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GUIDE TO FACULTY PERFORMANCE,ASSESSMENT AND DEVELOPMENT
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ALIGNING PERFORMANCE WITHFACULTY PROGRESSION AND PROMOTION
Supportfacultyprogression
andpromotion
Provideconsistency
acrossCollege
Leveragefacultystrengthsto
supportmissionandstrategicplanning
Enhancefacultysatisfactionthrough
engagement
AligneffortsacrossCollege Support
continuousquality
improvementwithdata
Supportfacultydevelopment
throughtailoredinitiatives
Meetrequirementsof
accreditors
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FACULTY SURVEY RESULTS
91%OFFACULTYAGREEDANNUALFEEDBACKISIMPORTANTTheresultsindicatedthatFacultymemberswere:§ notsatisfiedwithqualityofcurrentfeedback.
§ notsatisfiedwithfrequencyofcurrentfeedback.
§ notsatisfiedwithprofessionaldevelopmentopportunitiesavailableatBaylor.*
*Datafrom2014FacultySatisfactionSurvey
Inresponse,theperformanceassessmentandplanningprocess:§ providesopportunitiesforannualfeedback.§ measurespastperformanceagainstexpectations.
§ identifiesareasofsuccessandactionsneededtoimproveresultsand/orbehaviors.
§ facilitatesadiscussionaroundcareerprogression.
§ createsanoutlettodiscussandsetnextyear’sgoals.
§ enhancesfacultysatisfactionthroughengagement.
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EVALUATION PROCESS
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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.
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SECTIONS OF NEW EVALUATION FORMIntroductionFacultyInformationCVSubmissionPart1:Performance GoalsPart2: CompetenciesPart3: OverallPerformancePart4:FacultyCareerPlanningPart5:FacultyDevelopmentandEngagementPart6:ActionPlanPart7:CommentsandSignatures
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FACULTY MEMBER’S ROLE IN EVALUATION
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FACULTY MEMBER’S ROLE IN EVALUATION§ UpdateyourCV.§ Knowyourgoals.§ Provideanhonestself-evaluation.
• Givecontextfortheleveltowhichyourgoalshavebeenachieved.• Giveexamplesofhowyouachievedgoalsordemonstratedcompetencybehaviors.
§ Thinkaboutyourcareerandanyquestions/concernsyoumayhavetodiscusswithyourevaluator.
§ Bereceptivetopositiveandnegativefeedbackfromyourevaluator.
§ Identifyareastoimprove.§Workwithevaluatortosetnextyear’sgoals.
§ Identifyresourcesandsupportneededforongoingsuccess.
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EVALUATOR’S ROLE IN EVALUATION
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EVALUATOR’S ROLE IN EVALUATION§ Documentfacultymember’sperformanceoutcomesinaconsistent,objective,thorough,fair,andclearmanner.
§ Provideoverallassessmentandrating.§ Provideconstructive,actionablefeedbackwhenmeetingwithfacultymember.
§Workwithfacultymembertoidentifygoalsandgrowthopportunitiesfornextyear.
§ Helpfacultymemberidentifyandobtainresourcesandsupportneededforongoingsuccess.
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GOAL PLANNING
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BENEFITS OF GOAL PLANNING“IFYOUFAILTOPLAN,
YOUAREPLANNINGTOFAIL.”BenjaminFranklin
§ Fosterstransparencybyestablishingexpectationsandsettingpriorities.
§Monitorsprogresstowardachievementofobjectives—whichallowsforcoursecorrections,feedbackormentoringwhenneeded.
§ Promotesinteractionsbetweenfacultymembersanddepartmentleadershiptoalignfacultymembers’activitiesanddepartmental/institutionalgoalswithindividualcareerprogression.
