Columbia University recruits, appoints, pays and promotes its officers and members of its supporting staff without regard to race, color, religion, age, national or ethnic origin, sex, sexual orientation, marital status, disability, citizenship, or Vietnam Era or disabled veteran status. It is also the University's policy to seek out qualified women, minorities, persons with disabilities, and members of certain classes of military veterans for consideration at every level of appointment. The University has developed affirmative action plans to further these objectives and to comply with federal legislation and regulations. This statement describes the policies and procedures by which those plans are implemented in the case of appointments as officers of instruction and research (together referred to as "faculty") in the Faculties of Medicine and of Dental and Oral Surgery. Since the procedures and forms used by the rest of the University differ in some respects, they are described in a separate statement.
Columbia's affirmative action procedures for officers of instruction and research seek to achieve accountability within a system of decentralized responsibility. They are designed in recognition of the fact that academic recruitment and development involve the application of judgmental criteria, and the responsibility for the application of such criteria must rest primarily with the Faculties and other academic units. Selection by colleagues is appropriate since the achievements and promise of prospective faculty and researchers are most sensitively evaluated by peers and colleagues. Furthermore, decentralized responsibility gives our schools and departments the necessary flexibility, within the framework of the affirmative action plans, to pursue policies of academic development that look beyond the individual qualifications of various candidates, anticipate new trends in knowledge, mobilize talent selectively in accordance with changing program priorities, and thereby fulfill the University's social responsibility to develop new knowledge and transmit it to the next generation.
I. STANDARD SEARCH AND EVALUATION PROCEDURES
While a system of decentralized responsibility recognizes that procedures by which officers of instruction and research are appointed and promoted may vary from one school or department to the next, such procedures must be consistent within a given unit and stated with clarity and precision. Each department, school, institute and center has an approved Statement of Standard Search and Evaluation Procedures on file in the Office of the Secretary to the Health Sciences Faculty Affirmative Action Advisory Committee ("HSFAAAC"). This office is located in the Black Building, Suite 101, Room 107. Directions for formulating or modifying those statements are found in Appendix A.
Each unit's statement sets forth, for each instructional and research rank to which the unit makes appointments, the Standard External Search Procedures by which it identifies and selects candidates for initial, full-time appointments. These constitute the general practice of the unit and are considered appropriate for filling most positions in most ranks, even when one or more current officers in the University are candidates for the position.
All postdoctoral appointees (postdoctoral research scientists/scholars, postdoctoral research fellows or postdoctoral clinical fellows) to whom offers of full-time faculty appointments are extended must have gone through a full, external search prior to the offer being made. In each instance, the decision of when to conduct this search is up to the hiring unit. It could conduct an external search prior to the start of a postdoctoral appointment, following its Standard External Search Procedures for the Initial Selection of Postdoctoral Appointees and submitting Forms IB, II, III, IV, and V, documenting the search for review by the HSFAAAC. These forms should be filed at least one month prior to the appointment start date. In the alternative, it could select postdocs without a search, filing only Form IB with the HSFAAAC. In this case, if it later wishes to offer the postdoctoral appointee a faculty position, it is expected to conduct a full external search when the postdoctoral training is about to end, following its Standard External Search Procedures for the faculty position it wishes to offer to the postdoctoral appointee.
Clinical departments that may wish to offer housestaff members full-time faculty appointments at the conclusion of housestaff training should include in their Statement of Standard Search and Evaluation Procedures a description of their Affirmative Action Steps taken in Connection with Housestaff Selection. If they file housestaff Forms I, II, III, documenting the selection process, for review by the HSFAAAC at least one month prior to the start of housestaff training, they may then promote these housestaff members to first full-time faculty appointments without an external search. Those departments not including a discussion of their housestaff selection process in their Statements of Standard Search and Evaluation Procedures are expected to conduct a full external search, following their Standard External Search Procedures, whenever they wish to promote a housestaff member to a full-time faculty appointment.
II. VARIANCES FROM STANDARD PROCEDURES AND TEMPORARY CLEARANCES
Hiring units are normally expected to use the search procedures described in their Statements of Standard Search and Evaluation Procedures when recruiting officers of instruction or research. However, situations occasionally arise where a full external search is planned, but the unit's standard search procedures are inappropriate for filling the particular vacancy. In these cases, the hiring unit is asked to submit proposed alternative procedures (use of a different professional journal, for example) to the HSFAAAC for approval BEFORE the search is initiated.
There also are a limited number of situations where a full search, or indeed any search, may not be appropriate. They can be divided into two general categories: variances used in hiring people new to the University, and variances used in giving full-time, renewable faculty appointments to people already at the University, but in a different capacity.
