Section IX. Procedures for Initial Appointment of Faculty And Re-appointment of Former Faculty

Procedures for initial appointment of faculty members and re-appointment of former faculty members are defined in the Handbook, Volume II, Chapter 24 and the University of Washington Operations Manual. The guidelines presented in this manual only elaborate and supplement these basic University documents. In all instances where there are questions, the basic documents should be consulted. Especially important are the materials in the Handbook, Procedures for New Academic Appointments
of Regular Faculty (Instructor and Above), Volume II, Chapter 24, Section 52, and University of Washington Operations Manual, Volume 2, Section D 41.0.
A. Appointment procedures for all academic titles: Professor, Associate Professor, Assistant Professor, Instructor, Lecturer and all Research titles 50% time or more.

Position Authorization: Prior to recruitment, a request in writing outlining the need for a new position and/or the need to recruit to fill a vacancy must be submitted to the Dean. The Dean must respond in writing indicating approval before recruiting may begin (See example, page 45 of these Guidelines).
Recruitment: Upon approval to fill a vacancy or newly created position of Acting Instructor or above, 50% time or more, the department -- acting through a search committee (page 47 of these Guidelines) -- must advertise and recruit to fill the vacancy. The committee must recruit according to the process described in the Operations Manual, D 41.0, and the Handbook, Volume II, Chapter 24, Section 24-53. Search Committees are encouraged to contact the APT Committee regarding the qualifications of candidates under consideration for appointment to regular ranks. Documentation should be gathered to support the final recommendation of the
committee to the department and should be maintained for five years.
If a domestic search has been approved, the advertisement can contain the wording "...rank and salary commensurate with experience." The advertisement should be sent to Helen Remick,
Assistant Provost for Equal Opportunity, for review prior to publication.
In an international search, a specific rank must be advertised. The advertisement should be sent to the Assistant Provost for Equal Opportunity for review prior to publication. To be considered
a legal search, the individual selected must be appointed at the advertised rank. Advice on the recruitment of any faculty and, more specifically, non-US resident faculty is included on page 57-58 of these Guidelines). Please note on page 58 of the Provost’s letter regarding the appointment of non-citizens that an individual originally appointed at an acting or visiting rank is ineligible for reimbursement of moving expenses.
Review and Recommendation: Following recruitment by the search committee, voting faculty of the department and the department Chairperson receive and review all available information.
After review, the faculty of the department shall vote to select the most suitable candidate. Refer to the Handbook, Volume II, Chapter 24, Section 24-52, Item C for details.

Offering the Prospective Position: When the department has reached a decision, the Chairperson must notify the Dean and gain his concurrence in the terms of the proposed appointment prior to offering the position. Then the Chairperson must send a letter to the candidate covering the points outlined in the Operations Manual, D 41.0 (see example, page 55 of these Guidelines).
If the candidate indicates acceptance in writing, the department shall prepare the followingforms.

University of Washington Biography - Form 1015
PAF
PDF
W-4 (not necessary if gratis) (download current year from HR website)
I-9 Employee Verification (download most recent from HR web site)
Liability Questionnaire
Copy of Dental License
Washington State Patrol form
Criminal History form (UoW 1457 – download most recent from HR web site)
Credentialing form

