Chairpersons, Deans, Directors, Vice Chancellors, and Provost
State law places the responsibility for the administration of the University in the Chancellor, who is the chief executive officer and is enjoined to act in accordance with the policies established by the Board of Regents. Thus, chairpersons, deans, vice chancellors, the Provost, and other administrative officers are accountable to the Chancellor, at whose pleasure they serve. In turn, the Chancellor has designated the Provost as the principal administrative and academic officer of the Lawrence campus. Moreover, all administrators must be responsive to faculty, staff, and students, and, in some instances, to a professional constituency.
The foregoing relationships must guide the selection and conditions of service of administrative officers within the University. The present policy (approved in 1976, revised in 1990, 1993, and 1997) has been prepared in full recognition that there are wide differences among the schools and, within schools, among departments. The intent of this policy is to provide guidelines, not prescriptions.
Every selection or review process will conform to University policies on Affirmative Action/Equal Opportunity and on avoidance of conflicts of interest.
Back to TopC.1.a.1. Selection and Appointment of Chairpersons
Whenever a vacancy arises in the chair of any department or other academic unit, the dean of the College or the school concerned shall communicate this fact to the Provost.
The dean shall then convene the voting members of the department (including voting student members) to review the procedures to be followed to fill the vacancy, including the steps required to assemble a search committee.
The department may elect faculty members to serve on a search committee, or it may entrust the responsibility to an existing elective group within the department, or it may serve as a committee of the whole. In any case, provision shall be made for student representation on the committee (approximately 20 percent). Two additional members from related areas will be named by the dean of the school, in consultation with the Provost.
The committee shall be convened for its initial meeting by the dean of the school. At this meeting the dean shall review the procedures to be followed and provide the committee with such information and assistance as it may require for the discharge of its functions. Prior to the meeting, the dean shall consult with the Provost to obtain any suggestions he or she may have. The committee shall elect, from among its members, a chairperson whose responsibilities shall include close and continuous liaison with the dean of the school. It shall be the dean's responsibility, with the advice and consent of the Provost, to decide and inform the committee whether it is appropriate to expand the search beyond the current faculty to include candidates from outside the University.
If it is decided to seek prospects from outside the University, the most promising shall, if responsive to an overture from the University, be invited for a campus visit. This visit shall include opportunities to confer with chairpersons of related areas, in addition to faculty members, students, and the dean of the school involved. Candidates from within the University shall be provided comparable opportunities for review and conferences. All candidates should be scheduled for conferences with the Provost, the Vice Chancellor for Research and Public Service, and the Dean of the Graduate School.
The committee shall present its recommendations first to the department. More than one name shall be presented for consideration.
The voting members of the department shall make the first recommendations from the committee's list. Generally, the department will be expected to recommend more than one candidate. The department may rank the candidates if it chooses. The department's choices will be communicated to the dean of the school who, after consulting the Provost, shall make the appointment for a specified term not to exceed five years. Normally, the department's wishes shall be respected in making the appointment.
Public announcement of the appointment shall be made by University Relations on instructions from the Provost.
Back to TopC.1.a.2. Selection and Appointment of Academic Deans
Whenever a vacancy arises in the deanship of one of the schools or in the College of Liberal Arts and Sciences, the Provost shall confer with the faculty or a faculty-elected standing committee in the school to review procedures to be followed in selecting a new dean.
The Provost will invite the faculty to submit names of faculty members proposed for membership on the search committee. The faculty members of the search committee shall be chosen by the Provost in such a manner as to insure that the expressed preferences of the faculty are respected, as well as such range of major interests as may exist within the school. Whenever appropriate, staff and persons representing related interests, such as members of a professional constituency, may also be included in this committee.
The student members of the search committee shall be selected using duly elected student advisory or representative groups in the College or the school. If no such groups exist, the selection of student members shall be made by whatever method seems most likely to produce the most effective representation. If there are significant numbers of graduate students in the school, the student membership of the search committee should reflect this fact. Whenever possible, student representation should be about 20%.
The Provost, or a person he or she designates, will serve as a non-voting, ex officio member of the search committee.
The committee shall elect from its membership a chairperson and take such steps as will expedite its work. This shall include an invitation to the faculty to nominate likely prospects, but the committee need not limit its canvass to such nominations.
The committee will decide early, with the advice and consent of the Provost, whether it is appropriate to include in its search candidates from outside the University, in addition to the current faculty. If it is decided to seek prospects from outside the University, the most promising shall, if responsive to an overture from the University, be invited for a campus visit. This visit shall include, if at all feasible, opportunities to confer with the deans of the other schools on campus, in addition to faculty members, staff, students, and the dean of the school involved. Candidates from within the University shall be provided comparable opportunities for reviews and conferences. All candidates should be scheduled for conferences with the Provost, the Vice Chancellor for Research and Public Service, the Dean of the Graduate School, and, whenever possible, the Chancellor.
