faculty performance review and development

FACULTY PERFORMANCE REVIEW

AND DEVELOPMENT:Key Issues and Challenges

Penn State “Academic Leadership Forum”

February 12, 2015

Presented by:

Theodore H. (Terry) Curry

Associate Provost and Associate Vice President,

Academic Human Resources

Professor, School of Human Resources and Labor Relations

AGENDA

• Faculty Performance Reviews -- An Overview

• The critical importance of the review

• Underlying Assumptions

• Two review conference scenarios

• The Ideal Process

• Legal/Regulatory Issues

• A Review of Sample Letters

• Process Options

“To say that the faculty are the University

may be trite, but it is nonetheless true. To

me a university faculty member has always

seemed to be among the most blessed of

mankind. He is permitted to spend his time

in the search of knowledge and in

expounding the knowledge he possesses to

the intellectual elite among the youth of the

nation."

Walter H. Johns

The History of the University of Alberta, 1908-1969

What can department chairs do to help their

faculty perform at outstanding levels?

The good news about faculty

performance reviews is that we are

reviewing the past, rather than trying to

predict the future.

SOME FAMOUS

PREDICTIONS AND

QUOTES ABOUT THE

FUTURE

YOGI ON THE FUTURE

• “It’s tough to make predictions,

especially about the future.”

• “The future ain’t what it used to

be.”

• “You should always go to other

people’s funerals, otherwise, they

won’t come to yours.”

“It will be years –

not in my time –

before a woman will

become Prime

Minister.”

• Margaret Thatcher, future Prime Minister, 1969

8

DONALD RUMSFELD QUOTES

• “I would not say that the future is

necessarily less predictable than the

past. I think the past was not

predictable when it started.”

• “I believe what I said yesterday. I

don’t know what I said, but I know

what I think, and, well, I assume it’s

what I said.”

Harry Warner

of Warner Brothers

Pictures

“Who the hell wants

to hear actors talk.”

Newsweek Magazine in a 1959

Article Predicting Trends for 1970

“For the man who wants to get away from it all, safaris in Vietnam.”

Who said it?

"We don't like their sound, and

guitar music is on the way out."

Decca Recording Company on rejecting the Beatles in 1962

Who Said it?

• “I think there is a world

market for about five

computers.”

Thomas Watson,

Chairman

Who said it?

• “I will never walk away from the

job that the American people

elected me to do for the people

of the United States.”

President Richard M. Nixon

Who said it?

•“It doesn’t matter what

he does, he will never

amount to anything.”

18

• Albert Einstein’s teacher addressing his father

about Albert in 1895

19

Who said it?

“Terry, your Spartan

football team will have to

watch out for Penn State

next year in the Big 10

East!”20

President Barack Obama

21

Who said it?

• “The fundamental business

of this country is on a

sound and prosperous

basis.”

Select One:

A. President Barack Obama

B. Berkshire Hathaway’s Warren Buffet

C.Senator and then Presidential

Candidate John McCain

D.Federal Reserve Board Chairman

Janet Yellen

E. President Herbert Hoover23

CURRY ASSUMPTIONS – REVIEWS AND MERIT PAY

Faculty are our most important

resource.

Faculty independence

and self-direction must be balanced

with the mission of the

unit and University.

Faculty should participate in setting and clarifying

expectations.

Faculty deserve

feedback.

CURRY’S ASSUMPTIONS -- Continued

Faculty should participate in the

process of evaluation and development.

Faculty career development is an

ongoing event even though

writing the review is an annual

process.

Expectations may change over the

faculty career. The annual and

extended reviews are part of a larger picture of growth

and development.

CURRY’S ASSUMPTIONS -- Continued

“Merit” pay decisions require

an effective performance

appraisal.

Equity is the issue in

compensation, internal and

external, not just amount.

Merit pay discussions should be

separated from discussions

about performance and

development.

