible faculty and year-to-year academic professionals employed during one academic year may be rehired for the following academic year in the same department and with the same title/rank without reapplying for the position when the initial hire was made through open recruitment. There must be an annual performance evaluation on file in the department to make this type of reappointment.

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Retention of Records

The academic unit’s hiring records must be retained for a period of three years following the selection process. Search or selection committees and academic administrators are required to document the basis for their recommendations. The academic unit must be able to document a legitimate, nondiscriminatory reason for every action. At a minimum, hiring records will contain the following documentation:

1. the AR, AV, and ad copy for the position
2. the search plan submitted to the Office of Diversity, Human Resources
3. the Applicant List (AL) and the Hiring Process Report (HPR) form, including the approval signatures of the dean (if required) and the director of the Office of Diversity, Human Resources
4. the résumés or curriculum vitae of applicants, together with letters of recommendation (if an applicant or a placement service requests return of a résumé, note such a request and the subsequent action in the file to verify receipt and review of the application)
5. all correspondence with applicants, candidates selected for interview, candidates offered employment, and references

   and

6. documentation of the search committee findings, including interview notes, committee deliberation notes, and reasons why the committee considered each applicant qualified or unqualified.

When a waiver is used, the department must keep a copy of the waiver, the vita/résumé of anyone considered for the position, any interview questions, notes, reference information, and any correspondence related to the hire.

Procedures

For a flowchart providing an overview of the advertising/recruitment process, see ACD 505–04A.

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Advertising/Recruiting Procedures

Step One: Request for Authorization to Recruit Form (AR)

An AR form for all searches must be submitted by the hiring official through the dean to the Office of the Executive Vice President and Provost of the University (ASU at Tempe campus) and to the Office of the Provost (ASU at East campus and ASU at West campus) for:

1. tenure-eligible faculty and continuing-status-eligible academic professional positions

   and

2. nontenure-eligible faculty and year-to-year academic professional positions when the recruitment is for positions that are eligible for reappointment.

Although other positions do not require an AR, funding for these other positions must be approved by the dean before submission of the AV to the Office of Diversity, Human Resources.

Step Two: Announcement of Vacancy (AV), Advertisement Copy, and Search Plan

The hiring official must submit the following to the Office of Diversity, Human Resources for certification prior to placing advertisements or opening positions for recruitment:

AR (approved by the Office of the Executive Vice President and Provost of the University [ASU at Tempe campus] and by the Office of the Provost [ASU at East campus and ASU at West campus])

Announcement of Vacancy (AV)

The AV must include the essential functions of the position, the required qualifications, desired qualifications (if any), application deadline, application process, and the requirement of a criminal conviction background check.

Ad Copy

Advertisement copy that includes complete information must match the AV on required/desired qualifications, application deadline, application procedure, and criminal background check required for employment. Departments may also use a short advertisement such as: “Title, department, short description of position. For complete application information and requirements see (list a Web address or cite a phone number). Application deadline is                         . AA/EOE.”

Search Plan

A search plan includes the names of search committee members, including the AA rep, and identifies all recruitment sources to be utilized. Recruitment sources include universities, publications, individuals, networks, organizations, and conferences, etc. to be used in recruitment. The names of publications, individuals, networks, organizations, conferences, etc. must be noted.

Certification and Approval

When all required materials have been certified, the Office of Diversity, Human Resources will:

1. notify the hiring unit of questions and/or approval to begin recruitment within 24 work hours of receiving all materials
2. send the AV to Human Resources (HR) for posting in Insight

   and

3. return all materials to the department.

Step Three: Hiring Unit Conducts Recruitment

Advertisement—Publication/Posting

When the announcement of vacancy is approved, the hiring official is responsible for obtaining the approved university-wide standard logo and for submitting advertising to appropriate sources (see ACD 505–05, “Display Advertisements for Job Vacancies” for examples of the logo and procedure for placing advertisements). The hiring official must make sure all announcements are sent out in time to comply with the application time periods required for searches (noted above).

EEO Surveys

An EEO Survey form should be sent to each applicant upon receipt of the application. Applicants must be informed that completion of the survey is optional and voluntary. The department must ensure that survey forms are kept separate from application materials.

Step Four: Applicant List (AL)—Pre-Interview Review and Pool Recruitment

Before contacting applicants to arrange interviews, the AL must be submitted to the Office of Diversity, Human Resources for review and certification. All sections of the AL must be completed, except “Date Interviewed” and “Reasons for Hire/Nonhire” for applicants recommended for interview.

Specific reasons must be provided for not recommending applicants for interview. Reasons must be related to the advertised qualifications. “Not qualified” or “does not meet minimum requirements” are not acceptably specific.

The vitae/résumés of applicants recommended for interview and applicants not recommended for interview must be submitted with the AL to the Office of Diversity, Human Resources.

The Office of Diversity, Human Resources will notify the department of questions and/or certification of the AL within 24 work hours of receipt of all material. The AL and vitae/résumés will be returned to the department.

Pool Recruitment

For positions to be filled from pool recruitment, the AL must be completed and submitted, along with the HPR (see “Step Six”), to Human Resources. The Office of Diversity, Human Resources does not sign either the AL or HPR forms for pool recruitment positions.