A. Variances appropriate when hiring people new to the University:
1. Appointment which can be filled only by a limited number of specialists, all known to the professional community.
2. Appointment of an individual of great eminence.
3. Appointment of an individual who has been part of an established research unit headed by a newly appointed officer of instruction or research. Such persons must be specified by name within three months of the appointment of the unit head with justification for variance established.
4. Appointment of spouses, when part of negotiations for a new faculty member.
5. Appointment funded through the Provost's Minority Faculty Incentive Fund.
B. Variances appropriate in giving full-time, renewable faculty appointments to persons currently at the University in a different capacity:
1. Promotion of an outstanding member of the research support staff to a position as an officer of research, if the appointee has been a member of the support staff for three or more years.
2. A change from part-time to full-time faculty status, if the appointee has held the part-time position for three or more years.
3. Appointment, under special circumstances, of some staff associates and senior staff associates currently on limited term appointments. This variance is only available for persons who were appointed to their limited term position before February 1, 1993, and who therefore were not originally chosen through full, external searches and would not otherwise be eligible for permanent appointment. It is available only if the hiring unit can demonstrate to the satisfaction of the Committee that special circumstances exist.
C. Temporary clearances. Unforeseen circumstances that prevent a unit from conducting a full search occasionally may warrant a temporary clearance to allow an individual to be in place while a search is being conducted or to allow coverage of a short-term vacancy. Examples of such situations include the following:
Persons who have temporary clearances and staff associates or senior staff associates appointed prior to February 1, 1993 (the cut-off date for making limited term appointments at these ranks) may not be given full-time, renewable appointments until affirmative action clearance, following a full external search, has been obtained. Failure to obtain clearance before the initial appointment expiration date will cause the academic and hospital appointments, salary and benefits to terminate. The effective date of the new appointment or renewal cannot predate the affirmative action clearance date.
III. REPORTING AND CLEARANCE PROCEDURES
A unit must obtain clearance before nominating any individual to an initial appointment as a full-time, compensated officer of instruction or research or to a postdoctoral appointment. The required documentation for submitting clearance requests varies depending on the nature of the search and the appointment:
CLEARANCE REQUESTS BASED ON STANDARD EXTERNAL SEARCHES FOR OFFICERS OF INSTRUCTION, OFFICERS OF RESEARCH, OR POSTDOCTORAL APPOINTEES:
CLEARANCE REQUESTS BASED ON PRIOR AFFIRMATIVE ACTION CLEARANCE (used when promoting previously-cleared postdoctoral appointees or housestaff members to full-time, renewable faculty appointments):
CLEARANCE REQUESTS BASED ON ANY VARIANCE AND REQUESTS FOR TEMPORARY CLEARANCE PENDING COMPLETION OF A FULL AFFIRMATIVE ACTION SEARCH:
CLEARANCE REQUESTS BASED ON AFFIRMATIVE ACTION STEPS TAKEN IN CONNECTION WITH THE HOUSESTAFF SELECTION PROCESS:
Copies of the affirmative action forms are attached to this Statement. Instructions for completing them are provided in Appendix B. If questions arise, persons completing the forms are encouraged to consult with the chairman of the HSFAAAC before submitting the clearance request.
IV. HEALTH SCIENCES FACULTY AFFIRMATIVE ACTION ADVISORY COMMITTEE
The Vice President for Health Sciences, acting on behalf of the Provost, is assisted in implementing affirmative action in the Faculties of Medicine and of Dental and Oral Surgery by the Health Sciences Faculty Affirmative Action Advisory Committee.
The Committee is appointed by and reports to the Vice President for Health Sciences. It is composed of at least ten officers of instruction and research representing the schools and departments of the Health Sciences with prominent representation by women and minorities. The Associate Dean of Minority Affairs and the Director of the Office of Equal Opportunity and Affirmative Action serve as ex officio members of the Committee. The Chairman, Vice Chairman and Committee members are appointed by the Dean of the Faculty of Medicine. Each member serves a three year term, renewable depending on interest and effectiveness.
The Committee is an advisory committee to the Dean. Its primary task is to review hiring searches to ensure that they follow affirmative action guidelines and to recommend to the Dean whether clearance to appoint nominees should be granted or withheld. When documentation is unclear, the Committee may request, in writing or through conference, additional information from a dean, chairman, or director. In considering clearance requests, the Committee does not judge the qualifications of candidates, but is solely concerned with ensuring that appropriate procedures have been followed in searching for nominees, that substantive reasons are given for setting aside the candidacies of special status applicants judged less qualified, and that all is properly documented. The Committee is available to work at all stages of the search process with the Dean and department heads on the Health Sciences campus as well as at affiliates and to help identify and address specific problems that affect recruitment and retention of women and minorities.
