GUIDE TO FACULTY PERFORMANCE,ASSESSMENT AND DEVELOPMENT

ALIGNING PERFORMANCE WITHFACULTY PROGRESSION AND PROMOTION

Supportfacultyprogression

andpromotion

Provideconsistency

acrossCollege

Leveragefacultystrengthsto

supportmissionandstrategicplanning

Enhancefacultysatisfactionthrough

engagement

AligneffortsacrossCollege Support

continuousquality

improvementwithdata

Supportfacultydevelopment

throughtailoredinitiatives

Meetrequirementsof

accreditors

FACULTY SURVEY RESULTS

91%OFFACULTYAGREEDANNUALFEEDBACKISIMPORTANTTheresultsindicatedthatFacultymemberswere:§ notsatisfiedwithqualityofcurrentfeedback.

§ notsatisfiedwithfrequencyofcurrentfeedback.

§ notsatisfiedwithprofessionaldevelopmentopportunitiesavailableatBaylor.*

*Datafrom2014FacultySatisfactionSurvey

Inresponse,theperformanceassessmentandplanningprocess:§ providesopportunitiesforannualfeedback.§ measurespastperformanceagainstexpectations.

§ identifiesareasofsuccessandactionsneededtoimproveresultsand/orbehaviors.

§ facilitatesadiscussionaroundcareerprogression.

§ createsanoutlettodiscussandsetnextyear’sgoals.

§ enhancesfacultysatisfactionthroughengagement.

EVALUATION PROCESS

HIGH LEVEL PROCESS•Prepopulatefacultydata

•Plangoals•Reportresults

FormPreparation

•Completeselfassessment

•AttachupdatedCV

FacultySelf-evaluation •Assessfaculty

performance

EvaluatorReview

•Reviewperformance

•Discussfacultycareerplanning

•Developnextyear’sgoals

FacultyandEvaluatorMeeting •Providetraining

and developmentopportunitiesinresponsetoevaluations

FacultyDevelopmentResources

Outcomes

• Beforemeeting,evaluatorsandfacultymembersshouldknow:• expectations,goals,andcompetenciesforthenextyear.• wherethefacultymemberstandsinthepromotionprocessandwhatheorshemustachievetoreachthedesiredrank.

• howevaluatorandfacultymembermaysupporteachothertoaccomplishpersonalandorganizationalgoals.

• Processanddiscussionisdesignedtopromoteabetterworkingrelationshipbetweentheevaluatorandfacultymember.

• Facultymembershouldfeelthatsheorhehasreceivedqualityfeedback.

Beforemeeting,evaluatorsandfacultymembersshouldknowthefollowing.§ Expectations,goals,andcompetenciesforthenextyear.

• Wherethefacultymemberstandsinthepromotionprocessandwhatheorshemustachievetoreachthedesiredrank.

• Howevaluatorandfacultymembermaysupporteachothertoaccomplishpersonalandorganizationalgoals.

§ Processanddiscussionisdesignedtopromoteabetterworkingrelationshipbetweentheevaluatorandfacultymember.

§ Facultymembershouldfeelthatsheorhehasreceivedqualityfeedback.

SECTIONS OF NEW EVALUATION FORMIntroductionFacultyInformationCVSubmissionPart1:Performance GoalsPart2: CompetenciesPart3: OverallPerformancePart4:FacultyCareerPlanningPart5:FacultyDevelopmentandEngagementPart6:ActionPlanPart7:CommentsandSignatures

FACULTY MEMBER’S ROLE IN EVALUATION

FACULTY MEMBER’S ROLE IN EVALUATION§ UpdateyourCV.§ Knowyourgoals.§ Provideanhonestself-evaluation.

• Givecontextfortheleveltowhichyourgoalshavebeenachieved.• Giveexamplesofhowyouachievedgoalsordemonstratedcompetencybehaviors.

§ Thinkaboutyourcareerandanyquestions/concernsyoumayhavetodiscusswithyourevaluator.

§ Bereceptivetopositiveandnegativefeedbackfromyourevaluator.

