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Simon Fraser University

Office of the Registrar

Memorandum

To: ?

Senate

From: ?

Senate Committee on Agenda and Rules

Date: ?

March 22, 2002

Subject: ?

Revisions - Policy A13.02 - Appointment of Department Chairs and

Directors of Schools

Action undertaken by the Senate Committee on Agenda and Rules at its meeting

on March 26, 2002 gives rise to the following motion:

MOTION: ?

"that Senate approve and recommend approval to the

Board of Governors, the revised Policy A13.02 -

Appointment of Departmental Chairs and Directors of

Schools, as set forth in S.02-. 27"

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SIMON FRASER UNIVERSITY

Office of the Associate Vice President, Policy, Equity and Legal

MEMORANDUM

To: Michael Stevenson

?

From: Judith Osborne

Subject: Chairs Appointments Policy

?

Date: March 14, 2002

Attached is a copy of the existing Chairs Appointments Policy and a proposed revision

thereto. This revision was requested by your predecessor, Jack Blaney. The Vice

Presidents, Deans, Chairs and the Faculty Association have been consulted in the

redrafting of this document.

The changes are indicated by a vertical line in the left-hand margin. The substance of the

changes are as follows:

1.

Definitions are contained in the body of the policy rather than in footnotes.

2.

In preparing to appoint a new Chair, the Vice President, Academic will only participate

in the consultation with the department if it wishes to include external candidates in the

search.

3.

The section requiring both male and female members on a search committee has been

slightly re-worded.

4.

The composition for a search committee for both internal and external candidates is

made the same. Currently, there is an additional member on the committee when external

candidates are being considered. There is no other university search committee where this

happens.

5.

Where the Vice President, Academic does not support the appointment of a

recommended candidate, he/she is now required to inform the candidate, the department

and the Dean of his/her reasons.

4.

In section 3.4, the chair is now under a duty to inform the Dean if there is disagreement

within the department regarding the Chair's leadership.

5.

Section 4 is a substantial reworking of the existing provisions on the recall of the

Chair. The new section now sets out the possible grounds on which a Chair's suitability

might be reconsidered. It sets out in more detail the process to be followed, makes

•

conflict resolution mandatory, increases the proportion of faculty support needed to set

certain events in motion and gives the Chair the right to respond at certain stages.

1.

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6.

There is a new provision regarding the appointment of acting Chairs.

7.

The section on voter eligibility incorporates an interpretation of the existing policy

made by President Blaney.

I recommend that this draft revision be forwarded to Senate for approval.

I concur and so recommend.

Michael Stevenson

2.

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March 2002

A13.02 SUBJECT: APPOINTMENT OF DEPARTMENT CHAIRS AND DIRECTORS

OF SCHOOLS

PREAMBLE

The Chair of a department shall be a faculty member who has the respect and confidence of the

members of the department and the skill and initiative to guide and manage the department.

During the period of appointment, Chairs must make the interests of the department their

paramount concern. Chairs should be appointed because of their dedication to teaching, research

and service; their intellectual, professional and administrative abilities, and their leadership

skills. Chairs should ensure that the decision-making process includes full discussion with

interested persons and they should be adept at reconciling differing viewpoints.

"department" shall be read to include those academic units known as schools;

"chair" shall be read to include directors of schools;

"faculty member" means tenured and tenure-track faculty and continuing laboratory instructors,

lecturers and senior lecturers

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1.1. At least 8 months before the end of the incumbent's appointment, the Dean shall

consult with the department about the position. If the department wishes to

include external candidates in the search there must be a further consultation with

the department involving the Dean and the Vice-President, Academic, who will

make the final decision. The search process shall be advisory to the

Vice-President, Academic.

1.2. Search Committee. Where a search committee is required, it shall have the

following membership:

a.

The Dean of the Faculty, who will chair the committee;

b.

Four faculty members elected by the faculty of the unit;

c.

