winter 2006

GuidebookWinter 2006

EFFECTIVE PERFORMANCE MANAGEME

Table of Contents

Introduction p. 4

What is Performance Management? What is it not? Goals of Performance Management Benefits of Effective Performance Management

The Performance Management Cycle p. 6

The Performance Management Cycle Roles in Performance Management

Phase I: Performance Planning p. 8

What is Performance Planning?o Levels of Goals

Setting Individual Goalso Goals/Work Prioritieso Professional Development

Setting Goals/Work Prioritieso What kind of goals should be set?o Examples

Planning Professional Developmento What is professional development?o Whose responsibility is it?o Examples

Be S.M.A.R.T. About It!

Phase II: Ongoing Coaching and Feedback p.

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Coaching and Feedbacko What is Coaching?o Benefits of Coachingo What does coaching sound like?o Types of Feedbacko Communication Tips for Coaching and Feedback

Documentationo Ideas for documenting and observing employee performanceo Guidelines for Documentation

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“Coaching is not an addition to a leader’s job, it is an integral

part of it.” - George S. Odiome

Phase III: Performance Review p. 18

Desired Outcomes for the Performance Review Preparing for the Performance Review

o Thinkingo Writingo Preparing for the meeting

Pitfalls to Avoid in Performance Reviews Sample Meeting Agenda Tips for During the Meeting Managing Problem Performance Recognizing Outstanding Performance

The Performance Appraisal Process p. 24

The Performance Appraisal Form Incorporating the Unit Plan and University Aspiration Administration Notes

o Forms on the Webo Required Signatureso Timing and Deadlineso Eligibility

Coordination with Merit Increase Planning HRM Contacts

Appendices p. 27

Frequently Asked Questions (FAQ) Preparing for the Review – Employee Performance Appraisal Guidelines Sample Goal Planning Worksheet University Action and Assessment Plan

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Introduction

What is Performance Management?

Performance management is the continuous observation and influence of employee performance throughout the year. It includes:

Coaching Mentoring Feedback Positive reinforcement Role modeling Work-related counseling and advising Recognition and rewards for top performance

Formal written performance appraisal

It is an important component of the University’s commitment to striving for and achieving excellence. The philosophy behind the University’s performance management program is that every college, area, department, and job within the institution is uniquely responsible for creating value for the institution, or for making its own contribution to the University Aspiration. Every job should be an indispensable part of the whole.

What is it not?

Performance Management is not “just the form”, just as carpentry is not just a hammer or a saw. The forms are tools used during the process, not an end by themselves.

Unlike in the cartoon above, it is not a once-a-year event, but rather the whole ongoing and repeating cycle.

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Goals of Performance Management

The Northeastern University performance management program seeks to achieve the following:

To create and foster ongoing, two-way communication To clarify expectations between the manager and the employee To focus on behavior that will have the most impact on organizational results To enhance and increase employee and organizational performance in the competitive

environment by maximizing current talents and developing new ones To link individual employee behavior with the Unit Plan and University Aspiration by placing

actions within the context of the University mission To assist employees in reaching personal and professional goals that are consistent with the

goals of the organization by formalizing employee development and developmental planning

Benefits of Effective Performance Management

A performance management system that is understood by all parties involved and effectively implemented offers many benefits to employees, managers, and the University as a whole:

Relevant, concise performance feedback and balanced performance appraisals position employees for success and future growth.

When expectations are clear, objective measures are agreed upon, and coaching is consistent and ongoing, employees will “own” their performance and professional development. Managers will be seen as helpful and candid resources who guide and direct their employees’ performance.

Communication will improve: The ongoing coaching and feedback that enhances your employee’s work performance and professional development will increase trust and respect. Managers will be perceived as leaders with fair and high standards.

With objective measures, problem performance is quickly noticed and can be more easily managed. Behavior that results in exceptional performance can become a model for others.

Observing performance patterns over time gives managers strategic information about individual and team potential, persistent performance gaps, and future priorities.

Performance is aligned with University objectives, providing a sense of direction and focus for employees at all levels.

Employee skill and motivation will increase, ultimately improving employee morale and reducing turnover.

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The Performance Management Cycle

We tend to think of performance appraisal as a yearly event, when it is actually an ongoing P R O C E S S:

Phase I: Performance Planning

This first phase of the process is a dialogue between a manager and employee to establish clear, specific performance expectations, preferably at the beginning of the performance cycle. However, the goals set as part of this phase should be re-evaluated throughout the year to deal with changes in departmental priorities and new information.

Phase II: Ongoing Coaching and Feedback

The second phase is a series of two-way discussions focusing on communicating about work progress and providing feedback on performance. It also involves regularly observing, monitoring and documenting performance throughout the year.4

Phase III: Performance Review

The final phase is a summary discussion and written documentation reviewing employee performance, areas of excellence, goals for improvement, and professional development. This phase is the culmination of the first two phases, as it is both a review of progress achieved towards the goals set in Phase I as well as a summary of the ongoing coaching that has occurred during the past year.

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Performance Planning

Coaching and

FeedbackPerformance

Review

Roles in Performance Management

One thing to remember is that you as a manager are not alone in this process. There are shared accountabilities throughout the process at all levels. Do not hesitate to tap into additional resources as you need them.

The Manager The Employee Shared accountability Actively coach and mentor employees Clarify business direction and focus Identify resources for employee

development Identify obstacles

Shared accountability Proactively provide input Continual self assessment Work with manager to set and achieve

goals and work priorities Take personal ownership for development

HRM NU School/Area Leadership Provide the tools, training, and guidelines

to managers and school administrators Design and administer performance

management and compensation programs Consult with managers and employees on

the program processes or individual issues

Define and communicate University/area mission and goals

Identify resources for employee development

Assist in administration of performance management program in consultation with HRM

.

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Phase I: Performance Planning

What is Performance Planning?

Performance planning is the first step in the performance management process. It is a dialogue between a manager and employee to:

Align job expectations with overall strategic plans, department goals, and the job description for the position

Establish and agree upon performance expectations and goals Clarify and document the evaluation criteria that will be used in Phase III – Performance

Evaluation Set the stage for ongoing feedback and coaching throughout the year Create a partnership based on two-way communication Identify sources for feedback on the employee’s performance (optional)

Levels of goals

The most significant part of planning is goal setting. Goal setting is more than being organized or ambitious; it is good planning and an integral part of achieving success. Goals are set on many different levels - for the entire University, individual colleges, small departments, and individual employees. At the highest level is the University Action and Assessment plan, which lists the goals and milestones supporting the University Aspiration. These are then divided into unit or area goals, and then again into department goals. These department goals are then translated into goals for each individual manager and employee.

Cascading goals in this way creates a line of sight between the highest-level strategic goals and the everyday activities of the most junior employee. This link strengthens the meaning and purpose of an employee’s job, resulting in increased internal motivation and enhanced performance.

Setting Individual Goals

At the individual level, there are two aspects of goal setting and planning:

1) Goals/work priorities

These are specific accomplishments that are agreed upon by the manager and the employee at the beginning of a performance review year to be accomplished by the end of the year. These goals will probably be different for each employee and should change from year to year. These are not the Key Responsibility Areas as listed in the Job Scope Description, which are much broader in scope and should be relatively stable over the years.

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There is no space on the current Performance Appraisal form to list employees’ goals for the year. Managers may use the sample planning sheet available at the end of this guidebook and on the HRM web site, or simply list the goals on a separate sheet of paper.

