Periodic Review of the Deans

Definition:It is the policy of CSU San Marcos to conduct a Periodic Review of the Deans in their third year of initial appointment and thereafter at intervals no greater than five years. The Provost and Vice President for Student Affairs shall coordinate the Periodic Reviews of Deans who report to them.
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 Deans," covers Deans. These categories of Senior Administrators also are subject to "Annual Review." See policy "Annual Review of Provost, Vice Presidents, and Deans" for further details.
Responsible Division:Office of the President
Approval Date:02/07/2011
Implementation Date:02/07/2011
Originally Implemented:02/07/2011
Signature Page/PDF:View Signatures for Periodic Review of the Deans Policy


Procedure

I.    Policy

It is the policy of CSU San Marcos to conduct a Periodic Review of the Deans in their third year of initial appointment and thereafter at intervals no greater than five years.  The Provost and Vice Presidents shall coordinate the Periodic Reviews of Deans who report to them.  Periodic Reviews shall include the opportunity for substantial input and consultation of faculty, staff, and students. This policy, "Periodic Review of Deans” covers these categories of senior administrators.  No other MPP staff shall be subject to Periodic Review.  The Provost and Vice President for Student Affairs shall conduct Periodic Reviews of Deans who report to them.

The Deans also are 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 Dean’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. 

The Periodic Review is separate from the Annual Review and replaces the Annual Review for the year. 

III.    Criteria and Content of the Reviews

The Periodic Review shall include an evaluation of Dean’s full range of responsibilities, with particular emphasis on leadership and managerial effectiveness.  Whereas the Annual Review focuses on achievement of specific goals and short-term objectives, the assessment of performance shall focus on longer term planning and achievement of goals based on the strategic goals of the Senior Administrator’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 Dean.  Information gathered from individuals who work with the Dean.  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 Vice President for Student Affairs shall determine which of the Deans 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 Vice President for Student Affairs will send copies of these letters 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 Vice President for Student Affairs shall appoint a Periodic Review Committee of seven persons to assist him or her in conducting the Dean’s review.  The committee will be constituted as follows:

a)    Academic Affairs (Deans of Colleges and the Library):
  • Three faculty members from the Dean’s college/unit.
  • One Department Chair (or equivalent) from the Dean’s college/unit, if applicable.
  • One Dean, Associate Dean, or Director from another college/unit.
  • One staff member from the Dean’s college/unit.
  • One student.

b)    Academic Affairs (IITS, Extended Studies, Other Deans):
  • Two faculty members from an associated unit.
  • One senior level manager from the unit, if applicable.
  • One Dean, Associate Dean, or senior level manager from another college/unit.
  • Two staff members (one of whom could be a senior level manager) from the Dean’s unit.
  • One student.

c)     Dean of Students:
  • One faculty member who works with the Dean.
  • One senior level manager from Academic and Student Affairs.
  • Two staff members from Academic and Student Affairs.
  • Two students.
  • One member appointed by the Vice President for Student Affairs

3.    The Provost or Vice President for Student Affairs shall appoint the Committee Chair.

4.    The individual scheduled for review shall provide the Provost or Vice President for Student Affairs with:

a)    A description of current responsibilities (which the Provost or Vice President for Student Affairs must approve and sign).
b)    A brief statement regarding goals and accomplishments within his or her areas of responsibility since the last review.
c)    The names of individuals that he or she wishes to be included among those interviewed. 
d)    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 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 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 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:

a)    Conduct the review in strict adherence to the confidentiality appropriate to personnel matters.
b)    Meet with the Dean they are reviewing to discuss the responsibilities of his or her position and the procedures to be employed in the review.
c)    Systematically gather information regarding the individual’s performance by means of a questionnaire designed for the purpose.
d)    Interview appropriate faculty, staff, students, other campus administrators, and members of the external community. 
e)    Consider other unsolicited, signed comments relevant to the performance.
f)       Consider the material provided by the Dean.
g)    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.
h)    Provide three copies of the report – one for the Provost or Vice President for Student Affairs, one for the Provost or Vice President for Student Affairs to forward to the individual being reviewed, and one for the Provost or Vice President for Student Affairs to submit to Human Resources & Equal Opportunity for placement in the individual’s official personnel file.
i)       Meet with the Provost or Vice President for Student Affairs to discuss the report.
j)       Relative to the Dean of Students’ periodic review, the Vice President for Student Affairs shall provide a copy of the report to the Provost.

7.    Following receipt of the report and the meeting with the Review Committee, the Provost or Vice President for Student Affairs shall meet with the Dean within 45 days to discuss the report.

8.    After the meeting with the Dean to discuss the review, the Provost or 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 Vice President for Student Affairs will forward the committee report and their review to the Dean’s personnel file. The Provost or Vice President for Student Affairs will forward all additional supporting documentation of the periodic review to Human Resources & Equal Opportunity, where it will be archived in confidential files for an appropriate time period, and then destroyed.

V.    Announcement

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

By October 1:

The Provost, or 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 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 Vice President for Student Affairs coordinating the review.

By April 15:

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