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Periodic Review of the Deans and the Vice Provost Policy

Definition:It is the policy of CSU San Marcos to conduct a Periodic Review of the Deans and the Vice Provost in their third year of initial appointment and thereafter at intervals no greater than five years. The Provost and the Vice President for Student Affairs shall coordinate the Periodic Reviews of their respective Deans and the Vice Provost. The Provost shall have the authority to delegate responsibility for conducting the review to the Vice Provost for the Deans who report to him/her.
Authority:California Code of Regulations, Title V, Article 2.2, "Management Personnel Plan," governs the policy for evaluation of all MPP staff. Changes to this policy require authorization and approval by the President or his/her designee.
Scope:This policy, "Periodic Review of the Deans and the Vice Provost," covers all Deans and the Vice Provost. These categories of Senior Administrators also are subject to "Annual Review." See policy "Annual Review of Provost, Vice Presidents, Vice Provost and Deans" for further details.
Responsible Division:Office of the President
Approval Date:08/30/2016
Originally Implemented:02/07/2011
Signature Page/PDF:View Signatures for Periodic Review of the Deans and the Vice Provost Policy Policy


Notes

I. POLICY

It is the policy of CSU San Marcos to conduct a Periodic Review of the Deans and the Vice Provost in their third year of initial appointment and thereafter at intervals no greater than five years.  The Provost and the Vice President for Student Affairs shall coordinate the Periodic Reviews of their respective Deans and the Vice Provost (hereafter referred to as “MPPs”).  The Provost shall have the authority to delegate responsibility for conducting the review to the Vice Provost for the Deans who report to him/her. 

Periodic Reviews shall include the opportunity for substantial input and consultation of faculty, staff, and students. This policy, "Periodic Review of the Deans and the Vice Provost” covers these categories of senior administrators.  Executive-level administrators are subject to the “Periodic Review of the Provost and Vice Presidents Policy and Procedures.”  No other administrators in the Management Personnel Plan (MPP) shall be subject to Periodic Review. 

The MPPs subject to a periodic review are also subject to Annual Review each year except when undergoing periodic review; when conducted, the Periodic Review will also serve as the Annual Review. 

II. PURPOSE OF THE REVIEW

The Periodic Review focuses on examining the MPP’s long-term contributions toward fostering the mission, vision, and values of the institution.  The Periodic Review also shall examine the career growth of the individual and outline areas of future contribution to the University and higher education.  

III. CRITERIA AND CONTENT OF THE REVIEWS

The Periodic Review shall include an evaluation of the MPP’s full range of responsibilities, with particular emphasis on leadership and managerial effectiveness.  Whereas the Annual Review focuses on the achievement of specific goals and short-term objectives, the assessment of performance in the Periodic Review shall focus on longer term planning and achievement of goals based on the strategic goals of the MPP’s area of responsibility.  The Periodic Review should examine the growth in responsibilities, leadership, and contribution to the campus, CSU system, State, regional and national higher education.

The Review Committee responsible for conducting the Periodic Review shall base their assessment on the following information:

A self-assessment prepared by the MPP undergoing periodic review.  Information gathered from individuals who work with the MPP.  Information and opinions gathered systematically regarding the individual’s performance by means of questionnaires, interviews and review of appropriate written materials.  Consultation with faculty, staff, students, other campus administrators and members of the external community.

