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PPS 7.01

OFFICIAL

Policy and Procedure Statement 7.01 Dean and Chair Hiring
Revised: 3/12 (67 paragraphs)
Review Cycle: May 1, ONY  
Review Date: 5/1/2015  
Reviewer: Provost  

 Pen and Ink Change 5/17/11, Attachment E


    GENERAL INFORMATION

  1. Texas State University-San Marcos is committed to hiring well-qualified faculty members who will serve as college deans or department chairs/school directors for every vacant position and will take the necessary steps to ensure that applicant pools are diverse.
  2. This Policy and Procedure Statement (PPS) outlines the process that is followed to secure, with the resources available, the services of the best qualified persons for college dean and department chair/school directors vacancies and to support an effective faculty governance system.
  3. Deans and chairs/directors are administrative officers of the University and selection is ultimately the responsibility of the President. The Provost and Vice President for Academic Affairs share this responsibility. Because the quality of one academic program inevitably impacts the quality of others, the general faculty and especially faculty in affected colleges, departments, and schools also have a legitimate interest in the selection of deans and chairs.
  4. Although the appointment of a department chair is the prerogative of the President, as a part of Texas State's policy to encourage the professional development of faculty members, the University selects chairs from the current Texas State faculty whenever practical.
    1. When a college dean knows of a pending vacancy for a department chair, the dean and the Provost will discuss the current profile of the department to determine whether circumstances warrant a national search. Factors that should be considered in this discussion include, but are not limited to: (1) the need for additional faculty in the department, (2) the likelihood of identifying one or more strong internal candidates in the department, and (3) the impact that limiting the search to internal candidates will have on opportunities for attracting persons with diverse experiences and/or backgrounds into department chair positions. Following this discussion, the dean and the Provost may decide to initiate a search at a national level that is open to both internal and external candidates. If a national search is initiated, it will be conducted without prejudice for inside or outside candidates. Upon consultation with the department/school chair and personnel committee a Position Vacancy Announcement is prepared by the college dean.
    2. If the decision is made to review internal candidates before conducting a national search, the dean will initiate a process to determine whether one or more acceptable internal candidate(s) exist(s) among the current faculty. The dean will notify members of the department of the pending vacancy and will invite individuals to apply for the chair's position or to nominate internal candidates for the position by a specified deadline. The dean will then consult with any individuals who have been nominated to confirm their willingness to be considered.
    3. The dean will prepare an explanatory memorandum and a ballot listing faculty members who have applied or agreed to be considered. This memorandum and ballot will be distributed to all tenured and tenure-track faculty members in the department along with a request to rate each candidate as either a "strong", an "acceptable" or an "unacceptable" candidate for department chair. The ballots should include a date by which they are to be returned to the college dean.
    4. The college dean will tabulate the ballots received. Any faculty member who is rated "strong" or "acceptable" by at least two-thirds of those voting will be considered to be acceptable to the department.
    5. The college dean and the Provost will review the list of candidates deemed acceptable to the department. If one or more of those candidates is, in the preliminary judgment of the dean and the Provost, an outstanding candidate for the position, interviews with the tenured and tenure- track faculty, the college dean, the Provost, and the President may be scheduled to consider the candidate(s). Other interviews may be scheduled at the discretion of the dean.
    6. At any point in the process outlined above, the college dean and the Provost may decide to open the search at a national level to both internal and external candidates. If a national search is initiated, it will be conducted without prejudice for inside or outside candidates.
    7. While normal practice is described above, nothing in these paragraphs shall be construed to prevent the college dean, the Provost, and the President from appointing an interim department chair or a chair by other procedures if such an action is, in their professional judgment, in the best interest of the University.
  5. The appointment of a college dean is the prerogative of the President. Texas State's normal policy is to conduct a national search for a dean. However, if a current faculty member is, in the judgment of the Provost and the President, an acceptable candidate for the position, or if the financial situation dictates that an outside candidate cannot be sought, the Provost will seek the advice of the college council and others as may be appropriate. The Provost and the President will then determine whether a national search will be initiated or whether an internal candidate will be appointed. If a national search is conducted, there will be no prejudice for inside or outside candidates.
  6. The Dean and Chair Hiring Checklist () is a quick reference to materials and actions needed to hire new deans and chairs.
  7.  