Recommending Appointment
1. Chairperson's cover letter to the Dean: To secure the review of the Dean, the APT Committee when required, the President's Office, and the Board of Regents; the Chairperson must prepare a letter of recommendation. The letter should be addressed to the Dean and should cover the following points:
  1. Description of position to be filled in relation to the department program.
  2. Summary of process followed in selection of candidate, including reference to
    affirmative action steps and results. Specifically, if the recommended appointment is for a white male, the Chairperson needs to include the names and vitae of both the highest ranking minority and women candidates who were considered but not recommended with an explanation of the reasons leading to the decision. If either a woman or a minority candidate is recommended, the vitae of the next highest ranking women and minority candidates shall be submitted. If no women or minority candidates were discovered in the search process, documentation should be given which indicates those measures taken to seek such applicants.
  3. Vote of faculty including the number of faculty eligible to vote, the number voting and
    number of affirmative votes. A majority of the eligible faculty must participate.
  4. Academic rank requested, whether with or without tenure, and the effective date of the appointment.
  5. Outline of any special commitments and/or expectations which have been discussed with the candidate such as future award of tenure, contract renewal, leave arrangements, research contracts and/or grants, laboratories, equipment, special space provisions or
    teaching assignments.
  6. If the candidate is over 35 years of age, or if the appointment carries tenure, a summary of the candidate's current status in the retirement program.
2. Materials to support the recommendation: In addition to the Chairperson's letter of recommendation and the appropriate University forms, the following materials must be assembled by the department and submitted to the Office of the Dean according to the guidelines noted on the checklist for appointment, page 43 of these Guidelines:
  1. Curriculum vitae, copies of publications, and any other indicators of teaching,
    research, community service, or scholarly work as outlined in Section 3 of these Guidelines.
  2. Data and information for affirmative action purpose summarized on the Affirmative
    Action Flow Sheet are required for the position. Attached should be the C.V.s of the
    highest ranking minority and woman candidates.
  3. Supporting letters of evaluation/assessment:
    - Professor/Research Professor: two (2) to five (5) letters; at least two (2) must be from nationally recognized persons at comparable institutions, and preferably not more than five (5) letters total. Refer to the Provost’s letter, Appendix 4, page 121.
    - Associate Professor/Research Associate Professor: four (4) letters; one (1) from a nationally recognized person at a comparable institution, no more than three (3) from within the School of Dentistry.
    - Assistant Professor/Research Assistant Professor: four (4) letters.
    - Instructor/Lecturer/Research Associate: four (4) letters.
Referral to APT Committee: The materials will be reviewed in the Office of the Dean for conformity with these guidelines and, if appropriate, will be forwarded to the APT Committee for review and recommendation. Department chairs should allow at least four (4) weeks for APT review.
Upon receipt of the APT Committee Report, the Dean will review the recommendation. The Dean will inform the department Chairperson in writing of her/his approval or disapproval of the recommendation and subsequent steps to be taken. In either case, the prospective faculty member should be informed in writing by the department Chairperson of the status of her/his appointment on completion of the reviews and decisions within the School of Dentistry. A copy
of this notification should be sent to the Office of the Dean for inclusion in the prospective faculty member's file. Refer to Handbook, Vol. II, Chapter 24, Section 24-52 for details.
Approval of the Appointment: All appointments, promotions and tenure award decisions are not final until approved by the Board of Regents and official notification is received from the Office of the President. No person may be placed into a work situation, or be expected to receive remuneration based on the appointment requested until such approval has been received.
Chairpersons should anticipate sufficient lead time in the recruitment and review process that the effective date will coincide with the actual date the faculty member begins work. The Board of Regents will not approve appointments on a retroactive basis.

B. Appointment Procedures for Acting Ranks

Appointments to acting ranks do not require review by the APT Committee because of their temporary nature. However, they do require the approval of the department and the Dean.
The acting designation is used in two circumstances:
1. when the appointment is temporary.
2. when administrative requirement (completion of degree) does not permit formal appointment at the regular faculty rank.
The procedure for regular appointments is to be followed. Affirmative action searches are not required for one year terminal acting appointments. Letters of recommendation from the Chairperson must identify the reason for the temporary nature of the appointment or the plan to complete the administrative requirement and intent to appoint to permanent rank on completion of the degree. Where appointment is intended to be for a permanent position and an affirmative action search is conducted, the use of the acting rank is appropriate while the degree is being completed.
Note the guidelines for preparing materials on the checklist for appointment appropriate for that rank. When it is determined that qualifications have been met for appointment to a regular rank, the same reviews are necessary as for an initial appointment.

C. Appointment Procedures for Joint and Adjunct Ranks: Joint and adjunct appointments require the same review by the Dean as regular appointments. To initiate appointment, letters of concurrence are needed from Chairpersons/Deans of all departments/schools involved. A decision
by the Chairperson and the faculty member regarding designation of primary and secondary departments shall be made and documented following discussion by faculty member and chairs of
both departments. The documentation of parent department needs to be sent to the Office of the
Dean for inclusion in faculty member's personal file. Joint appointments will require the faculty
vote of both departments.