§ Identifyareastoimprove.§Workwithevaluatortosetnextyear’sgoals.

§ Identifyresourcesandsupportneededforongoingsuccess.

EVALUATOR’S ROLE IN EVALUATION

EVALUATOR’S ROLE IN EVALUATION§ Documentfacultymember’sperformanceoutcomesinaconsistent,objective,thorough,fair,andclearmanner.

§ Provideoverallassessmentandrating.§ Provideconstructive,actionablefeedbackwhenmeetingwithfacultymember.

§Workwithfacultymembertoidentifygoalsandgrowthopportunitiesfornextyear.

§ Helpfacultymemberidentifyandobtainresourcesandsupportneededforongoingsuccess.

GOAL PLANNING

BENEFITS OF GOAL PLANNING“IFYOUFAILTOPLAN,

YOUAREPLANNINGTOFAIL.”BenjaminFranklin

§ Fosterstransparencybyestablishingexpectationsandsettingpriorities.

§Monitorsprogresstowardachievementofobjectives—whichallowsforcoursecorrections,feedbackormentoringwhenneeded.

§ Promotesinteractionsbetweenfacultymembersanddepartmentleadershiptoalignfacultymembers’activitiesanddepartmental/institutionalgoalswithindividualcareerprogression.

Reality Expectations

SMARTGOALSSMARTgoalsaremeanttoberealistictargetsforfacultymemberstoreachonaregularbasis,orovertheannualcycle.Objectivesarewritteninanactivetenseandusestrongverbslikeplan,write,conduct,produce,etc.,ratherthanlearn,understand,or feel.

§ Time-orientedobjectiveshavedeadlinesforcompletion.

§ Thedeadlines,justaswithoverallobjectives,mustbeachievableandrealistic.

§ Breakcomplexobjectivesintosmallparts,withadeadlineforcompletingeachpart.

Time-oriented§ Realisticmeansyouhavethetime,authority,andskillstoaccomplishthegoalsyouset.

RAchievable

§ Achievableobjectivescanbeaccomplishedandarenotanaspirationorvision.

§ Objectivesshouldnotbeunattainableorcausefrustrationduetoinabilitytocomplete.

ARealistic

§ Meansofmeasurehelpyouknowwhenyouhaveaccomplishedobjectives.

§ Measurementsserveastangibleevidenceofcompletion.

MMeasurableSpecific

§ Focused§ Well-defined§ Action-oriented

S T

SMARTGOALEXAMPLESMission Area Not SMART

Clinical “AchieveandmaintainanaveragePressGaney Score inthe90th percentileforyourspecialty.”

“Improvepatientsatisfaction.”

Clinical “Maintainlessthan5%delinquent medicalrecords.” “Completemoremedicalrecords.”

Research “Maintainadirectspendrateof80%onallextramuralfunding.”

“Getmore fundingforresearch.”

Research “Submitthree papersforpublicationtoameetingorjournal.”

“Publishmorepapers.”

Education “Achieve a4.0outof5.0ontheE*valueevaluationsgivenbystudents.”

“Increasestudentratingsfromevaluations.”

Education “Present 4didacticlecturesforthegraduateschool.” “Give morelectures.”

Community “Serveas anofficerforanationalprofessionalorganization.” “Leadershipofanationalorganization.”

RAM TS

GOAL DIAGRAM

ESTABLISHING GOALS§Goalsmaybeestablishedby:• Collegeanddepartmentleadership(e.g.,RVUTarget)• FacultyMemberandEvaluator(e.g.,publicationsubmission)

§Goalsshouldbesetatthestartoftheyear.Agoodtimetofinalizenextyear’sgoalsisduringthefacultyevaluationmeetingwiththeevaluator.

ChairDepartment-levelGoals

Evaluator/Supervisor

EvaluatorGoals

FacultyMember

FacultyMemberGoals

ESTABLISHING GOALSHelpfulquestionstoaskwhensettinggoals:§ Havetherebeenanychangestothefacultymember’sposition,effortallocation,orenvironmentthatwouldrequireadditionto,modificationordeletionoflastyear’sgoals?