Reality Expectations
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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
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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
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GOAL DIAGRAM
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ESTABLISHING GOALS§Goalsmaybeestablishedby:• Collegeanddepartmentleadership(e.g.,RVUTarget)• FacultyMemberandEvaluator(e.g.,publicationsubmission)
§Goalsshouldbesetatthestartoftheyear.Agoodtimetofinalizenextyear’sgoalsisduringthefacultyevaluationmeetingwiththeevaluator.
ChairDepartment-levelGoals
Evaluator/Supervisor
EvaluatorGoals
FacultyMember
FacultyMemberGoals
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ESTABLISHING GOALSHelpfulquestionstoaskwhensettinggoals:§ Havetherebeenanychangestothefacultymember’sposition,effortallocation,orenvironmentthatwouldrequireadditionto,modificationordeletionoflastyear’sgoals?
§ Havetherebeenchangesindepartmentalorinstitutionalgoalsthatnecessitatechangesinthefacultymember’sgoals?
§ Basedonlastyear’sperformance,shouldanyexistinggoalsbemodified?§ Shouldanygoalsbeaddedordeleted,basedonthediscussionaroundfacultycareerplanning,promotionanddevelopment?
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SteadyState§ Setgoalsfornextyear.§ DiscussduringFacultyEvaluation1:1meeting.
§ EntergoalsinSuccessFactorsforthenextyear.
Year1Implementation§ FirstquarterofFY17§ AllFacultytousenewform.§ Entercurrentyeargoalsduringevaluation.
2016–2017PROCESS (FOR FALL 2016)
EvaluateSetGoals ExecuteGoals
SetGoals EvaluateExecuteGoals
FY15– 16
FY16– 17
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COMPETENCIES
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COMPETENCIES
WhatAreCompetencies?§ Competenciesaretheskills,attributes,andbehaviorsassociatedwithstrongjobperformance.
WhyAreTheyImportant?§ CompetenciestranslateBCM’svaluesintopractice.§ Theyareessentialelementsincreatingandsustaininganenvironmentthatsupportsfulfillmentofourmissionandsupportseachfacultymemberinachievinghisorhercareergoals.
WhyisItImportanttoAssessCompetencies?§ Whyisitimportanttoassesscompetencies?§ Providevitalinformationonfacultyneeds.§ Identifyareasofstrength.§ Illuminateopportunitiesforgrowth.§ Focusdevelopmentplanningonareaswiththebiggestimpact.
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BAYLOR’S FACULTY COMPETENCIES
• EachBaylorfacultycompetencyexemplifiesandalignswithBaylor’svalues.
• Facultymembers’competencyratingsarebasedonthequalityandconsistencyofexhibitingtheskills,attributes,andbehaviorsmostrelevanttoeachindividual’srole.• Commentsmaybeusedtoprovideexamples.
INNOVATIONINTEGRITYEXCELLENCERESPECTTEAMWORK
Teamwork Communication ResultsFocus Professionalism AdaptingtoChange
BAYLORCOLLEGEOFMEDICINEVALUES
BaylorCompetencies
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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.
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RATING SCALE
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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)
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PERFORMANCE AND COMPETENCIESRATING SCALE
C = ConsistentlyExceedsE = ExceedsExpectations
SM = SuccessfullyMeetsExpectationsS = SomewhatBelowExpectationsB = BelowExpectations
P10 Median P90
B S S M E C
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OVERALL PERFORMANCE RATING
§ Ratingisdeterminedatthediscretionoftheevaluator.§ Ratingisnotnecessarilyanaverageofthegoalandcompetencydesignations.
§ Itisbasedontheevaluator’soverallassessmentofthefacultymember’sjobperformance.
§ Eachfacultymemberhasherorhisownstrengthsandareasforimprovement,soallfacultymembersshouldnotreceivesamerating.
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XDIFFERENTIATION OF PERFORMANCEOnewaytohelpconceptualizetherangeoffacultyperformanceisprovidedbelow.ConsistentlyExceedsExpectations• Exemplarycontributorswhoareaboveandbeyondtherest.ExceedsExpectations• Facultymemberswhoexcelinseveralareas.SuccessfullyMeetsExpectations• Facultymemberswhoareessentialtothesuccessofthedepartmentorcenter;mostwillfallinthiscategory.
