Appointing procedure for academic staff (clinical and non clinical)

The procedure outlines the composition of an Appointing Committee panel, for both clinical and non- clinical positions, summarising each panel member’s individual role. The procedure also outlines the respective responsibilities of the School and the People Support team in the process.

The University values and embraces diversity and inclusion – all aspects of the appointing procedure must be inclusive and comply with the University’s EDI policy.

The Appointing Committee will interview a maximum of four candidates, except in circumstances where the Dean of School (or the Principal in the case of a Professor appointment) has approved otherwise.

Appointing Committee

For academic staff (Lecturer and Senior Lecturer) the Appointing Committee, at a minimum, comprises the following, with additional members as deemed appropriate by the Dean:

• Dean of School (Convener)
• Associate Dean (Research or Learning & Teaching, depending on nature of appointment) Discipline Lead (or a lead academic in the area the post will be appointed to)
• Subject Specialist (a senior member of staff representing the discipline) – this may be internal or external
• Senior member of staff from out with the School

In addition for clinical posts, the following members may also be required:

NHS Representative External Advisor, an external advisor from the Royal College

It is expected that the appointing committee will have as diverse a representation as possible including gender balance and ethnicity, and with a balance of T&R and T&S staff to ensure that we recruit candidates with a recognition of the broader needs of the school/University. The Dean of School, if unable to attend the interview, can nominate an Associate Dean to be their replacement as Convener.

For Professorial appointments the Appointing Committee is:

• Principal (Convener) or Senior Vice Principal
• Another academic member of UEG
• Dean of School substituted by Associate Dean if not available
• Discipline Lead
• Subject Specialist and/or
• External Assessor, a Professor from out with the University, who may substitute the Subject Specialist if not available from within the University, as determined by the Convener

In addition for clinical Professor appointments, the following members are also required:

NHS Representative

External Advisor, an external advisor from the Royal College Responsibilities of the Appointing Committee:

1. It is the responsibility of the appointing committee to ensure that recruitment is carried out in accordance with Equality, Diversity and Inclusion policies (see section 5) and that where a candidate has declared a disability, reasonable adjustments are made to overcome the barriers created by their disability whilst undergoing the selection process.
2. Recruitment Strategy: Nominated members of the appointing committee are responsible for the recruitment and shortlisting strategy. This might include consideration of the wording of the advert, job description, candidate profile and possibly creation of applicant pack or reference to web resources/videos.

Further considerations also include: how to identify appropriate candidates; where to place advertisements; approaching other organisations or individuals who might be able to indicate possible candidates; or other procedures for attracting candidates (e.g. Early Career Researcher seminar series).

Please see recruitment guidance for examples of best practice and further resources.

The appointing committee is also responsible for the shortlisting strategy including the nomination of a member of the appointing committee to oversee the shortlisting (typically this might be the Discipline Lead) and decision on which staff will be involved in shortlisting - the inclusion of wider input than just the appointing committee is recommended to enhance diversity of views. The strategy should include a decision about how many references are required (a minimum of three is recommended, one from the current/recent employer) and at what stage of the recruitment procedure they will be requested.

The recruitment strategy should also consider whether an experienced or early career academic is being sought. Should the post be filled by an early career academic then the appointing committee must decide if probation or tenure-track process applies.

The University of Dundee is committed to the principles of the San Francisco Declaration on Research Assessment (DORA). The appointing committee should ensure that it is the academic quality of applicants’ published research papers that is assessed, and that where the papers were published or journal-based metrics, such as Journal Impact Factors are not considered as part of this assessment.

Recruitment opportunities can also arise from speculative enquiries from potential applicants that are not in response to a specific job advert; such speculative enquiries may come from very talented individuals, and it is important that Schools respond to them in an appropriate manner. All aspects of the recruitment strategy should be inclusive and comply with UoD EDI policy.

For Clinical Academic appointments, the principles of Follett and joint working are central to the recruitment procedures and the university will work closely with NHS Tayside, recognising that there are shared responsibilities between the two institutions and highlights the fact that clinical service, undergraduate teaching & scholarship and research are the responsibility of both institutions whether University or NHS employed.

Stages of the Recruitment Process

1. Recruitment Strategy

As outlined above, nominated members of the appointing committee (e.g. likely to exclude any external committee members) are responsible for defining the recruitment strategy for the appointment. This should be established prior to the advert going live to ensure a coordinated and effective approach.