§ Havetherebeenchangesindepartmentalorinstitutionalgoalsthatnecessitatechangesinthefacultymember’sgoals?

§ Basedonlastyear’sperformance,shouldanyexistinggoalsbemodified?§ Shouldanygoalsbeaddedordeleted,basedonthediscussionaroundfacultycareerplanning,promotionanddevelopment?

SteadyState§ Setgoalsfornextyear.§ DiscussduringFacultyEvaluation1:1meeting.

§ EntergoalsinSuccessFactorsforthenextyear.

Year1Implementation§ FirstquarterofFY17§ AllFacultytousenewform.§ Entercurrentyeargoalsduringevaluation.

2016–2017PROCESS (FOR FALL 2016)

EvaluateSetGoals ExecuteGoals

SetGoals EvaluateExecuteGoals

FY15– 16

FY16– 17

COMPETENCIES

COMPETENCIES

WhatAreCompetencies?§ Competenciesaretheskills,attributes,andbehaviorsassociatedwithstrongjobperformance.

WhyAreTheyImportant?§ CompetenciestranslateBCM’svaluesintopractice.§ Theyareessentialelementsincreatingandsustaininganenvironmentthatsupportsfulfillmentofourmissionandsupportseachfacultymemberinachievinghisorhercareergoals.

WhyisItImportanttoAssessCompetencies?§ Whyisitimportanttoassesscompetencies?§ Providevitalinformationonfacultyneeds.§ Identifyareasofstrength.§ Illuminateopportunitiesforgrowth.§ Focusdevelopmentplanningonareaswiththebiggestimpact.

BAYLOR’S FACULTY COMPETENCIES

• EachBaylorfacultycompetencyexemplifiesandalignswithBaylor’svalues.

• Facultymembers’competencyratingsarebasedonthequalityandconsistencyofexhibitingtheskills,attributes,andbehaviorsmostrelevanttoeachindividual’srole.• Commentsmaybeusedtoprovideexamples.

INNOVATIONINTEGRITYEXCELLENCERESPECTTEAMWORK

Teamwork Communication ResultsFocus Professionalism AdaptingtoChange

BAYLORCOLLEGEOFMEDICINEVALUES

BaylorCompetencies

TEAMWORK

DEFINITION§ Theabilityanddesiretoworkcollaborativelywithotherstoachieveagoal.§ SuccessfullymeetingexpectationsforteamworkatBaylorCollegeofMedicinemeansthattheindividualconsistentlydisplaysall orsomeofthefollowingbehaviors.

TEAMWORKBEHAVIORSTATEMENTS§ Seeksopportunitiestoworkonteamsasawaytodevelopexperienceandknowledgeaswellastoachieveprofessionalandorganizationalgoals.§ Cultivatesanactivenetworkofthosewiththeknowledgeandinfluencetoadvanceprofessionalandorganizationalgoals.§ Providesassistancetootherswhentheyneedit.§ Seeksopportunitiestoinvolveothersinproblem-solvingtoensurebroaderbuy-inandsupportforsolutions.

§ Encouragesteamunitythroughsharinginformationorexpertise,workingtogethertosolveproblems,andputtingteamsuccessfirst.§ Sharesimportantorrelevantinformationandexpertisewithothers§ Worksforsolutionsthatallteammemberscansupportwhilelisteningandrespondingconstructivelytootherteammembers’ideas andexpressingdisagreementconstructively.§ Knowsandsupportsteammates’workanddeliverables,recognizingothersappropriatelyfortheircontributions.§ Helpsremovebarrierstoteamproductivityandsuccess§ Predictshowindividualsorgroupswillreacttoproposals,events,orsituationsandusesthisunderstandingtodevelopandexecuteeffectivestrategies.

