Administrative Processes

APT

Step Activity Owner System Form
1 Determine who will received a letter of non-renewal by December 1 CAO    
2 Create letter of non-renewal and send to CAO APT coordinator   Add SOM template
3 Review and make final changes CAO    
4 Obtain chair's signature on letter of non-renewal APT coordinator??    
5 Send final letter of non-renewal to division director for signatures and discussion with faculty CAO??    
6 Discuss with faculty Division director    
7 Follow up for signed letter of non-renewal Division administrator    
8 Sign letter of non-renewal and return to division directors and chair by December 31 Faculty    
9 Send final letters of non-renewal for faculty who will not be renewed for the upcoming fiscal year to APT coordinator CAO    
10 Enter "Batch Reappointment", select Not Reappointed, enter No next to faculty not reappointed no later than January 14 APT coordinator dFac  
11 Send letters of non-renewal to SOM APT APT coordinator    
12 Add letter of non-renewal to chair's faculty folder APT coordinator Shared drive  
13 IF LETTER OF NON-RENEWAL RESCINDED      
14 Send list of letter(s) of non-renewal to be rescinded CAO    
15 Create letter rescinding the letter of non-renewal APT coordinator    
16 Send rescinded letter of non-renewal to and coordinate with SOM APT to update the "Batch Reappointment"entries APT coordinator Email  
17 Add rescinded letter of non-renewal to chair's faculty folder APT coordinator Shared drive  
18 Enter Termination iForm for terminated faculty no later than May 1 HR coordinator iForm  

 

Step Activity Owner System Form
1 Review draft offer letter from finance director to ensure proper template is used and add to APT dashboard APT coordinator Email Offer letter
2 Create Lead Candidate page APT coordinator DMR  
3 Upload Lead Candidate documents (draft offer letter, pro forma amounts, data collection worksheet, EEO form - may need to revise - and CV) received from finance director and division administrator in the Required Documents section APT coordinator DMR  
4 Complete Effort, Funding, and Offer Contract Details sections and Submit APT coordinator DMR  
5 Received offer letter and DHIP employment agreement links from Michele Taylor APT coordinator Email  
6 Send links to candidate and copy (chair, division directors, CAO, finance, director, division administrator, credentialing liaison, and Michelle Taylor) APT coordinator Email  
7 Sign both documents Candidate    
8 Send fully executed agreements to finance director and APT coordinator Michelle Taylor    
9 Send fully executed agreements to candidate for their records. APT coordinator    
10 Ensure fully executed documents are uploaded in DMR Optional Documents section APT coordinator DMR  
11 Change status to Offer Signed and Filled, if needed. APT coordinator DMR  
12 Send email to onboarding team indicating that the onboarding record is now open APT coordinator Email  
13 Send email with fully executed offer letter and employment agreement to division administrator, HCA, Teresa Fisher, project coordinator, and DHIP coordinator. APT coordinator Email  
14 Prepare chair to dean letter APT coordinator   Chair to dean Letter
15 Send candidate preliminary HR documents including SOM CV template (MDs only) APT coordinator    
16 Send candidate preliminary HR documents including SOM CV template and request for degree confirmation (PhDs only) APT coordinator    
17 Request position number from Psychiatry HR (not applicable they already have a faculty appointment) APT coordinator    
18 Return HR documents and CV Candidate    
19 Create draft dFac Appointment form and receive auto-generated email from OIT with DUID, net id and other infornation APT coordinator    
20 Send OIT email to candidate APT coordinator    
21 Send OIT email to CAO, credentialing liasion, division administrator, HCA, program coordinator, and DHIP coordinator. APT coordinator    
22 Enter DUID and netid on landing page, and mark task complete on onboarding checklist APT coordinator DMR  
23 When degree verification is received (MDs from credentialing liaison or PhD from candidate), prepare final appointment letter for chair's signature APT coordinator   Final appointment letter
24 Send copy of signed appointment letter to credentialing liaison for MDs only APT coordinator    
25 Submit final dFac form APT coordinator    
26 Send FAPT packet to Psych HR with copy to finance director, CAO,and division administrator and upload to chair's faculty folder APT coordinator    
27 Upload FAPT packet to SOM APT Box folder APT coordinator    
28 Send Seneca McLean an email with subject line Candidate's Name: Proposed Action and Effective Date APT coordinator   Email example
29 Track for SOM approval APT coordinator    
30 Process iform Psych HR    
31 Notification of BOT approval SOM APT    
32 Send congratulatory email to new faculty member APT coordinator   Email example
33 Update APT dashboard APT coordinator    

 