D. Appointment Procedures for Affiliate Faculty, Affiliate in Dental Practice, and Research
ranks at less than 50% time

Appointments at these titles do not require review by the APT Committee. However, they do require departmental approval and concurrence of the Dean.
These appointments are executed by preparing and submitting the following documents to the Office of the Dean:
1. Letter of Recommendation from the Chairperson stating:
  - Title of appointment
  - Effective date of appointment
  - Percent of time (less than 50% always expressed in increments of 10%)
  - Purpose of appointment in relation to department's programs
  - Qualifications of candidate in relation to criteria in Section 3
2. W-4 Form (unnecessary for "gratis" appointments)
3. Biography - Form 1015
4. I-9 Employment Eligibility Verification (unnecessary for "gratis" appointments)
5. Washington State Patrol form
6. Criminal History form (UoW 1457 – download most recent from HR web site)
7. Request for Parking
In the School of Dentistry, faculty appointed to affiliate titles are paid on the basis of timecards.

E. Visiting Faculty or Scholars: If visiting faculty or scholars are appointed with salary then the appointment process is the same as for regular ranks. If unpaid, then the appointment can be accomplished by a letter to the Dean and the completion of a request for visiting scholar card.
F. All re-appointments of faculty at 50% time or more to a higher rank than previously held are treated the same as initial appointments. Ten ure track appointments may resume time in rank toward mandatory reviews earned under prior appointments.

Checklist for Appointment and Re-appointment Requests

The necessary information for preparing appointment and re-appointment requests is contained in the current edition of the Guidelines for Appointment, Promotion, and Tenure. The following checklist has been prepared to help insure against failure to supply necessary information.

Permission to recruit (Dean’s written concurrence)
National ad approved in advance by Equal Opportunity Office
Faculty Applicant Flow Sheet and CVs of highest-ranking minority and women candidates
Biography Form
Letters of assessment
Letters of assessment should be addressed to the Dean and should comment to the extent possible on the accomplishments of the candidate in the categories of scholarship, teaching, administration, and/or school service, community service, years in rank, and personal qualities. (See sample letter, page 81 of these
Guidelines and the Provost’s Letter, Appendix 4, page 121.)
Minimum number of letters: 4
Curriculum Vitae
Seven (7) collated sets of copies, in addition to the originals, assembled of the materials listed above for distribution to the APT Committee. (7 sets for ranks of Instructor through Professor, which must be reviewed by the APT Committee. For Lecturer, Acting, and Research Associate ranks, 1 set of copies.)
The seven sets must be collated and assembled into seven separate file folders or 3-ring binders, whichever the candidate prefers. The originals of all letters must be submitted with the copies when the proposal is submitted.

One copy of any of the following support material that is appropriate for the candidate:

A. Scholarship

Reprints or copies of all published papers listed in C.V. and/or bibliography (attach as Table to C.V.)
Copies of any unpublished papers considered high quality
Books or chapters of books
Presentations before scholarly meetings and conferences
Copy of proposals that have been submitted

B. Additional Items for Submission

Permission to recruit (Dean’s written concurrence)
Approved draft letter offering terms of appointment
PDF, I-9, W-4, Washington State Patrol, and Criminal History Check forms.
UW Form 1015 - Biography: New appointments only - not needed for promotions.
Professional Liability Questionnaire (for 50%+ faculty with clinical involvement): For new faculty appointments only.
Credentialing Questionnaire: For new faculty appointments only.

Permission to Recruit
Sample Letter

Sidney Spittester, D.D.S., Ph.D.
Professor and Chairperson
Department of Oral Biology

Dear Sidney:
Relative to our recent conversation about the half-time state-line position available in your department, you have my permission to recruit
a microbiologist, at the Assistant Professor level, to fill this vacancy. The selected candidate is eligible to seek tenure in this half-time
State-line position only if s/he becomes a full-time faculty member by providing the other half of her/his salary from research grants.
Furthermore, if the successful applicant is full-time, s/he will be housed in B220. This microbiological laboratory currently is unassigned
Dean's reserve space. Good luck in your search.

Sincerely,

Dean Decanal
School of Dentistry

DD:abc

Search Committee for New Appointments

A. The Procedure for New Appointments is contained in Vol. II, Chapter 24, Section 24-52 of the University of Washington Handbook. Faculty recommendations ordinarily are rendered through committees; the procedure depends on the level of appointment.

For recommendation of a departmental appointment other than Chairperson, the department members act as an advisory appointment committee. A department may delegate this
responsibility to a departmental committee which can include members from another
department.
A committee responsible for recommending the appointment of a departmental Chairperson should be an ad hoc committee appointed by the Dean.
In the search for a Dean, the ad hoc committee is appointed by the President.