§ Ifateamleader:Exhibitsleadershipqualitiesthatelicitrespectfromteammemberswhileeffectivelyproducingandassessingresults.§ Clarifiesexpectedbehaviors,knowledge,andlevelofproficiencybyseekingandgivinginformation,clearlydefiningandcommunicatingroles,andcheckingforunderstanding.§ Engagesteammemberstocollaborativelyestablishgoals,evaluateprogresstowardgoals,andtakeactiontokeeptheteamontrack.§ Usesknowledgeofindividual’scapability,workstyle,andpreferencestoassigntasksanddelegateimportantareasofresponsibilityinamannerthatclarifiesexpectationswhileexpanding

theindividual’sfeelingsofownershipandaccountability;promotesrisktaking.§ Givestimely,appropriatefeedbackonperformanceandreinforceseffortsandprogress;looksforandcapitalizesonopportunitiestoencourageandrewardsuccessfulteamperformance.§ Identifiesopportunitiesforteammemberstoenhanceordevelopskills§ Diagnosesgapsinknowledge,experience,skills,andbehaviorthatunderliecurrentandfutureperformanceandidentifiesopportunitiesforteammemberprofessionaldevelopmenttofill

thesegaps.§ Movesdecisionmakingandaccountabilitydownwardthroughtheteambyappropriatelysharingresponsibilitieswithothers;aligns delegationwithorganizationalpoliciesandprocedures.

§ Attendstotheneedsandfeelingsofotherstodevelopeffectiveworkingrelationships;relateseasilytopeople;inspiresandworkswellwithotherstoachieveprofessionalandorganizationalgoals.

§ Offersvaluableinformationandresources;workstogetherwithcolleaguesandotherstocreatewin-winoutcomes.§ Initiatescollaborativerelationshipswithkeystakeholders.§ Collaborateswithaindividualsinotherdepartments,schools,oraffiliates.§ Placeshigherpriorityonorganization’sgoalsthanonownarea’sgoals.§ Communicatesgoalsofinterestandseekstounderstandothers’goalsandinterestsinordertobuildmutualpurpose.§ Displaysunderstandingofthepoliticaldimensionoforganizationaldecisionmakingprocess(neithernaïvenorovertlypolitical)andcultivatestheneededrelationshipstodrivecomplex

organizationalinitiatives.

RATING SCALE

PERFORMANCE AND COMPETENCIESRATING SCALEConsistentlyExceedsExpectations(C)§ Greatlyexceededestablishedgoals(Goals)and/orconsistentlydemonstratedexceptionalbehaviors(Competencies)

ExceedsExpectations(E)§ Consistentlymetorsurpassedmanygoals(Goals)and/ordemonstratedeffectivebehaviorsanddemonstratedsomeexceptionalbehaviors(Competencies)

SuccessfullyMeetsExpectations(SM)§ Metmostgoalsandhandledissuesandresponsibilitieswithinrole(Goals)and/ordemonstratedeffectivebehaviors(Competencies)

SomewhatBelowExpectations(S)§ Generallymetexpectationsbutwasincomplete,inconsistentand/ordidnotmeetrequiredgoals(Goals)and/orinconsistentlydemonstratedeffectivebehaviors(Competencies)

BelowExpectations(B)§ Overallbelowexpectationsandconsistentlydidnotmeetgoals(Goals)and/orinfrequentlydemonstratedeffectivebehaviors(Competencies)

PERFORMANCE AND COMPETENCIESRATING SCALE

C = ConsistentlyExceedsE = ExceedsExpectations

SM = SuccessfullyMeetsExpectationsS = SomewhatBelowExpectationsB = BelowExpectations

P10 Median P90

B S S M E C

OVERALL PERFORMANCE RATING

§ Ratingisdeterminedatthediscretionoftheevaluator.§ Ratingisnotnecessarilyanaverageofthegoalandcompetencydesignations.

§ Itisbasedontheevaluator’soverallassessmentofthefacultymember’sjobperformance.

§ Eachfacultymemberhasherorhisownstrengthsandareasforimprovement,soallfacultymembersshouldnotreceivesamerating.