Step Activity Owner System Form
1 Send the request (CV and brief description of need for appointment) for a new non-regular rank appointment to APT coordinator VCE and/or (CRH/VA); DDs (others)   Attach template
2 Add to the next APT agenda meeting APT coordinator    
3 If not approved, advise VCE or DD. If approved, create offer letter, obtain DD approval, and send to candidate APT coordinator    
4 Follow for and receive signed offer letter (send to DD, DA, Psychiatry HR, and onboarding team and credentialing liaison if clinical privileges needed APT coordinator    
5 Send and follow for new hire documents to candidate APT coordinator Email Attach template
6 Request position number from Psychiatry HR APT coordinator    
7 Complete New Appointment form (dFac sends an automated email with DUID, netid and email address) and follow up for approvals APT coordinator dFac  
8 Send DUID, netid and email address information to DA, Psychiatry HR, CVO liaison, and HCA APT coordinator Email  
9 Create (off letter, CV, and chair to dean letter) and send FAPT package to Psychiatry HR and cc: SOM APT (Tara Williams); and create and upload FAPT to Chair Faculty folder APT coordinator   Attach chair to dean letter template
10 Send secure email to Psychiatry HR with new hire documents (passport copy, flu vaccine, etc.) APT coordinator Email  
11 Complete iForm (get form name) Psychiatry HR iForm  
12 Receive SOM approval and update status dashboard(s) APT coordinator    

 

Step Activity Owner System Form
1 Request for consideration of change to tenure track including updated faculty Duke SOM CV sent to vice chair faculty Division director Email  
2 Review request for consideration of change to tenure track and present to chair as appropriate at monthly APT meeting Vice chair faculty    
3 Provide decision, e.g., approve, deny, require more information Chair    
4 If change in effort or salary, obtain approval and signed offer letter Finance director DMR Add offer template
5 Obtain dean's approval, if applicable Chair    
6 Create and obtain signed chair to dean letter of support APT coordinator   Add template
7 Create and obtain signed letter of concurrence from faculty APT coordinator    
8 Submit Promotion/Change of Status form in dFac, and upload chair to dean letter APT coordinator dFac  
9 Submit email to Seneca with faculty name, action request and effective date in the subject line, upload the FAPT package (.pdf files of chair to dean letter, faculty letter of concurrence and Duke SOM CV) to SOM APT Box folder, and email chair to dean letter to department human resources coordinator, CAO, finance director and APT director. APT coordinator Email and Box  
10 Receive official BOT notification from SOM APT and send congratulatory email from chair, and copy chair, VCF, CAO, DDs, DA, finance director, and APT manager. APT coordinator Email  
11 Update APT dashboard APT coordinator Excel File Link to APT Dashboard

 

Step Activity Owner System Form
1 Request for consideration of change to tenure track including updated faculty Duke SOM CV sent to vice chair faculty Division director Email  
2 Review request for consideration of change to tenure track and present to chair as appropriate at monthly APT meeting Vice chair faculty    
3 Provide decision, e.g., approve, deny, require more information Chair    
4 Obtain dean's approval, if applicable Chair    
5 Request full dossier APT coordinator   Add template
6 Prepare and return the full dossier Faculty    
7 Request letters of evaluation APT coordinator    
8 Prepare APT packet for DAPT committee vote APT coordinator    
9 Vote on APT dossier, e.g., approve, deny, require more information DAPT committee    
10 Prepare summary letter Division director or VCF    
11 Finalize summary letter VCF   Add template
12 Prepare chair to dean letter APT coordinator   Add template
13 Submit dFac Promotion/Change of Status form and upload chair to dean letter APT coordinator dFac  
15 Submit email to Seneca with faculty name, action request and effective date in the subject line; upload the FAPT package (.pdf files of chair to dean letter, all dossier documents) to SOM APT Box folder, and send email of chair to dean letter to department human resources coordinator, CAO, finance director and APT director. APT coordinator Email and Box  
16 Receive official BOT notification from SOM APT and send congratulatory email from chair, and copy chair, VCF, CAO, DDs, DA, finance director, and APT manager. APT coordinator Email  
17 Update APT dashboard APT coordinator Excel File Link to APT Dashboard

Step Activity Owner System Form
1 Send request for non-regular rank appointment to DD Faculty    
2 Send the request and CV for non-regular appointment APT coordinator DD    
3 Add to the next monthly chair APT meeting agenda APT coordinator    
4 If not approved, advise DD. If approved, create offer letter, obtain DD approval, and send to candidate APT coordinator    
5 Follow up for and receive offer letter (send to DD, DA, and Psychiatry HR, and credentialing liaison if have clinical privileges APT coordinator    
6 If DHIP member, complete Offboarding Smartsheet Faculty or HCA    
7 Complete Promotion/Change of Status form APT coordinator dFac  
8 Create and send FAPT package (offer letter, CV and chair to dean letter) or Psychiatry HR and SOM APT (Seneca McLean and Tara Williams). Upload to chair faculty folder APT coordinator Email  
9 Complete iForm (get form name) Psychiatry HR iForm  
10 Request/receive SOM approval and update status dashboards APT coordinator    