For clinical appointments, consultation between the Dean and the NHS Tayside’s Medical Director (or representatives) will take place. The job description will define the respective clinical service, and academic responsibilities of the post. If the appointment is to be at NHS consultant level, it will be drawn up by either the Discipline Lead or the Clinical Group Leader (depending where the substantive contract is to be held) under the direction of the Dean of School or the Medical Director and approved by the relevant School or NHS executive bodies. At this stage, the clinical & academic commitments of the NHS and the University should be developed to clarify the split of Programmed Activities, to be discussed and agreed with the appointee to form their job plan.

A separate guide is available to inform best practices across the disciplines.

2. Shortlisting

After the closing date, applications will be available to those nominated by the appointing committee to be involved in shortlisting. The Discipline Lead, or other nominated member of the appointing committee, is responsible for completing the applicant tracking form. This should be returned to the School People Support team detailing who should be invited for interview and who can be rejected at this stage. The People Support team member will have an interview date scheduled at this stage. The member of staff responsible for shortlisting will provide a report to the Appointing Committee with reference to each applicant. For applicants not shortlisted for interview, this may simply be a brief statement explaining the reason for this, noting which of the rejection code applies. For applicants who will progress to interview, this should include an assessment of candidates fit for the role, including an assessment nature/quality of the research, practice and/or scholarly outcomes including an assessment of the quality of the published work as relevant. Use of the shortlisting grid is recommended.

3. School visit

All shortlisted candidates should have the opportunity to familiarise themselves with the School before meeting the Appointing Committee. This is likely to include offering meetings with other members of staff and mechanisms for answering questions about the post. The members of staff should be able to communicate their impressions/views to the Dean of School (or substitute if not available) prior to the interview. This familiarisation may be in-person or remote depending on circumstances.

Once shortlisted candidates have been invited to interview, the School should contact candidates to make arrangements for their visit/familiarisation with the School as required by the procedure. The communication from the People Support team asking the candidates to come for interview will mention that the School will be contacting them directly to arrange the required visit/familiarisation

4. Presentation

It is expected that shortlisted candidates will make a presentation on some aspect of their work or intended work. This would enable the audience to assess the applicant’s potential as a teacher and communicator with respect to Teaching & Scholarship or Teaching & Research positions, or potential with respect to Professorial positions. For Teaching & Research positions, it would also enable an assessment of research potential. The length and format of the presentation is flexible and should be tailored as appropriate for the level of appointment and discipline. Examples of best practice can be found in accompanying recruitment guidance. Presentations could also include examples of practical work for relevant disciplines. In addition to members of the Appointing Committee, it is recommended that other members of staff of the school are given the opportunity to attend the presentations, ask questions afterwards and have an opportunity to feedback their views to the recruitment panel.

Members of the School should be informed by the Dean of the purpose of the presentation and its place in the Appointing Procedure.

5. Remote Interviews

Interviews may be carried out remotely if the School feel that this is the most appropriate approach and it is recognised that in some circumstances it is deemed impractical for an applicant to travel. To facilitate this, applicants should be asked to ensure that they have a suitable space to complete the virtual interview as well as a personal device of choice with an account registered to a video platform (one approved by the University of Dundee) by which they can undertake the interview/assessment if shortlisted. They should also be asked to ensure that their personal Wi-Fi/Broadband capacity will be sufficient to carry both audio and video feeds to undertake the interview. This will then ensure that there are no issues incurred during the interview. Should this cause any applicant particular difficulties the Convener should investigate ways of taking remedial action.

Responsibilities of the appointing committee members

All members of the appointing committee have a shared responsibility to make high quality recruitment decisions and to appoint the best candidate for the role. In addition, there are individual responsibilities associated with each member on the appointment committee as detailed in Table 1 (Appendix A).

Responsibilities of People support team

All of the administrative support required for the appointing process of academics is provided by the People Support team with the exception of arranging the School familiarisation and Seminar which is a School function. This can include, placing adverts externally, issuing invitations to interview, reference requests & issuing rejection communication via the e-recruitment system, room-booking, catering, PVG (Disclosure Scotland) checks, applying for Certificates of Sponsorships, and verifying qualifications of successful candidates.

The People Support team will provide a Convener’s briefing pack to the Convener, normally one week prior to the interviews to ensure that the interviews are conducted fairly and in accordance with the requirements of Equal Opportunity legislation and the local recruitment policies and procedures. The People Support team member will also supply each panel member (usually shared through Microsoft Teams or other suitable platform) with a briefing pack containing the shortlist, timetable, interview location, references and CVs, prior to the interviews. Use of the scoring grid at interviews is recommended.