    ACHIEVING DIVERSITY AND PROVIDING EQUAL EMPLOYMENT OPPORTUNITIES

  8. Texas State is committed to recruiting and retaining a diverse and distinguished body of administrators. We define ‘diversity’ broadly to include such factors as geographic backgrounds, ages, genders, educational backgrounds, employment experiences, language abilities, economic backgrounds, cultures, and special skills and talent. We also believe that race and ethnicity are socially significant characteristics and that there will be occasions when a person’s experiences will be affected by his or her race or ethnicity. The terms ‘race’ and ‘ethnicity’ are not limited and include persons from all races and ethnic backgrounds. We will consider race or ethnicity as merely one factor in our overall efforts to diversify our administration, to be applied in limited circumstances only when the experiences of race or ethnicity contribute significantly to a diversity of ideas. Guidelines for recruiting and hiring a diverse faculty are found in Guidelines for Recruiting.
  9. Texas State is also committed to assuring that all candidates for administrative positions are afforded an equal opportunity for consideration and to full compliance with Titles VI and VII of the Civil Rights Act of 1964 as amended, Civil Rights Act of 1991, Executive Order 11246 and its amendments, Equal Pay Act, Age Discrimination in Employment Act, Section 503 of the Vocational Rehabilitation Act of 1973, Vietnam Era Readjustment Act of 1974, Pregnancy Discrimination Act of 1978, Immigration Reform and Control Act of 1986, The Americans with Disabilities Act and The Texas State University System policies for maintaining and reporting of employees.
  10.  

    COSTS

  11. The Provost and dean will arrange a means to defray costs associated with correspondence, advertising, and interviews. Ordinarily these costs must be born by the department or college conducting the search. In the case of extreme financial hardship, supplementary funds may be requested for costs over and above those associated with a normal faculty search.
  12.  

    SELECTION OF THE SEARCH COMMITTEE

  13. The search committee will be recommended to the President by the Provost. Upon the President's approval, the search committee and its chair are officially appointed.
  14. In the case of a dean search, the search committee will usually include one faculty member from each department in the college. One or more, but not all, will be department chairs. In addition, the committee will normally include one or two outside deans and a chair of a department outside the school.
  15. In the case of a chair search, the majority of the search committee will be from the affected department when the size of the department permits. In addition, the committee will normally include at least one member of the faculty or a chair of an outside department and one outside college dean or associate dean.
  16. The composition of each search committee must be diverse. To ensure diversity on a search committee, the dean may go outside the department/school or college for committee members. Departments will explain how the recommended search committee membership ensures diversity in a memo to the Provost.
  17. Following official appointment of the search committee, the Faculty Records Office schedules the first meeting at a time when the Provost and the college dean (for a chair search) can meet with the committee. The Faculty Records Office will reserve a meeting place and notify the committee members of the time and place of the meeting.
  18.  

    INITIAL COMMITTEE RESPONSIBILITIES

  19. During the first two meetings, the following should be accomplished:
    1. The committee chair appoints or the committee elects an administrative assistant to assist in the preparation of materials and correspondence;
    2. The committee and the college dean (for a chair search) will discuss the manner in which the committee will interact with the college dean.
    3. Draft a tentative schedule which permits conclusion of the search by April 15 or earlier if appointment is to be made for the fall semester or by November 15 or earlier if appointment is to be made for the spring semester. Search committees should begin the process as early as possible to ensure a large pool of candidates.
    4. Develop selection criteria based upon the Position Authorization Request description that will be used to prepare the advertisement.
    5. The committee chair emphasizes that confidentiality must be maintained with respect to specific candidates; however, reports may be shared relative to the number of candidates, progress of the committee and general quality of the pool.
    6. Define what items are necessary for a complete applicant file. See Paragraphs 35 and 46 for guidance. Review Dean/Chair Hiring Checklist to assure its compliance with the definition of complete file.
  20.  

