Professional Development Assessment Review Form

							  Performance Review and Professional Development Planning Process

                                 for professional staff


Each manager and department chair is asked to complete a performance review for each
full-time and part-time member of the professional staff who reports to him/her.
Performance reviews are normally completed during late winter and early spring. A
formal review is generally not required for anyone hired after October 1 of the current
academic year, or for any part-time staff members who work very sporadically.

The performance review form for members of the professional staff is available from
the Human Resources public folder in eDisk ('Groups', 'Human Resources', 'Public',
‘FORMS’, ‘Performance Review Forms’). Text included on the performance review
form will prompt managers and department chairs to complete each required step of
the performance review process.


Purpose

A critical responsibility of each manager is to help members of the professional staff
enhance their performance, so that each individual contributes fully toward achieving
department and College objectives. Managers can help enhance performance by:

   •   establishing and communicating performance standards and department and
       individual goals and priorities,
   •   providing regular, constructive performance feedback and guidance throughout
       the year,
   •   identifying professional development needs, and helping to identify appropriate
       development activities and resources,
   •   promptly initiating corrective measures when necessary to address
       unsatisfactory performance.


Annual reviews serve important functions:

   •   They provide individuals with constructive feedback regarding their job
       performance during the previous 12 months. The performance review discussion
       reinforces for the individual how well his/her job performance is aligned with
       the manager's expectations and the requirements of the position, and whether
       the staff member has achieved desired results.
   •   They provide an opportunity for the manager and the staff member to clarify
       performance expectations and to jointly set goals for the coming year, and to
       discuss anything hindering performance.
   •   They provide an opportunity to formally recognize strong performers.
   •   They provide an opportunity for the manager and staff member to identify
       opportunities for professional development, and to create a development plan in
       order to enhance performance and achieve desired results.
   •   Information from performance reviews is used to help guide employment
       decisions, and the annual review is the primary means for determining eligibility
       for a merit increase. (The review becomes part of an employee's permanent
       personnel record and, therefore, must be objective and accurately reflect the
       individual's job performance during the previous 12 months.)

The annual performance review does not take the place of providing feedback and
coaching to staff members throughout the year.


The Review Process

The performance review process for members of the professional staff consists of three steps:

   1. Review past performance: Objectively review work performance over the past
      12 months based on: (a) the professional staff member’s accomplishments and
      results achieved as compared to previously established goals and performance
      standards, and (b) competencies commonly associated with effective job
      performance (or, if using the short performance review form, note the staff
      member’s strengths and areas where improvement is needed).

   2. Plan for the year ahead: Communicate performance standards applicable to the
      staff member’s position, and work with the professional staff member to jointly
      establish his/her goals and priorities for the coming year.

   3. Focus on professional development: Work with the staff member to identify
      his/her professional development needs. Jointly identify ways the staff member
      will acquire or enhance necessary job-related skills, knowledge, and abilities so
      that performance can be maximized.

   Additionally, the manager or department chair will need to document, on the
   performance review form, whether the professional staff member's performance
   over the past 12 months met expectations, exceeded expectations, or failed to meet
   expectations (the written review must support this determination).


Key Information

   •   Assure the review process is two-way; encourage the staff member to provide
       input regarding his/her performance over the past 12 months, his/her objectives
       for the coming year, and professional development needs. The staff member may
       be asked to complete a self-review.
   •   The written review does not need to be lengthy. Think about the few key
       messages you want to communicate, and then write a clear, concise assessment
       of performance over the past 12 months and expectations going forward.
   •   View yourself as a coach who is trying to help the staff member maximize his/her
       performance.
   •   In addition to reviewing past performance, be sure to clearly communicate your
       expectations going forward: your performance standards and what you expect
       the staff member to accomplish during the coming year.
   •   The performance review discussion should hold no surprises for the
       professional staff member being reviewed. Managers should keep staff
       members informed throughout the year regarding how well their performance is
       meeting expectations, and address any issues as they occur.
   •   Do not make any references on the review form or during the performance
       review meeting regarding the professional staff member's health status, medical
       condition, or disability; pregnancy, family, or marital status; age; race/ethnicity;
       or other similar factor.
   •   For any member of the professional staff not meeting expectations, his/her
       review should be discussed in advance with the Assistant Director or Director,
       Human Resources.


