GUIDANCE ON THE APPOINTMENT OF ACADEMIC STAFF
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1.
INTRODUCTION
This guidance is for those who support and serve on selection committees for associate
professors
a) The Joint appointments procedure lays down the rules for membership of selection
committees and the responsibilities and duties of selection committees. A template invitation
letter to prospective panel members, designed to clarify their role and responsibilities, is
provided.
b) All those involved with the recruitment process should follow the Code of Practice on
recruitment and selection and should be aware of the University’s guidance on equality.
c) Selection committees should be chaired by someone who has completed the recruitment
training within the last four years. It is generally helpful if the head of department (or their
nominee) and the senior college representative meet to agree the details of the selection
process in advance.
d) Selection committee members should declare as soon as it becomes relevant whether
any applicants are known to them and/or any potential conflicts of interest.
e) It should be made clear to all those involved or associated with the selection process that
the recommendation as to whom to appoint will be made by the selection committee alone
and on the basis of the evidence they have gathered against the published selection criteria.
f) Under the Data Protection Act, candidates have a right to see their own personal data
including meeting notes (subject to third party rights in certain circumstances) on request,
and in the event of a challenge an employment tribunal can ask to see all the notes and
records taken during and after the interviews. Notes should therefore be limited to a factual
record of what the candidate says and/or an evaluation of their performance against the
selection criteria. Notes should be kept in accordance with the principles of data protection
for at least six months (although if the appointee is sponsored on a Tier 2 visa, papers
should be retained according to UKBA requirements).
g) HR Business Partners within Personnel Services and the staff of the Equality and
Diversity Unit can provide advice in specific cases.
2.
PREPARING THE FURTHER PARTICULARS
a) General
Template further particulars for associate professorships are provided, and further guidance
on preparing further particulars (job descriptions) is also available.
The college and the department/faculty should discuss openly the remit of the post and
agree the list of duties and the selection criteria before the further particulars are finalised.
Failure to do so can result in disagreement later in the recruitment process and in extreme
cases inability to make an appointment. One potential issue is the precise field of the
appointment; colleges usually need to appoint an associate professor who can teach across
the core undergraduate syllabus, whereas departments/faculties may wish to make a
strategic appointment in a developing field which does not yet feature on the undergraduate
syllabus. In such cases the list of duties and the selection criteria should make it clear that
candidates should be active in research in the specific field but able to teach across a
broader range.
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It will be helpful for the college and department/faculty to discuss at this early stage of the
process the selection procedures to be used. If more than one associate professorship in the
same department/faculty is to be advertised at the same time consideration may be given to
recruiting via a single combined selection committee.
b) Selection criteria
These should relate to the list of duties and should include all the attributes needed to fulfil
the requirements of the post on both university and college sides. They should cover
research and teaching, as well as administrative and pastoral duties if these are required. It
may be helpful to differentiate between “essential” and “desirable” criteria. It is highly
advisable to specify the research field in the criteria even if this is clear from the post title so
that applicants are left in no doubt as to what is required.
Examples of possible selection criteria are provided; it is stressed that these are examples
only: selection criteria will be different for each post and should be based on the duties of the
post.
Selection criteria should be formulated in a way that does not, however unintentionally,
harbour the potential for unlawful direct or indirect discrimination or personal prejudice. The
provisions of the Equality Act must be borne in mind as should the University’s guidance on
avoiding inadvertent discrimination.
c) Background information about the division, department/faculty and college
These sections should be tailored in order to promote the post in question, by providing
information which is relevant, interesting, and likely to be attractive to potential applicants.
Care should be taken that the impact of this section is not reduced by unnecessary length.
Much of the basic information which potential applicants will want is well-presented on
college and department/faculty websites e.g. research interests of current staff; this can be
referred to briefly in the further particulars, and readers directed to the appropriate web page
for full details. Features to highlight in the further particulars could include particularly
exciting research initiatives or projects in the field, facilities and/or library holdings likely to be
of particular interest to applicants, information about the way the subject is organised in
college, and specific benefits to the postholder (college allowances and meals,
departmental/faculty research allowances etc). Some applicants might not appreciate the
benefits (and responsibilities) that result from membership of a college, so it is advisable to
ensure that this is made explicit as a means of ensuring that applicants understand fully the
nature of joint appointments and of making the post appear as attractive as possible.