Equality, Diversity and Inclusion

The University values and embraces diversity and inclusion among staff and students by encouraging all individuals to realise their full potential and contribute as fully as possible to the University community.

The University aims to create conditions whereby the treatment of students, staff and applicants for employment or study, is on the basis of their relative merits, abilities and potential. All employees of the University are responsible for supporting and implementing the Equality, Diversity and Inclusion Policy and ensuring that their behaviour and/or actions do not amount to discrimination or harassment in any way.

The following excerpts from the University’s Equality, Diversity and Inclusion (EDI) Policy illustrate the University’s commitment to equality diversity and inclusion in all recruitment and selection processes:

• Job advertisements will use non-discriminatory language and images to attract the widest interest from suitably qualified applicants. As part of the application process, applicants will be asked to complete an equality, diversity and inclusion monitoring form which will be used for the sole purpose of enabling the University to comply with its legal obligation to publish information in support of the aims of the Equality Duty. This will be made clear to candidates. Such information will not be available to recruiting managers; therefore, it will not be used for selection purposes.
• Applicants will be given equal consideration by being assessed solely against the criteria for the post. Criteria for posts will be contained within the job description, person specification and any additional relevant documents attached to the post. Shortlisting will be undertaken thoroughly and rigorously based on the criteria for the post and without reference to any protected characteristic. Interview panels and appointing committees will comprise, as a minimum, mixed gender representation and greater diversity of race and disability where possible. Where this is not possible within the School, the out with School representative should be considered in order to achieve the best possible diversity.
• All staff participating in such committees will have knowledge of the EDI Policy. And will have completed the University of Dundee approved Equality and Diversity training modules, unconscious bias training and recruitment selection.
• The University will make reasonable adjustments for applicants who have a disability or who have particular requirements.

References

References will be requested using a standard reference request letter (at the stage as defined in the recruitment strategy set by the appointing committee – see section 1, point 2). For your guidance, a copy of the standard letter is attached (Appendix B). If there is anything highlighted in a reference that is of concern, the matter can be discussed with the People Support team, and the Dean/Convener has the discretion to follow up with the referee (as outlined in section 3 (a)).

Marking an offer

Prior to any offer being made, the appointing committee must collectively decide if the candidate needs to go through probation and for how long. The new appointment authorisation (NAA) form, to be returned to the People Support team, includes options to indicate if probation is required and what length. The Dean of School or Convener is responsible for verbally offering the position to the successful candidate and establishing a start date (typically this would be around 3-6 months after the interview date, but maybe longer depending on the circumstances). It must be clear in the verbal offer whether probation is a requirement. The People Support team will provide advice on starting salary if this is likely to be subject to some negotiation. Otherwise, the University’s position is that starting salary for a lecturer and senior lecturer is normally at minimum point of grade.

A copy of the current salary scales can be found on the finance website (these are also found in the Convener’s briefing pack)

In determining the starting salary for a Chair appointment, the University Policy on Starting Salaries for Professorial (Non clinical) and Professional Services Grade 10 staff. Typically, consideration will be given to the appointee’s current salary level; the knowledge, skills and competencies of the individual, together with relativities relating to peers (both internal and external). The UCEA benchmarking salary data will be made available by the Director of People to those making the starting salary decisions.

When making a verbal offer, the Dean of School must make it clear to the successful candidate that it is made subject to pre-employment checks (e.g. entitlement to work in the UK, receipt of satisfactory references, confirmation of qualifications and PVG check).

Once a verbal offer has been made, the Dean of School should arrange for the offers page on the e-recruitment system to be completed, which asks for the following information:

• Name of successful applicant
• Spinal point & starting salary (after consultation with the People Support team if necessary)
• Is a Certificate of Sponsorship for sponsored skilled workers (Skilled worker or Tier 5 category) required?
• Type of appointment: permanent or fixed term
• Length of contract (start date and end date, if required)
• Hours/fte: full-time or part-time
• Project Code and funding source for salary charges
• Reclaim details (if required)
• For posts in the Schools of Medicine, Dentistry & Nursing if an Honorary NHS contract, or Research Passport is required

For externally funded posts, the People Support team will seek approval that there are sufficient funds available in the project code before proceeding to issue the contract of employment.

The Dean of School/Convenor normally notifies the unsuccessful shortlisted candidates using a suitable communication method.

The Dean of School/Convenor should arrange for the ‘Interview Tracking Form’ to be completed and returned to the People Support team once all interviews have taken place. On receipt of this, the People Support team will notify unsuccessful candidates of the outcome of the interview in writing.