Some studies have found that:

   •   Criticism hinders achievement of goals. Defensiveness resulting from a critical
       performance review produces inferior job performance.
   •   Collaborative, continual goal-setting, not criticism, improves performance.
       Performance improves most when specific goals are established with a staff
       member.
   •   Participation by the staff member in the goal-setting process helps produce
       favorable results.
   •   Coaching by the manager should be a daily, not a once-a-year, activity.


I. Before the Performance Review Meeting


Keep documentation regarding performance throughout the year: Managers are
encouraged to make and keep notes, in a confidential file, regarding the performance of
each of their direct reports. Managers should document specific incidents and examples
of good performance as they occur throughout the year, as well as examples of
performance that does not meet expectations. Referring to these notes when it is time to
prepare a formal performance review will make the process easier, more accurate, and
more reflective of performance over the course of the entire year.

Review each staff member’s position description: The manager should assure an up-to-
date position description is available to serve as the basis for discussions of past
performance and expected job output. It is important that each position description
accurately reflect the current requirements of the job. Therefore, managers are asked to
review each staff member's position description and work with the staff member, if
necessary, to update the description. The appropriate position description forms are
available from eDisk in the Human Resources public folder. An electronic copy of
updated position descriptions must be submitted to Human Resources.
Consider gathering input from colleagues: To gain a more complete understanding of
an individual's job performance, the manager may consider soliciting constructive
feedback from others with whom the individual interacts on a routine basis, including
co-workers within and outside the department and direct reports. The staff member
being reviewed may feel the review is more accurate if the manager has formed
opinions, in part, based on input from others with whom the job holder regularly
interacts. Individuals providing such feedback should remain anonymous unless the
individual is informed in advance that his/her name will be revealed to the job holder.

In order to help keep the review process objective, the manager may find it helpful to
ask colleagues of the individual being reviewed to provide specific information versus
generalizations. For example, you may wish to ask the job holder's colleagues to provide
specific examples of how the job holder has worked collaboratively to resolve a problem,
or to describe how the individual being evaluated has assured he/she shares relevant
information with colleagues.

The “Worksheet for Evaluating Supervisory Skills” (available in the Human Resources
public folder in eDisk) may be used by a manager, as applicable, to help evaluate the
supervisory skills of the professional staff member being reviewed.

All feedback provided by co-workers and direct reports should be shared with the
professional staff member being reviewed only in a compiled, summarized format,
rather than sharing comments verbatim. The manger must take care to share only valid,
reliable, and constructive feedback with the professional staff member being
reviewed.

Give the staff member the opportunity to complete a self-review: The manager may
find it helpful to give the professional staff member the opportunity to evaluate his/her
own performance and begin to establish job-related objectives, through a self-appraisal.
The professional staff member can complete the performance review form for
him/herself. It can be helpful to ask the staff member to develop a list of his/her
accomplishments during the past year, and note anything he/she wishes could have
gone better. In doing so, the staff member is given the opportunity to document work
activities he/she is proud of, is asked to think about his/her development needs / areas
for improvement, and has input into the review process. The individual's self-
evaluation can then be incorporated in the formal review. However, the individual's self-
appraisal should not take the place of your careful review of his/her job performance.

Carefully consider the key messages you want to send: The written review does not
need to be lengthy. Be sure, however, to clearly communicate your assessment of the
professional staff member's performance, and your expectations going forward.

Complete the performance review form: The manager is to complete a performance
review for the professional staff member, using the appropriate form. The performance
review form for members of the professional staff is available from the Human
Resources public folder in eDisk ('Groups', 'Human Resources', 'Public', ‘FORMS’,
‘Performance Review Forms’). Text included on this form will prompt the manager to
complete required steps of the review process. This form may be modified to suit
department needs, as long as the three basic steps of the process (review past
performance, communicate performance standards and goals for the coming year, and
identify development needs) are completed.