The Committee also submits an annual report to the Dean, comparing analyses of applicant flow and clearance data for the immediately concluded year with data from prior years. On the basis of these analyses, the Committee identifies areas where progress is being made and areas which may be cause for concern.
In addition, the Committee periodically reviews each hiring unit's affirmative action performance, including its adherence to the search procedures outlined in its Statement of Standard Search and Evaluation Procedures; the number of variances and full external searches used for its new appointments; the size, diversity, and appropriateness of the applicant pools generated by its advertising; and the race and gender of its faculty. It also periodically meets with newly appointed departmental chairmen and administrators to review Affirmative Action Procedures and with chairpersons/directors and administrators to review procedures, accomplishments, and possible obstacles to progress.
Each department, school, research institute and center should have on file in the Office of the Health Sciences Faculty Affirmative Action Advisory Committee an approved Statement of Standard Search and Evaluation Procedures.
All statements should include a description of the hiring unit's Standard External Search Procedures for each instructional and research rank to which it makes full-time appointments. If the procedures for appointments to various ranks differ, they should be described separately. If one set of procedures applies to more than one rank, this may be noted in lieu of restating them. For example, most statements set forth a set of procedures for senior officers of instruction (professors and associate professors) with or without modified titles, and a second set for junior officers of instruction (assistant professors, instructors, associates and assistants). Similarly, many statements distinguish between three officer of research rank groupings: senior officers of research (senior research scientists/scholars, research scientists/scholars), more junior officers (associate research scientists/scholars), and entry-level ranks (staff associates and senior staff associates). The hiring unit's description of its Standard External Search Procedures should reflect these differences.
The procedures should ensure a wide solicitation of candidates, including placement of ads in appropriate journals, and a thorough examination of their comparative qualifications. They should include descriptions of the following:
If the timing of the search and evaluation is keyed to external cycles of activities, such as meetings of professional societies or the selection procedures of a competition, these cycles should be noted.
Some Statements of Standard Search and Evaluation Procedures also include a description of the hiring unit's Standard External Search Procedures for the Initial Selection of Postdoctoral Appointees. These are the procedures followed by a hiring unit when it anticipates that a postdoctoral appointee (postdoctoral research scientist/scholar, postdoctoral research fellow or postdoctoral clinical fellow) will subsequently be offered an appointment to an instructional or higher research rank.
These procedures should ensure that postdoctoral appointees are originally recruited through an external search and should include the following:
Some Statements of Standard Search and Evaluation Procedures also include a description of the hiring unit's Affirmative Action Steps Taken in Connection with Housestaff Selection. These are the steps followed by clinical departments when anticipating that members of their housestaff will subsequently be offered an appointment as a full-time faculty or research member. They should include the following:
FORM IA: SEARCH REPORT FOR OFFICERS OF INSTRUCTION AND RESEARCH.
1. This form should be included as part of every clearance request for a first full-time appointment as an officer of instruction or research. Complete a separate form for each candidate even when selecting more than one candidate through a single search.
2. State the nominee's name, department, proposed University academic or research title (do not use hospital titles), and area of specialization. The anticipated appointment effective date should be later than the next regularly scheduled HSFAAAC meeting to allow adequate time for clearance.
3. Indicate whether the search conforms to your standard procedures for external search as described in your Statement of Standard Search and Evaluation Procedures, whether you are seeking a variance from those procedures, or whether you are seeking a temporary clearance.
4. Obtain the signature of the head of the hiring unit (dean, chairman or director).
FORM IB: REPORT FOR POSTDOCTORAL APPOINTEES
1. This form should be submitted for every postdoctoral appointee (postdoctoral research scientist/scholar, postdoctoral research fellow or postdoctoral clinical fellow), whether or not an external search has been conducted, prior to the start of postdoctoral training. Each nominee must appear on a separate form.
2. State the nominee's name, department, proposed University title (do not use a hospital title), area of specialization and anticipated starting and end dates.
3. If the hiring unit has elected to conduct an external search prior to the start of postdoctoral training, following its Standard External Search Procedures for the Initial Selection of Postdoctoral Appointees, clearance should be requested and received before the appointment can become effective. Check "A" and submit this Form along with Forms II, III, IV, and V, as well as the candidate's c.v. These forms should be filed at least one month prior to the appointment start date. If the postdocs were selected without a search, check "B," indicating that a search will be conducted toward the end of postdoctoral training if the hiring unit decides at that time to consider promotion of the individual to a first full-time position as an officer of instruction or a higher research rank. (University Statutes limit postdoctoral appointments to three years).
4. Obtain the signature of the dean, director or chairman, or an authorized designee.
FORM II: SUMMARY STATISTICAL DATA
1. This form should be included as part of every clearance request, even when the proposed nominee is the only candidate considered for appointment.