Table 1:

Appendix A

Individual responsibilities of the appointing committee members

Lecturers and Senior Lecturers appointments

The Dean (Convener)

The Dean has the responsibility to ensure that the highest academic standards and University core values of ‘excellence’ and ‘valuing people’ are achieved when making new appointments. As set out in the University values, we must appoint the highest calibre staff. In addition, the Dean must ensure that this appointing procedure is followed and that the whole process is conducted in accordance with best practice in relation to recruitment.

In order to improve the clarity and completeness of the information available to the committee, the Dean has the discretion to discuss relevant issues with any of the candidate’s referees. It is not, however, a requirement that the Dean does so. If the Committee considers it appropriate to approach a previous employer or referee not nominated by the candidate, the candidate’s consent must be obtained in advance of any approach being made.

Associate Dean

The Associate Dean should pay special attention to the professional experience and research/teaching & scholarship competence of the candidates.

Senior member of staff from out with the School

The role of the senior member of staff from out with the School is to ensure standards of appointments across the organisation and to bring in a perspective external to the School.

Professor appointments

Principal (Convener) or Senior Vice-Principal

The Principal has the responsibility to ensure that the highest academic standards and University core values of ‘excellence’ and ‘valuing people’ are achieved when making new appointments. As set out in the University values, we must appoint the highest calibre staff. In addition, the Principal must ensure that this appointing procedure is followed and that the whole process is conducted in accordance with best practice in relation to recruitment.

The Principal has the discretion to speak to at least one key referee for each candidate to improve the clarity and completeness of the information available to the committee. It is not, however, a requirement that the Principal does so.

Vice-Principal

The Vice-Principal should pay special attention to the professional experience and research/teaching & scholarship competence of the candidates.

Dean of School

The Dean of School will report to the Appointing Committee an assessment of the nature/quality of the published and scholarly work in which a candidate’s work has appeared. If possible the Dean of School should produce a report (which may be compiled by a member of the discipline) on the quality of the published work, so far as this work is available for consultation in the University. d) Discipline Lead

Discipline Lead

The role of the Discipline Lead is to ensure that the Discipline is formally represented and to ensure the standard of appointment for the Discipline is met.

Subject Specialist

The Subject Specialist will report to the Appointing Committee on the seminar and the consensus view on it. The report should include an assessment of teaching & scholarship, communication and research skills, where appropriate

External Assessor

The role of the External Assessor is to ensure standards of appointments across the organisation and to bring in a perspective external to the School. The External Assessor should be nominated by the Dean of School.

Clinical appointments

NHS Representative

Depending on the academic content of the role and the level, the NHS representatives will be responsible for assessing clinical competence of candidates and ensuring that service issues are considered appropriately.

For Professorial roles the NHS representative, will be either the Teaching Co-ordinator/Director (or their representative) or the R & D Director (or their representative). They will question candidates accordingly on their experience in these respective areas and explore with candidates the intellectual issues affecting NHS Tayside, in addition to assessing clinical competence.

External Adviser

All external advisers must be experienced consultants and have a full understanding of the training programme leading to CCT (or equivalent) in their specialty. Advisers have the same voting rights as other committee members (but no right of veto) and will have the right and indeed responsibility to raise any unresolved difficulties with the appointment process or decision with the Convener of the recruiting Health Board and the Academy.

Specifically they will be required to undertake the following tasks, which are laid out in regulations:

• Attend the selection panel (minimum notice period of 8 weeks will be given)
• Participate in the voting (where necessary)
• Advise on the training and experience background of all candidates relative to the specific job description
• Raise any concerns about the operation of the panel to the panel chair immediately

Steps after a position is approved

Once a position is approved by the Planning Resource Group, the post can then be advertised.

Note that the Appointing Procedure is normally a 12 week (maximum) process

• Appointing Committee established
  • Committee set up by People
• The School creates a vacancy on the e-recruitment system, attaching an advert and job description.
  • People Support team Confirms approval for the post
  • 10 days - 2 weeks
• Advertisement placed in relevant publication/online job listings (in accordance with recruitment strategy). For clinical posts relevant publication would include BMJ, BDJ, Lancet etc.
  • 4 weeks
• Closing date of advert
  • Copies of applications available to the committee for shortlisting
  • 1 - 2 weeks
• Short-list of candidates to invite for interview
  • Candidates invited to interview (in-person or remote)
  • School to arrange familiarisation/visits/seminars
  • Referee reports to be requested by the People Support team
  • People Support team to send interview pack to committee members
  • 3 - 5 weeks