THE IDEAL PROCESS – The Prerequisites

Unit establishment of performance criteria and standards

Criteria – relative importance of teaching, research, outreach, service

Standards – the definition and determination of excellence

Clear guidelines for fair and equitable faculty workloads

College/unit mission, vision, and values

THE IDEAL PROCESS

Peer review and advice to the administrator

Faculty self-appraisal and oral input

The plan (as updated) would serve as the basis for the annual and extended review

Yearly update of the plan

An individually tailored career development plan based upon unit mission, objectives, and standards established with faculty input

THE IDEAL PROCESS (Continued)

NO SURPRISES in any part of the process

Do not finalize the written review without an opportunity for faculty member feedback

Separate discussion of performance from discussion about compensation

LEGAL ISSUES

Legal/regulatory issues are likely to arise in one of three contexts:

• an adverse personnel decision,

• a disciplinary action, or

• a defamation action

THE FIRST RECORDED

EFFICIENCY REPORT IN THE

FILES OF THE U.S. ARMY

SIR:

I FORWARD A LIST OF THE OFFICERS OF THE

27TH REGIMENT OF INFANTRY ARRANGED

AGREEABLY TO RANK. ANNEXED THERETO YOU

WILL FIND ALL OBSERVATIONS I DEEM

NECESSARY TO MAKE.

LOWER SENECA TOWN

AUGUST 15, 1813

RESPECTFULLY,

I AM, SIR, YOUR OBEDIENT SERVANT,

LEWIS CASSBRIG. GEN

• ALEX DENNISTON -LT. COL. COMDG.

• CLARKSTON CROLINES - MAJOR

• CAPTS. CHRISTIAN MARTEL, AARON T. CRANE, BEN WOOD

• A good natured

man

• A good man, but no officer

• All good officers

CAPTAIN SHOTWELL

(USMC)

CAPTAIN ALLEN

REYNOLDS

• A man of whom all unite in speaking ill. A knave despised by

all.

• An officer of capacity, but imprudent and a man of most violent

passions.

CAPTAIN DANIEL

PORTER

1ST LT JAMES KER,

THOS DARLING

• Stranger, little known in the

regiment

• Merely good,

nothing promising

1st LT. PERRIN,

SCOTT, RYAN,

McELWORTH

Low vulgar men, with

the exception of

Perrin, Irish and from

the meanest walks of

life, possessing

nothing of the

character of officers

or gentlemen.

2ND LT. NICHOLAS GARNER

2ND LT. STEWARD ELDER

2nd LT. PIERCEY, BROWN, SPICER, VANCE

• A good officer but drinks too hard and disgraces himself and the service…

• An ignorant unoffending Irishman

• Raised from the ranks, but all behave well and promise to make excellent officers

3RD LT. GEER,

MEARS, CLIFFORD,

McKEON

All Irish, promoted

from the ranks, low

vulgar men, without

any one qualification

to recommend them

more fit to carry the

hod than the

epaulettes

• 3RD LT. SCHOLTZ,

WHEELER

• ENSIGN DARROW,

BROWN

• Promoted from he

ranks, behave well and

will make good officers

• Of fine appearance,

promoted from the

ranks, men of no

promise or manner

• ENSIGN MEHAN • The very dregs of the earth, unfit for anything under heaven. God only knows how the poor thing got an appointment.

These quotes were taken from actual Federal employee performance evaluations…

“I would not allow this employee to breed”

“This employee is really not so much of a has-been,

but more of a definite won’t be.”

“When she opens her mouth, it seems it is only to

change feet.”

“He would be out of his depth in a parking lot puddle.”

“This young lady has delusions of adequacy.”

“This employee is depriving a village somewhere of an

idiot.”

“This employee should go far, and the sooner he

starts, the better.”

“Got a full 6-pack, but lacks the plastic thing to hold it

all together.”

“A gross ignoramus---144 times worse than an

ordinary ignoramus.”

“He certainly takes a long time to make his pointless.”

“He doesn’t have ulcers, but he’s a carrier.”

“He sets his personal standard low, and

consistently fails to achieve them.”

“He has a knack for making strangers immediately.”

“When his IQ reaches 50, he should sell.”

“If you stand close enough to him, you can hear the

oceans.”

“If you see two people talking and one looks bored, he’s

the other one.”

“He has a photographic memory, but with the lens cover

glued on.”