Step Activity Owner System Form
1 Submit letter of resignation with request for consideration of emeritus status to division Faculty    
2 Request consideration for emeritus status to APT team Division director Email  
3 Add to the APT meeting agenda APT coordinator    
4 Review/receive approval from chair APT team    
5 If yes, request required documentation from division administrator APT coordinator APT system  
6 Obtain necessary documents and send to APT coordinator Division administrator APT system  
7 Prepare chair to dean letter APT coordinator   Add template
8 Enter Change of Status and upload chair to dean letter APT coordinator dFac  
9 Create and upload FAPT package to SOM APT Box APT coordinator Box  
10 Send chair to dean letter to HR APT coordinator   Add template
11 Upload FAPT package chair's faculty folder APT coordinator Shared folder  
12 Send email to Seneca with last name, first name - proposed appointment-effective date APT coordinator Email  
13 Obtain letter of resignation and initiate off-boarding process (see off-boarding process) Division administrator DMR (if DHIP)  
14 Process the iForm HR coordinator iForm  

 

Step Activity Owner System Form
1 Obtain letter of resignation from faculty member Division administrator    
2 Send to letter of resignation to chair, CAO, finance director, and APT team Division administrator    
3 If DHIP member, complete the Offboarding Smartsheet Faculty or HCA    
4 If faculty has clinical privileges, inform the Credentialing Liaison APT coordinator    
5 Prepare chair to dean letter and send for chair signature APT coordinator   Add template
6 Prepare FAPT package and send to CAO, finance director, APT manager and upload FAPT package to SOM APT Box folder; upload to chair's faculty folder; update status dashboard(s) APT coordinator    
7 Send email to Seneca McLean (SOM APT) with Subject Line: Last Name, First Name - Action (resignation), Effective Date APT coordinator    
8 Process termination HR coordinator iforms  

Step Activity Owner System Form
1 Obtain letter of resignation from non-regular faculty member Division administrator    
2 Send to letter of resignation to chair, CAO, finance director, and APT team Division administrator    
3 If faculty has clinical privileges, inform the Credentialing Liaison APT coordinator    
4 Prepare chair to dean letter and send for chair signature APT coordinator   Add template
5 Prepare FAPT package and send to CAO, finance director, APT manager and copy Tara Williams. APT coordinator    
6 Process termination HR coordinator iforms  

 

Step Activity Owner System Form
         
1 Submit request to ??? to change faculty to another department CAO    
2 Obtain signed chair of new department to dean letter, co-signed by previous chair or previous chair can provide separate letter Psychiatry APT coordinator   Add template
3 Obtain Duke SOM CV Psychiatry APT coordinator   Duke SOM CV template
4 Submit packet (chair to dean letters and CV) in .pdf format to SOM APT Office via Box folder New department Box  
5 Process transfer New department iForm  
6

End previous appointment by selecting the "Update Existing Appointment" reason and effective date (before day effective date of new appointment.

 Psychiatry APT coordinator dFac  
7 After the approval through payroll of the above, enter the new appointment by selecting the "New Appointment Reason" and effective date. Psychiatry APT coordinator dFac  
8 Initiate request for transfer to new department New department CAO dFac  
9 Approve request for transfer to new department Current department CAO dFac  
10 Complete iForm transfer New department iForms  
11

Select the New Appointment reason to start the appointment with the new organization (note the New Faculty Member form should not be completed).

 New department dFac  

 

Step Activity Owner System Form
1 Submit request to change division to APT coordinator CAO    
2 End appointment in current division using the Update Existing Appointment form using one day before the requested effective date for the transfer to the new division, e.g., 6/30/XX as the end division effective date APT Coordinator dFac  
3 Approve CAO dFac  
4 Track approval process through payroll processing APT coordinator    
5 Complete transfer and advise APT coordinator HR coordinator iForm  
6 Enter new division and effective date in New Appointment form, e.g., 7/1/XX APT coordinator dFac  
7 Approve CAO dFac  
8 Track approval process through payroll processing APT coordinator dFac  

 

Human Resources

Position Request

Step

 Activity Owner System Form
1 PI determines need for new or replacement staff position PI    
2 PI informs division administrator (DA) PI    
3 DA sends appropriate staff Job Description template and New Hire form to PI/team to complete DA & PI/team Box Staff Job Description template and New Hire form
4 PI completes and submits Job Description and New Hire form, and sends to DA PI/team    
5 DA involves HR director as needed for the job description & adds new position to the Staff Recruitment Workplan document DA & HRD Box  
6

DA reviews New Hire form to ensure all fields are completed and submits to Finance or Grants/Contracts team for signature of approved funding for position

 DA, Finance & Grants   New Hire form
7 Adds to Staff Recruitment Workplan  DA Box Staff Recruitment Work Plan
8 Creates folder for the position in Staff Recruitment BOX Folder DA Box Staff Recruitment folder
9

All relevant documents should be housed in this folder until the candidate is fully onboarded. The PI can be added to that folder only in BOX so they can have access to CV, salary regression model, New Hire Form, and other relevant documents.