B. The duty of the appointment committee is to search for suitable candidates and after thorough evaluation to transmit the name(s) of the suitable candidate(s) to:

The department Chairperson, if the appointment is to be a departmental one other than that of the Chairperson.
The Dean, if the appointment is to be one of a department Chairperson.
The President, if the appointment is to be one of a Dean.

C. The appropriate administrative office then shall act as follows:

In the case of the appointment of a department member other than the Chairperson, all available information about the candidates suggested by the appointment committee is distributed to the
voting faculty of the department. Recommendations in favor of appointment, based on a majority vote of the faculty, along with appropriate information shall be sent to the Dean. The Chairperson can concur with the recommendation or communicate her/his objections to the Dean along with a separate recommendation. In the latter situation, if the Dean agrees with the Chairperson, this information along with an explanation is returned to the voting faculty of the department. After the department has either reaffirmed its original recommendation or transmitted a new one to the Dean, s/he shall make the final recommendation to the President.
If the appointment is to be one of a Chairperson, the Dean shall deal directly with the appointment committee. The department concerned will be consulted, but no formal vote is required.
If the appointment is to be one of a Dean, the President shall deal directly with the appointment committee in making the decision.

Recruitment

Selecting College and University Personnel by Kaplowitz (ASHE-ERIC Higher Education Reports 1986;

http://www.ericfacility.net/ericdigests/ed301139.html

is recommended reading for all members of important Search Committees. Regardless of the vacancy to be filled (University President, Dean, Department Chair, Faculty member) the book covers all aspects of the search -- communication with candidates, letters of recommendation,
interviews and affirmative action/equal opportunity.

The following modified excerpts may be of value:

