Periodic Review of the Provost and Vice Presidents

Definition:It is the policy of CSU San Marcos to conduct a Periodic Review of the Provost and Vice Presidents in their third year of initial appointment and thereafter at intervals no greater than five years. The Office of the President shall coordinate the Periodic Review for Vice Presidents.
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 Provost and Vice Presidents," covers the Provost and Vice President. 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 Provost and Vice Presidents Policy


Procedure

I.    Policy

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

The Provost and Vice Presidents 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 Provost’s or Vice President’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 the Provost’s or Vice President’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, or State, regional and national higher education. 

General criteria for consideration of leadership and management effectiveness, as well as the operations and conditions of the respective division include, but are not limited to:  

Leadership and Management:  Acts as a change champion. Builds competence in others through effective coaching, performance management and mentoring.  Provides clear direction. Leads courageously by addressing difficult issues.  Supports and moves new initiatives forward.  Facilitates an environment that motivates, empowers, and inspires commitment from employees.  Demonstrates commitment to creating and sustaining a diverse and inclusive workforce.  Creates and implements methods for improving individual and team performance.  Builds effective teams committed to organizational goals.  Fosters collaboration.  Creates an environment in which employees are recognized for their accomplishments and contributions to the success of the team.  Supports and encourages professional and career development for employees.  Understands the university’s mission and vision and how the department/division work activities and goals support the mission.  Identifies current and future challenges and proposes effective solutions.  Determines, effectively allocates, and coordinates resources.

Strategic Planning:  As a strategic partner, recommends, creates, and implements long and short term strategic plan goals and operational plans for Community Engagement.  Ensures that division goals align with and support the overall mission of the university.  Motivates and encourages commitment to achievement of strategic plans.  Effectively communicates the strategic initiatives.  Accomplishes strategic goals for the division.

University/Community Partnership:  As a member of the campus community, ensures a community focused strategy to support the university’s mission.  Recognizes the importance of collective strength, knowledge, and information.  Builds effective strategic alliances internally and externally.  Initiates and develops strong working relationships with community.  Demonstrates commitment to diversity. Collaborates with business partners in the achievement of university goals that support the university’s mission.  Actively solicits and acts upon feedback.  Identifies and anticipates community needs.  Develops and implements solutions. Successful negotiates through persuasion.  Gains support and commitment from others.  Takes the necessary measures to solicit and influence internal and external support.

Functional Oversight/Management: Oversees the effective management of administrative/functional area over which the position is responsible. 

Major Achievements of the Division and Provost or Vice President:


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

  • A 3-5 page reflective essay and self-assessment prepared by the Provost or Vice President. 
  • The President will request factual information from appropriate sources and will issue an “open letter” to the campus to inform of the review, the time frame and criteria as outlined above.  The letter will invite participation.  Petitions and unsigned letters will not be considered.  
  • Information gathered via interviews from individuals who work with the Provost or Vice President. 
  • Information gathered regarding the individual’s performance by means of interviews with faculty, staff, students, other campus administrators or members of the external community and review of appropriate written materials. 
IV.    Conduct of the Review

A.        Provost/Vice Presidents

1.    The President shall determine if the Provost or a Vice President shall undergo Periodic Review during each academic year and shall inform them via letter.  The President will send copies of these letters to the Chair of the Academic Senate and the President of the Associated Students, Inc.

2.    The President shall appoint a Review Advisory Committee composed of up to seven persons to assist in the conduct of the Periodic Review.  The committee will include an administrator, a direct report (AVP, Dean, Director), faculty, staff from the respective division, and may include an external individual.  For the Vice President for Student Affairs, the committee shall include a student.  For the Provost, the committee shall include one department chair.  The President shall appoint the committee chair. 

3.    The individual scheduled for review shall provide the President with:

a)    A description of current responsibilities (which the President or designee must approve and sign).
b)    A 3-5 page reflective essay and assessment of goals and accomplishments within his or her areas of responsibility since appointment or the last Periodic Review.
c)    The names of twenty five individuals, including faculty, administrators, staff, students and community as appropriate that he or she wishes to be included among those directly contacted or interviewed. 

4.    The President will issue a letter to the individuals identified, and others who may have working relationships with the respective Provost or Vice President, requesting comments with respect to the criteria outlined in Section III. 

5. The President will issue an “open letter” to the campus to inform of the review and criteria.  The letter will invite comments with respect to the criteria outlined in Section III.

6. Questionnaires or other survey instruments will not be used. 

7.  The President will meet with the Review Advisory Committee to describe appropriate policies and procedures for conduct of the review, discuss the criteria, and specify the date for completion.  At this meeting, the President shall transmit to the committee the materials provided by the individual being reviewed and the letters/comments received.

8.    The Review Advisory Committee shall:

a)    Conduct the review in strict adherence to the confidentiality appropriate to personnel matters.
b)    Meet with the Vice President/Provost they are reviewing to discuss the responsibilities of his or her position and the procedures to be employed in the review.
c)    Review the letters and comments received.  
d)    Interview faculty, staff, students, other campus administrators, and members of the external community, as appropriate from the list provided by the Vice President/President. 
e)    Read and consider the material provided by the Vice President/Provost.
f)    Analyze all information received regarding the individual’s performance and prepare a written confidential report which:
  • Summarizes the committee’s findings
  • Comments on the individual’s outstanding achievements and performance
  • Includes a summarized list of those interviewed (e.g. numbers of faculty, staff, students, administrators and/or members of the external community.
g)    Meet with the President to discuss the report.
h)   Provide the President with three copies of the report – one for the President, one for the President to forward to the individual being reviewed, and one for the President to forward to Human Resources & Equal Opportunity for placement in the individual’s official personnel file.

9.    Following receipt of the report and the meeting with the Review Advisory Committee, the President shall meet with the Vice President/Provost within 45 days to discuss the report and present a written review, and afford the Vice President/Provost the opportunity to make a written response

10.    After the meeting with the Vice President/Provost to discuss the review, the President will notify the committee that the meeting occurred.  Any recommendations for improvement will become part of the goals for the following year’s annual review.

11.    The President will forward the committee report and the President’s review to the VP’s/Provost’s personnel file. The President 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 President 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 (Provost/Vice President) 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.