2) Professional development

This part of the planning process focuses on developing knowledge, skills, and abilities of the employee that will improve job performance, enhance contributions to the University as a whole, and advance the career goals of the individual employee. Documentation for this area is covered in part IV of the Administrative/Professional Performance Appraisal form.

Setting Goals/Work Priorities

Establishing work goals and priorities is the first step in developing individual performance and professional development plans. In order to be effective and meaningful, goals and work priorities need to be connected to department priorities and University strategic initiatives. This connection ensures that work is consistent with department efforts. Goal setting should be a collaborative process between managers and employees, although it is the manager’s responsibility to look at the department and area needs from a strategic level and drive the process.

The end of the performance appraisal meeting is a good time to turn the focus to the upcoming year and set goals, but this is not the only time to do it. If goals, projects, timeframes, and/or expected results change during the year, remember to discuss the changes with your employee. Goals should be reviewed frequently to ensure progress and make adjustments as they are needed. This will happen easily if you regularly schedule and hold one-on-one meetings with each staff person.

What kind of goals should be set?

Simply put, goals should be set around work that needs to be done. This work may be project-oriented and lend itself to goal setting by nature, or it may be a baseline level of ongoing activities that are necessary to “keep the shop open.” Skill-building and professional development activities are considered part of the professional development planning process and are discussed in more detail in the next section.

For each goal that is set, identify how success will be measured, the resources that are available, and a timeline. Try to articulate how the goal is aligned with and supports departmental and University goals.

In the context of work priorities, there are three basic types of goals: Accomplishment of a project/ job task Improvement of a process Improvement of individual performance

Some staff may find it difficult to identify meaningful goals/ work priorities for the Performance Management process. To help expand your thinking about the kinds of goals that you can set with your employee, listed below are some examples:

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Examples:

Accomplishment of a project: Chair a search committee to hire a new staff member by (date) Update the department brochure by (date), have it printed by (date) Design student information packets and distribute by (date) Create a web page for the office by (date)

Improvement of a process: Reduce delays in the processing of accounting reports Reduce steps and time required to enroll a student in courses Provide more information in varying formats during employee

orientation sessions Computerize a previously manual process

Improvement of individual performance: Organize workload to accomplish job duties more effectively Improve written communication by attending training and applying learned skills Deliver more attentive and timely service to clients Actively participate in staff meetings and on department work teams.

Planning Professional Development

What is professional development?

Professional development is: Acquisition of new skills/abilities Gaining experience by taking on different and challenging responsibilities Increasing knowledge and expertise Continuous and ongoing learning

Professional development truly is a win-win situation. Employees benefit from an enhanced skill set, greater confidence, and increased professional qualifications. Managers and the University benefit from a more highly skilled workforce and increased motivation. Goals around professional development should be set just as goals that are directly job-related, and should be documented in Section IV of the performance appraisal form.

Whose responsibility is it?

Most experts on career development believe the employee should have the final responsibility for managing and developing his or her own career. The manager can help in many ways, but should remain a helper – not a decision-maker, but rather a facilitator of decisions.

Employees usually have varying reactions and interest levels to the idea of professional development; some are very interested and eager to take a great deal of initiative, while others need some help and encouragement to expand their skills and abilities. Employees who are not so receptive to the idea

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may view it as burdensome and time-consuming, stressful, competitive, and outside the scope of their “real” job. The point to emphasize with these employees is that professional development is truly an investment on everyone’s part – on the part of the employee, the manager, and the University, in terms of time, resources, money, and energy. However, it is an investment with a high rate of return that will pay rewards in the forms of increased skills, competence, confidence, and mobility.

Examples

In addition to asking your employee directly, take a moment and observe your employees: What projects and assignments do they volunteer for? What ideas do they contribute? Some ideas are as follows:

On the Job Training Cross-training Formal training, education, and developmental programs University-sponsored courses and training Seminars and workshops Conferences College/university courses –at or outside of Northeastern University Adult education courses, such as Boston Center for Adult Education

Task Assignments Working with colleagues on new or challenging projects Job or task rotation Filling in for another staff member at meetings or during vacations Participating on task forces, committees, and special projects

Other Reading books, trade/industry journals, etc. Visiting other departments, sites, organizations to observe and learn about a different part of the

University Joining professional organizations Joining a University committee

Be S.M.A.R.T. About It!

Regardless of whether the goals set are around work priorities or areas of professional development, a good way to check the effectiveness of written goals is to remember the following criteria:

SpecificFocus on specific results rather than general or vague actions. Simple yet specific goals ensure clarity. Complex goals should be broken into sub-goals. Be clear about what you want to accomplish. An objective that is too general will require more action steps than are effective.

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MeasurableTo determine how well a goal has been achieved, the results should be quantitative (measures amount of output) and qualitative (measures how well the task was done). How will you know when you have been successful? What are the indicators of success? You should be able to monitor and gauge progress in objective terms.

AttainableThe best goals are challenging, realistic, and achievable. They focus on significant contributions required to meet department and University goals. Be realistic about how much you can accomplish in a given year. Too often we set ourselves and our work teams up for failure because our expectations are too high given the amount of time, skill, or resources we have to accomplish a goal.

RelevantGoals must align with and support the goals of the department, the school/division, and the University as a whole. Employee goals should meet or exceed the needs of all parties, including internal and/or external customers. Choose goals that are important to strive for in your work, and those that will have the most impact in your workplace. The objective should relate directly to department and University objectives.

Time-basedA specific target date for achieving each goal should be agreed upon. Time frames ensure a proactive approach toward achieving results. You should be able to track progress against specified time frames.

When the goal-setting process is complete, the following questions should be answered: What do I need to do? How will I know when I’ve done it? Why should I do it? By when does it need to be finished?

Complete and effective goal setting at the beginning of the cycle will prove to be invaluably helpful when preparing the formal evaluation at the end of the year (Phase III: Performance Review).

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Phase II: Ongoing Coaching, Feedback, and Documentation

Coaching and Feedback

Throughout the year, performance discussions with the employee should take place on an informal but frequent basis. If managers provide feedback only once a year during the annual performance appraisal meeting, the employee never gets the opportunity to change his or her behavior during the year. This process of ongoing performance feedback is part of the large process of coaching.

What is coaching?

Coaching is an ongoing process of communication between the manager and employee focused on improving current performance and building capabilities for the future. The person being coached not only learns new skills and becomes more effective but also gains the ability to further develop himself/ herself in the absence of the coach.

A good coach will strive to create a learning environment – one where the person being coached is given the resources necessary to enhance his/ her skills, where intelligent and responsible risk-taking is not just tolerated but encouraged, where barriers to self-improvement are eliminated and where job assignments are designed to create a learning experience.

Coaching may include a variety of activities, such as: Providing hands-on instruction or demonstration Directing and focusing the employee’s efforts Listening to employee concerns and ideas and providing encouragement Suggesting action plans that match the employee’s learning style Reaffirming the employee’s value or potential value to the University Identifying development needs for current and/or potential positions Discussing progress toward professional development goals on an ongoing basis Engaging in problem solving to identify and discuss challenges that are preventing the

employee from achieving goals Suggesting ways to modify and improve the employee’s approach Supporting and encouraging employee efforts, whether successful or not Taking advantage of “teachable moments” with on-the-spot brainstorming, problem-solving,

and feedback Observing, monitoring, and documenting performance throughout the year Providing regular, timely feedback, both positive and developmental

Benefits of coaching Improves individual employee’s performance and results Gives employees an opportunity to express their needs, concerns, expectations, to participate in

their own development

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Provides opportunity to re-focus employee and manager efforts Increases employee motivation by increasing competence and confidence Helps build relationships by encouraging communication and establishing trust Builds commitment and loyalty by showing willingness to invest in employee Provides documentation that helps identify employee strengths and manage their areas for

improvement Provides a context through which to guide future performance

The goal of coaching is not to find fault, but to improve performance and encourage professional growth. Coaching is not only for new employees or marginal performers. Employees who are already high performers can benefit from coaching to further increase their performance, learn new skills and responsibilities and feel valued for their contributions.