IV. CONDUCT OF THE REVIEW

  1. The Provost or the Vice President for Student Affairs shall determine which of the MPPs reporting to them shall undergo Periodic Review during the current academic year and shall inform the individual(s) in writing prior to the start of the fall semester.  The Provost or the Vice President for Student Affairs will send copies of the notification memo(s) to the President, to the Chair of the Academic Senate, and to the President of the Associated Students, Inc.
  2. After consultation with the President and the Chair of the Academic Senate, the Provost or the Vice President for Student Affairs shall appoint a Periodic Review Committee to assist him or her in conducting the review.  The committee will be constituted as follows:
    1. Academic Affairs (Vice Provost)
      • Three faculty members.
      • One senior level manager from the Vice Provost’s unit.
      • One Dean, Associate Dean, or senior level manager from a unit external to the Vice Provost’s unit.
      • One staff member from the Vice Provost’s unit (may be administrator level).
      • One student.
    2. Academic Affairs (Deans of Colleges):
      • Three faculty members from the Dean’s college.
      • One Department Chair (or equivalent) from the Dean’s college.
      • One Dean, Associate Dean, or Director from a unit external to the Dean’s college.
      • One staff member from the Dean’s college.
      • One student.
    3. Academic Affairs (Dean of the University Library):
      • Three faculty members from the University Library, one of whom shall be a Unit Head or equivalent.
      • Two faculty members from the academic colleges.
      • One Dean, Associate Dean, or Director from a unit other than the University Library.
      • One staff member from the University Library.
      • One student.
    4. Academic Affairs (Dean in a unit other than a college/library):
      • Two faculty members.
      • One senior level manager from the Dean’s unit, or another unit in Academic Affairs where no one is available in the Dean’s unit.
      • One Dean, Associate Dean, or senior level manager from a unit external to the Dean’s unit.
      • Two staff members (one of whom could be a senior level manager) from the Dean’s unit.
      • One student.
    5. Student Affairs (Dean of Students):
      • One faculty member.
      • One senior level manager from Student Affairs.
      • Two staff members from Student Affairs.
      • Two students.
      • One member appointed by the Vice President for Student Affairs.
  3. The Provost or the Vice President for Student Affairs shall appoint the Committee Chair.
  4. The individual scheduled for review shall provide the Provost or the Vice President for Student Affairs with:
    1. A description of current responsibilities (which the Provost or the Vice President for Student Affairs must approve and sign).
    2. A brief statement regarding goals and accomplishments within his or her areas of responsibility since the last review.
    3. The names of individuals whom he or she wishes to be included among those interviewed. 
    4. A list of individuals (at least five) including contact information, who are able to address contributions to regional/state/national endeavors.
  5. After the Provost or the Vice President for Student Affairs has given written notification to committee members of their appointment, he or she shall initiate the review by meeting with the Review Committee.  The Provost or the Vice President for Student Affairs will charge the Review Committee, review appropriate policies and procedures for conduct of the review, and specify the date for completion.  At this meeting, the Provost or the Vice President for Student Affairs shall transmit to the Review Committee the materials provided by the individual being reviewed. 
  6. The Periodic Review Committee shall:
    1. Conduct the review in strict adherence to the confidentiality appropriate to personnel matters.
    2. Meet with the MPP they are reviewing to discuss the responsibilities of his or her position and the procedures to be employed in the review.
    3. Systematically gather information regarding the individual’s performance by means of a questionnaire designed for the purpose.
    4. Interview appropriate faculty, staff, students, campus administrators, and members of the external community. 
    5. Consider other unsolicited, signed comments relevant to the MPP’s performance. Anonymous comments shall not be considered.
    6. Consider the material provided by the MPP undergoing review.
    7. Analyze all information received regarding the individual’s performance and prepare a written report which:
      • Summarizes the committee’s findings
      • Evaluates the individual’s performance
      • Recommends steps, as needed, to improve the individual’s performance
      • Includes a summarized list of those interviewed (e.g. numbers of faculty, staff, students, administrators and/or members of the external community).
    8. Provide three copies of the report: one for the Provost or the Vice President for Student Affairs; one for the Provost or the Vice President for Student Affairs to forward to the individual being reviewed; and, one for the Provost or the Vice President for Student Affairs to submit to the Office Human Resources (OHR) for placement in the individual’s official personnel file.
    9. At the discretion of the Committee or the Provost or the Vice President for Student Affairs, a meeting with the Committee may be convened to discuss the report.
  7. Following receipt of the report and, if scheduled, the meeting with the Review Committee (see IV.6.i. above), the Provost or the Vice President for Student Affairs shall meet with the MPP within 45 days to discuss the report.
  8. After the meeting with the MPP to discuss the review, the Provost or the Vice President for Student Affairs will notify the committee that the meeting occurred. Any recommendation for improvement will become part of the goals for the following year’s annual review.  
  9. The Provost or the Vice President for Student Affairs will forward the committee’s report, along with a cover memo that includes a statement that the Periodic Review also serves as the Annual Review for that year, signed by both the MPP and the Provost or the Vice President for Student Affairs, to OHR for placement in the MPP’s personnel file. The Provost or the Vice President for Student Affairs will forward all additional supporting documentation of the Periodic Review to OHR, where it will be archived in confidential files for an appropriate time period, and then destroyed.

V. ANNOUNCEMENT

The Provost or the Vice President for Student Affairs will make an announcement to the MPP’s unit as follows:

The Periodic Review of (name) has been completed.  I would like to thank the Periodic Review Committee and everyone who participated in the review for their contributions to the university in providing this valuable service.  I congratulate (name) on her/his continuing success as (Dean or Vice Provost) and look forward to her/his leadership in meeting the goals we established at the end of the review process.

No other announcement or mention of specific accomplishments or goals will result from the review process.

VI. TIMELINE FOR EXTENDED REVIEW, ACADEMIC YEAR SCHEDULE

By September 1:

The Provost or the Vice President for Student Affairs will inform the Dean or the Vice Provost in writing that a Periodic Review shall be conducted.

By October 1:

The Provost or the Vice President for Student Affairs will appoint the Review Committee and its Chair. 

By October 15:

The Provost or Vice President for Student Affairs will convene and charge the Review Committee.

The Dean or the Vice Provost undergoing review will provide the required materials to begin the review.

By the end of Fall Semester:

The Review Committee will have completed the information gathering process.

By March 1:

The Review Committee will deliver their report to the Provost or the Vice President for Student Affairs coordinating the review.

By April 15:

The Provost or the Vice President for Student Affairs will meet with the Dean or the Vice Provost to discuss the report.



Procedure