Two registered Simon Fraser University students: one undergraduate

student who has declared a major in the department, selected by the

Departmental Student Union or by the Student Society if no Departmental

Student Union exists; one graduate student in the department elected by

the graduate students in the department; in the event that no graduate

student is available, a second undergraduate student may be selected, and

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similarly if no undergraduate student is available, a second graduate

student may be selected;

d. One faculty member from another department in the Faculty selected by

the committee of Chairs which advises the Dean of the Faculty.

The quorum for this search committee shall be the Chair plus four others, at least

three of whom shall be faculty in the department.

1.3. ?

1.3 ?

The Dean shall ensure that both males and femalens are adequately?

represented on the search committee. Anronriate reDresentatiQn will vary by

discipline but should not be1s than

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male or female ?

members. The Dean shall also ensure7

appropriate employment equity

strategies are used.

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1.4 ?

In a search that is not to include external candidates, a candidate for ratification

from within the department shall be identified through one of the following

procedures in order of preference:

(i) an election supervised by the Dean, or

(ii)

another procedure suggested by the department and approved by the Dean,

or

(iii)

a search using a search committee as described in section 1.3.

1.5 ?

In the case of a search that is to include external candidates, a description of the

position shall be prepared by the committee and the announcement of the position

opening shall be advertised in accordance with the advertising requirements for

Category A appointments as described in A10.01, the Academic Appointments

Policy, with appropriate references to current immigration regulations, and to the

employment equity program at the University.

1.6 ?

During a search, faculty members, professional and support staff and students in

the department shall be formally consulted regarding qualities and attributes

needed for the leadership of the department and invited to submit nominations.

1.7 ?

Search committees shall follow normal search procedures including reviewing

applications, short-listing candidates, arranging interviews and presentations by

the short-listed candidates, and making a recommendation for appointment to the

Vice-President, Academic. In the case of an external candidate, A 10.01

appointment procedures shall be followed, but the search process shall be as

specified in this policy.

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1,1.

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1.8

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A ratification vote of the recommended candidate shall be held and faculty

members shall be eligible to vote. The vote shall be organized by the Dean's

office and the vote shall be counted in the presence of a faculty scrutineer. A

positive ratification is one where a majority of those voting support the

recommended candidate. The Dean shall forward a recommendation concerning

the appointment to the Vice-President, Academic.

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1.9 ?

If the Vice-President, Academic supports the appointment of the recommended

candidate, a recommendation to appoint the candidate shall be forwarded to the

President for recommendation to the Board of Governors for approval. If the

Vice-President, Academic does not support the appointment of a candidate, he/she

shall inform the candidate, department and Dean of the reasons and another

candidate shall be recommended through the processes specified in sections 1.3

through 1.8.

2. TERM OF APPOINTMENT

2.1 The term of appointment normally shall be either three or five years.

2.2 The appointment may be renewed for a further term, subject to a ratification vote

as outlined in 1.8 above.

2.3 The terms and conditions of appointment of academic administrators are contained

in A 13.04.

3.

RESPONSIBILITIES

3.1 The Chair has overall responsibility for ensuring that Departmental policies are

formulated and followed, that University and Faculty policies and procedures are

followed, and that individual members of the Department fulfill their assigned

duties.

3.2 Policy decisions which affect the Department as a whole should, in general, be

determined at Department meetings or by committees designated by the

Department for making such decisions. However, there shall be occasions when

the Chair will have to make decisions affecting the Department as a whole before

these can be considered at a Department meeting, and when that happens, the

Chair shall report decisions taken to the Department members.

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3.3 While the Chair is the administrator of the Department, other members of the

Department may share in administrative responsibilities. The operating procedures

of the department shall be made known to all members of the Department.

Through the process of selecting a Chair, all department members commit

themselves to support the incumbent, and must tolerate the Chair's right to take a

position which differs from that of some members of the Department. The Chair

undertakes to provide democratic leadership taking note of majority and minority

views. The members of the Department should take special note of the views of

the Chair compared to those of other members, because of the Chair's special

knowledge of possible administrative or other implications of decisions they may

reach, and because of the Chair's responsibility in carrying out such decisions.