What does coaching sound like?

Because coaching encompasses such a wide range of activities, it may be hard to picture exactly what coaching sounds like. Read the examples below and see if the phrasing in the example column sounds familiar; many managers already communicate with their employees in a similar way on a regular basis. Managers who use coaching skills to manage performance tend to:

Action ExampleObserve what is happening: “I see that this problem keeps occurring …”Engage the employee in dialogue: “What do you think is happening here?”Listen carefully and ask open ended questions:

“What else has an impact on this?”

Acknowledge what has been said and withhold judgment:

“I see; I understand what happens.”

Clarify meanings and summarize: “So you think that the problem occurs when . . .”Specify expectations and desired results:

“I need an accurate database up and working by next Wednesday”

Open up possibilities and look for alternatives:

“What if we came at this from a different angle and…”

Reach agreement on action: “Can I count on your getting this done by then?”

Types of feedback

Just as it would not be reasonable to expect to get to a particular location if the pilot or captain of the ship had no navigational information, it is not reasonable to expect a person to develop in any particular direction without performance feedback. However, feedback in the form of an annual appraisal simply won't “cut it” any more than a single reading of the instrument panel at any one point in time could effectively enable a pilot to fly from New York to Los Angeles. Feedback is needed at many points along the way and is especially valuable when one is veering off course.

Corrective FeedbackThis kind of feedback attempts to change the specific behavior of an employee

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Make an observation describing the situation that needs changing; this will be your key message. Don’t add extraneous information. Don’t make assumptions. Wait to hear from the employee. Depending on the situation, you may want to:

Repeat your key message Expand on your key message Highlight the implications, both positive and negative

Once you jump in and own the problem, the employee is off the hook. Give the employee ample opportunity to figure out what needs to happen to correct the problem and to avoid making the same mistake twice. As always in performance management, focus on the problem, not the person. Defensiveness is a normal reaction to correction; concentrating on specific behaviors and examples rather than personality traits will minimize the level of defensiveness.

Example:“When I don’t receive your reports on time… Describe…I feel frustrated and angry because I can’t submit my report on time. ExpressI need to receive your reports by 3 o’clock on Friday afternoons. SpecifyIf you do, it will satisfy our expectation of resource management. Positive consequenceIf you do not, it will hurt the department performance. Negative consequenceIs there anything I can do to help?” Support

Positive Feedback:Positive feedback is reinforcing performance through an active effort to praise particular actions and accomplishments. It recognizes employees and lets the individual know exactly what was done well and why that is important.

The most reliable form of reinforcement is recognition and praise. Look for these opportunities – don’t fall into the no-news-is-good-news trap!

Example:“When your gave your presentation to the task force … Describe…I felt proud of you and the work we’ve done. ExpressI’d like to see you continue to use those skills in the work ahead.” Specify

Communication tips for coaching and feedback

With coaching and feedback, it is important to focus not only on the message, but also on the delivery. How feedback is communicated to an employee can make the difference between defensive rejection of the message and grateful acceptance. Some guidelines for the nature and delivery of feedback are:

Be selective: Reserve corrective feedback for key payoff areas. Spend your time and effort in areas that will nurture the important aspects of performance.

Plan your delivery: Know the essential messages you want to convey. Consider the listener and what you know about this person. Frame your message in a way the listener can understand.

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Be specific: Avoid generalities, such as “always” and “never”. General feedback does not help a person know what or how to change to be more effective. Telling people they did a bad job is demoralizing and not instructive; praise should likewise be specific. In order for someone to intentionally repeat a good behavior he/ she needs to know just what that behavior is. To avoid repeating negative behaviors, the person must understand precisely what the negative behavior is that should be altered.

Be descriptive: Talk about what you saw or heard rather than conclusions you may have drawn about the person from your observations. Observations are generally accepted as fact, while conclusions are often rejected as incorrect assumptions.

Listen: After you have finished delivering your message, listen carefully to the answers – both verbal and nonverbal. Verify that the message was received and understood; summarize and paraphrase to check your own understanding. Ask open-ended questions to get more information, and then listen some more.

Explore alternatives: Often what people do appears to them to be the only course of action available at the time. Stress of the moment can limit the alternatives that the employee sees. Effective feedback will encourage a broader range of vision that includes other alternatives. Help the employee think through alternatives; if you make suggestions, suggest action plans that match the employee’s style.

Be prompt: Time delays allow for mistakes to be repeated and learned. Feedback should occur in a time frame close to the event or behavior under consideration. Long time delays between the event and the feedback tend to dilute any positive impact the feedback might have. To have a significant impact on performance, feedback should occur regularly and not is an isolated event occurring only on a pre-determined schedule.

Be confidential: Show the proper respect for the person by choosing the appropriate time and location. Ideally, feedback, whether positive or negative, should be given face to face and in private. Such communication via e-mail, voice-mail or memos makes it difficult for the recipient to get clarification or to ask questions. It also makes the feedback seem impersonal and by so doing may either dilute its impact or alienate the receiver of the feedback.

Be sensitive. Feedback should be delivered with empathy and sensitivity. It is important to remember that the goal of the feedback is to positively impact behavior and to help the individual, the organization or the system grow and develop. It is no surprise that feedback delivered in a hostile, negative or uncaring manner is likely to generate resentment and hostility. Try to recall some situations when you have been on the receiving end of feedback – how was it delivered? Put yourself in the employee’s shoes for a moment.

Keep it up: It seems logical that the greater the amount and rate of change, the greater the need for feedback. Yesterday's feedback and information may no longer be useful when the rules of the playing field have changed and the nature of the behaviors needed for success has been altered. Coaches present feedback to their players throughout the entire game, not just the first half, so keep going.

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Documentation

Although it may seem difficult, time-consuming, and a hassle, there are many reasons to keep continuous and detailed notes on employee performance. It is recommended that managers maintain their own folders for each of their employees containing meeting notes, observations, copies of e-mail messages and other communications produced by the employee, and other documentation as appropriate.

These records will serve multiple purposes: Serve as memory aids to recall past events or incidents Provide instant documentation when writing the performance

appraisal Support the coaching and feedback processes by providing

specific examples

Ideas for documenting and observing employee performance

Review work completed by the employee Observe employee work activity firsthand Ask the employee for a self-reported progress update Consult with others regarding employee performance Understand and outline important job duties Record the outcome and accomplishments of special projects and critical incidents

Guidelines for documentation Be accurate; focus on objective and supported facts Be balanced and fair Focus on job performance and goal accomplishment rather than personality issues or non-work

related aspects of the employee Document incidents that describe all levels of performance, not just unsatisfactory or

outstanding

Just as with goal setting, a little time spent along the way will make the work of preparing, writing, and discussing the performance appraisal much easier.

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Phase III: Performance Review

The final phase in the performance management cycle, the performance review, is what most people think of when they hear the term “performance management.” This annual review should be a culmination of the past year’s discussions between the manager and the employee about the employee’s performance.

