Faculty Recruiting Guidelines
The College of Arts and Sciences units will annually submit requests to the dean for permission to fill vacant and/or new tenure, tenure-track or renewable term positions.
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A. Vacancy: Prior to advertising or recruiting for any faculty or academic administrator position (new/vacant), it is the responsibility of the Chair/Director to request approval from the dean, Senior Vice President and Provost. The unit will submit the Provost Regular Faculty Recruiting Application form to the dean. There must be recurring funds (E&G or endowment) identified that are sufficient to meet the salary range at which the vacancy will be advertised. National searches are to be conducted for tenure, tenure-track, and renewable term faculty at the rank of assistant professor, associate professor and professor and academic administrators unless exceptions are approved in advance by the Office of Equal Opportunity and Office of the Senior Vice President and Provost. (See Policy on Internal Searches). If the Senior Vice President and Provost approve recruiting for the position, the dean and the Office of Equal Opportunity will be notified. The dean will in turn notify the chair/director that approval has been granted. The Office of Equal Opportunity will contact the search committee chair to provide assistance in starting the search in compliance with Office of Equal Opportunity regulations. At this time, the Office of Equal Opportunity will assign an identification number to the vacancy that should be used when corresponding with the Office of Equal Opportunity.
For each position requested, units should submit:
Provost Regular Faculty Recruiting Application Form
B. Search Committee: The make-up of search committees and search procedures vary according to the type of search.
1. Endowed Chairs and Professorships
Prior to initiating external search procedures for any endowed chair or professorship, the dean should meet with the Senior Vice President and Provost to discuss the budgetary considerations related to the search. The Financial Planning Schedule to Recruit an Endowed Faculty Position form should be completed and forwarded to the Provost’s Office. The President, with advice and counsel of the provost, dean and department head, will appoint a search committee and provide the Office of Equal Opportunity with the members' names and/or that of the person responsible for coordinating the search. Search committees for occupants of endowed chairs and professorships shall be composed of (1) two faculty members from the academic unit concerned, (2) two outside individuals distinguished within the relevant area and appointed by the President, (3) either the dean of the relevant college or a faculty member appointed by that dean. (The University of Oklahoma Board of Regents prefer and expect the dean to serve on the search committees for occupants of endowed chairs.), and (4) include at least one faculty member from another college. The President and Senior Vice President and Provost may attend the initial meeting of the search committee. The Senior Vice President and Provost, after consultation with the search committee, makes a final recommendation to the President. The President may approve and forward the appointment to the University of Oklahoma Board of Regents or may reject it and request further searching.
2. Chairs and Directors
Prior to initiating search and nomination procedures for department chair, the faculty of the department should meet with the dean of the college to discuss the needs and expectations of the department as they relate to the appointment of a new chair, the role of the chair, and the type of search (i.e., internal or national) which will most likely ensure that an appropriate candidate is recommended, and to discuss any budgetary considerations related to the search and appointment of a new chair. Subsequently, the faculty will recommend to the dean whether the search should be internal or national. If the dean does not concur with the department faculty's recommendation, the dean will meet with the department's faculty to discuss reasons for disagreement. However, the dean's decision will be final and must be consistent with the University's Equal Opportunity policies. For national searches, a search committee will be formed consisting of elected departmental faculty members, one or two students reflecting undergraduate majors and graduate students to the extent appropriate, and members appointed by the dean, including one current department chair. Elected departmental faculty shall constitute the majority. The search committee will review applications and, in consultation with the department faculty, will recommend to the dean the candidates for on-campus visits. After the campus visits, both the search committee and the faculty will rank the acceptable candidates and submit their recommendation to the dean. The dean will forward his/her recommendation to the Senior Vice President and Provost. The Senior Vice President and Provost will approve all appointments of department chairs prior to submission to the President's Office and the University of Oklahoma Board of Regents.
3. Regular Faculty (tenure/tenure track, ranked renewable term): It is the responsibility of the chair/director in consultation with the dean of the college to form the search committee. The search committee should reflect diversity by race and gender. It is the expectation of the Provost’s Office that all search committees include at least one member from outside the academic unit. At the time of the initial meeting, the search committee chair should provide the Office of Equal Opportunity with the names of search committee members and/or the person responsible for coordinating the search.