 DA Box Staff Recruitment Work Plan Tracking
10 DA routes and obtains approvals for the New Hire Form DA, Finance, HRD, CAO   New Hire form
11 Once approved, DA sends the approved New Staff Hiring Form and Job Description to the HR director DA, HR   New Hire form
12 HR director completes a quick final review and submits an iForm to create the new position HRD iForm Create New Position form
13 HR director will send an email to R&R (Nicole Stroud) in Dean's Office HR noting the position number, providing a quick summary of the new position and attaching an organization chart for the team this position will be on. HRD, R&R & Dean's Office   PI team organization chart and Job Description
14 iForm routes to CAO, R&R, & Dean's Office for approvals CAO, R&R,    
15 Upon iForm Approval & assignment of Position Number, HR Director will create a requisition to post the position in iForms. The HR Director is listed as the HR manager and the division administrator is listed as the HR lead.  Karen Morris (HR Hub) should be listed as the onboarding coordinator. HRD iForm Create Job Requisition for New Position

Recruitment

 Step

 Activity Owner System Form
1

Upon approval of Job Requisition, the position job requisition is routed to the Success Factors Team which can take up to 48 hours. Once approved and Success Factors has the information, it can be seen in the Pending Job Requisition queue in Success Factors

 Routing Success Factors Job requisition
2

The HR recruiter in Success Factors team will email you once they see it in their queue. It is possible you will see it first. Once it is recognized, the DA will send the final job description to the recruiter and the new title name for the position

 HR Recruiter, HRD, DA Success Factors Utilization of naming convention and Job Description
3

The Position is live. HR director and DA to review all components to ensure accuracy. 

HRD, DA Success Factors  
4

DA to add any relevant members of the PI Team to the Hiring Manager Team in Success Factors so that they may receive resumes and view candidates.

 DA Success Factors Success Factors Job Requisition
5

Ongoing recruitment: Resumes are sent directly to hiring team via email.

 PI/Team    
6 PI/Team reviews/selects candidates to interview, completes interview process, and decided who to hire. PI/Team    
7

Does a candidate have a visa or need a visa? - ADD STEPS

      

 

Offer

Step Activity Owner System Form
1 PI/Team emails DA to inform of their decision of a selected candidate PI/DA    
2

DA creates salary regression with the candidate's CV and submits to the HR director for review and approval to send to the Dean's Office

 DA   Salary Regression template
3

DA to move the candidate in Success Factors to Offer Requested

 DA Success Factors  
4

HR Director sends the salary regression to the Dean's Office HR Compensation Team for review and approval. This process can take up to 72 hours to complete.

 HRD, DOCT   Salary Regression template and CV
5

Dean's Office Compensation Team reviews and approves offer request. HR director answers any questions and provides additional equity data as requested. 

HRD, DOCT   Email from Dean's Office Compensation Team
6

HR director will create the offer letter using the appropriate offer letter template

   Box Offer Letter template
7

HR director to send Offer Letter to DA

HRD, DA    
8

DA will partner with the PI to send out the offer letter in a .pdf to the candidate. It is okay for the PI to send the offer letter.

 DA, PI   Final Offer Letter
9

Option 1: The candidate signs the letter and the hiring process can begin

 Candidate   Final Signed Offer Letter
10

Option 2: The candidate sends back a counter offer or requests more money. Follow these steps

1. DA to review the counter offer with the HR Director/PI for reasonableness.

2. If agreed upon that the request is reasonable, the HR director will send a request to the Dean's Office Compensation Team for review and approval. It is preferred that the candidate create a formal counter offer with the details of their request.

 DA, PI, HRD   Salary Regression model, Offer Letter, and review of all staff with similar title in the department for equity review
11

The Dean's Office Compensation Team will engage in a conversation with the HR director on the counter offer. An approval or denial will be issued and communicated to the HR director. The HR director will communicate the final decision to the DA/PI.

 HRD, DOCT    

Onboarding

Step Activity Owner System Form
1

The DA will kick off onboarding in Success Factors, and move the candidate through to onboarding and disqualify other candidates.

 DA Success Factors  
2

Upon the DA moving the candidate in Success Factors to background Check, the HR HUB assigned to Psychiatry will assume control for onboarding with the candidate in the system.

 HR Hub Success Factors HR Hub Onboarding Checklist
3 DA confirms start date for the PI team and remains in communication as candidate moves through the onboarding process DA