The performance review consists of two parts:

Written document: A completed Performance Appraisal form that outlines expectations of the employee and reviews performance against these expectations. This document should summarize critical goals and the results achieved, as well as establish an overall summary rating for the employee.

Meeting: A formal face-to-face meeting between the manager and the employee to review the last year’s performance, plan goals and work priorities for the coming year, and identify key areas for future professional development.

Although the annual performance review process brings closure to the past year, it also signifies the beginning of the upcoming year. Although time constraints may not allow both a review of the past year’s performance and goal setting for the upcoming year to occur entirely in the same meeting, the Development section (Part IV) of the performance appraisal form must be filled out in order for the appraisal to be considered complete.

Desired outcomes for the performance review

After these two pieces are completed, the following should be true: Employee is not surprised, and feels evaluated fairly

Employee’s self-esteem is supported in that he or she is assured of his or her value or potential value to the University

Working relationship between the manager and employee is maintained or improved

The employee and the manager engage in meaningful dialogue about the employee’s performance in relation to established measures

Managers assist their employees in planning and implementing methods to improve performance

An accurate formal record of job performance is established

Professional development and career pathing issues are discussed and planned

Objectives and priorities for the coming year are documented

The goal of this meeting is not to solve all of the problems within the meeting, nor is it to solve problems for the employee. Rather, this is the time to address performance issues, begin the collaborative problem-solving process, and provide the employee with the necessary resources to solve the problems by him or herself. The performance appraisal form lists spaces for actions to be taken by both the manager and the employee; appropriately, both parties should contribute to the problem-

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solving effort. And of course, it is not intended to be an adversarial confrontation, but rather a continuation of the partnership and team effort towards a common goal.

Preparing for the Performance Review

Thinking Thoroughly review all your information and documentation to make certain you are clear in

your own mind about your evaluation of the employee’s performance. Compare actual performance to objectives. Solicit input and feedback from others, as appropriate. Brainstorm possible future goals and competency development needs.

Writing Concentrate on a document that will be read often and not just by the employee (employee’s

spouse, friends, other people in the University), to avoid as much as possible anything personal.

Preparing for the meeting Give the form to employees early enough so that they have time to read and react. Set up ample time in an appropriately private place for the meeting when you can devote

individual attention to the employee and all the relevant issues. Notify the employee in advance so that he or she has a chance to prepare for the meeting as well (see Appendix).

Review sensitive issues with your manager, if appropriate. Plan ways to keep the conversation focused on employee performance. Prepare open-ended questions to solicit the employee’s feedback and encourage two-way

communication during the review meeting. Prepare how to state the feedback and manage the emotional level.

Pitfalls to Avoid in Performance Reviews

Error DescriptionRecency Effect Reviewing only the most recent performance and not taking into account

events throughout the entire yearLenience Error (Halo Effect)

Allowing excellent performance in one area to overshadow the review of performance in other areas

Harshness error (Horns Effect)

Allowing unsatisfactory performance in one area to overshadow the review of performance in other areas

Central Tendency Error Selecting a middle or average rating to describe all performance; lack of differentiation among employees

Low Tolerance Error Rating everyone low because of excessively high standardsHigh Tolerance Error Rating everyone high in order to avoid conflict or hurt feelingsLack of Information Making evaluations with incomplete informationAvoidance Reluctant to discuss problemContrast Error Performance-rating error in which an employee’s evaluation is biased

either upward or downward because of comparison with another employee just previously evaluated

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To help avoid these errors: Keep documentation (notes, e-mail, etc.) throughout the year, both on accomplishments and

needs for improvement Ask your employees to keep documentation also Allow enough time before the review meeting to think and reflect on the events of the past year Ask the employee to review his/her own performance as additional input to the discussion

Sample Meeting Agenda

If you are not sure how to structure the actual performance appraisal meeting, here is a sample agenda. However, feel free to use your judgment as to the best order of topics given each individual situation.

Set the stage Build rapport: Try to put the employee at ease. Performance reviews are just as difficult for the

employee as they are for many managers. Make some introductory comments to encourage the employee to talk

Explain the purpose of the meeting and go over your agenda. Encourage the employee’s involvement and participation. Make sure to give him or her time to

find the right words. Don’t assume you know what an employee might say; let them say it their way.

Review employee’s assessment Let the employee know that you have made an evaluation of his/ her performance, but that you

would like to know the employee's self-assessment first.

Compare results vs. expectations You may wish to outline your key messages with examples listed under each; some people find

it helpful to also list the key words and phrases that they want to mention.

Discuss reasons for successes and problems Begin the collaborative problem-solving process by brainstorming and thinking out loud

together.

Summarize trends As a manager, you are responsible for helping the employee see the big picture; point out

performance trends and patterns, both positive and negative.

Plan for the upcoming year Plan and list work goals/priorities. Plan and list professional development

activities.

Closing Have the employee sign the review. End the meeting on a positive, optimistic

note.

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Tips for During the Meeting

Use your coaching communication skillsThe performance appraisal meeting should be a continuation of the feedback delivered

throughout the year, so refer back to the tips on page 15 for advice on how to present your message most effectively.

Aim for consensus, but do not force itAs described above, the performance conference should be a give-and-take session in which

you examine areas of agreement and disagreement. For example, the employee might disagree with one of your judgments. Hear the employee out— there may be information you have overlooked, or there may be an “assumed intention” or other inference from the actual behavior/ outcome that has crept into your analysis, rather than a fact.

Give your perspective; show the employee that you are interested in giving a fair hearing with an open mind as to the facts. If you think, on reflection, that a judgment should be changed then do so. Of course, remember that the final appraisal judgments are your responsibility. The employee always has the option of disagreeing with your judgments and may submit a written response under the Employee Comments section. If significant new information comes to light in your conversation, don’t be afraid to reconsider your evaluation or revise the wording in the written document. It is not a negotiating session, however. If you have done a thorough job of preparation, significant new information during the meeting will be a rarity.

Focus on performance, not personalityThink job accountabilities only. This means that the emphasis should be on actual

performance. Traits such as attitude, integrity, dependability, or appearance should be mentioned only as they relate to performance. Emphasize the future. It is important to remember that “what's done is done” and that the primary focus of the conference should be on next year's performance. During the meeting, place significant emphasis on how future performance expectations can be achieved and how improvement areas can be addressed. Past performance and difficulties should be viewed as, and communicated as, “lessons” for the future. Employees often ask, “When did I do this?” Have specific examples to support your comments and evaluations.

Manage the emotional levelEmotions can rise, particularly when the discussion centers

on behavior that is below expectations. It is important that you do not become angry. Letting the employee “vent” may be a good way to gather information, but be careful not to let emotions get carried away or dictate the tone of the rest of the meeting. Listen carefully to try to understand the real reasons that the employee is upset. Restate the employee's position in your own words to confirm your understanding. You may want to restate your own position. If emotions get too strong, consider postponing the remainder of the session. Ask the employee if he or she thinks that might be a good idea, and reschedule the remainder of the conference for a specific date, place and time as appropriate to allow for a cooling-off time.

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Conclude on a positive noteWhenever possible, make certain that the employee leaves the conference in a positive frame of

mind instead of being resentful toward any negative aspects of the discussion. At a minimum, the employee should feel that it was worthwhile to discuss his or her performance and know what needs to be done to improve future performance.