    RECRUITING AND ADVERTISING

  21. The committee chair is responsible for completing the necessary materials for recruiting and advertising.
  22. The Position Vacancy Announcement and Recruitment Plan is prepared. The criteria and the advertisement are subject to approval by the college dean, Chief Diversity Officer and Director of Equity and Access, and the Provost. Advertisements should not be placed without appropriate approvals.
  23. The Recruitment Plan should identity the placement of advertisements. All positions that may result in the hiring of a non- resident alien must be advertised in a national print medium (Chronicle of Higher Education). Advertising is placed in the following:
    1. Texas State Web page,
    2. One or more of the following to ensure that applicant pools are diverse:
      1. Chronicle of Higher Education;
      2. Diverse Issues in Higher Education;
      3. Hispanic Outlook;
      4. Austin and San Antonio newspapers (an alternative to iii above for emergency hires);
      5. Colleges and universities with primarily black,Hispanic, or female enrollment and with graduate programs in the discipline;
      6. Persons identified in the Committee on Institutional Cooperation (CIC) Directory available through their website, http://www.cic.uiuc.edu/;http://www.cic.uiuc.edu/programs/DirectoryOfMinorityCandidates http://www.cic.uiuc.edu/programs/DirectoryOfWomenInScienceAnd Engineering/; and
      7. Recruitment Links (pdf) (word) provides additional recruiting links to help foster diversity.
    3. Additionally, advertising should be conducted through one of the following:
      1. professional journals, newsletters or publications;
      2. university placement services;
      3. high school districts;
      4. direct mailing to appropriate graduate departments.
    4. Committee and department/school members should be encouraged to inform outstanding candidates of the availability of the position, i.e. through professional meetings and conferences.
  24. The college dean, the Chief Diversity Officer and Director of Equity and Access, and the Provost will review and approve the Position Vacancy Announcement and Recruitment Plan. Once approved, the Faculty Records Office will:
    1. assign a posting number;
    2. notify the committee chair and the dean (if chair search) of the posting number;
    3. distribute copies of the approved forms to the department chair/school director; and
    4. post to the University’s website.
  25. Following approval of the Position Vacancy Announcement and Recruitment Plan by the Provost, the chair submits advertisements to appropriate media. The ads should allow approximately 60 days between first publication, and closing or review date of the position. The Faculty Records Office will place an annual block advertisement for tenure-track positions each fall in the Chronicle of Higher Education, and Hispanic Outlook. Deadline for submission to Faculty Records is early September.
  26.  

    ESTABLISHING THE CANDIDATE FILE

  27. Upon receipt of a nomination or a letter of intent to apply, the chair begins a file on that individual. (See sample checklist in Checklist for Candidate Folder).
  28. The complete applicant file consists of items as defined by the committee. (See paragraph 15.f.).
  29. The files should be kept in a secure place designated by the committee chair.
  30.  

    CORRESPONDENCE

  31. The committee chair will acknowledge correspondence from the following persons See Sample Letters.
    1. The nominator and nominee upon the receipt of a nomination; and
    2. The applicant upon receipt of a query or letter of application
      1. Texas State Employment Application sent to applicant
      2. the applicant should be notified if the file is complete or incomplete only if the applicant specifically asks for this status or the department opts to follow a process to ensure such notification.
  32.  

    BEFORE THE REVIEW OR CLOSING DATE

  33. As applications arrive and before the closing date, the committee’s administrative assistant will send (weekly or any time several have accumulated) to the Office of Equity and Access labels with the names and addresses of all applicants. Equity and Access will mail the Confidential Faculty Applicant Data Form to ensure confidentiality of the data. A cover letter will accompany the labels identifying the department and the posting number.
  34. Before the review or closing date, the search committee chair may meet with the committee to review the criteria for rating the applicants. Before screening of faculty applicants begins, the search committee will construct a screening matrix to be used to compare each candidate’s qualifications to those stated in the position description. Each stipulated qualification must be represented and, if the search committee determines that it is necessary and appropriate, the scores applied to each qualification may be weighted. The screening matrix must be created before search committee members review candidate files.
  35. The chair reserves a convenient and secure location for review of the candidate files by the members of the committee. The committee will ensure that the equity and access review follows the Guidelines for Search Committees.
  36.  

    AFTER THE CLOSING OR REVIEW DATE, BEFORE INTERVIEWS

  37. Within one working day after the closing or review date for the position, the Search Committee Chair should send the remaining name and address labels of applicants to the Office of Equity and Access.
  38. Within one week after the closing date, the committee chair sends the committee a list of the applicants and sends information on the location and access to the files.
  39. Each member of the committee, working independently, reviews and rates the applicants. As committee members review files, the chair may ask members to make comments about each applicant for the reasons for not interviewing.
  40.  