4. Research Professors: Searches for research professors follow the same recruiting procedures as regular faculty with the exception that an OU freeze form must be submitted the dean’s office.
5. Non-ranked Renewable Term: These types of searches only require an OU freeze form and the CAS budget outline. There is no requirement to form a search committee.
C. Advertising: The Provost’s Office will provide the Office of Equal Opportunity the draft job description as submitted with the Provost Regular Faculty Recruiting Application form. The Office of Equal Opportunity will review the job description/advertisement by the criteria in the attached guidelines and send the search committee a response identifying the minimum and preferred qualifications. The Office of Equal Opportunity is to be notified in writing of all advertising and outreach efforts made to create an applicant pool. It is a requirement for the job advertisement to be placed in a national professional journal. In lieu of a print ad, an electronic or web-based national professional journal may be used to satisfy this requirement. The job advertisement must be viewable to the public without payment of subscription and/or membership charges. The job advertisement must be posted for at least 30 calendar days on the journal’s website. Documentation of the placement of an advertisement will be provided to the Office of Equal Opportunity, which must include evidence of the start and end dates and the text of the advertisement. Once the ad is approved by the Office of Equal Opportunity, the chair will receive a hyperlink that could be used in other ads or on the unit/college website. Application material will continue to be sent directly to the search committee address. The search committee chair or proxy should notify HR at 325-1826 or email@example.com when they want the position to be put on hold. The Provost Office will notify HR of hire when the offer letter is sent to the candidate.
D. Evaluating Candidates:
1) First Screening: In this step, only the presence or absence of those qualities expressed as required in the job description is established for each applicant to determine which applicants are and which are not qualified. The search committee chair should send the Office of Equal Opportunity a memo outlining this process before the first screening date or the date set to begin reviewing applications. For those required qualities for which screening criteria are obvious (the presence or absence of a Ph.D., the presence or absence of teaching experience, etc.), the memo need only cite that these were applied uniformly to all applicants. For those required qualities for which screening criteria are not obvious ("potential for productive research," "ability to provide dynamic leadership," "Ph.D. or equivalent experience," etc.), the memo should cite specifically how the presence or absence of these qualities will be measured.
2) Second Screening: In this step, qualitative judgments are made on the required qualifications, and any preferred qualifications also are taken into consideration. The search committee chair should send the Office of Equal Opportunity a memo outlining this process before the application deadline date or the date set to begin reviewing applications. This should include any weighting/ranking systems that are devised, and any internal forms developed to aid the search committee in its screening procedure should be attached. If there were any qualities in the job description that were defined as preferred (as opposed to required), the memo should indicate the criteria to be used in measuring these.
3) Initial Applicant Pool: As applications are received, the search committee chair should (a) have each application assigned a number to use for identification of that applicant when corresponding with the Office of Equal Opportunity and (b) send a business reply mail postcard to each applicant for the position. The search committee chair should notify the Office of Equal Opportunity of how many applications were received for the position by sending a list of the applicants' names and identification numbers. The Office of Equal Opportunity will send the search committee chair a report on the make- up of the initial applicant pool after the cards are received and tabulated.
4) Qualified Applicant Pool: The search committee chair should provide the Office of Equal Opportunity with a list of the assigned identification numbers of those persons who will constitute the qualified applicant pool. The Office of Equal Opportunity will send the search committee chair a report on the race and gender make-up of the qualified applicant pool.
5) Representativeness of Qualified Applicant Pool: Before the screening process can continue beyond, the search committee chair should receive from the Office of Equal Opportunity a statement as to whether the qualified applicant pool was judged to be representative. Representativeness will be determined by data on race and gender in the Office of Equal Opportunity files developed by or in conjunction with the department/school. If the qualified applicant pool is judged to be not representative, the search committee chair should provide the Office of Equal Opportunity with a statement that (a) an affirmative effort (documented) was made and a representative qualified applicant pool could not be produced or (b) the search will be extended.
6) CAS Request for Invitation to Lecture-Interview: The search committee will identify the top three candidates (up to three), the unit will complete the CAS Request for Invitation to Lecture-Interview form, listing the candidates they wish to interview. This hard copy form along with the attached hard copy versions of the vita, cover letter and three letters of recommendation for each candidate will be sent to the Dean’s Office (Attention: Meagan Bray) for approval of the appropriate Associate Dean. Once approved by the Dean’s office, the unit will be notified by email from the CAS Dean's Office and a copy of the form will be sent to the unit authorizing them to begin the interview process. Upon receiving the email approval for interview, the unit is responsible for scheduling an interview with the Dean (for endowed chairs) or appropriate Associate Dean for each candidate.