SomewhatBelowExpectations• Facultymemberswhoareunderperforming,buthavethepotentialtoimprovewithcoachingandassistance.
BelowExpectations• Facultymemberswhoconsistentlyareunderperformingandrequireimmediateremediation.
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GUIDANCE FOR EVALUATORS
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SOLICIT FEEDBACK FROM OTHERSIfthereareareasofafacultymember’sroleforwhichyoudonothavedirectoversight,askothersforinput.Twoformsoffeedbackmayberequested.§ FormalTheformcanberoutedtoanotherperson,witharequesttoprovideratingsandcommentsthatwillbedocumentedontheform.• Evaluatorwillnothaveaccesstotheformwhileitisbeingrouted.
§ InformalInternalorexternalindividualsmaybecontactedbytheevaluator,witharequesttoprovidefeedbackaboutthefacultymember.Feedbackisrequested,andresponsesprovidedthroughemail.Responsesareincludedasnotesfortheevaluatoranddonotappearonthefinalevaluationform.
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PERFORMANCE EVALUATION COMMENTSWhenwritingcommentsforafacultymember’sevaluation:
Do’s Don’ts
Startandendwithmeaningful, positivestatements
Usederogatorylanguageor failtoincludepositivefeedback
Focusonworkperformanceandbehavior Makepersonalcommentsordiscriminateagainstafacultymember
Providesuggestionsforimprovement Criticize unfairlyorwithoutcontext
IdentifyIssues Compareonefacultymembertoanotherorshowbias
Beconstructive Useextremelanguage(“never”/”always”)
Usethelegalscanfunctionintheevaluationsystemtohelpidentifypotentiallyproblematiclanguage
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EXAMPLE COMMENTS
§ Janeiswillingtohelpherteammemberswithanythingthatneedstobedone.Sheprovidesupdatestotheteamregardingherportionoftheprojectonaregularbasis.
§ WhileBobhascompletedhisportionoftheprojectontime,hehasnotbeenreceptivetorequestsfromhisteamforassistanceonotherpartsoftheproject.WediscussedhowBobcanmaketimeinhisscheduletobemoreresponsivetotherequestsofothers.
§ JoeyhasmadeaconsiderableefforttomeethisRVUtarget,butpatientvolumeintheclinicisdownfromlastyear.
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WHEN EVALUATING PERFORMANCE
§ Compareagainstgoalsandestablishedtargets.§ Reviewpatternsofbehaviorandlookforperformancetrends.§ Obtainmultipleperspectivesfromco-workers.§ Keepnotesduringtheyearonaccomplishmentsandareasinneedofimprovement.§ Avoidraterbias:
••Ratingfacultyhighlyinallareasbasedonpositiveimpression
HaloEffect
••Ratingfacultylowerinallareasbasedonanegativeimpression
HornEffect
••Allowingfirstimpressiontobethebasisofdeterminingratings
PrimacyEffect
••Beinginfluencedbymostrecentbehavior/performance
Recency Effect
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THE EVALUATION MEETING:PREPARING FOR THE DISCUSSION§ Schedulethediscussioninaprivateofficeorconferenceroominanon-threateningenvironment.
§ Itisrecommendedthatyoushareyourevaluationwiththefacultymemberbeforethemeeting:• Ifsharinginadvanceofmeeting,youwillneedtosavetheevaluationasaPDFandemailittothefacultymember,asitwillnotbeaccessibletohim/heronlinepriortothemeeting.
• Haveahardcopyordigitalversionoftheassessmentavailableduringthediscussion.
§ Allowsufficienttimeforthediscussion.§ Reviewperformancedataandnotedevelopmentorimprovementneedspriortomeeting.
§ Outlinekeyareastocoverduringthemeeting.§ Trytoanticipatethefacultymember’sreaction.