“A prime candidate for natural de-selection.”

“Donated his brain to science before he was done using

it.”

“Gates are down, lights are flashing, but the train isn’t

coming.”

“Has two brains: one is lost and the other is out looking

for it.”

“It’s hard to believe that he beat out

1,000,000 other sperm.”

“Some drink from the fountain of

knowledge; he only gargled.”

“Takes him an hour and a half to watch ‘60

Minutes’.”

“The wheel is turning, but the hamster is

dead.”

LEGAL ISSUES

Legal issues are likely to arise in one of three contexts:

• an adverse personnel decision,

• a disciplinary action, or

• a defamation action

The Written Performance Review and

Supporting Documents Should Provide

Support That:

The faculty member received clear

communications concerning

expectations

The expectations were reasonable, fair and consistent

with University guidelines

Where improvement is needed,

communications about it is clear

Consequences are included where

warranted

The unit’s process was fair and

consistent with its (and University)

policies

LEGAL ISSUES -- Continued

In some states, written performance reviews are accessible under freedom of information

acts and/or state records access laws.

The truth, supported by evidence, is the best defense. (But don’t write anything you would be embarrassed to see all over the

internet.)

Be objective where possible rather than subjective in your choice of

words. Include support.

YOUR ASSIGNMENT

• Review the sample performance reviews assigned to your group. • What are its strengths and weaknesses?

• How could it be improved?

• Where is it likely to be successfully used, e.g. large departments, professional schools, etc.?

• What developmental issues should be addressed in the meeting with the faculty member?

• Review the other sample reviews

• Designate a spokesperson

PERFORMANCE REVIEW ISSUES FOR

DISCUSSION

• Timing the Review

• Clarity of expectations, a few things to think about:• Research/creative activities – publications (number,

quality, time period counted), funding, peer review

• Teaching – evaluations, portfolios, observations

• Service – unit, college, university, profession, impact

• The Review Process• Annual activity report?

• Review committee?

• Meeting with faculty member?

• The written review?

• Joint appointments

PERFORMANCE REVIEW ISSUES FOR

DISCUSSION

• Relationship of evaluation to reappointment,

promotion, and tenure

• Relationship to merit increases

• Improving the quality of the performance

feedback session

• Accomplishments

• Areas in need of improvement

• Developmental strategies

• Reappointment, Promotion and Tenure

SOME LEADERSHIP

QUOTES WITH WHICH TO LEAVE YOU

53

Hey, I am the Leader!

• “It often happens that I wake up

at night and begin to think about

a serious problem and decide I

must tell the Pope about it.

Then I wake up completely and

remember that I am the Pope!”

Pope John XXIII

ABRAHAM LINCOLN QUOTES

• It is better to remain silent and be

thought a fool than to open one's

mouth and remove all doubt.

• You can fool all the people some

of the time, and some of the

people all the time, but you

cannot fool all the people all the

time.

• I walk slowly, but I never walk

backward.

DWIGHT D. EISENHOWER QUOTES

• “Leadership is the art of

getting someone else to

do something you want

done because he wants

to do it.”

HARRY S TRUMAN QUOTES

• “I learned that a great leader is a man who has the ability to get other people to do what they don’t want to do, and like it.”

• “If you can’t convince them, confuse them.”

• “If you can’t stand the heat, get out of the kitchen.”

• “The buck stops here.”

Leaders and Leadership

“It is a terrible thing to

look over your shoulder

when you are trying to

lead -- and find no one

there.”

~Franklin D. Roosevelt~


“It’s true hard work never

killed anybody, but I

figure, why take the

chance?”

~Ronald Wilson Reagan~


“When the president does it,

that means that it is not

illegal.”

~Richard Nixon~

BILL CLINTON QUOTES

• “It depends on what the

meaning of the word is, is.”

• “Being president is like running

a cemetery; you’ve got a lot of

people under you and

nobody’s listening.”

GEORGE W. BUSH QUOTES

• "Then you wake up at the high school level and find out that the illiteracy level of our children are appalling."

• January 23, 2004

• "The legislature's job is to write law. It's the executive branch's job to interpret law.“

• November 22, 2000

• "They misunderestimated me." • November 6, 2000


If you are going through

hell, keep going.