7) Screened Qualified Pool: Upon approval by the appropriate Associate Dean, the search committee chair will send the Office of Equal Opportunity a list of those individuals.
8) Interviewed Applicant Pool: When the screening process is completed, the chair/director will send the candidate an invitation to lecture/interview with a copy to the chair of the search committee. In addition, the search committee chair will send the Office of Equal Opportunity a list of the assigned identification numbers of those persons to be invited for lecture/interview. The Office of Equal Opportunity will send the search committee chair a report on the make-up of the interviewed applicant pool. NOTE: An interview with the Senior Vice President and Provost (or his/her designee) should be arranged for candidates for departmental chairs or directors and for distinguished professorships or endowed chairs.
9) Lecture/Interview Expenses: Departments can process airline tickets and lodging expenses for the candidates directly to their University department. The airline tickets must be purchased through one of the University’s contracted travel agencies. Arrangements for lodging in the area can also be made to direct bill the department for the candidate’s lodging expenses only. The hotel and the candidate must be made aware that any incidental expenses and/or food purchases at the hotel cannot be directly billed to the University. The candidate will be responsible for paying these types of expenses and requesting reimbursement. This method will help defray the cost the candidate must bear until reimbursements are made.
In many instances, the departments may be able to find less expensive airfares for their candidates and negotiate with the hotel for the best rate available. If a rental car is necessary for the candidate, the department should make arrangements through Fleet Services to have the rental car available for the candidate and have it direct billed to the department. The travel statutes only allows for mileage reimbursement for any type of vehicle whether private or rental within the State of Oklahoma. For expenses incurred by the candidate, the candidate should be asked to send an itemized expense account to the chair/director. This must bear the candidate’s Social Security number. Receipts for expenses other than meals are required.
Requests for reimbursement should be handled at the department level, where they will be checked for allowable expenses before requesting that a check be issued to the candidate. Usually two or three weeks are required for the processing of checks, and the chair/director should so inform the candidate during his or her visit. Departments are asked to reimburse travel expenses to the candidate using the State of Oklahoma travel voucher form instead of the honorarium form, to ensure reimbursement is not incorrectly reported to the Internal Revenue Service as income to the candidate.
When a candidate is entertained for a meal by a faculty group, the per diem allowance on the travel voucher should be adjusted by the number of meals that were provided. If approved, the meal can be processed on a completed Food and Beverage Expense Certification form. The claimant must be in travel status for at least eighteen hours or overnight status in order to request reimbursement for per diem. Per Diem covers the reimbursement of meal and incidental expenses. Some examples of incidental expenses are tips, emergency laundry, refreshments such as beverages and snacks, etc. The department/college cannot pay the travel expenses of a spouse or other dependents of the candidate with State Funds.
E. Faculty Vote: Upon the completion of the interviews and campus visits, the search committee will bring their recommendation to the unit’s faculty for a vote. The majority vote will be presented to the Chair/Director of the unit.
F. Hiring Negotiation: Prior to negotiations with the candidate, the unit's Chair/Director will send an email to the dean with a recommendation for the proposed hire's start date, salary, start-up and moving expenses, etc. The content of the email must include the following items:
- Position Rank
- Tenure probationary period
- Moving expenses
- Teaching Load
- Teaching assessment (e.g., feedback from faculty members regarding the job talk, on campus lecture - if applicable, etc.)
- Attach a copy of CV
- Attach a copy of the most current OU Regular Faculty Recruiting Application form (RFRA) (if in doubt, contact Anjanette Pierce)
- List any commitments from other offices on campus
Upon approval from the dean, you may begin negotiations with the candidate. Any deviation from the request for permission form (e.g., salary, start-up, moving) must be approved by the dean.