Candidates from other institutions or overseas might not understand terminology taken for
granted by those who are familiar with the University. Terms such as ‘FHS’ or ‘Senior Tutor’
should be avoided or explained. Even terms in common use in the UK, e.g. ‘pastoral care’,
might not be understood by potential candidates from overseas. Where it is not feasible to
use alternative language or provide an explanation, a link can be provided to the glossary on
the university web site at:
http://www.ox.ac.uk/about_the_university/introducing_oxford/oxford_glossary/index.html.
d) Flexible working
It may be helpful to review in advance whether the post could be performed on a part-time or
job-share basis, and whether or not this information might be included in the advertisement
and further particulars. If an applicant states a wish to work part-time or as part of a jobshare, serious consideration should be given to the request, including the practicalities of
offering a college fellowship on such a basis. Refusals should be objectively justifiable and
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based on operational requirements. Advice should be sought from HR Business Partners in
such circumstances.
3.
Advertising
A template advert is provided.
The wording should avoid the use of gender-specific language or of any expressions that
might discourage particular groups from applying. All advertisements carry a statement
reflecting the University’s commitment to equality of opportunity.
The University’s policy is to reduce advertisement costs by using on-line advertising only,
wherever possible. Experience shows that strong candidates generally come from internet
advertisements, rather than from expensive print advertisements. If a print advertisement is
really necessary, it is strongly recommended that this is in the form of a brief “signpost”
which directs the reader to the relevant web page.
Selection committees should consider how to encourage applications from as wide a pool of
potential candidates as possible, bearing equality and diversity considerations in mind. In
order to maximise the attractiveness of the advert to those from other institutions, it should
not be assumed that potential candidates will be familiar with the benefits associated with
college fellowships, or able to understand Oxford-specific terminology. This should be
avoided wherever possible.
Departments that hold a bronze or silver Athena SWAN award should use the appropriate
logo on their advertisements and further particulars. The University holds an institutional
bronze award, and departments in MPLS and Medical Sciences that do not hold a
departmental award should use the bronze logo and include the following wording in the
further particulars:
The University of Oxford is a member of the Athena SWAN Charter to promote women
in Science, Engineering, Technology and Medicine. The University holds an Athena
SWAN bronze award at institutional level. Contact equality@admin.ox.ac.uk for further
information about Athena SWAN at the University of Oxford.
The logos and guidance on their use may be obtained from the Equality and Diversity Unit.
It is crucial that good records of this stage of the process (such as a printed version of the
advert, from the day it appears) are kept in case it later becomes necessary to seek a visa.
Further guidance about advertising is available.
4.
SHORTLISTING AND REFERENCES
a)
Assessment against selection criteria
Each application should be assessed against the selection criteria and notes made of the
reasons for selection or rejection. If the panel is not being serviced by administrative staff,
the chair should take notes or nominate a member of the panel to do so. Selection
committees should explicitly take into account any career breaks or other factors, such as
part-time working or disability, which may affect the quantity of candidates’ publications.
A suggested pro-forma for recording shortlisting decisions is provided. When these are used
by panel members, they should be retained by the chair as part of the record of the meeting.
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Additional criteria should not be introduced and existing criteria should not be changed,
since candidates will not have had the chance to demonstrate the extent to which they meet
criteria that are not known to them.
b)
References and additional information
A template reference request letter is provided.
It is usual when recruiting academic staff to seek references at an early stage in the
recruitment process (unlike other sectors when typically references are only sought for the
candidate to whom a job offer is being made). References may be requested from or taken
up for all candidates or for a longlist of candidates in order to inform the drawing up of a
shortlist for interview; longlisted candidates may also be asked to provide copies of
publications or of (as yet) unpublished work prior to the final shortlisting.
Requests from candidates not to approach referees without their express permission or until
a specified stage in the recruitment process should be respected, although candidates will
sometimes release blocked references if informed that the selection committee has
specifically asked to see them.