XDIFFERENTIATION OF PERFORMANCEOnewaytohelpconceptualizetherangeoffacultyperformanceisprovidedbelow.ConsistentlyExceedsExpectations• Exemplarycontributorswhoareaboveandbeyondtherest.ExceedsExpectations• Facultymemberswhoexcelinseveralareas.SuccessfullyMeetsExpectations• Facultymemberswhoareessentialtothesuccessofthedepartmentorcenter;mostwillfallinthiscategory.

SomewhatBelowExpectations• Facultymemberswhoareunderperforming,buthavethepotentialtoimprovewithcoachingandassistance.

BelowExpectations• Facultymemberswhoconsistentlyareunderperformingandrequireimmediateremediation.

GUIDANCE FOR EVALUATORS

SOLICIT FEEDBACK FROM OTHERSIfthereareareasofafacultymember’sroleforwhichyoudonothavedirectoversight,askothersforinput.Twoformsoffeedbackmayberequested.§ FormalTheformcanberoutedtoanotherperson,witharequesttoprovideratingsandcommentsthatwillbedocumentedontheform.• Evaluatorwillnothaveaccesstotheformwhileitisbeingrouted.

§ InformalInternalorexternalindividualsmaybecontactedbytheevaluator,witharequesttoprovidefeedbackaboutthefacultymember.Feedbackisrequested,andresponsesprovidedthroughemail.Responsesareincludedasnotesfortheevaluatoranddonotappearonthefinalevaluationform.

PERFORMANCE EVALUATION COMMENTSWhenwritingcommentsforafacultymember’sevaluation:

Do’s Don’ts

Startandendwithmeaningful, positivestatements

Usederogatorylanguageor failtoincludepositivefeedback

Focusonworkperformanceandbehavior Makepersonalcommentsordiscriminateagainstafacultymember

Providesuggestionsforimprovement Criticize unfairlyorwithoutcontext

IdentifyIssues Compareonefacultymembertoanotherorshowbias

Beconstructive Useextremelanguage(“never”/”always”)

Usethelegalscanfunctionintheevaluationsystemtohelpidentifypotentiallyproblematiclanguage

EXAMPLE COMMENTS

§ Janeiswillingtohelpherteammemberswithanythingthatneedstobedone.Sheprovidesupdatestotheteamregardingherportionoftheprojectonaregularbasis.

§ WhileBobhascompletedhisportionoftheprojectontime,hehasnotbeenreceptivetorequestsfromhisteamforassistanceonotherpartsoftheproject.WediscussedhowBobcanmaketimeinhisscheduletobemoreresponsivetotherequestsofothers.

§ JoeyhasmadeaconsiderableefforttomeethisRVUtarget,butpatientvolumeintheclinicisdownfromlastyear.

WHEN EVALUATING PERFORMANCE

§ Compareagainstgoalsandestablishedtargets.§ Reviewpatternsofbehaviorandlookforperformancetrends.§ Obtainmultipleperspectivesfromco-workers.§ Keepnotesduringtheyearonaccomplishmentsandareasinneedofimprovement.§ Avoidraterbias:

••Ratingfacultyhighlyinallareasbasedonpositiveimpression

HaloEffect

••Ratingfacultylowerinallareasbasedonanegativeimpression

HornEffect

••Allowingfirstimpressiontobethebasisofdeterminingratings

PrimacyEffect

••Beinginfluencedbymostrecentbehavior/performance

Recency Effect

THE EVALUATION MEETING:PREPARING FOR THE DISCUSSION§ Schedulethediscussioninaprivateofficeorconferenceroominanon-threateningenvironment.

§ Itisrecommendedthatyoushareyourevaluationwiththefacultymemberbeforethemeeting:• Ifsharinginadvanceofmeeting,youwillneedtosavetheevaluationasaPDFandemailittothefacultymember,asitwillnotbeaccessibletohim/heronlinepriortothemeeting.

• Haveahardcopyordigitalversionoftheassessmentavailableduringthediscussion.

§ Allowsufficienttimeforthediscussion.§ Reviewperformancedataandnotedevelopmentorimprovementneedspriortomeeting.

