Effective as of: 08.24.2022
Policy for Publication
Policy Number: PRES2022X
This policy, “Annual Review of Executive Leaders and Senior Academic Leaders” covers three categories of Leaders, i.e., Provost, Vice Presidents, and Deans (Senior AUA Leaders). Reviews for all other AUA academic and staff positions should be conducted using the University’s “Faculty Evaluations” Policy and “Job Performance Evaluation” Policy respectively.
Purpose of the Review
The focus of the Annual Review shall be on setting performance goals and monitoring the achievements of Senior AUA Leaders towards meeting these goals. The Annual Review shall identify areas of high performance as well as areas of performance that require improvements. Performance appraisal of Senior AUA Leaders is intended as a means of measuring and enhancing individual and, in turn, institutional performance, fostering professional development and career growth and meeting internal and external requirements for documentation of individual performance.
Annual Reviews shall include self-assessment and feedback guided by these examples of suggested criteria for inspiration:
- Commitment to university mission, vision, and values;
- Accountability and Governance;
- People Management;
- Creativity and Innovation;
- Interpersonal and Communication Skills;
- Work Productivity and Quality;
- Diversity and Inclusion;
- Principle and Community;
- Resource Management and Financial Budget;
- Client Service;
- Health and Safety;
- Manager Comments.
The President or Provost responsible for conducting evaluation shall base their assessment on the following information
- Self-assessment of the Senior AUA Leader based on an annual goals statement;
- Interviews gathered from individuals who work with the Senior AUA Leader;
- Information gathered from external constituents, as appropriate;
- The President’s or Provost’s own assessment of the Senior AUA Leader’s performance.
Conduct of the Review
At the start of a new academic calendar each Senior AUA Leader (Provost, Vice President, and Deans) shall establish goals and a performance plan for the period, September-August. The strategic goals of the University, and its mission, vision and values provide the framework for these goals. The President or Provost shall review and adjust the goals as necessary. The President or Provost conducting the review has the final responsibility for setting performance goals and plans but will do so in consultation with the individual being reviewed.
At the end of the specific academic calendar for review, May-June, the Senior AUA Leaders undergoing review shall submit to the President or Provost a summary of accomplishments (self-assessment) towards meeting the annual performance plan as well as other significant achievements. The President or Provost and the Senior AUA Leader undergoing review shall jointly develop a list of peers, employees whom they supervise, or other appropriate internal or external references from whom the President or Provost shall elicit comment. The reviewer may solicit further input from individuals not included on that list.
The President or Provost shall prepare written feedback of the Senior AUA Leader based on the Content of the self-assessment and outlook for next academic calendar as specified above. For review of Vice Presidents and Deans, no standardized form shall be used to present the review; The President or Provost will write the review feedback and outlook in the form of a memorandum.
The President or Provost shall meet, review, and sign the written review feedback and outlook with the Senior AUA Leader being reviewed no later than September 1 each year.
Timeline for the Annual Review, Academic Year Schedule
Adherence to the following calendar is an essential element of this policy. All Leaders shall be held accountable to complete the steps by the appropriate date.
Year 1 (September 15, 2022):
The Senior AUA Leader works with the President or Provost to prepare a written statement of goals for the year, to be completed by July 1 of the following year. For a newly hired Senior AUA Leader, the goals statement shall be completed within 30 days of the beginning date.
Yearly steps in the Annual Review of Senior Leaders at AUA:
I. Late May to mid-June:
The President or Provost shall work with the Senior AUA Leader under review to identify peers and employees s/he supervises who will contribute information for the President or Provost to use in the review. The review may solicit further input from other individuals.
II. By July 1:
The Senior AUA Leaders undergoing review shall prepare a brief written statement of achievements and outlook for the next academic year. The President or Provost shall complete the gathering of input for the review.
III. By July 31:
The President or Provost shall develop the final written narrative feedback on past academic year performance and next academic year outlook of preliminary list of goals, and deliver it to the Senior AUA Leader undergoing Annual Review.
IV. By September 1:
The President or Provost shall meet with the Senior AUA Leader to discuss the Annual Review. Both parties to the review shall sign and date it. One copy shall remain with the President or Provost, one with the Senior AUA Leader, and one shall be placed in the Personnel file.