2. In section I, indicate the number of applicants by gender and ethnic category. A special designation for applicants of uncertain ethnicity is no longer used. If applicants have not volunteered information on their ethnicity and you cannot infer it from their applications, they should be listed as non-minorities.
3. In section II, enter (1) the total number of applicants (those listed on Form III) and most qualified candidates (those listed on Form V); (2) the percentages of applicants and most qualified candidates who were women and minorities; and (3) the availability pool percentages for women and minorities in the discipline. (The availability figures are calculated each year by the Office of Equal Opportunity and Affirmative Action and distributed to the departments by the secretary of the HSFAAAC.) Also indicate the total number of nominees for clearance and whether any of them has a "special status," using the appropriate code in the case of minorities (see Appendix C).
FORM III: APPLICANT POOL REPORT
1. List in alphabetical order everyone who applied for the position or was approached about his/her availability, including the most qualified candidates and the nominee(s).
2. For each applicant show the current institutional affiliation, source of referral (e.g., whether he or she responded to an advertisement, job announcement or registry listing; was approached by a member of the search committee; was recommended by someone outside the University; or inquired about a possible position opening); and the full date of formal interview. On the basis of your own knowledge, the applicant's own declarations or a reasonable inference from materials submitted by each applicant, indicate which applicants have a "special status," as defined in Appendix C.
FORM IV: SPECIAL STATUS APPLICANT REPORT
1. List all applicants in special status categories who were not considered to be among the most qualified, and briefly and clearly state the specific reasons for judging them less qualified.
FORM V: MOST QUALIFIED CANDIDATES REPORT
1. List in descending order of preference all applicants who were judged to be most qualified for the appointment and were given serious consideration, including any who withdrew their application or, if they were approached about their interest in the position(s), declined to be considered.
2. State in a few sentences the specific reasons for selecting the nominee(s) and for judging the others less qualified.
3. For applicants who withdrew or were found to be unavailable, indicate the source of this information, the reasons for the applicant's decision and the date they notified you of their decision (i.e. before or after the selection of the nominee).
FORMS FOR CATEGORICAL HOUSESTAFF MEMBERS. A separate set of forms should be completed for each categorical residency program. The forms must be submitted at least one month prior to the start of housestaff training.
HOUSESTAFF FORM I: SUMMARY STATISTICAL DATA
1. State the department, the residency program title, and the effective start and end dates of the residency.
2. The first section requests breakdowns by ethnicity and gender for all applicants. The second section requests the following data on persons placed on the rank list: total, number and percentage of women, and number and percentage of Blacks and Hispanics (only). The third section requests breakdowns by ethnicity and gender for all persons on the match list.
3. Obtain the signature of the department chairman or an authorized designee.
HOUSESTAFF FORM II: RANK ORDER REPORT
This form should indicate the sex and ethnicity, using codes on Form I, of all ranked applicants. Applicants should be indicated by rank order number only (not names).
HOUSESTAFF FORM III: MATCH LIST REPORT
List in alphabetical order all individuals on the match list indicating the sex and ethnicity of each.
In addition to women, the following have special status under federal equal opportunity and affirmative action legislation:
Minority: Any person having racial or ethnic origins defined by one of the following five categories:
CODE
A - Black (not of Hispanic origin): A person having origins in any of the black racial groups of Africa.
B - Asian or Pacific Islander: A person having origins in any of the peoples of the Far East, Southeast Asia, or the Pacific Islands (e.g., China, Japan, Korea, the Philippine Islands, and Samoa).
C - American Indian or Alaskan Native: A person having origins in any of the original peoples of North America who maintains cultural identification through tribal affiliation or community recognition.
D - Hispanic: A person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.
J - Asian Indian: A person having origins in any of the peoples of the Indian Subcontinent (Bangladesh, Bhutan, India, Nepal, Pakistan, and Sri Lanka).
Person with a Disability: A person who (1) has a physical or mental impairment which substantially limits one or more of such person's major life activities, (2) has a record of such impairment, or (3) is regarded as having such an impairment.
Vietnam Era Veteran: A person who (1) served on active duty for a period of more than 180 days, any part of which occurred during the Vietnam Era (August 5, 1964 through May 7, 1975), and was discharged or released therefrom with other than a dishonorable discharge, or (2) was discharged or released from active duty for a service-connected disability if any part of such duty was performed during the Vietnam Era.
Special Disabled Veteran: (1) A veteran who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Veterans Administration for a disability (a) rated at 30 percent or more, or (b) rated at 10 or 20 percent in the case of a veteran who has been determined under Section 1506 of Title 38, U.S.C. to have a serious employment handicap, or (2) a person who was discharged or released from active duty because of a service-connected disability.
All advertisements should:
When submitting forms for clearance, include clearly readable, dated copy of ad and indicate name of publication. Copy from advertising agencies is not acceptable.