[Date changed–posted 8/10/16 (replaces 7/11/12 edition)]
Operating Policy and Procedure
OP 32.37: Fifth-Year Review of Deans
DATE: August 10, 2016
PURPOSE: The purpose of this Operating Policy/Procedure (OP) is to provide guidelines for the fifth-year comprehensive performance evaluation of deans by the provost.
REVIEW: This OP will be reviewed in July of even-numbered years by the Senior Vice Provost with recommended revisions presented to the Provost and Senior Vice President (PSVP).
1. In addition to an annual performance conference with the PSVP (OP 32.03, section 3.a.), each academic dean shall have a comprehensive review not more than five years after the initial appointment or the most recent reappointment, or whenever in the judgment of the PSVP such a review is deemed necessary. The five-year review (commencing in the fall of the fifth year) will constitute a broader and more formal review than the annual review. This OP is intended to provide procedures whereby an assessment can be made of the accomplishments of the dean and the college/unit led by the dean and balance the assessments of past performance with recommendations that may improve the quality of administration or of the unit.
2. Prior to commencing the review process, the PSVP and president will inform the dean if they are interested in considering the dean for reappointment. The dean should also inform the PSVP and President if he/she is interested in reappointment. If the answer is no to either proposition, then a comprehensive review for reappointment is not needed.
3. Prior to commencing with a review, the PSVP will meet with the dean to clarify procedures and answer questions the dean may have about the impending review. The PSVP will subsequently develop a plan for the review, which will take one of the following three courses based on the best interests of the college/unit and the university:
a. A limited review with selected key constituents conducted by the PSVP;
b. A more formal process as outlined section 4 below; or
c. A combination of a. and b. The choice of option a, b, or c is not meant to signal a specific anticipated outcome or concerns about the operation of the college/unit.
4. When option b is the selected course, the PSVP will form a review committee with a membership usually in the range of seven to nine members. The PSVP will solicit nominations for committee membership from the faculty and staff of the college/unit and from the other deans. The chair of the committee will be from outside the dean's college/unit and will be appointed by the Provost. The committee shall include at least one department chair or area director, one student from the dean's college or unit, and at least one faculty or staff member from outside the dean's area. The remaining three to four appointees will be from the dean's own college.
5. The PSVP will ask the dean to prepare a statement for the committee to address these items:
a. A description of his/her responsibilities;
b. A summary of the principal accomplishments over the period since the last review or initial appointment and how these accomplishments mesh with the unit's and the university's strategic priorities;
c. A brief report on major plans and challenges for the next three to four years;
d. A list of up to 10 names of individuals, local and national, who are familiar with the dean's work as dean;
e. College/unit annual reports for each of the five years; and
f. Other information as needed.
This document will form the initial working document for the review committee.
6. The committee will meet initially with the PSVP to review the charge. The dean's statement will be provided to each committee member, and copies of the annual reports will be provided in the Provost's Office for each committee member to consult, as convenient. The principal charge to the committee will be to prepare for the PSVP a report on the performance of the dean and of the college/unit under the dean's leadership. The report should not be lengthy and should be designed to address three questions:
a. What accomplishments, administrative or programmatic, over the past five years are most significant?
b. What present challenges to the college/unit appear most significant or deserving of attention?
c. What recommendations can be offered to the dean and PSVP regarding administrative style, policies, or procedures to improve unit performance and administration?
7. The committee will determine its own procedures but also must include input from:
a. department chairs or area directors, where appropriate;
b. the dean's immediate staff;
c. university administrators who have working relationships with the dean;
d. a sample of faculty and staff leaders in the college or unit; and
e. student groups affiliated with the unit.
The committee shall also establish some form of reporting from chairs of college/unit committees, general faculty and staff, and, where appropriate, alumni and other external constituencies. Individual forms, surveys, letters, notes, and other raw data should not be part of the review committee's report to the PSVP. The committee shall submit within 90 days from its initial meeting a concise and focused report addressing the three questions from section 6 above and making such recommendations as the committee considers appropriate. Strict confidentiality will be observed.
8. The committee will meet with the PSVP to review and clarify points in the report, as needed. Following the meeting with the review committee and a follow-up session with representative faculty (to discuss the dean's and the college/unit's performance during the past five years), a copy of the report will be provided to the dean. The PSVP will meet with the dean to discuss the contents of the report and consideration of changes, if any, to be made. The review committee's report and the dean's written response to the report will be used by the PSVP to consult with the President regarding reappointment. Reappointment or alternative decisions (e.g., reappointment for a shorter term or non-reappointment) shall be the collective decision of the PSVP and the President, possibly following consultation with the review committee. The PSVP will report to the faculty of the college/unit involved, summarizing results of the review, within 30 days of receiving the report.
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