Look at the whole pictureRemember that you’re dealing with an entire year’s performance. Try not to be swayed by the

good or bad performance of the most immediate past (e.g., what happened last week). Likewise, look at all aspects of an employee’s job as outlined in the job description to get a well-rounded view of his or her responsibilities, and not just the most prominent.

No surprises!The things you want to say to the employee may be more detailed than your previous

conversations, but it’s neither effective nor fair to hit an employee in a formal review with issues that have never been addressed. When coaching and performance feedback happen throughout the year, there is ample opportunity for the employee to make needed adjustments to his/her performance.

Know your limitsA reminder - you’re not a therapist. Show all the concern you can about personal issues that

the employee discusses with you and suggest appropriate help if you can, but avoid giving personal and/or non-job related advice.

Managing Problem

Performance

What if the employee is not meeting expectations at the time of their performance review? While each situation will be unique and due to a different combination of factors, there are some basic steps that managers can undertake to address performance issues. For detailed HR guidance concerning your specific situation, however, please be sure to contact the HRM Consultant for your department.

First, be sure that it is a significant and chronic performance problem and not a “bad day” or miscommunication. Complete this checklist as a self-test.

Were you explicit and clear about the work to be done?

Did you verify understanding?

Were check-in times set for monitoring progress?

Did you provide performance-based feedback?

Did the employee have the skills and resources necessary for success?

Did an unanticipated problem affect progress?

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After you have determined that a significant or chronic performance problem does exist for this employee, you may wish to take the following steps, either in the annual review meeting or in a separate conversation:

1. Get the employee’s agreement that a problem exists and that his or her performance needs improvement.

While you will need to consider carefully how to present this information to the employee, it is important to get him/her to agree that there is a problem. For many people, the best way to get agreement that a problem exists is to discuss the real results of poor performance. For example, explain how work delayed or done inadequately affects other employees, students, other offices, or other customers and why this is unacceptable.

2. Mutually discuss solutions.Maintain a problem-solving orientation. Begin by clearly articulating the problem situation and

asking the employee to help identify what you and he/she can do together to help solve it.Do not place blame or find fault. Try to avoid words or phrases like “you shouldn’t have done

x or y” or “if only you were more interested/motivated . . .” Instead, focus on the future and on what the employee can do from now on that will meet performance standards.

Allow the employee to offer suggestions. There might be several ways that improvement can be accomplished and employees are often in the best position to see such alternatives.

3. Mutually agree on actions to be taken to solve the problem or improve performance.

Try to cite specific things that the employee can do to improve, if he or she does not mention them. Give examples of the kinds of results that are desired. For example, an employee who is told only that he or she lacks initiative receives little guidance about what changes to make. However, when told he or she should anticipate available work time and seek additional work when projects are completed, the expectation is clear and the employee is given the opportunity to change.

Decide on a specific course of action and get the employee’s commitment to these actions.

4. End on a positive note.Even in the case of poor performance, the manager can end on a positive note by focusing on

the year to come and opportunities to improve.

5. Follow-up.After the meeting is over, be sure to follow up on the agreed-upon action plan with more

coaching and feedback, consulting with Human Resources if necessary. Also, be sure to recognize progress when it is made.

Recognizing Outstanding Performance

Equally important as managing and addressing problem performance issues is recognizing above average and outstanding performance. As mentioned, this kind of feedback should be ongoing as well, but the formal review is a good opportunity to make sure those special accomplishments and achievements are acknowledged. Some recognition ideas include:

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Acknowledge effort as well as results Give employees personal, handwritten notes to mark accomplishments See if your area or college has its own recognition program Send the employee a Star certificate; a copy will be placed in the employee file Ask a senior manager to acknowledge accomplishments of your staff

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The Performance Appraisal Process

The Performance Appraisal Form

The Northeastern University performance appraisal form is designed to reflect an employee’s goals for the past twelve months plus his or her actual performance towards those goals. Part I focuses on what the results achieved were, while Part II addresses specific obstacles or challenges not readily evident in Part I. Part III focuses on how the results in Part I were achieved. Lastly, Part IV concentrates on development and goals for the next twelve months.

Incorporating the Unit Plan and University

Aspiration

Each College or area senior leadership team has created a Unit Plan to give an overview of the high-level goals and priorities that the area will strive to achieve. By creating a stronger link between the daily activities of every level of employee and the larger missions of the department and University, employees will be able to see more clearly the role that they play in achieving the University Aspiration.

We recognize that not all areas may have a finalized Unit Plan that has been fully communicated to its managers. If this is the case, managers should attempt to make their own connection between their employees’ goals and the unit/area mission and the University Aspiration.

When making the link between individual employee goals and department goals or Unit plans, be careful not to list too many goals. Refer back to the “SMART” criteria section, and make sure that not only is each goal by itself attainable, but that all the goals put together are attainable within the time given.

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Administration Notes

Forms on the Web

The following materials are available for download from the HRM web site at www.hrm.neu.edu/forms.html

Admin/Professional Performance Appraisal form Performance appraisal guidelines Sample goal-setting worksheet (optional)

Required signatures

Be sure to provide individual employees with an opportunity to write comments on their performance appraisal before they are asked to sign it. The employee’s signature means that they have met with you and have discussed their review. It does not mean that the employee agrees with the appraisal. Performance appraisals must have the employee’s signature to be considered complete and processed.

Each completed appraisal must also be reviewed and signed by the next level manager prior to meeting with the employee.

Timing and deadlines

Since the performance review process should be completed before decisions are made regarding merit increases, the signed performance appraisals should be completed and returned to Human Resources Management no later than Friday, May 1, 2006.

In keeping with past practices, department heads and/or managers who do not complete the review process for their eligible employees will have their July salary increases withheld until the signed performance appraisals have been received in Human Resources Management.

Eligibility

This process covers all full-time as well as benefits-eligible part-time staff whose start date in an administrative/professional job was prior to February 1, 2006. The performance period to be reviewed is for the prior twelve months of employment.

For grant-funded positions, performance appraisals should be completed annually, either at this time or at the time of the grant renewal. Consistent with university practices, a signed performance appraisal should be on file prior to the grant-funded employee’s receiving a merit increase. These merit increases are funded by the grant.

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Coordination With Merit Increase Planning

The Budget Office will be distributing merit pool dollars for Administrative/Professional employees on the week of February 23, 2006 with salary recommendations due back to Budget on April 3, 2006. Materials and instructions for processing salary increases will be distributed under separate cover.

Northeastern University supports a pay-for-performance orientation to compensation. There should be a link between an individual employee’s merit increase and his or her overall performance rating. Specific guidelines around the specific percentage increases appropriate for each rating are listed in the Merit Distribution Guide that is distributed with the salary planning worksheets. As always, if you have questions regarding a specific situation or employee, please contact your HRM Consultant.

HRM Contacts – x2230

For additional information and assistance regarding a specific employee issue around performance appraisals, please contact your HRM Consultant:

Cheryl Whitfield Associate Director, HRMMay Lee Senior HRM ConsultantKathy Raiz Senior HRM Consultant

For questions regarding general administration of the performance appraisal program, including the contents of this guidebook, please contact a member of the Compensation Department for assistance:

Susan Batutis Compensation ManagerLidia Rosado Senior Compensation Analyst

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APPENDIX AFrequently Asked Questions (FAQ)

What if my employee is on a leave through March and will not be here for the performance appraisal?Managers should complete the process as normal and then deliver the review when the employee returns to work.