The search committee shall make its recommendation to the Provost. At least three and normally not more than four candidates shall be presented, ranked if possible.
The appointment shall be made by the Provost with the approval of the Chancellor. It would be appropriate for the Provost to make a brief report to the search committee on his or her choice. The appointment will be subject to review not more than five years after the date of initial appointment.
Public announcement of the appointment shall be made by University Relations on instructions from the Provost.
Back to TopC.1.a.3. Selection and Appointment of Vice Chancellors and the Provost
The selection and appointment of vice chancellors is the responsibility of the Provost and the Chancellor; the Chancellor is responsible for selection and appointment of the Provost. When a vacancy arises, the Provost (or, when the Provost's position is vacant, the Chancellor) should assemble a search committee, seeking nominations and suggestions from the Provost's Council, the Research Council, the University Council, the Senate Executive Committee, the Provost's Executive Committee, and, where appropriate, representatives of Student Affairs or Information Services and the Libraries. Membership on the search committee will include representatives of the administrative group which reports to the position to be filled, faculty members, staff, students (whenever possible, approximately 20%), and, where appropriate, analogous groups in Student Affairs or Information Services and the Libraries. The committee shall elect a chairperson from among its members.
Procedures analogous to those for the selection and appointment of academic deans should be followed. As in the case of deans, appointments should be subject to review after no more than five years.
No public announcement shall be made until the Chancellor has communicated the decision to the Board of Regents. Public announcement of the appointment should be made by University Relations on instructions from the Provost or the Chancellor.
Back to TopC.1.a.4. Selection and Appointment of Acting Chairpersons, Deans, Vice Chancellors and Provosts
If the exigencies of the situation require the designation of a person to serve as chairperson, dean, vice chancellor, or provost in an acting capacity, an appropriately representative group of the faculty of the department, school, or unit shall be consulted before such a designation is made. The designee should be acceptable to faculty members with whom he or she will be dealing.
Acting chairpersons shall be named by the dean of the school, with the consent of the Provost. Acting deans of schools and acting vice chancellors shall be similarly named by the Provost, with the consent of the Chancellor; an acting provost shall be named by the Chancellor.
Acting appointments are made for a designated term not to exceed one year and cannot be renewed without the review and consent of the faculty. If the acting chair, dean, vice chancellor, or provost is later considered for regular appointment, the standard procedures described above must be followed.
Back to TopC.1.a.5. Selection and Appointment of Associate and Assistant Chairpersons, Deans, Vice Chancellors and Provosts
The designation of persons to serve as associate or assistant chairpersons, deans, vice chancellors, or provosts is a matter of administrative determination, as these administrators serve primarily at the pleasure of the chairperson, dean, vice chancellor or provost. However, the designee should be acceptable to those with whom he or she will be dealing.
Approval shall be obtained of the dean of the respective school in the case of associate or assistant chairpersons; approval of the Provost, in the case of associate or assistant deans or vice chancellors.
Appointments of chairpersons, academic deans, vice chancellors, and the Provost shall be reviewed comprehensively within a period not to exceed five years. Such review shall be required before a decision is made to continue the appointment. Accordingly, deans shall maintain lists of chairs with their scheduled dates of review and the Provost shall maintain a similar list of all deans and vice chancellors.
Back to TopC.1.b.1. Review of Chairpersons
Each chairperson shall be reviewed periodically, not more than five years after the initial appointment, or latest reappointment. In addition to the periodic reviews, each chairperson shall be reviewed whenever a two-thirds majority of the faculty of a department shall indicate its desire for such a review, or whenever, in the judgment of the dean, and with the concurrence of the Provost, such a review is deemed necessary.
Review procedures for chairpersons shall be established by a committee appointed by the dean of each school. The Review Procedures Committee shall consist of faculty from all ranks above the rank of instructor and representative of each division within that school, and shall include a proportionate number of undergraduate and graduate students.
The committee to review a chairperson is appointed by the dean of his/her school. These review committees shall include faculty, staff, and students drawn from the department, and one or more representatives from the school or University at large, as appropriate.