~Winston Churchill~

DAN QUAYLE QUOTES• “What a terrible thing to have lost

one’s mind. Or not to have a mind at all. How true that is.”

• Speaking to the UNCF

• “I believe we are on an irreversible trend toward more freedom and democracy -- but that could change.”

• “I have made good judgments in the past. I have made good judgments in the Future!”

Pierre Elliott Trudeau Quotes

• “Be ready when opportunity

comes….Luck is the time when

preparation and opportunity

meet.”

• “If I found in my own ranks that a

certain number of guys wanted to

cut my throat, I’d make sure that I

cut their throats first.”


You cannot shake

hands with a clenched

fist.

~Indira Gandhi~

ELEANOR ROOSEVELT

• You gain strength,

courage and confidence

by every experience in

which you really stop to

look fear in the face. You

are able to say to yourself,

"I lived through this horror.

I can take the next thing

that comes along." You

must do the thing you

think you cannot do.


• He who rejects change is the architect of decay. The only human institution which rejects progress is the cemetery.

• Harold Wilson

Margaret Thatcher

• Power is like being a lady … if

you have to tell people you are,

you aren’t.

• I’m extraordinarily patient,

provided I get my own way in

the end.

• You may have to fight a battle

more than once to win it.


The time is

always right to do

right.

~Nelson Mandela~


Ultimately, a genuine leader

is not a searcher for

consensus, but a molder of

consensus. I would rather

be a man of conviction than

a man of conformity.

~Martin Luther King, Jr.~

YOGI BERRA QUOTES

“If you don’t know where you’re going, you might end up somewhere else.”

“When you get to the fork in the road, take it.”

“You can observe a lot by just watching.”

“Baseball is ninety percent mental. The other half is physical.”

CASEY STENGEL QUOTE

• Definition of

Management:

• “Keeping them

guys who hate

you away from

the rest, who are

undecided.”

Muhammad Ali

• I’m so fast that last night I turned off the light switch in my hotel room and was in bed before the room was dark.

• It isn’t the mountains ahead to climb that wear you out; it’s the pebble in your shoe.

• Service to others is the rent you pay for your room here on earth.


If you aren’t fired

with enthusiasm,

you will be fired

with enthusiasm.

~Vince Lombardi~


I never cared about

acceptance as much

as I cared about

respect.

~Jackie Robinson~

“Even if you think you are on

the right track, you’ll get run

over if you just sit there.”

Will Rogers

A LEADERSHIP QUOTE

• A leader is best when people barely know he exists, not so good when people obey and acclaim him, worst when they despise him.Fail to honor people, they fail to honor you.But of a good leader, who talks little, when his work is done his aim fulfilled,they will all say, “we did this ourselves.”• Lao-tzu, 500 B.C.


Life is like a

dogsled team. If

you ain’t the lead

dog, the scenery

never changes.

~Lewis Grizzard~

General Colin Powell

• “Being in charge means making decisions, no matter how unpleasant. You cannot let the mission suffer or make the majority pay to spare the feelings of one individual. Being responsible sometimes means pissing people off.”


We herd sheep, we

drive cattle, we lead

people. Lead me, follow

me, or get out of my

way.

~George S. Patton~

General Douglas McArthur

• Whoever said the

pen is mightier than

the sword obviously

never encountered

automatic weapons.

FAMOUS LEADERSHIP QUOTE

• General George Steadman, U.S. Army during

the Civil War

• “Men, I want you to fight

vigorously and then run. And as I

am a bit lame, I’m going to start

running now.”

Dr. Benjamin E. Mays (1895-1984)

• “It must be borne in mind that the the tragedy in life doesn’t lie in not reaching your goal. The tragedy lies in having no goal to reach. It isn’t a calamity to die with dreams unfulfilled, but it is a calamity not to dream. It is not a disaster to be unable to capture your ideal, but it is a disaster to have no ideal to capture. It is not a disgrace not to reach the stars, but it is a disgrace to have no stars to reach for. Not failure, but low aim is sin.”

Final Leadership Quote