1) Start-Up Funds: When a new faculty member is appointed, Start-Up funds are normally part of the negotiations. The unit is expected to provide 1/3 of the Start-Up funds, with the College and the Provost Office each providing 1/3 of the total cost. The Provost and College cap is $100,000 each. For Start-Up requests over $300,000 requests are made to the Vice Provost Research. For the Vice ProvostResearch commitments must be in writing prior to initiating search. For any request over $5,000 the unit needs to submit justification and itemization along with the required recruiting documents. The unit will encumber all expenses for Start-Up. Upon the completion of expending the Start-Up funds, the unit will complete the CAS Reimbursement Request Form with attached paid supporting documentation and submit it to the CAS Dean’s Office. The form should include the total amount to be reimbursed by the Provost Office and the College. Upon review of the request, the College will reimburse the unit account and make a request to the Provost Office for reimbursement. Unless prior arrangements have been made, units have up to two years from the date of hire
to request reimbursement for Start-Up expenses.
2) Moving expenses: When a new faculty member is appointed, moving expenses are normally part of the negotiations. The unit is expected to provide 1/2 of the moving expenses, with the College providing the other 1/2 of the total cost. Typically moving expense requests are up to $1,500.
3) Probationary Periods: As stated in the University of Oklahoma Faculty Handbook: 3.7.3 (C). For a faculty member being appointed to a tenure-track position, whose initial appointment is at the rank of assistant professor or associate professor, the probationary period shall be six academic years or twelve regular semesters.
G. Hiring Process: After a successful negotiation with a candidate, the unit will send a hard copy CAS Request for Appointment form to the Dean’s Office with a copy of the vita attached. A letter of offer is written from the Dean to the Provost recommending appointment. The letter of recommendation and a copy of the vita will be walked to the Provost Office. All official offers for permanent faculty positions can only be made by the Senior Vice President and Provost. The Dean’s Office and the unit receive a copy of the official offer letter from the Provost Office. The Provost Office will notify HR of hire when the offer letter is sent to the candidate. Once the Dean’s Office receives a copy of the acceptance letter from the faculty, the Dean’s office will prepare an electronic Personnel Action Form (ePAF). Once the ePAF has been approved by the Regent’s, the faculty member’s information will be established in the Human Resources system prior to them arriving on campus. This will set up their email account, campus mailing address, etc. Each unit will be responsible for the new hire paperwork and new-hire orientation.
H. Letters of Offer: Only the Senior Vice President and Provost is authorized to make official offers for the University. No offer will be extended by the Senior Vice President and Provost until the Office of Equal Opportunity certifies that the above process is satisfactorily completed. If the report from the Office of Equal Opportunity is negative, the offer of appointment will be held in the Provost's Office until the Office of Equal Opportunity has certified to a satisfactory process. The dean will forward his/her recommendation to the Senior Vice President and Provost with the Personnel Action Form, vita, and other supporting materials using the Request for Provost Office Offer Letter to Hire.
When a portion of the salary or start-up package is funded by the Vice President for Research office, please ensure VPR approval is obtained on the Request for Provost Office Offer Letter prior to submission to the Provost’s Office. Unless directed otherwise by the dean or search committee, an electronic new hire packet, including the offer letter, required new hire forms, and information about the campus, will be provided via email to the candidate at the email address provided on the Request for Provost Official Offer Letter to Hire. The email will include an option for the candidate to request the new hire packet in hard copy. The dean and department director/chair will be copied on the new hire packet email from the Provost’s Office to the candidate. If there are any specific documents that you would like candidates from your college or department to receive as part of the new hire packet, please contact Stewart Berkinshaw (firstname.lastname@example.org). Note: Should the candidate request a copy of the offer in writing prior to receiving the official offer letter from the Provost, the Chair or Director may provide a letter or email listing the components of the offer that he/she is recommending to the Dean. The letter or email must indicate that the offer is “unofficial” and that “the official offer can only be made by the Provost”.
I. Acceptance of Offer: Copies of the candidate's written response to the offer of appointment will be emailed to the dean and to the chair/director. If the offer is accepted, the Provost's Office will either arrange to have the appointment placed on the next University of Oklahoma Board of Regents’ agenda for action or process it directly to Payroll. No appointment is official until it has received approval by the Senior Vice President and Provost and by the University of Oklahoma Board of Regents in accordance with the prevailing policy of the University of Oklahoma Board of Regents. All regular faculty appointments (tenure, tenure-track, and renewable term at the ranks of Assistant, Associate, and Professor), and all other renewable term faculty appointments (lecturers, instructors) require Regents' approval. After Regents' approval, a contract letter is mailed to the new faculty member. If University of Oklahoma Board of Regents’ action is not required, the Senior Vice President and Provost will mail a notice of appointment letter to the new faculty member. IMPORTANT NOTE: Academic units/search committees are required to maintain all records of the search process (including all application materials) for a minimum of three years from the date an appointment is finalized.