Discuss the draft version of the written review with your department manager and/or
Senior Officer: It is recommended you assure the department manager and/or Senior
Officer for your area agrees with your assessment of the professional staff member's job
performance, before you meet with the professional staff member.


When preparing the review form, the manager or department chair is asked to:

(1) Objectively Review Past Performance

Document results achieved: Document the results achieved by the individual during the
previous 12 months, how well the individual met previously communicated standards
of performance, and evaluate overall job performance using the competencies listed on
the performance review form as a guide.

Document those assignments and projects which were completed by the staff member,
and evaluate the manner in which assignments were executed. Compare actual results to
those the staff member was expected to achieve during the previous 12 months, based on
objectives set during the last performance review and assignments the staff member was
given during the year.

As you review the staff member's performance, consider:

   •   projects completed by the professional staff member
   •   any committee-related work completed
   •   any events the individual planned
   •   issues the individual helped to resolve
   •   work-related improvements he/she initiated and implemented
   •   cost savings the staff member achieved
   •   ways in which the staff member provided effective service to internal or external
       "customers" (students, prospective students, alumni, donors, fellow employees,
       retired employees, members of the community, etc.)
   •   how the professional staff member's work supported your work, the work of
       colleagues, and helped your department achieve its objectives
   •   day-to-day responsibilities the individual handled effectively
   •   assignments / projects the staff member should have completed in a more
       effective manner
   •   ways in which the individual enhanced his/her job-related knowledge and skills

Document the professional staff member's strengths so good performance is
reinforced, and document any performance problems and areas where improvement is
needed.

Determine whether the staff member’s overall performance during the past year met
expectations, exceeded your expectations, or failed to meet your expectations. This
determination should be based on whether the professional staff member accomplished
the goals and objectives established for him/her, and how well the professional staff
member executed job responsibilities.

When completing the performance review, avoid these pitfalls:

   •   Avoid using the annual performance review meeting as the one time during the
       year during which you let the staff member know whether he/she is meeting
       your expectations. The performance review discussion should hold no surprises
       for the staff member; it should truly be a review of your discussions
       throughout the year. The staff member should have received regular feedback
       throughout the year regarding his/her performance and progress in meeting
       objectives, and any performance issues should have been addressed promptly
       during the year.

   •   When evaluating performance, try to avoid focusing solely on the individual's
       most recent accomplishments or problem areas. The performance review should
       accurately reflect performance over the full 12 month period. As noted above,
       managers may find it helpful to keep a confidential file with brief documentation
       of each staff member's accomplishments and performance issues as they occur
       throughout the year.

   •   Try to avoid focusing on just a few good or very poor results; again, the review
       should fairly reflect performance over a full 12 month period. Point out work the
       staff member has done well, and areas where improvements can be made.

   •   Try to avoid comments that are vague, or so general or broad the staff member
       does not understand or learn anything from the review. Provide at least a few
       specific examples of good work performance (document specific assignments that
       were handled well), and as applicable, a few specific examples of assignments
       that were not completed as well as you had expected.

   •   Avoid generalizations such as, "You need to be a better problem-solver." Instead,
       provide more details so the staff member understands what you really mean: "I
       appreciate that you bring office problems to my attention. I would also
       appreciate if you would recommend possible solutions...".

   •   Describe the actions or behaviors of the individual that need to be modified, rather
       than making critical statements regarding the individual's work ethic, personality,
       etc. (for example, instead of "You don't seem to care about your work", try "I
       expect you to be at your desk by 8:30 a.m. each morning ready to start your work
       day").

   •   When completing the performance review form, do not attempt to assign a
       motive to a staff member's actions, and avoid subjective terms when describing
       performance problems. For example, avoid statements such as: "Due to laziness,
       Joe failed to complete several reports over the past few months." Instead,
       document the facts: "On March 16, Joe failed to turn in a required report. This was
       the second time this month Joe failed to complete a report on time."