3.4 The Chair's ultimate responsibility exists most clearly in the implementation of

University, Faculty and Departmental decisions. One of the Chair's duties is to act

as a spokesperson in reporting decisions of the Department to senior University

administrators and other sections of the Faculty. The Chair also serves as the

channel for communicating to the Department decisions made by the Dean, the

Vice-Presidents, the President, Senate and the Board. The Chair must report to

the Dean disagreement within the department regarding the Chair's leadership or

significant dissent from Departmental decisions, including the Chair's own

reservations, if any. The Chair also has the right and duty to report failure on the

part of members of the Department to fulfill University, Faculty or Department

responsibilities, especially obligations to students, and to suggest ways of

preventing such failures. The Chair is also required to maintain privacy in matters

of a confidential, personal nature.

4.

RECONSIDERATION

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4.1 ?

The appointment of a Chair may be rescinded by the Board of Governors for

non-performance of duties, non-compliance with University policy or with the

constitution of the Department; or for other serious acts or omissions related to

his/her responsibilities as Chair.

4.2 A formal request for the reconsideration of the suitability of a Chair may be

made by the faculty members of a Department to the Dean. Normally,2uch a

request cannot be made during the first year of the appointment of a Chair.

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4.3 ?

The formal request must be in writing, setting out the particulars of the grounds

for reconsideration of the Chair's appointment and must be signed by at least

one-half of the faculty members eligible to vote in the election or ratification of

a Chair.

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4.4 ?

Upon receipt of a formal reconsideration request, the Dean will provide a copy

to the Chair and give him/her an opportunity to respond to it. If the issue(s) are

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not resolved at this stage, the Dean must institute a conflict resolution process,

which may involve the appointment of a mediator, with the aim of resolving the

issue to the mutual satisfaction of the parties involved. The Dean should

communicate in writing with all faculty members of the Department as to the

process to be used and the timelines to be followed. The satisfactory resolution

of the matter at this stage will be evidenced by a written agreement of the parties

or a vote at a departmental meeting.

4.5

Where attempts to resolve the conflict are unsuccessful, the Dean shall put the

issue of the reconsideration of the Chair to a vote no later than 30 working days

after the end of the conflict resolution stage. The vote shall be by secret ballot

conducted by the Dean's Office. The results of the ballot will be made public

within 24 hours of the results being tallied.

4.6 If the motion to reconsider the suitability of the Chair does not receive the support

of at least 60% of the voting faculty members no further reconsideration shall

take place for at least one year. If the motion to reconsider has the support of at

least 60% of the voting faculty members the Dean shall inform the

Vice-President, Academic, and shall make a recommendation on whether or not

the Chair's appointment should be rescinded, to which the Chair shall be entitled

to make a written response.

5. ACTING CHAIR

It may be necessary to appoint an acting Chair where a Chair is unable to

continue in the role either temporarily' or permanently. The appointment of an

acting Chair for 4 months or less can be approved by the Dean and does not need

ratification by the department. An appointment of an acting Chair for more than 4

months must be ratified by the department and must be approved by the Vice

President, Academic on the recommendation of the Dean. The term of

appointment of an acting Chair should not exceed 16 months or four semesters.

6. VOTER ELIGIBILITY

All faculty members other than those who are on an unpaid leave of absence

are eligible to vote under this policy.

'This section is NOT intended to apply to temporary absences of a chair due to vacation or work-related travel.

.

1.