J. Certification of Search Process: The search committee chair will provide the Office of Equal Opportunity the name of the individual recommended for appointment. If all of the above steps have been completed satisfactorily, the Equal Opportunity Office will certify the search process to the Provost’s Office as well as the search committee chair. If the position was not filled during the academic year the unit will send an email to the Office of Equal Opportunity to close the search.
K. Request for Recruiting Reimbursement: After the recruiting process is complete, the Faculty Recruiting Costs Reimbursement Check-sheet should be completed by the unit and submitted for reimbursement. Each search is allocated $3,000 to be reimbursed to the units for expenses occurred for recruiting.
REQUIREMENTS FOR TEMPORARY APPOINTMENTS
It is University policy that all employment appointments regardless of classification, rank, or tenure of appointment follow a University approved and published appointment procedure. The options for all faculty appointments (other than promotions) are only two:
1. National Recruitment Procedure itself (Section 3, pages 6-9 of the 2013 Affirmative Action Plan) and
2. Acting, Interim, and Other Temporary Appointments Policy (which follows below).
The National Recruitment Procedure should be used for continuing tenure, tenure-track, and renewable term appointments. The Acting, Interim, and Other Temporary Appointments Policy that follows should be used for temporary, non-tenure-track, and non-ranked renewable term appointments (such as those of instructors; lecturers; research associates, research professors, and visiting, acting, and adjunct faculty) and for temporary administrative appointments (such as interim dean, acting chair, and interim director). Any temporary appointment must be made for a specific and limited time. In addition, any such appointments should be made without regard to race, color, national origin, sex, age, religion, disability, or status as a veteran. Temporary appointments should be made according to the guidelines below (except for staff appointments less than 90 calendar days).
An acting, interim, visiting, non-ranked (lecturer, instructor) renewable term or other temporary appointment may be made (as opposed to tenure track; tenure; or ranked, renewable term faculty appointments), if one of the following five conditions is met:
1. There is not enough time for a search before classes meet.
2. The appointment is for a short period of time, ordinarily no longer than a year, and repeated temporary reappointments are usually not expected. Some lecturers or instructors have renewable terms for up to 5 years.
3. The purpose is to fill a temporary vacancy because of leaves of absence, terminations, or other reasons.
4. The appointment is a special one designed to bring a distinguished individual with special expertise to the campus, ordinarily for only a semester or year.
5. A search was conducted and no candidate for a continuous appointment was found.
The responsibility for recommending an individual to the President and the University of Oklahoma Board of Regents through the usual channels to fill a position on a temporary basis is the responsibility of the officer or authority in the University with the direct responsibility for supervising the position to be filled.
The appointing officer should consider as wide a range of candidates as possible and appropriate to the anticipated period of temporary service, taking into consideration the immediate complexities of the tasks involved and the time available to make a decision. The selection process should basically follow the appropriate employment procedure, either the University's Staffing Plan or the National Recruitment Procedure.
External advertising and monitoring by Personnel Services or the Office of Equal Opportunity is not required. Internal notification to prospective applicants is expected. If an individual filling a regular position on a temporary basis under this policy is a candidate for the position, he or she shall be subject to the same processes and reviews that are applied to other candidates for the position. If a search (either under the University's Staffing Plan or the National Recruitment Procedure) was conducted, and a person from the qualified pool is chosen on an interim basis, that person may be reappointed to the regular position at a later date without an additional search.
POLICY ON INTERNAL SEARCHES
To the extent that budgetary constraints have allowed, the University policy has consistently been to engage in national searches for academic officers (deans, associate/assistant deans) of the University. While internal promotions have been made in this category, it has been with the knowledge that it was an exception to University procedure. Some examples of exceptions are internal promotions made from among eligible faculty who would retain their faculty status while concurrently serving in an academic administration role on a part-time basis, reorganization that eliminates the former position of the person selected, and targeted internal promotion to appoint an exceptionally qualified candidate as an academic administrator, etc.