§ Outlinekeyareastocoverduringthemeeting.§ Trytoanticipatethefacultymember’sreaction.

• Ifyouanticipateanegativereactionoradifficultconversation,considerinvitingathirdparty.

THE PERFORMANCE DISCUSSION

1 § Turnoffcellphonesandpagerstolimitinterruptions.§ Startonapositivenote.

2 § Statethepurpose:afacultyperformanceandplanningconversation.§ Askwhatthefacultymemberhasdonewelloverthepastyearandareaswheresheorhehasroomforgrowth.

Providefeedback

3 § Reviewtheassessmentandoverallperformancerating.• Notethedifferencesinratingsfromself-evaluation.• Referencefacultymember’scomment.

4 § Discussthefacultymember’scareerprogressionandneeds.

5 § Workwiththefacultymembertodiscussand/orsetnextyear’sgoalsanddocumentactionitems.

§ Feedbackisatoolforlettingfacultymembersknowwhattheyaredoingwell,andwhenandwheretheyhaveroomforimprovement.

§ Feedbackstrengthensworkingrelationshipsandhelpstoimprovefacultymembersbymakingperformanceandbehavioralexpectationsclear.

§ Thewayfeedbackispresentedisessentialtohoweffectiveitwillbe,orthelikelihoodthatitwillbeheard.• “Feedbacksandwich”:Beginonameaningfulpositivenoteandendonapositivenote.

§ Constructivefeedback,bothpositiveandnegative,shouldbespecific,issue-focused,andbasedonobservationsandexamples.

WHAT IS FEEDBACK?

FacultyImprovementandSuccess

Feedback

StrongerRelationship

FEEDBACK BENEFITSConsiderthebenefitsofbothpositiveandcorrectivefeedback,andtheirimpactsonfacultymembers.

PositiveFeedback§Reinforcesandaffirmswhatsheorhehasbeendoingwell.

§Fostersaproductiveandsupportiveenvironment.

§Exhibitsinterestinfacultymembersandtheirperformanceandbehaviors.

§Recognizesfacultymembers’contributionsandvalidatestheirefforts.

CorrectiveFeedback§Servesasabaseforfacultydevelopment.

§Alignsfacultyactionswithdepartmentalororganizationalgoals.

§Setsupadialoguearoundhowthefacultymembercanperformmoreeffectively.

§Increasesfacultymember’sawarenessofwhatsheorhecanbedoingtoachievegoals.

COACHING FOR IMPROVEMENTAND DEVELOPMENTDuringthemeeting,evaluatorsshouldask:§WhatobstaclescanIhelpremovetohelpyouachieveyourgoals?§WhatothersupportcanIprovide?§Whatisthefacultymemberdoingtoachievehisorhernext/desiredrank?Isheorsheexhibitingexcellenceinmissionareas?

§WhatspecificactionswillthefacultymemberandItake?§Whatmilestonesshouldbeusedtomonitorprogress?

DELIVERING CONSTRUCTIVE FEEDBACK

§ Alwaysmaintainapositivetone.§ Encouragedialoguebyaskingquestionsratherthandictating.

§ Activelylisten,acknowledgefeelings,andstayfocusedonthefacultymember.

§ Acknowledgethingsoutsidethefacultymember’scontrolthatmaybeaffectinghisorherperformance.

§ Focusonspecificbehaviorsand/orissues,anddiscusshowtheyareimpactingproductivity,you,theteam,unitororganization.

§ Askthefacultymemberwhatmayhelpresolvetheissueandthenofferyourownsuggestions.

§ Checkforfacultymember’sunderstandingoffeedbackanddevelopanactionplanwithnextsteps.

CONTACT INFORMATION

§ Foranswerstoquestionsaboutthefacultyevaluationprocess,pleasecontacttheOfficeofFacultyAffairsatthefollowingemailaddresses.performancemanagement@bcm.edu.

§ VisittheFacultyResourcesectionontheBaylorwebsiteforotherrelatedinformation.www.bcm.edu