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Thursday, March 14, 2002

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Appointment of Chairs and Directors (A13.02)

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Page: I

:ri

SIMON FRASER UNIVERSITY

Policies and Procedures

SUBJECT: APPOINTMENT OF DEPARTMENT CHAIRS AND DIRECTORS OF SCHOOLS

1

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A 13.02

PREAMBLE

The Chair of a department shall be a faculty member who has the respect and confidence of the members of the department and the skill

and initiative to guide and manage the department. During the period of appointment, Chairs are expected to put the interests of the

department ahead of their own research interests, and the interests of their own specialty. Chairs should be appointed because of their

devotion to teaching and research, their intellectual, professional and administrative abilities, and their leadership skills. Chairs should

ensure that the decision-making process includes full discussion with interested persons and they should be adept at reconciling differing

viewpoints.

METHOD OF APPOINTMENT

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2.

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At least 8 months before the end of the incumbent's appointment, the Dean and the Vice-President, Academic, after consultation with the

department, shall decide whether the search for a Chair shall include external candidates. The search process shall be advisory to the

Vice-President, Academic.

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3.

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The Dean shall ensure that there is appropriate gender representation2 in the search process.

T

he Dean shall also ensure that appropriate

employment equity strategies are used.

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4. ?

The search process in a search which includes external candidates shall be the responsibility of a committee which shall have the following

membership:

a.

The Dean of the Faculty, who will chair the committee;

b.

Four faculty members elected by the faculty of the unit3;

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c. Two registered Simon Fraser University students: one undergraduate student who has declared a major in the department, selected

by the Departmental Student Union or by the Student Society if no Departmental Student Union exists; one graduate student in

the department elected by the graduate students in the department; in the event that no graduate student is available, a second

undergraduate student may be selected, and similarly if no undergraduate student is available, a second graduate student may be

selected;

d.

One faculty member from another department in the Faculty selected by the committee of Chairs which advises the Dean of the

Faculty; and

e.

One faculty member appointed by the Vice-President, Academic from another Faculty.

The quorum for this search committee shall be the Chair plus four others, at least three of whom shall be faculty in the unit.

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5. ?

In a search without external candidates, a candidate for ratification from within the department shall be identified through one of the

following procedures in order of preference:

1.

an election4 supervised by the Dean, or

2.

another procedure suggested by the department and approved by the Dean, or

3.

the following search process and committee membership:

a.

The Dean of the Faculty, who will chair the conunittee;

b.

Four faculty members elected by the faculty of the unit3;

c.

Two registered Simon Fraser University students; one undergraduate student who has declared a major in the department,

selected by the Departmental Student Union or by the Student Society if no Departmental Student Union exists; one

graduate student in the department elected by the graduate students in the department; in the event that no graduate

student is available, a second undergraduate student may be selected, and similarly if no undergraduate student is

available, a second graduate student may be selected; and

d.

One faculty member from another department in the Faculty selected by the committee of Chairs in consultation with the

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Dean of the Faculty.

A quorum for this search committee shall be the chair plus four others, three of whom shall be faculty in the unit.

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6.

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In the case of a search which includes external candidates, a description of the position shall be prepared by the committee and the

Thursday. March 14, 2002

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Appointment of Chairs and Directors (A13.02)

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Page: 2

universities in Canada, and advertised in appropriate discipline based periodicals. The posting shall include reference to the current

immigration regulations, and to the employment equity program at the University.

7.

During a search, faculty members, professional and support staff and students in the department shall be formally consulted regarding

qualities and attributes needed for the leadership of the department and invited to submit nominations.

8.

Search committees shall follow normal search processes including reviewing applications, short-listing candidates, arranging interviews

and presentations by the short-listed candidates, and making a recommendation for appointment to the Vice-President, Academic.

9.

A ratification vote of the recommended candidate shall be held and faculty5 shall be eligible to vote. The vote shall be organized by the

Dean's office and the vote shall be counted in the presence of a faculty scrutineer. A positive ratification is one where a majority of those

Academic.

voting support the recommended candidate. The Dean shall forward a recommendation concerning the appointment to the Vice-President,

10.