The AL must indicate those candidates who are acceptable for inclusion in the “pool” under “Applicants Recommended for Interview.” All applicants not considered eligible for the pool must be listed under “Applicants Not Recommended for Interview” and the reasons provided as to why they are not eligible for inclusion in the pool. Reasons must be specific; “not qualified” or “does not meet qualifications” are NOT acceptable reasons. Pool recruitment is limited to 49 percent faculty associate/faculty research associate positions and 49 percent FTE academic associate positions where at least five hires will be made from the recruitment.

Step Five: Hiring Unit Conducts Candidate Interviews

During the interview process, candidates should meet with the dean (or his or her designee) and the department head (or his or her designee). Candidates for tenured positions (ASU Main) must also meet with the provost or his or her designee.

The components of the interview process must be the same for all candidates, i.e., requiring a seminar presentation for some and not others is unacceptable. Candidates must be asked the same basic set of questions and all persons involved in the interview process must ask only job-related questions.

Departments are encouraged to include “free time” during the interview process. Candidates being interviewed should be consulted before the interview to identify individuals, organizations, and/or services they would like to meet with/learn about when they visit the campus. Departments may wish to provide a list of organizations and services to the candidates as examples of choices. Any list provided to candidates must include examples of organizations/programs reflective of ASU’s commitment to diversity.

Documentation of interviews must be maintained.

The search committee should write an evaluation of the strengths and weaknesses of each interviewee in relation to a careful analysis of job criteria. This evaluation should be forwarded to the hiring official at the conclusion of the interviews.

Step Six: Hiring Process Report (HPR)—Final Review

After candidates have been interviewed, the remaining sections of the AL must be completed (i.e., “Date Interviewed,” and “Reasons for Hire/Nonhire”). The person(s) to be offered employment must be identified on the HPR. (Note: Separate HPR forms are required for more than one hire from the same job order number when people are recommended for hire at different ranks/titles.) Once completed, both the AL and the HPR must be submitted to the Office of Diversity, Human Resources for review and certification before an offer of employment is made. When an offer is to be made to for a tenure-eligible position that requires a specific degree and the person to be offered the position anticipates degree completion by the employment start date, written confirmation by a representative of the degree-granting institution of the expectation of degree completion must be submitted with the AL and HPR. See ACD 506–02, “Key Terms,” for further information if the degree is not in hand when employment begins.

The Office of Diversity, Human Resources will notify the department of questions and/or certification of the HPR within 24 work hours of receipt. The HPR and AL will be returned to the department.

Step Seven: Approval to Make an Offer

The hiring unit must obtain dean’s office approval before proceeding to the Office of the Executive Vice President and Provost of the University (ASU at Tempe campus) and to the Office of the Provost (ASU at East campus and ASU at West campus). The provost’s office will send an offer for a full-time tenure-eligible or continuing-status-eligible position, unless this authority has been delegated to the dean. The hiring unit must send to the provost’s office:

1. a copy of the approved AR, AV, and advertisements
2. a copy of the approved AL and HPR
3. a copy of the candidate’s curriculum vita
4. three current letters of reference for the candidate (ASU at Tempe campus and ASU at East campus)
5. an offer letter for the provost’s office signature (do not put a name for signature; ASU at Tempe campus and ASU at East campus)

   and

6. a terms-of-offer form (ASU at West campus only).

Additional information may be required for administrative appointments (see ACD 505–07, “Administrative Appointments within the Faculty,” and ACD 505–08, “Administrative Appointments for Academic Professionals” for requirements).

An AL or waiver certified by the Office of Diversity, Human Resources (except for pool recruitment positions) must be attached to the HPR for all positions before being sent to Human Resources for payroll processing. The HPR must also be approved by the Office of Diversity, Human Resources for positions opened for recruitment, except pool recruitment, before it is sent to Human Resources.

After written acceptance of an offer of employment, submit the AL and HPR to Human Resources for payroll processing. Contact Human Resources for a new hire packet or for requirements for additional paperwork required of new hires (e.g., I-9 forms, benefits forms).

For general information on recruitment/appointment, see the Office of Diversity, Human Resources Recruitment Handbook.

Cross-References

For information about reference and background checks, see ACD 126, “Reference Check and Background Verification.”

For a list of protected classes, see ACD 401, “Equal Opportunity/Affirmative Action.”

See also:

1. ACD 505–01, “Initial Appointment and Offer Letter”
2. ACD 505–05, “Display Advertisements for Job Vacancies”
3. ACD 505–07, “Administrative Appointments within the Faculty”

   and

4. ACD 505–08, “Administrative Appointments for Academic Professionals.”

For information about interviewees’ expenses, see the Financial Services Policies and Procedures Manual—FIN 421–02, “Interviewees.”

Exhibit

Some manual exhibits are available only in PDF format. An Adobe Acrobat Reader plug-in is required to view these PDF files. See our main policies and procedures page if you require this plug-in.

ACD 505–04A, Overview of the Recruitment/Appointment Process: Sequence of Forms and Approvals

 

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