Seeking Candidates: Many of the potentially best candidates either are not actively seeking positions, or they publicly feel unable to declare themselves candidates for a new position because of the constraints of their current situations. The importance of actively and sometimes persistently seeking candidates is emphasized. Recruitment should include posting in all appropriate journals, aggressive networking by members of the search committee to secure nominations of candidates who might not themselves apply, and educating prospective candidates to the value of the position in order to secure their interest.
Pursuing candidates too aggressively can infringe on the life of reluctant or non-candidates in harmful ways. During one search, a person whom the search committee wanted to recruit had indicated his unwillingness to serve as a candidate; nevertheless, his name was retained on a roster by the committee. Under that state's sunshine laws, the list of people being reviewed by the committee, including this non-candidate's name, was published in the newspapers, with negative political fallout for him on his home campus.
To avoid discouraging qualified candidates, committees are advised to advertise only for resumes in an initial posting, and to wait to request references until after at least a first major screening has taken place. The advertisement should reflect the unit's primary need.
For example in seeking a department Chairperson an ad might read: "Experienced arbitrator needed to restore effectiveness to divided department. Excellent health, a good sense of humor, practical administrative experience vital; some publications helpful."
Communication with Candidates: One college advertised in September with an October reply deadline. After a thank you for your interest, we'll be back in touch" letter, final candidates heard nothing until the following March. Many were no longer interested. A
surprising number of candidates never heard anything after being told "we'll be back in touch." Even candidates who have been interviewed are occasionally never notified that someone else has been chosen.
It is important to establish a clear, consistent, courteous, and timely pattern of communication with candidates. And, unless specifically requested otherwise by a candidate, search-related correspondence is never sent to a candidate's business address, even if
marked "personal and confidential."
Careful and detailed recordkeeping is necessary, both for the efficiency of the search committee and to provide materials in case questions (legal or other) are raised about the process. A summary log recording all applications and the action regarding those applicants is suggested. For each candidate there should be a file containing the initial application, additional application materials,
written recommendations, records of telephone calls made, notes of telephone conversations, decisions made by the search committee
at each stage of the search, interview records, and copies of all correspondence between the institution and the applicant/candidates.
Written References: In this litigious age, referees rarely write about anything but the positive aspects of a candidate. Occasionally, the perceptive reader of a reference can discern some of what is not being said, but even the "between the lines" negative has become less common. Thinking and caring referees should provide narrative support for the qualities attributed to the candidate, providing at least some solid reason to accept the positive noted. A weak candidate would be identified if she or he were not able to find several people willing to say good things about her or him.
Sometimes a reference reveals more about its writer than about the applicant...
Letters from faculty members, discussing their students, are often written paternalistically regardless of the student's previous background, age, or experience...
If a reference is negative, there may be clues that it reflects a hostile personal relationship between its writer and the candidate. If so, is it possible to attribute the fault to the candidate or the writer? Is it possible that the letter was written by a superior piqued that a subordinate may be leaving, either because an equally good replacement would be hard to find or because of jealousy about the prospective promotion? On the other hand, could it be that the negative reference is the only honest one in the bunch?
Positive and important personal attributes that might come through in references include high energy levels and initiative; the quality
of scholarship may be reflected.
The committee needs to ascertain, with each candidate, whether and when referees may be contacted. If a candidate has asked that people on the home campus not be informed of the candidacy, that request for confidence needs to be respected. If a candidate has indicated that a supervisor may be contacted only if the candidate is a finalist for the position, then when the candidate becomes a finalist (one of three (3), not of 18), it is appropriate and necessary that the candidate know of that status, and give permission to contact people on the home campus.
A good contact is a discreet contact. Frequently, members of the committee will have friends on the past and/or current campuses of a candidate . . . friends who truly can be trusted, both for accurate information and for an ability to keep a confidence. In some cases, a candidate's former secretary -- particularly an executive secretary or administrative assistant can provide thorough and accurate information.
When calling a referee, a search committee caller will generally identify him or herself, name the position for which the candidate is being considered, and ask if the person can talk at that time or would rather set an appointment to discuss the nominee or candidate.
For active candidates, it is appropriate to indicate that the call is being made to verify information given to the committee by the candidate. Reference checks for administrative candidates include the following questions:
1. What was the exact title of the position held by the candidate?
2. What did you think of him/her?
3. Did the candidate have responsibility for the supervision of others? How many? How was it handled?
4. How closely was it necessary to supervise the candidate?
5. Was she/he willing to accept responsibility? Did the candidate have a responsibility for policy formation? How was that
  handled?
6. Did the candidate have a responsibility for policy formation? How was that handled?
7. Did the candidate develop any new plans or programs? Were they effectively developed? Effectively presented?
8. Did the candidate finish what he/she started?
9. How well did the candidate get along with people?
10. Why did she/he leave?
11. Does the candidate have any personal difficulties that might interfere with effectiveness on the job?
12. What are the candidate's outstanding strong points?
13. What are the candidate's weak points?
Interviews: The interview is the place where a candidate can perform brilliantly or self-destruct. When a candidate comes to a campus for an interview, that candidate is considering a cluster of major changes in her or his life, including new responsibilities, a new geographic location some distance from existing social and professional support systems, and similar relocation issues for family members as well. Candidates expose themselves, to allow interviewers to examine and then pass judgment, on the very central professional and personal elements of their lives. Many applicants are sensitive about their reasons for having left certain jobs.
Interviews are structured to help members of search committees extract the pertinent information on candidates and examine the fit between the candidates and the campus context. Because candidates have made themselves open in this process, members of the
search committee must demonstrate the highest levels of personal and professional courtesy and consideration to all of their candidates in both the formal and informal portions of candidates' visits and interviews.
Interviews are valid as a sample of such behavior as sociability and verbal fluency; Interviews are not valid in the selection process as predictors of job performance, despite the great faith that interviewers have in their judgment;
Interviews do give the interviewer an opportunity to sell the job to the candidate.
During an interview the candidate should do 85% of the talking. The committee should ascertain:
"how diligently the candidates will be willing to work; whether they are likely to get along well with people; whether they can adapt to the environment; whether they can solve complex problems; and whether they have the potential for leadership."