If the Vice-President, Academic supports the appointment of the recommended candidate, a recommendation to appoint the candidate shall

be forwarded to the President for recommendation to the Board of Governors for approval. If the Vice-President, Academic does not

support the appointment of a candidate, another candidate shall be recommended through the processes specified in sections 4 through 9.

11.

In the case of an external candidate, A 10.01 appointment procedures shall be followed, but the search process shall be as specified in this

policy.

TERM OF APPOINTh4ENT

12.

The term of appointment normally shall be three or five years.

13.

The appointment may be renewed for a further term, subject to a ratification vote as outlined in 9. above.

14.

The terms and conditions of appointment of academic administrators are contained in A 13.04.

RESPONSIBILITIES

15.

The Chair has overall responsibility for ensuring that Departmental policies are formulated and followed, that University and Faculty

policies and procedures are followed, and that individual members of the Department fulfill their assigned duties.

16.

Policy decisions which affect the Department as a whole should, in general, be determined at Department meetings or by committees

designated by the Department for making such decisions. However, there shall be occasions when the Chair will have to make decisions

affecting the Department as a whole before these can be considered at a Department meeting, and when that happens, the Chair shall report

decisions taken to the Department members.

17.

While the Chair is the administrator of the Department, other members of the Department may share in administrative responsibilities. The

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nistrative or other implications of decisions they may reach, and because of the

18.

The Chair's ultimate responsibility exists most clearly in the implementation of University, Faculty and Departmental decisions. One of the

Chair's duties is to act as a spokesperson in reporting decisions of the Department to senior University administrators and other sections

of the Faculty. The Chair also serves as the channel for communicating to the Department decisions made by the Dean, the

Vice-Presidents, the President, Senate and the Board. The Chair has the right and duty to report to the Dean significant dissent from

Departmental decisions, including the Chair's own reservations, if any. The Chair also has the right and duty to report failure on the part of

members of the Department to fulfill University, Faculty or Department responsibilities, especially obligations to students, and to suggest

nature.

ways of preventing such failures. The Chair also has the duty, where appropriate, to maintain privacy in matters of a confidential, personal

RECALL

19.

Reconsideration of the suitability of a Chair is obligatory when a petition to this effect, signed by at least one third of the faculty members

of the Department, is presented to the Dean. A recall vote shall be held between sixty and ninety days after the submission of such a

petition. The question of non-confidence in the Chair shall be resolved by simple majority vote of the faculty members of the Department.

If the vote of non-confidence fails, no further reconsideration shall take place for at least one year. Only in extraordinary circumstances

shall the Dean accept a petition for recall during the first year of appointment of a Chair. If a majority of the faculty members expresses

non-confidence in the Chair, the Dean shall inform the Vice-President, Academic, and shall make a recommendation on whether or not the

Chair should be removed from office.

INTERPRETATION

Questions of interpretation or application of this policy shall be referred to the President, whose decision shall be final.

h"P://wwW.Bfu.ca/policiestacademic/al3.O2.htm

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Thursday March 14, 2002

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Appointment of Chairs and Directors (A13.02)

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Page: 3

1 Where the policy mentions Chairs of Departments, it includes Directors of Schools.

While an appropriate gender representation will be expected to vary by discipline, search committees should have at least 20% of their members from each gender.

'gibility for nomination and election to this committee is estiicted to tenured and tenure-track faculty, and to laboratory instructors and lecturers with appointments of

ger than one year.

Eligibility to vote in this election is restricted to tenured and tenure-track faculty, to laboratory instructors and lecturers with appointments of longer than one year, and to

such others specified in departmental regulations,

5 Eligibility to participate in the ratification vote is restricted to tenured and tenure-track faculty, and to laboratory instructors and lecturers with appointments of longer than

one year.

October 1, 1992

Interpretation of Policy A13.02

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Appointment of

Department Chairs

?

and Directors of Schools

Section 19

In this section, "faculty members" shall include tenured and tenure-track faculty, and laboratory instructors and lecturers with

appointments of longer than one year.

March 23, 1995

January 22, 1996

S