The Data Protection Act 1998 may require those in receipt of references i.e. selection
committees to disclose their contents in certain circumstances on request by the individual to
whom they refer. All requests from candidates to see their references should be referred
straight away to the University’s Data Protection section, who will advise selection
committees on how to proceed. As there is a statutory time limit within which such requests
must be dealt with, all requests should be referred immediately.
If candidates cite members of the selection committee as referees, written references should
be supplied as in other cases. Candidates who cite members of the selection committee as
referees need not supply the names of additional referees. If, however, a candidate is
shortlisted for whom only internal references are available, the candidate should be asked to
supply the name of an external referee in addition.
Further guidance on requesting references is available.
c)
Communication with candidates
As soon as it is clear that a candidate does not meet the selection criteria or meets them
insufficiently to justify being considered further, the candidate should be notified that his or
her application has been unsuccessful. If there is a possibility that some candidates might be
invited for interview at a later stage (for example, if higher-scoring candidates at the
shortlisting stage perform badly at interview), the committee might wish to hold those
candidates in reserve. In such circumstances, a “holding” letter should be sent; candidates
should not be kept in complete ignorance of the progress of their applications.
5.
INTERVIEWING, SELECTION EXERCISES AND INFORMAL ACTIVITIES
a)
Interview invitations
The written invitation to candidates should make clear the following:

to whom / where / at what time they are to report on arrival;

the format of the day (e.g. tour, exercises, interview(s)), and whether each of these is
part of the selection process;
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
the estimated length of time they will be expected to stay;

the names and titles of those who will be interviewing.
All candidates should be asked if they require any reasonable adjustments in relation to the
interview. If any do have particular requirements, the guidance on interviewing disabled
candidates should be followed.
b)
Selection exercises
It is university policy that all candidates for interview should be asked to give a presentation
or undertake some other form of selection exercise related to the duties of the post.
Example selection exercises for academic posts are available, as is further general guidance
on selection tests.
Candidates should be given prior warning of any form of selection exercise, either in the
further particulars or in the written invitation to interview and should be asked whether they
need any reasonable adjustments because of disability.
Either employer may decide to undertake a separate exercise designed to assess
candidates against one or more specific selection criteria which are of particular relevance to
that employer. Candidates should be informed that the exercise is a formal part of the
selection process, and all members of the selection committee are entitled to be present and
to participate in the activity. All relevant information from any such separate process should
be reported to members of the selection committee who were not present. Individuals who
participate in the activity but who are not members of the selection committee (e.g. a
departmental audience for a research seminar) should be asked for feedback, preferably in
writing, against specified selection criteria only, and should be informed that their responses
might be disclosed to the candidates on request. A sample student feedback sheet is
available.
c) Informal activities
It can be very helpful to offer shortlisted candidates the opportunity to meet potential
colleagues, see the department, faculty or college, and become familiar with the
environment of the post - all outside the formal selection process. Some colleges may wish
to invite candidates to dine in. A positive experience of the potential employer can be a
significant factor in a candidate’s decision about whether to accept a post, and the physical
and intellectual environment at Oxford constitutes a strong ‘selling point’. However, it is
important to give candidates an indication of what the activities will involve and offer
reasonable adjustments if needed. It should be made clear to candidates and to all those
involved with the activities that they are optional, that they do not form part of the selection
process, and that feedback will not be collected.
Some candidates will want to keep their candidature confidential; if it is envisaged that
candidates will meet each other during informal activities, this should be made clear when
the invitations are issued so that candidates can make an informed decision about whether
or not to participate.
d) Structuring the interview
It is advisable for the selection committee to meet before the start of the first interview to
agree the question strategy. If the interview begins with the candidate giving a presentation,
it is logical to start with questions arising from the presentation. Questions should be based
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around the selection criteria, and although the precise direction the questioning will take will
vary from candidate to candidate, all criteria should be covered with each candidate.