A tripartite interview process is suggested:
1. A presentation by the candidate to faculty members and graduate students with research interests similar to those of the candidate. Viewed by many as the most important aspect of the interview.
2. Individual meetings with current faculty members, who can discuss research and "what life is like" at the institution, graduate students and, sometimes, the v Dean(s).
3. The semi-social periods, which have "to be considered very semi," as much grilling and testing of "whether the candidate will fit in as a colleague" take place during these times.
Summary
1. Careful thought and planning are necessary before a search committee is convened. It is important to ensure that the administrative head (Dean of school, President of university) will have and maintain the ultimate responsibility for the selection and appointment of the candidate. At the same time, affected constituencies need to have a sense that their legitimate concerns are being heard. Recognizing the strong thrust for confidentiality once the search begins, it is necessary to ensure a process for the selection of committee members that will generate a committee whose members are trusted by the various constituencies.
2. Once the committee is structured, its policies and procedures must be clear. The position should be posted as broadly as possible.
3. There is a considerable difference between public disclosure of procedures and the need to maintain confidentiality, particularly in presidential and vice-presidential searches, if a full range of top candidates is to be developed. It is important for the committee members and for the campus at large to be reminded, probably several times, of the need for, and the value of, confidentiality.
4. Committees need to seek out candidates for vacancies actively and aggressively. In some cases, the best candidates indicate their interest in the position themselves; in others, the best candidates are happily at work in another position, and are not even
  thinking about the possibility of moving to another job. Casting out a wide net, through a range of posting, contacts, and conversations, will produce the best candidate pool.
5. The pool of able and capable female administrators and faculty members has increased significantly over the past 15 years, and there is no reason to anticipate any change in that development. Reaching out to locate those women, and evaluating them against the needs of the position rather than against an outdated notion of resume experience, is important if a full range of roles is to be filled, and a full range of role models is to be available.
6. The pool of available members of minority groups is less large, which makes it all the more important to seek actively and affirmatively and to find good administrators and faculty members in that pool.
7. When a candidate is invited to a campus for an interview, in-depth two-way interviewing is important if the selection is to be based on the qualities needed for the advertised position.
8. Reference checks are important to determine whether a candidate has the strength and courage to reach out and try, to survive some failures, and to keep trying, without ever losing sight of the individual people who are the most important part of any organization.

Equal Employment Office- Advertising Requirements

Tips for writing "permanent residence" ads

Particular care must be taken when placing advertisements for faculty positions to satisfy Department of Labor (DOL) certification requirements should a foreign national be chosen as the best qualified candidate. If you anticipate the possibility of hiring a non-U.S. worker who will need permanent residence, be sure the advertisement has appropriate information regarding the expected duties and qualifications. The DOL can require that you readvertise the position and conduct a second full search, should it deem the advertisement unacceptable.
Forward proposed faculty ads to the Equal Opportunity Office where they will be reviewed for adherence to University affirmative action policies, and for consistency with Department of Labor criteria in the event international candidates may apply.

State the job title in the ad

Don’t say "tenure track faculty member" when you mean "Assistant Professor."
If you’re uncertain about the specific rank, include all possibilities: "Appointment is anticipated at the Assistant Professor rank but candidates with exceptional qualifications may be considered for appointment at the rank of Associate Professor or Professor."

The ad must stipulate that job duties include "teaching"

Research faculty are eligible for permanent residence if their duties include at least some Classroom instruction.

Experience requirements, if any are listed in the ad, must be quantified in specific terms of months and/or years.

Can’t say "postdoctoral experience required" or "must be an experienced scientist." Say instead: "at least two years postdoctoral research experience required."
Any experience gained by the foreign worker while working at the UW will not be considered by the Department of Labor as acceptable toward fulfilling the experience requirements stated in the ad. He/she must meet the experience requirements with experience gained prior to coming to work here.
"Experience" means "full-time work."

Degree requirement must be stated

If you anticipate that your applicant pool will include persons who have not yet defended their dissertation, say something like: "Candidates must have earned or be close to completion of a Ph.D. degree." Or perhaps: "Ph.D. required. Candidates in the final stages of their Ph.D. program may be appointed on an acting basis."
To the Department of Labor, "Ph.D. or equivalent" means a foreign degree that is equivalent to a U.S. Ph.D. If that’s not what you mean, you should be more specific.

Do not state the salary, or salary range, in the ad

Describe job-related requirements in specific, measurable terms

Avoid vague qualifications such as "must be familiar with" or "knowledgeable of" or "able to" or "interested in" or "have expertise in" or proficient in" or "who can apply scientific techniques to" or "strong grounding in" or "working knowledge of" or "firm foundation in" or "the potential for" or "highly qualified for" or "special competence with" or "must be really good at" or…
You could try restating these as job duties. Instead of "must be able to teach," say "successful candidate will be expected to teach."
"Must have expertise in…" could be stated as "must have a record of published research in…".