What if the employee won’t sign the review?The employee’s signature does not indicate agreement or approval of the review in any way; it merely confirms that he or she has read and the written appraisal. If an employee is reluctant to sign, try to find out the specific reason and emphasize that there is room for his or her comments at the end of the review. If the employee still refuses to sign, make a note to that effect on the review, along with the date, and then forward the review to Human Resources.

How long should I give the employee to read my written review before the meeting?This depends largely on the situation – some employees need a day or two to read and think about something like a written performance review thoroughly, while other employees would be fine with a couple of hours. Use your knowledge of the employee and his or her learning style to judge how much reflection time he or she may need.

Under what circumstances would I use a performance rating of 1 (lowest)?As with all aspects of the annual performance appraisal, it is up to a manager’s judgment when it is appropriate to give a 1 performance category. The decision would be based on an employee’s not meeting performance expectations on relevant goals, competencies and responsibilities. When using this category, managers will most likely have had a prior performance improvement discussion with the employee.

All of my employees are good employees and will be receiving a “3” rating. I would like to give everyone the same increase. Is this possible?While it is possible to assign the same rating and merit increase to each of your employees, it would be unusual for all employees to have the exact same level of performance. Managers and employees alike should understand that under the evaluation system, most fully performing employees should fall in the overall performance rating of 3 (consistently meets all job requirements). Likewise, new employees who have not yet developed fully in the position might be rated in the rating category of 2 (frequently meets some but not all), while very few employees should receive a rating of 5 (consistently exceeds).

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What should I do if we did not write out formal work priorities and professional development goals for this past year?Prior to the performance appraisal meeting, identify goals and competencies as the performance context for the upcoming review. Discuss how the work the employee does fits into unit and university results. Commit to have a performance planning discussion in the next cycle!

There is no time in my schedule to write the performance appraisal. Is there a productive alternative if I don't set aside the time?There is no "quick fix" to writing a meaningful review. Take the time. Don't try to wing it in the meeting! You will leave yourself open to delivering vague feedback and confusing messages. With preparation you will have more focused discussions and more motivated employees. Any documentation you have will save you time in writing. Asking for feedback from others for whom the employee does work will also be helpful. This can give you a clear place to start and specific themes to use.

Are there alternatives to using the performance appraisal form? The Administrative/Professional Performance Appraisal form was developed to ensure consistency university-wide so all employees get feedback on their accomplishments, strengths, and areas to improve/develop. To get started, try brainstorming your thoughts and then categorize them on the form to ensure that you are covering all areas for feedback. The Performance Appraisal form should not be changed in any way; however, we welcome your comments and suggestions for next year.

Why should I let employees know in advance when I plan to conduct their performance appraisal meeting?Advance notice enables the employee to provide you with input, and identify any additional sources of feedback, and conveys a spirit of collaborative effort. It also allows the employee to "clear the decks" in their workday so they are able to fully participate in the performance appraisal meeting.

My employee has worked hard this year, however at review time some work priorities/goals are still not complete. How will this affect the performance appraisal?If the incomplete goals have been targeted for completion after the time of review, consider the extent to which the employee is on target and set to meet those goals. The interim status of the accomplishments and anticipated results should be reflected in the narrative. Also, consider any circumstances outside of the employee's control that may affect the outcome of these goals.

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What if I have a new employee, i.e. 4-5 months, can I schedule a Performance Review later than the March timeframe?Guidelines state, that employees hired before January 31st are eligible to receive a formally documented performance appraisal. Employees hired after this time will receive their first appraisal in March of 2007. However, managers should make certain to complete Phase I, Performance Planning, and to begin the ongoing coaching and feedback that are part of Phase II.

What should I do if I cannot see an area in an employee's current position to develop?Ask the employee what they think about areas of development in their current job. In the current position, could this employee help with mentoring or training others? Is there an area of your job that you might delegate to this employee? Are there other opportunities for competency and skill development the employee might pursue? See p. 11 in guidebook for ideas and suggestions.

Will I need to have my manager sign off on the written appraisals for my employees? Yes. All written performance reviews will need to be signed by the next level manager before they are considered complete.

I work most closely with an employee, however I am not the person writing the performance appraisal. How can I give input to the review?You can take the initiative to ask the person conducting the review if they would like your input on the employee's performance.

What else can I do in addition to a positive performance appraisal and the annual merit increase to reward and recognize good performers? Consider the total compensation and benefits package when talking with employees. In addition, there are a number of non-monetary ways to recognize good performers. Refer to the list on page 23 of the guidebook for sample ideas.

What oversight is provided to ensure fairness in how different managers or different divisions evaluate and reward their staff? School/ division leadership and Human Resources Management share responsibility for ensuring fair performance evaluation and compensation practices. HRM reviews individual pay changes, consults with managers, and conducts post audits of pay programs to ensure consistent practices throughout the university.

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APPENDIX BPreparing for the Performance Review -

Employee

At Northeastern University, you as an employee are expected to take an active, participatory role in helping to manage your own performance and professional development. This includes preparing for the performance appraisal meeting by reflecting on your progress for the past year and participating in the meeting itself. If you wish to contribute comments to the Performance Appraisal form, there is space to do so at the end of the form.

Employee Responsibilities

Maintain your own professional development fileAlthough not required, it is recommended that you maintain your own file with documentation on your performance and development. This file is for your own personal reference only, and might include such items as:

The current job description for your position Any available performance standards and objectives for

your position, department, or area Copies of any performance development or other action

plans you and your manager worked on during the review period

Personal objectives you’ve established for your own job performance and/or professional development

Copies of prior performance reviews Record of formal and informal training you’ve completed Record of noteworthy projects or areas of accomplishments Record of formal and informal feedback you have received

from both internal and external customers, colleagues, etc.

Understand the objectivesKnow the relationship between the mission and objectives of the University, your department, you area, and your job. Understand how success in your work relates to the overall success of the University. For some types of jobs, this may require some thought: Is your job integral to “keeping the shop open” – i.e., performing a baseline level of functioning that allows your department to run smoothly and accomplish departmental goals? Do you provide a support function that enables other employees to more directly work towards the University Aspiration? Looking at the big picture and your place in it gives your job meaning and direction.

Sign the final appraisal formAfter the performance appraisal meeting with your manager, you will be asked to sign the appraisal form. Signing this form does not indicate your agreement with or approval of the written evaluation; it merely indicates that you have read it. There will be room at the end of the form for you to write your own comments.

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Preparing for the Performance Appraisal

Meeting

Confirm the meeting with your manager Gather any documentation regarding your performance that you

have collected throughout the year (letters, notes) Review any feedback from others relevant to your performance Review your job description and goals or work priorities that were

set during last year’s performance planning discussion, if applicable Write down questions that you want to ask your manager Be prepared to talk about your performance – what you do well,

how you could improve, what you would like to learn

Questions to Think About

Looking back How do you think your performance was this year? Did you meet your own expectations? If

not, in what areas would you like to make improvements? Do you think your performance met the requirements/expectations of your manager?

What were your biggest accomplishments this year? How did your contributions further the goals of your team or department?

What obstacles have you encountered? What are possible ways to remove those obstacles? Were the performance expectations clearly indicated to you by your manager? How has your

manager influenced your effectiveness and job satisfaction? What areas do you think you have grown in this past year? What skills have you developed?

How have your job responsibilities grown or changed?

Looking forward What do you see as your major goals/work priorities for the coming year? What are the areas in which you would like to grow professionally? What resources/help do

you need to do so? What changes in your job and the way you do your job would you suggest to improve your

performance, increase the effectiveness of your role, and provide greater job satisfaction?