    SELECTING THE INTERVIEWEES

  41. Through a series of meetings, if necessary, the list of applicants are narrowed down to the top three or four to be interviewed. Recommended procedures are outlined in paragraphs 32 to 34.
  42. Normally at least three committee meetings are needed to select the top twenty, top ten, and top three or four candidates.
  43. The top ten candidates are sent a letter of continued interest, allowing two weeks for return of additional materials necessary to complete the file. A complete applicant file at this point consists of:
    1. completed application for academic employment;
    2. a list of references, and
    3. vita or resume.
  44. Normally, reference checks are made for the top ten candidates via telephone or personal contact. Care should be taken to assure consistency in the information sought. Reference information is shared with the committee for discussion before selecting the top three or four candidates.
  45.  

    GETTING INTERVIEW APPROVALS

  46. The following materials should be submitted via the college dean (if chair search), the Chief Diversity Officer and Director of Equity and Access to Faculty Records.
    1. Faculty Applicant Log with the following information completed:
      1. The upper portion of the cover page of the Faculty Applicant Log Form listing position information and the list of candidates for interview.
      2. Continuation pages of the Log Form as needed to list the name; teaching experience and related qualifications; the designation of applicants to be interviewed; and the reason(s) for not interviewing. Additions can be made later if more applications are received.
    2. All applicant materials for those to be interviewed.
  47. The committee may be required, based upon the recommendation of the dean (if chair search), Chief Diversity Officer and Director of Equity and Access, or Provost to interview additional applicants.
  48.  

    INTERVIEWS

  49. With the concurrence of the dean, the Chief Diversity Officer and Director of Equity and Access, the Provost and the President (for dean searches), interviews are scheduled (See Sample Interview Agenda).
  50. It is the responsibility of the search committee to request and review the transcripts to verify the following on the candidates to be interviewed:
    1. Certification of the candidate(s) degree;
    2. Accreditation of awarding college
  51. In a dean search, the schedule should include meetings with the following:
    1. The President
    2. The Provost (two meetings are scheduled, one early in the candidate's visit and another as an exit interview);
    3. The Academic Deans;
    4. The current Dean of the College;
    5. The college council;
    6. The search committee;
    7. Faculty within and outside the school (informal meetings); and
    8. Other groups, as appropriate.
  52. In a chair search, the schedule should include meetings with the following:
    1. the President;
    2. the Provost;
    3. the Dean of the College;
    4. the Dean of the Graduate College;
    5. the search committee;
    6. the college council;
    7. Faculty within and outside the college (informal meetings);
    8. selected departmental students at the undergraduate and graduate levels; and
    9. other department chairs/program chairs; and
    10. other groups, as appropriate.
  53. One hour is scheduled for the public presentation and the committee chair introduces the candidate.
  54. For both dean and chair searches, a copy of the candidates' vita should be sent to the Provost's office and the President's office at least two days before the interviews.
  55. In a dean search, the committee chair sends a copy of the schedule to each dean, each academic department, and the Provost Office.
  56. In a chair search, the committee chair sends a copy of the schedule to each chair within the college, the dean, each faculty member within the department, and to those outside the department and college who are to meet with the candidate.
  57. The chair or other member of the search committee arranges for moving the candidate from one scheduled event to the next and for hosts/hostesses at lunches and dinners. The cost of the candidate's lunches and dinners will be reimbursed by the University.
  58. The interviewee must be informed that only the President has the authority to issue contracts.
  59.  

    SELECTION OF THE CHAIR OR DEAN

  60. The search committee should seek either formal or informal input from the college council, department faculty, and students prior to the committee's meeting to discuss the candidates qualifications.
  61. Following the interviews, the committee chair prepares a ballot and convenes the committee. The qualifications of the candidates are discussed, and committee members rank their choices on a ballot as either "acceptable" or "unacceptable." A memorandum summarizing the results of this ballot and outlining the major strengths and weaknesses of each acceptable candidate is then prepared.
  62. The memorandum should be forwarded with the files of all acceptable applicants, via the dean (for a chair search) to the Provost. After consultation with the President, a chair or dean is selected.
  63. The search committee will forward, via the Chief Diversity Officer and Director of Equity and Access to the Faculty Records Office, all required documents for hiring and contracting. Specifically:
    1. A completed Faculty Employment Application;
    2. A current vita or resume;
    3. Official transcript(s) from all degree granting institutions;
    4. At least three letters of recommendation or memoranda documenting telephone reference checks;
    5. Contract Offer Recommendation
    6. Completed Faculty Applicant Log;
    7. English Proficiency Form; and
    8. Dual employment documents for candidates simultaneously employed by another state or federal agency, and
    9. Security Sensitive Form.
  64. If none of the candidates are acceptable to the Committee, a memorandum stating that fact as well as a recommendation for future action (additional candidates from the remaining pool who should be interviewed or re-opening of the search) is prepared instead. The memorandum is forwarded via the dean (for a chair search), and Chief Diversity Officer and Director of Equity and Access, to the Provost.
  65. In a dean search, the final selection is made by the President in consultation with the Provost. The Provost makes the offer to the candidate. In a chair search, the final selection is made by the President in consultation with the Provost and the college dean. The college dean makes the offer to the candidate. If a position is offered and accepted by the candidate, the remaining candidates are notified. (See sample letter in Sample Letters).
  66.  