Regarding requirements joined by the word "or"

Department of Labor assumes that the greater of the two options is the minimum requirement. "Must be board eligible or certified" will be understood to mean: "must be board certified."
Similarly, "must have a Ph.D. and/or M.D. degree" will be interpreted: "must have both a Ph.D. and M.D. degree."

All qualifications included in the ad will be considered required, even if stated as "desired" or preferred"

Only criteria essential for the position should be stated; extraneous preferences should not be listed in the advertisement.

Beware of "unduly restrictive" job requirements. Be prepared to document "business necessity"

Is "at least eight years of post-doctoral experience" absolutely essential for the performance of the job? Is this level of experience what you require of all your new faculty? (Department of Labor will probably consider an experience requirement of more than three years "unduly restrictive.")
Is "must be proficient in Chinese" really necessary?

Don’t say that successful candidates will be expected to generate their own salary

Instead of "must generate at least 60% of income from grants," say: "will be expected to develop a grant supported research program."

Ad must be published in a "national professional journal"

For example, The Chronicle of Higher Education.
Ad must state UW EOO/AA statement.

Terms of Appointment
Sample Letter

Date

Dear __________:

I am pleased to inform you that the Department of , in the School of Dentistry, has recommended you for appointment at the rank of ______________. This recommendation has been forwarded with your credentials to the Dean, who has preliminarily authorized me to inform you of the terms of the proposed appointment. This appointment, like all others from the University of Washington, will only become effective upon the approval of the President and the Board of Regents of the University.

The proposed terms of the appointment would be at an annual salary of _____$ per month on a ______month basis ( _____% time). The length of appointment for the rank of _____ is ______ years(s) effective _____.

(Discuss courses to be taught, additional responsibilities to students, i.e. supervision of graduate students, student advising etc. If the candidate has not previously received a University Catalog, indicate that one is being sent. Note any patient care, administrative or committee responsibilities. Advise the candidate that faculty are expected to engage in productive research and seek publication of the results. Define plans to provide research facilities and describe the departmental research mission. Include statements regarding immigration and labor certification when necessary.) Note that if applicant will be involved with patient care, supervision of dental students including graduate students, or clinical teaching, a current license to practice in the State of Washington is required.

You should examine the sections in the University Handbook, copies of which are enclosed, which pertain to the responsibilities and expectations of all faculty. Particular attention should be paid to the rules of appointment and reappointment contained in Chapter 24 (Handbook) and in the School of Dentistry's Guidelines for Appointment, Promotion,
and Tenure. (Add pertinent description of the requirements particular to the rank. If this is a Clinician-Teacher Pathway
appointment, include a copy of the Clinician-Teacher section of the School’s Guidelines.)

Before your appointment can be formally considered and approved, please provide me with your written concurrence of the proposed terms of appointment as specified above. Please respond as soon as possible and return the enclosed University Biography form with your signature.

I hope you will find your experience at the University satisfying and rewarding.

Sincerely,

Chairperson

CP:abc

Enclosure: University Handbook, Vol. II, Chapters 24 & 25
(See also http://www.washington.edu/faculty/facsenate/)
if Clinical: Clinician-Teacher Pathway section of the School of Dentistry’s Guidelines for Appointment,
Promotion, and Tenure
cc: Dean

Appointment of Non-Citizens

UNIVERSITY OF WASHINGTON
SEATTLE, WASHINGTON 98195

Office of the Provost

February 28, 1990

Deans, Directors, and Chairpersons

Dear Colleagues:

As you know, over the past several years, the University has put into effect processes and staff to assist departments and colleges when non-U.S. citizens are identified for faculty appointments. I write to apprise you of these processes, as I have done in the past, so that you might become more familiar with our structures for ensuring compliance with federal Immigration and Naturalization laws.

The University has designated several key individuals to assist departments and faculty when issues arise regarding visas or permanent residence for non-U.S. citizens arise. Mr. Gary Ausman of the International Services Office assists in acquiring temporary visas and processing renewals for such visas. Ms. Jean Reitan and Ms. Susan Rector in the Equal Employment and Affirmative Action Office assist in the processing of labor certification and permanent residence applications.