• Ifyouanticipateanegativereactionoradifficultconversation,considerinvitingathirdparty.
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THE PERFORMANCE DISCUSSION
1 § Turnoffcellphonesandpagerstolimitinterruptions.§ Startonapositivenote.
2 § Statethepurpose:afacultyperformanceandplanningconversation.§ Askwhatthefacultymemberhasdonewelloverthepastyearandareaswheresheorhehasroomforgrowth.
Providefeedback
3 § Reviewtheassessmentandoverallperformancerating.• Notethedifferencesinratingsfromself-evaluation.• Referencefacultymember’scomment.
4 § Discussthefacultymember’scareerprogressionandneeds.
5 § Workwiththefacultymembertodiscussand/orsetnextyear’sgoalsanddocumentactionitems.
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§ Feedbackisatoolforlettingfacultymembersknowwhattheyaredoingwell,andwhenandwheretheyhaveroomforimprovement.
§ Feedbackstrengthensworkingrelationshipsandhelpstoimprovefacultymembersbymakingperformanceandbehavioralexpectationsclear.
§ Thewayfeedbackispresentedisessentialtohoweffectiveitwillbe,orthelikelihoodthatitwillbeheard.• “Feedbacksandwich”:Beginonameaningfulpositivenoteandendonapositivenote.
§ Constructivefeedback,bothpositiveandnegative,shouldbespecific,issue-focused,andbasedonobservationsandexamples.
WHAT IS FEEDBACK?
FacultyImprovementandSuccess
Feedback
StrongerRelationship
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FEEDBACK BENEFITSConsiderthebenefitsofbothpositiveandcorrectivefeedback,andtheirimpactsonfacultymembers.
PositiveFeedback§Reinforcesandaffirmswhatsheorhehasbeendoingwell.
§Fostersaproductiveandsupportiveenvironment.
§Exhibitsinterestinfacultymembersandtheirperformanceandbehaviors.
§Recognizesfacultymembers’contributionsandvalidatestheirefforts.
CorrectiveFeedback§Servesasabaseforfacultydevelopment.
§Alignsfacultyactionswithdepartmentalororganizationalgoals.
§Setsupadialoguearoundhowthefacultymembercanperformmoreeffectively.
§Increasesfacultymember’sawarenessofwhatsheorhecanbedoingtoachievegoals.
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COACHING FOR IMPROVEMENTAND DEVELOPMENTDuringthemeeting,evaluatorsshouldask:§WhatobstaclescanIhelpremovetohelpyouachieveyourgoals?§WhatothersupportcanIprovide?§Whatisthefacultymemberdoingtoachievehisorhernext/desiredrank?Isheorsheexhibitingexcellenceinmissionareas?
§WhatspecificactionswillthefacultymemberandItake?§Whatmilestonesshouldbeusedtomonitorprogress?
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DELIVERING CONSTRUCTIVE FEEDBACK
§ Alwaysmaintainapositivetone.§ Encouragedialoguebyaskingquestionsratherthandictating.
§ Activelylisten,acknowledgefeelings,andstayfocusedonthefacultymember.
§ Acknowledgethingsoutsidethefacultymember’scontrolthatmaybeaffectinghisorherperformance.
§ Focusonspecificbehaviorsand/orissues,anddiscusshowtheyareimpactingproductivity,you,theteam,unitororganization.
§ Askthefacultymemberwhatmayhelpresolvetheissueandthenofferyourownsuggestions.
§ Checkforfacultymember’sunderstandingoffeedbackanddevelopanactionplanwithnextsteps.
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CONTACT INFORMATION
§ Foranswerstoquestionsaboutthefacultyevaluationprocess,pleasecontacttheOfficeofFacultyAffairsatthefollowingemailaddresses.performancemanagement@bcm.edu.
§ VisittheFacultyResourcesectionontheBaylorwebsiteforotherrelatedinformation.www.bcm.edu