    HIRING AND CONTRACT

  67. The Faculty Records Office will prepare a contract for signature after receipt of items a-i in paragraph 50. The contract will be sent via e-mail as appropriate for review prior to signature by the Provost and President. Any special conditions of employment are subject to final approval of the Provost, President, and the Board of Regents.
  68. Following approval and signature by the Provost and President, the contract is mailed by the Faculty Records Office to the candidate unless directed otherwise. The contract is subject to the stated deadline for acceptance. Upon receipt of the approved contract, the Faculty Records Office will send a copy of the signed contract to the department chair, with a copy to the dean.
  69. The department chair shall complete and forward an PCR, a completed Employment Eligibility Verification (I-9 form) and a W-4 via the Dean's Office to-the Faculty Records Office for payroll processing.
  70. If none of the top candidates accepts the appointment, the committee chair convenes the committee to decide whether to consider the remaining pool of candidates or to recommend reopening the search. If the latter recommendation is made and the Provost and President concur, the remaining candidates are notified.
  71.  

    EXTENDING A SEARCH

  72. Occasionally a search does not produce any qualified applicants or a qualified applicant who accepts the offer. The search may be extended if time remains to expand recruiting efforts.
  73. To extend a search, the committee chair should send a memo, via the college dean (for a chair search), and the Chief Diversity Officer and Director of Equity and Access, to the Provost requesting extension of the closing date. The memo should state the original posting, the new closing date, and posting number, reasons why the extension is necessary, and what new recruiting efforts will be made.
  74. The Faculty Applicant Log Form should include all applicants who applied under either closing date.
  75.  

    CLOSING/REOPENING A SEARCH

  76. In the event a search does not produce a qualified candidate or a candidate who accepts the offer, the search may be closed and reopened if there is not time to expand recruiting efforts on the original search.
  77. Appropriate disposition of the original position should occur by closing the position indicating no one was hired. A memo should be sent to the Provost, via the college dean (for a chair search) and Chief Diversity Officer and Director of Equity and Access stating the posting number and reason for closing without hiring.
  78. To reopen a search, submit the Recruiting Plan and Position Vacancy Announcement following the steps beginning in paragraph 17 of this PPS.
  79.  

    RETENTION OF APPLICANT FILES

  80. Files related to a dean search are retained in the Provost’s Office for the remainder of the current fiscal year plus two years according to the State of Texas Records Retention Schedule.
  81. Files related to a chair search are retained in the Dean's Office for three years after which they are archived according to the State of Texas Records Retention Schedule.
  82.  

    WHEN A POSITION IS FILLED

  83. In the case of a department chair, the dean will, or in the case of an academic dean, the Provost will counsel the newly hired employee regarding expectations, responsibilities, conferences/meetings, in-service orientation and other employment related matters.
  84. A visit to the Human Resources Office is scheduled for employee benefits enrollment. In addition, new chairs and deans are encouraged to attend New Faculty Orientation sponsored by Professional Development prior to the beginning of the fall semester.
  85.  

    CERTIFICATION STATEMENT

  86. This PPS has been approved by the reviewer listed below and represents Texas State's Division of Academic Affairs policy and procedure from the date of this document until superceded.
     

Review Cycle:

_____________________________

Review Date:

_______________________

Reviewer:

________________________________

Date:

_____________________________

Approved:

________________________________

Date:

_____________________________

  Gene Bourgeois  
  Provost and Vice President for Academic Affairs

 

Texas State University-San Marcos
Provost and Vice President for Academic Affairs
Last Updated: March 28, 2012
Send comments and questions to: tg12@txstate.edu