Whenever an internal search is being considered for associate/assistant deans or endowed chairs, the dean of the college should send a formal request to the Senior Vice President and Provost. The request for internal search must contain the following information in a cover memo with the Provost Regular Faculty Recruiting
1. Description of the duties of the position including whether it is part-time or fulltime.
2. Minimum qualifications required to be eligible for consideration.
3. Brief description of the screening and selection process including criteria for screening.
4. Justification for the internal search should include reasons for not conducting a national search; the impact on recruiting a potentially diverse set of applicants; the record of the college/unit on recruiting individuals that bring additional perspectives to the University’s research, teaching and service missions; and any data to support the internal search, such as University and national data on eligible women, members of minority groups, protected veterans, and individuals with disabilities, as well as from others who would bring additional perspectives to the University’s teaching, research and service missions.
5. A copy of the position description that will be sent to all faculty who may be
HIRING OF FACULTY MEMBERS WHO ARE NOT UNITED STATES CITIZENS
At the request of the United States Bureau of Citizenship and Immigration Services (formerly Immigration and Naturalization Service), we have centralized all University contacts with the BCIS concerning faculty and staff. Routine contacts are handled by Adam Tolfer, Alternating Responsible Office, International Faculty/Staff Advisor (NEL 205, phone 325-4010). Responsibility for coordinating with the Office of Legal Counsel rests with Associate Provost Greg Heiser. Criteria for noncitizens in the candidate pool should be identical to those for citizen candidates.
Any concerns about visas or other immigration issues that arise for a noncitizen candidate will be handled by the above offices and should not be raised with the candidate or otherwise considered during the search, except that clearance to work in the United States may be noted as a requirement of the position. Whenever considering recommending a faculty appointment (either tenure-track or non-tenure track) for a noncitizen, please contact Mr. Tolfer before making any commitments and as much in advance as possible to discuss the situation and to determine the best way to proceed. The complexity of immigration laws and the uniqueness of each situation require individual review before any commitments are made to the prospective faculty member about what the University can do to assist with immigration and naturalization matters. We will do everything we can to help.
Immigration law and BCIS agency procedures are complex and rapidly changing. Because of this and the special circumstances of each case, it is crucial for any new international appointee to contact Mr. Tolfer and provide all requested information and documents promptly. The University will be responsible for its legal duties as an employer, but in all cases the basic responsibility for complying with immigration laws must rest with the individual to whom the offer is being made. The University will help in any way it can and will work carefully to see that we as an institution carry out our responsibilities in accordance with the law. This is essential if we are to continue to be able to secure truly outstanding faculty.
POLICY ON FACULTY TO BE RECOMMENDED FOR TENURE UPON INITIAL APPOINTMENT
Academic units should work with the deans to notify them as expeditiously as possible of faculty being recommended for tenure upon initial appointment. The normal routing procedure is:
1. Faculty or Search Committee
2. Departmental Committee A (if applicable)
4. College Committee A (if applicable)
5. Dean’s Advisory Committee (if applicable)
7. Senior Vice President and Provost
9. University of Oklahoma Board of Regents
The materials forwarded to the dean for such appointments should include all letters of recommendation information secured during the search process. To the extent possible, there should be evidence of effective teaching and evaluations from external distinguished individuals qualified to evaluate the candidate's research, scholarship, and creative activities. Each academic unit and college may stipulate what additional information, if any, beyond the standard materials compiled by the search committee, to include in a recommendation to appoint with tenure.
All such materials, in addition to the letters of recommendations, should be forwarded to the dean, who, in turn, will transmit them to the Senior Vice President and Provost. The dean is responsible for ensuring that the search procedure produces the information required an informed decision to appoint with tenure. As with other tenure recommendations, the Senior Vice President and Provost can go back to a unit for additional information about faculty being recommended for tenure with initial appointment.
Initial appointment with tenure: The material accompanying the college “CAS Request for Appointment” form for a new hire with tenure must include the candidate’s CV, all letters of recommendation received, and a record of the unit’s vote for the tenure recommendation. Please use the “Summary of Recommendation Concerning Tenure” form that is used to document the tenure votes in the regular tenure process. Units must also secure and store information used to assess the quality of the candidate’s teaching and research. The submission of a separate tenure dossier will no longer be required for faculty hired with tenure.