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APPENDIX CAdministrative/Professional Performance

AppraisalGuidelines for Managers - 2005

Available on the HRM web site at http://www.hrm.neu.edu/forms/performance.html

Part I Performance Review

This section lists the previously agreed upon major responsibility areas of the employee, the performance level expected toward these goals, and the actual performance results reached. For each major responsibility area:

Step 1: Transfer all key responsibilities from section 2 of the Job Scope Description (JSD).This is an opportunity to assure that this section of the JSD is accurate. If there are significant changes in the JSD, a revised copy should be submitted to Human Resources to be filed and/or evaluated. Also, include any other previously agreed upon special projects which are not included in, but which are consistent with, the goals and the major responsibility areas for your area.

Step 2: Explain the Expected Level of Performance for each major responsibility areaInclude previously agreed upon action steps and end results expected by the time of this review.

Step 3: Describe the Actual Performance ResultsFor each major responsibility area, summarize actual performance results. Managers should cite significant achievements, target areas for improvement, etc.

Step 4: Assign a Performance Rating for each major responsibility areaBased on Actual Performance Results, including consideration of barriers and constraints, assign a performance rating (1-5) to each major responsibility area. See page 3 for an explanation of the ratings.

Step 5: Assign a Performance Weighting for each major responsibility areaEach major responsibility area should be assigned a percent that represents the value of that responsibility within the overall context of the job. This percentage value is determined by two factors:

1) Percentage of time devoted to the responsibility2) Importance to the job relative to the other responsibilities.

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Use your judgment in determining a figure that combines these two factors.

Step 6: Explain how the major responsibility area supports the Unit plan and University AspirationUse this section to explain how the major responsibility area supports the Unit plan and/or the University Aspiration.

Please note that it is acceptable to abbreviate in Part I, as long as the statements are clearly communicated and understandable to others.

Part II Significant Accomplishments/Unusual Obstacles

Use this space to summarize or highlight any accomplishments and/or obstacles that may have had a particular impact on the employee’s performance.

Part III Skills Analysis/Mode of Performance

This section is used for all employees and refers to the level of skill with which accomplishments were achieved and to what extent the individual’s methods enhanced or detracted from actual results.

For each skill listed, indicate with one of the four appraisal codes which best describes the overall performance in achieving job objectives. While the focus of the performance appraisal is on measurable accomplishments listed in Part I, the skill level with which these accomplishments were reached should be considered in determining an overall performance rating, particularly if it had a significant positive or negative effect on the employee’s performance.

Part IV Development Discussion

A. Recommendations for DevelopmentThese may include formal courses through University workshops or external seminars, on-the-job training, expanded knowledge of a specialized field through appropriate professional readings or membership in professional affiliations.

B. Performance Improvement RequirementsReferring back to Section I-Performance Review, identify specific areas in which expected performance was not met and improvements are necessary.

C. Actions to be taken by Employee/SupervisorReferring to A and B above, establish with employee specific action steps which would address performance deficiencies and/or enhance future performance or career growth.

D. Development activities that specifically support the Unit Plan and/or University Aspiration

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Use this section to list professional growth and development activities that support one or more aspects of the Unit plan and/or University Aspiration. This section provides an opportunity to identify courses, training, or other activities that enable the employee to further carry out the mission of the University.

Part V Overall Performance Rating

Represents the overall rating derived from considering all factors of performance. Place code number (1-5) in box provided.

Performance Rating Categories:

(5) - Performance clearly and consistently exceeds job requirements.

(4) - Performance frequently exceeds job requirements.

(3) - Performance consistently meets all job requirements.

(2) - Performance frequently meets some but not all job requirements.

(1) - Performance consistently fails to meet job requirements.

Please Note:

Please remember to complete the sections regarding the Unit Plan (each performance goal in Section I) and the University Aspiration (Section IV).

The definitions of each performance rating category should be thoroughly explained to each employee in order for each employee to fully understand the meaning of his/her evaluation. For example, employees should understand that under the Northeastern University evaluation system, most individuals should fall in the overall performance rating category of 3 (consistently meets all job requirements). Likewise, new employees who have not yet developed fully in the position might be rated in the rating category of 2 (frequently meets some but not all), while very few employees should receive a rating of 5 (consistently exceeds).

If you have any questions about this form or the performance management process, please contact Human Resources at x2230 for assistance.

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APPENDIX DGoal Planning Worksheet

Available on the HRM web site at http://www.hrm.neu.edu/forms/performance.html

Employee’s Name: Employee’s Title:

Manager’s Name: Manager’s Title:

Department/Unit VP/Dean’s Area:

Use this worksheet to record goals/ work priorities, specify the success criteria and, when completed, to comment on the end results. When

setting goals, make sure that they are “S.M.A.R.T”:

SpecificFocus on specific results rather than general or vague actions. Simple goals ensure clarity. Complex goals should be broken into sub-goals. Be clear about what you want to accomplish. An objective that is too general will require more action steps than are effective.

MeasurableTo determine how well a goal has been achieved, the results should be quantitative (measures amount of output) and qualitative (measures how well the task was done). How will you know when you have been successful? What are the indicators of success? You should be able to monitor and gauge progress in objective terms.

AttainableThe best goals are challenging, realistic, and achievable. They focus on significant contributions required to meet department and University goals. Be realistic about how much you can accomplish in a given year. Too often we set ourselves and our work teams up for failure because our expectations are too high given the amount of time, skill, or resources we have to accomplish a goal.

RelevantGoals must align with and support the goals of the department, the school/division, and the University as a whole. Employee goals should meet or exceed the needs of all parties, including internal and/or external customers. Choose goals that are important to strive for in your work, and those that will have the most impact in your workplace. The objective should relate directly to department and University objectives.

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Time-BasedA specific target date for achieving each goal should be agreed upon. Time frames ensure a proactive approach toward achieving results. You should be able to track progress against specified time frames.

GOAL/WORK PRIORITY:

SUCCESS CRITERIA:

Link to Unit plan and/or University Aspiration:

Target Completion Date:

GOAL/WORK PRIORITY:

SUCCESS CRITERIA:



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GOAL/WORK PRIORITY:

SUCCESS CRITERIA:



GOAL/WORK PRIORITY:

SUCCESS CRITERIA:



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APPENDIX EAction and Assessment Plan

Available on the web site at http://www.oupr.neu.edu/planning/planning.html

The Action and Assessment Plan was originally developed as the university prepared for its decennial accreditation with the New England Association of Schools and Colleges, in 1998. It was in that context that the five categories of the aspiration emerged and became the framework for the development of the goals and measures contained in the plan.

Since that time, the planning process has continued to evolve and individual unit plans have been developed in both academic and administrative areas. These unit plans are designed to articulate ways in which each unit will support the goals of the Action and Assessment Plan, as well as the unique operational goals that will enhance each unit’s effectiveness.

As the plan has matured, the ambition of the university to be ranked among the top 100 universities in the nation has added focus to the planning agenda and enabled the institution to crystallize its thinking about the priorities that must be set to achieve our aspirations. We are driven by a unique window of opportunity during which time the population demographics will yield a steady increase in students seeking to enter postsecondary education, through 2008.