It is very important that the selection criteria remain the same for all candidates and are not
allowed to change as the interviews proceed (where, for example, it becomes apparent that
none of the candidates meets the essential criteria, or if a candidate meets one criterion very
well but fails to meet others).
Time should be allowed at the end of the interview for candidates to ask any questions they
may have about the post, and to ensure explicitly that candidates (and all members of the
selection committee) are satisfied that all relevant aspects of their applications have been
covered against the background of the selection criteria and the requirements of the post.
Further guidance on the format of interviews and question strategy is available.
e)
Recording information
A sample interview record sheet is available. Notes should be made as at the shortlisting
stage.
6.
MAKING THE FINAL DECISION
Consideration of candidates should take place on the basis of appropriate sources of
evidence: the CV and covering letter, references, selection exercises and the interview, and
against the selection criteria.
Where there are several candidates for a post, selection committees will wish also to discuss
their relative merits, particularly research achievements and interests and teaching
experience and ability insofar as these relate to the selection criteria. Once the committee
has decided that a candidate is suitable for appointment, this finer discussion will be
important. It should be remembered that even the best candidate may not meet all the
desirable criteria.
It is rare for there to be only one candidate who is interviewed for a post, and even rarer for
there only to be one applicant. However, should this situation arise, it is still important for the
selection criteria to be applied. This will assist the selection committee in deciding whether
the sole candidate is appointable.
The discussion between members of the selection committee should be recorded, in
summary, as should the decisions taken. Full guidance on the requirements in relation to
reports to divisional boards and governing bodies (sometimes called ‘Selection Committee
Reports’) is given in paragraph 21 of the joint appointments procedure. Requirements differ
between divisions and specific advice can be given by the relevant divisional office.
Notes taken by individual committee members should also be retained, and should therefore
be collected by the chair.
7.
INFORMING CANDIDATES
Following the interviews, the committee’s recommendation as to the successful candidate is
considered separately by the divisional board on the university side and the governing body
on the college side. It is these bodies that make the final decision as to whom to appoint. An
appointment should not therefore be offered to a candidate until both bodies have given
approval. Since this can sometimes be a lengthy process, it may be important to make
contact with candidates pending a final decision. An oral communication that is interpreted
as an offer of employment could be regarded as a contractual commitment on behalf of the
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University. Any interim communication should make clear therefore that although the
selection committee has agreed a recommendation, a final decision has not yet been made.
In most cases, references will have been sought at an earlier stage. Where for whatever
reason this is not the case, it should now be done. Other pre-employment checks will be
carried out once the appointment has been approved.
Should the committee conclude that any particular requirements need to be included in the
letter of appointment, this should be made clear in the chair’s report to the divisional board
and/or the college governing body as appropriate.
When an applicant requires a work visa, the Staff Immigration Team within Personnel
Services can provide guidance. In these circumstances, the appointment should be offered
subject to the work visa being granted.
8.
REQUESTS FOR FEEDBACK
The chair of the selection committee should seek advice from the relevant HR Business
Partner before responding to requests for feedback from disappointed candidates. Feedback
to all candidates who request it should be given by the same member of the selection
committee, usually the chair, and should be objective and related to the selection criteria.
Providing the information in writing ensures that there is a record of the feedback given.
While most candidates who ask for feedback do so for purposes of their own future
development, selection committees should be aware that candidates who are considering
bringing a tribunal case on grounds of discrimination almost always ask for feedback as a
first step.
9.
EMPLOYMENT TRIBUNAL REQUIREMENTS
Defending complaints before an employment tribunal can entail considerable expense in
both time and money. There is no upper limit on the amount of compensation that an
employment tribunal can award in cases of discrimination.
Should the University be required to defend a claim made to an employment tribunal, it will
be the chair and the members of the selection committee who, with the support of Personnel
Services, will be most involved in providing evidence of the selection process and the
resulting decisions. All those involved in recruitment and selection should be aware of the
relevant guidance on assessment against selection criteria and making and retaining notes.
A tribunal can require an employer to produce any documents in its possession by means of
a ‘disclosure’ order. It is therefore particularly important that any such documents do not
contain material that could potentially be used to bear out a claim of unfair discrimination.
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