ALIGNING - Baylor College of Medicine · 2017-09-19 · EVALUATOR’SROLEINEVALUATION §Document...
Transcript of ALIGNING - Baylor College of Medicine · 2017-09-19 · EVALUATOR’SROLEINEVALUATION §Document...
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