Under the Immigration Laws, temporary work visas, which normally can be obtained on short notice through the University, can only be processed where appointments are made of a temporary nature, acting or visiting. It is not possible to secure a temporary visa where a person is recommended and approved for a regular appointment at the assistant, associate, or full professor rank. On the other hand, where an individual, who is a non-U.S. citizen, is identified for a regular faculty appointment, the University generally can proceed to process papers to achieve permanent residence.

The complication that often occurs is that searches are conducted, individuals are identified, and requests for regular faculty appointments are made with a starting appointment date near in time to the search completion date. It must be understood that the University cannot obtain for those individuals temporary H-1 visas to allow them to immediately begin work at the University of Washington. If the department desires a non-U.S. citizen to begin work at the University of Washington on short notice, but the individual is in another country or is in the United States as a student or employee elsewhere, that department may consider the search for the regular faculty position unsuccessful, and instead recommend that the individual who was the top candidate be appointed in an acting status. In such cases, the University can process an H-1 temporary visa request through the International Services Office and be able to obtain, usually in a short time, this visa for the acting faculty member. This would necessitate, however, that the department commence a second search. The acting faculty member
previously brought here on a temporary visa could be an applicant and could subsequently be found to be the best candidate for the regular faculty position and then be appointed as such. In light of the fact that such individual is already in the United States on a valid temporary visa, the University could then process, based upon this second search, a permanent residence visa application for the faculty member.

Another option is to appoint the non-U.S. citizen to the temporary or acting position while keeping the search open. After the faculty member is here and in a temporary position, the search can be closed. The temporary faculty member may then be found to be the most qualified for the position, and be offered the position on a permanent basis. Upon this offer, the
process for permanent residence may be initiated.

In sum, the following options are available to departments which identify a non-U.S. citizen as the top candidate for a faculty position after a search:

An individual candidate can be offered an appointment as a regular member of the faculty and papers processed according to the University's normal rules. In such cases, the University would then assist in processing a permanent residence visa application, with the outcome that the prospective faculty member could not begin work at the University of Washington until that permanent application process is completed. This normally takes one year at minimum.
The department, after a search, can identify and offer a position to a non-U.S. citizen as their first choice candidate, but determine that the offer can't be accepted because the candidate is not eligible to work at the University of Washington because he/she does not have a permanent resident visa at the time of need. The search would then be ended as unsuccessful. However, the department can then offer a temporary (acting or visiting) appointment to the individual and the University would assist in processing a temporary H-1 visa application, allowing the individual to come to work at the University of Washington fairly quickly. Thereafter, the department could commence a second search and that individual could compete for the position. Then, if the temporary faculty member is successful in being appointed to a regular faculty position, the University would assist in processing a permanent residence application while the faculty
member is still here and continues to teach and do research.
The department can identify a qualified candidate who is a non-U.S. citizen, keep the initial search open, and bring that candidate to the UW to work "temporarily” under a temporary work visa. Subsequently, the department could finalize the initial search concluding that the temporary faculty member is the most qualified for the position and then the permanent residence process could begin. In all cases, the application for permanent residence must be submitted within
18 months after the final selection of the candidate is made following the national search.

You also should be aware that if an individual is originally appointed as a temporary member of the faculty, at an acting or visiting rank, the University, under state rules, could not authorize payment of moving expenses for the individual when he/she comes to the University of Washington on a temporary visa to accept the temporary appointment. This becomes of even greater importance to the individual residing outside the United States, for to qualify for a temporary H-1 visa, s/he must establish that s/he has a residence abroad which he / she has no intention of abandoning.

We recognize that these rules can create problems in individual instances. The situation, however, is such that the University cannot be in a position of certifying that a regular faculty member is temporary for purposes of immigration when in fact that person is offered a three-year or tenured appointment. The University can only process a temporary visa when in fact there has been no permanent appointment made at a regular rank, but can when an acting or visiting appointment is offered and
accepted.

Please contact me if I can provide any further information on this matter, or Mr. Gary Ausman of the International Services Office, and Ms. Susan Rector of the Equal Employment Opportunity Office, re processing of temporary and permanent visa applications, respectively. Ms. Rhonda Lahey, Director of Academic Personnel Records, is available to assist in the documentation and preparation of faculty appointment papers. In addition, detailed information on Permanent Residence
Application Process is available in the Operations Manual D41.0.

Signed: Laurel L. Wilkening
Provost