Accordingly, it is imperative that Northeastern be repositioned competitively among national universities while this window remains open, before the population demographics begin a downward slope. To accomplish this, our primary focus is set on four critical areas that affect the way in which Northeastern is compared to other national universities:

• Student quality and selectivity

• Student success as measured by retention and graduation rates

• Faculty and financial resources

• Academic reputation and research

These strategic priorities are coupled with a set of values that embody the heart and soul of Northeastern University. While the university community works toward accomplishing its competitive goal of top-100 status, it must not sacrifice its historic commitments to cooperative education and the development of a broader practice-oriented approach to education; to providing access and support to underrepresented and economically disadvantaged students; and to an urban

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focus that is not only manifested in Boston, but serves as a national model for other colleges and universities.

Our strategic priorities and historic values, therefore, drive the programmatic initiatives contained in the Action and Assessment Plan and are represented in the aspiration of Northeastern University to be a national research university that is student-centered, practice-oriented and urban.

In order to measure our progress during the implementation of this plan, the university has selected a set of benchmark institutions that in general represent the type of university we aspire to become. There is no perfect comparator institution for Northeastern, especially given the defining characteristics of cooperative education.

However, many of the key indicators we need to track can be meaningfully compared to a standard set of institutions. Accordingly, the various goals and measures in the plan have been set with an understanding of the competitive environment in which the university operates.

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Our Competitive GoalTo achieve recognition among the top 100 universities

in the country in this decade

Our AspirationTo achieve excellence as a national research university that is

student-centered, practice-oriented, and urban

Our VisionTo be the undisputed leader in creating the nation’s most

comprehensive and dynamic model of practice-oriented education

NationalNortheastern University is nationally recognized for academic and scholarly excellence andenrolls students from all fifty states and more than 119 countries. Such recognition ismeasured by many indices, but manifested in part by the University’s standing in thenational rankings, especially those related to academic reputation. Success in enhancing the University’s national profile will result from our commitment to the following set ofprogrammatic initiatives that provide a backdrop for the specific goals and measures we will use to track our progress.

• Admit and retain students with strong academic qualifications and the capacity tocontribute to the life of the University.• Develop admissions criteria used in a comprehensive review in order to continue toadmit and enroll undergraduates, who demonstrate academic potential, and skills in leadership, creativity, and innovation, historically valued by the Northeastern community.• Provide adequate financial aid programs to attract students and enable them to completetheir programs of study.

ResearchResearch and related scholarly and artistic activity takes many forms in relationship to the

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unique character of each academic discipline. While sponsored research, particularly in theareas of science, engineering, and technology, is essential to demonstrating excellence inresearch at the university level, research that is not supported by external grants also plays a significant role in the intellectual life of the University. In addition, engaging undergraduate students in the practice of research has an especially important impact on their learning, as well as their personal and professional development. Accordingly, it is central to Northeastern’s mission that all forms of scholarly and artistic activity be acknowledged,supported, and celebrated across the University.

Over the past several years, Northeastern has demonstrated excellence in research by increasing the awards received for sponsored research from just over $22 million in 1995-96 to more than $41 million in 2000-01. This increase in funding was supported by a 27 percent increase in proposals submitted over the same period. Continued success, as outlined in the goals below, rests on our capacity to increase on-going participation of faculty in seeking sponsored research funding, to encourage increased collaboration in interdisciplinary research, and to develop areas of research that will yield larger levels of funding. To enable the expansion of our research program, we recognize the importance of creating an environment in which our research program can succeed at the level to which we aspire. The following action steps are necessary to provide a foundation for success as we develop an implementation strategy:

• Identify selected areas of excellence in research, including biological and biomedicalsciences, which are likely to receive the greatest increase in funding from the federalgovernment in the next few years.

• Invest in new research centers and institutes that will encourage interdisciplinaryresearch and move aggressively to attract increased levels of funding.• Attract and retain tenured and tenure-track faculty with expertise in research and ahistory or potential for obtaining research funding.• Provide an appropriate infrastructure for research including: space, technology, equipment, start-up funding, administrative services, environmental health and safety, andstaff support.• Enhance graduate programs in research fields and provide sufficient support to attractand retain highly qualified graduate students.

Student-CenteredThe centerpiece of Northeastern’s mission is the education of students, which occurs in a

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variety of settings. Creating a rich, diverse experience that will enable students to growpersonally, professionally, and intellectually requires the following:

• Faculty and academic departments committed to creating a rigorous, yet supportive,learning environment for both undergraduate and graduate students.• Administrative offices and student services in all parts of the University, dedicated toproviding students with prompt, reliable, cheerful service as appropriate to their particularresponsibilities.• Co-op placements that provide an appropriate level of challenge and support, and enablethe student to engage in self-discovery and advance in professional skill.12• Academic and professional advising, as well as personal counseling, to support studentdevelopment.• State-of-the-art classrooms, laboratories, libraries, learning centers, computer labs, off-sitefacilities, and virtual or distance classrooms that support student learning.• Student living environments and co curricular and extracurricular programming andrecreational opportunities that provide students with a supportive environment thatallows them to develop personally and professionally.• Convenient, relevant and academically rewarding undergraduate, graduate, and continuing education programs for nontraditional students delivered both in classroom settings and by distributed learning opportunities.• Coordinated support programs for students from low-income and disadvantaged backgrounds, and students who are academically at risk.• Challenging honors programs for students who have demonstrated strong academic ability.

Practice-Oriented Goals and MeasuresAchieve a high degree of integration between our programs of professional, liberal, andcooperative education and become a national destination of choice for practice-orientededucation.

a. Develop and implement integrated learning experiences appropriate for eachacademic discipline and professional field of study for all undergraduate programsby 2004.b. Increase the number of double-major, dual-major and major/minor options availablefor undergraduate students, and increase participation levels in these programs.

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c. Increase the percentage of recent graduates indicating that co-op was “beneficial” or“very beneficial” in enhancing classroom learning from 58 percent in 2001 to75 percent by 2008.d. Increase the percentage of students indicating that skills obtained on-the-jobenhanced performance in academic coursework from the fall 2001 level of 78 percentto 85 percent by the fall of 2008.

Sustain a program of cooperative education dedicated to providing students with thestrongest possible education and employment experiences.a. Maintain the percentage of students who have participated in co-op at a level above90 percent through 2008.b. Increase the percentage of students obtaining jobs through the co-op departmentfrom the fall 2001 level of 72 percent, to 85 percent by the fall of 2008.c. Increase the percentage of students who express satisfaction with their co-opexperience from the fall 2001 level of 83 percent, to 90 percent by the fall of 2008.d. Increase the percentage of students who express satisfaction with their assigned co-opfaculty from the fall 2001 level of 79 percent, to 90 percent by the fall of 2008.

UrbanNortheastern University is uniquely qualified to serve as a national model for demonstratingways in which an urban university can organize and utilize its resources to benefit its surrounding community, and to enable students to utilize the abundance of academic, cultural, recreational, and volunteer and service learning opportunities available. This commitment is manifested in the resources that have been committed to developing programs and services for the community, as well as curricular and co curricular programs with a distinct urban focus. The urban mission of the University is guided by the following set of principles:

• Support and strengthen the University’s ability to reach top 100 status.• Recognize and build upon the work of the many urban-related organizations and initiatives that are already in operation.• Continue to play an active role in the City of Boston by promoting faculty, staff, and student engagement in civic activities, volunteerism, and service learning projects, andwhere possible linking these initiatives to our academic programs.• Work in partnership with members of the communities surrounding the University toimprove the economic, social, and environmental quality of life for local residents.• Serve as an intellectual engine on urban issues by playing a convening role for both

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