The review shall evaluate the performance of the chair and the associate or assistant chairs when such positions exist. It shall cover the period since the last review or initial appointment, as the case may be. The report of the Review Committee shall be based on, but not necessarily limited to, information solicited from students, staff, and faculty in the department, other chairpersons in the school, and, where appropriate, the professional constituency of the department. The review report should include a section specifically on the performance and effectiveness of the associate and assistant chairs, if any. The Review Committee will take particular care to learn the will of the department whose chair is being reviewed, and whether it wishes him or her to continue in office. Communications to or interviews with the committee by members of the department shall be held in strictest confidence.
A favorable review is required for reappointment, and normally the wishes of the majority of the department will be respected by the Review Committee. In case of non-reappointment, or reappointment to a shorter term than is customary in the unit, the dean will consult with the Review Committee before making that decision.
The Review Committee shall submit its report to the dean, who will forward a copy, with his or her recommendations appended, to the Provost. A copy of this report shall be furnished to the department faculty, the Review Committee, and the Review Procedures Committee at the same time.
Back to TopC.1.b.2. Review of Academic Deans
The dean of each academic unit shall be reviewed periodically, not more than five years after the initial appointment or latest reappointment. In addition to the periodic review, each dean shall be reviewed whenever a two-thirds majority of the faculty of his or her school shall indicate its desire for such a review, or whenever in the judgment of the Provost such a review is deemed necessary.
The review of a dean of an academic unit shall be the responsibility of the Provost, who shall consult with the Provost's Council and the Senate Executive Committee to establish procedures. The review committee shall be composed of 5-9 voting members, depending on the size of the unit. No less than forty percent of the members shall be faculty from the respective unit elected by established procedures of the unit. The rest shall be appointed by the Provost and shall include at least one student and one staff member from the unit of the dean under review and at least one member from outside the unit. In addition, a representative of the Office of the Provost shall be a non-voting, ex officio member. The committee shall elect a chair from its voting members.
The review shall evaluate the performance of the dean and the associate and assistant deans who report to him/her and shall cover the period since the last review or the initial appointment. The report of the Review Committee shall be based on, but not limited to, information solicited from faculty, students, and chairpersons in the school, peers on the Provost's Council, the central administration, alumni/alumnae, and where appropriate, representatives of the professional constituency. The report shall include specifically an assessment of the performance and effectiveness of the associate and assistant deans, if any. Strict confidentiality will be observed.
Within 90 days from its initial meeting the Review Committee shall submit its report and recommendations in writing to the Provost, who will forward a copy with his/her recommendation to the Chancellor.
Reappointment for another five years will depend upon a favorable review; in the event of a different decision (e.g., reappointment for a shorter term, or non-reappointment), the Provost will consult the Review Committee before making that decision. The Provost will report to the faculty of the unit involved, summarizing the results of the review, within 30 days of receiving the report.
Back to TopC.1.b.3. Review of Vice Chancellors and the Provost
Each vice chancellor shall be reviewed periodically, not more than five years after the initial appointment or latest reappointment. In addition to the periodic review, each vice chancellor shall be reviewed whenever a two-thirds majority of the members of the unit indicate their desire for a review, or whenever, in the judgment of the Provost and the Chancellor, such a review is deemed necessary.
The review of vice chancellors shall be the responsibility of the Provost, who shall develop procedures in consultation with the Provost's Council, the Research Council, the Senate Executive Committee, the Provost's Executive Committee, and, in the case of Student Affairs or Information Services and the Libraries, with a group comparable to the Provost's Council and the Research Council.
Membership on the Review Committee shall consist of representatives of the groups mentioned above and the Student Senate. The committee shall be appointed by the Provost and normally shall elect its own chairperson. The committee shall report its finding to the Provost and the Chancellor. The report shall include an assessment of the performance and effectiveness of the Associate and Assistant Vice Chancellors who report to the Vice Chancellor under review.
The Chancellor is responsible for review of the Provost. Procedures analogous to those for the review of vice chancellors shall be followed.
Back to TopC.1.b.4. Review of Associate and Assistant Chairpersons, Deans, Vice Chancellors, and Provosts
Associate and assistant chairpersons, deans, vice chancellors, and provosts serve primarily at the pleasure of the chairperson, dean, vice chancellor, or provost. However, the designee should be acceptable to faculty members and others with whom he or she will be dealing. Because of the inextricable relationship between the administration of the primary executive and his or her associates, review of the administration of the unit should include the review of these associates. When such positions exist, the review report should include a section related specifically to the assessment of the associates' performance and effectiveness.
Although not specifically stated in this policy, the selection, appointment, and review of deans of non-instructional units and of directors of University divisions will follow the guidelines here described. The appropriate vice chancellor or other administrator is responsible for implementing these guidelines and for carrying out the selection, appointment, and review of deans of non-instructional units and of directors of University divisions in the units that report to his or her office.
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