   •   Do not attempt to make excuses for an individual's work performance. For
       example, avoid statements such as: "Pat has been under a lot of stress this past
       year, and I believe this has impacted her work performance." Instead, document
       only the facts: "Pat failed to return three phone calls last month, and a report was
       missing several important details...".

   •   Avoid commentary that does not directly relate to the staff member's work
       performance.

   •   Avoid comments referring to the staff member's age, gender, health status, etc.
       Such factors have no bearing on the individual’s performance. Comments which
       could be construed as discriminatory, such as comments referring to age,
       disability, medical condition or health status, gender, race, religion, national
       origin, or sexual orientation, must not be made during the performance review or
       documented on review forms, and an staff member must not be evaluated based
       on any of these factors.

   •   Avoid comments pertaining to an employee's use of medical leave or his/her
       health status. Employees who take an approved leave of absence per the federal
       Family & Medical Leave Act may not be penalized, including through a negative
       performance review or lesser salary increase.


(2) Define Results to be Achieved During the Coming Months

Clarify your expectations of the individual being reviewed: Define what it takes to be
effective in the staff member's position - the key skills, abilities, and knowledge the staff
member must possess to be an effective performer, and the behaviors and conduct
he/she must exhibit to be most effective on the job.

Define and document the results to be achieved by the professional staff member
being reviewed: Document the goals and priorities of the staff member during the
coming 12 months, as aligned with department goals and priorities.

Goals / objectives for the staff member should be specific, measurable whenever
possible, and realistic yet challenging. The staff member's objectives should reflect the
requirements of the position, and be aligned with department and College goals and
priorities. Try to avoid identifying more than about three or four goals so the individual
feels challenged, but not overwhelmed.

When establishing goals for the professional staff member being reviewed, first think about:

       •   the College’s strategic plans and priorities
       •   department objectives and priorities

In particular:

   •   What does your department / office need to accomplish during the coming 12
       months to support College strategies and priorities?
   •   What do your internal and/or external clients (including students, parents,
       faculty and professional staff, members of the Lancaster community, alumni,
       Trustees, and donors) expect from your department?
   •   What activities are other similar departments / institutions engaged in
       successfully that your department could implement?
   •   What new programs, policies, procedures, databases, etc., could be developed to
       help the department or office meet its objectives?

Then, clarify what the professional staff member being reviewed should accomplish
during the coming months:

   •   What can / should the individual being reviewed do to support departmental
       and College objectives?
   •   What results is the job holder expected to achieve?
   •   Which desired outcomes are of the highest priority?
   •   By when should the individual achieve desired results?
   •   What can the individual do differently to better contribute to departmental
       results?
   •   What is the individual doing well that he/she should continue to do?


(3) Draft a Professional Development Plan for the Staff Member

Identify professional development needs and resources: Begin identifying (a) the
professional staff member's training and development needs, and (b) ways in which
needs will be addressed during the coming year. Professional development plans are
appropriate for those who are strong performers as well as those who are not meeting
expectations; generally everyone has room to enhance their performance.

Development plans do not need to be lengthy; outline a few key areas in which the staff
member should enhance his/her knowledge and skills, and how the staff member will
do so.

   •   Determine what the individual needs to learn or be able to do in order to perform
       his/her job most effectively, and to be able to accomplish expected results during
       the next 12 months. Development needs should correspond to expected results
       and objectives identified in step 2 (i.e., identify the learning and/or skill
       development that will help the individual meet expectations and accomplish
       objectives).

   •   Begin identifying how the individual will acquire necessary job-related learning,
       skills, and abilities. The opportunity for professional development may come in
       many forms, such as through formal training (see
       www.fandm.edu/humanresources/Professional+Development for resources),
       working on a special project, doing community service work, participating on a
       committee, leading a project, practicing a new skill, attending a professional
       conference, researching a topic or the practices of other employers, reading
       journals or business-related books, and networking with other professionals.

Steps 2 and 3 above should be completed in draft form, so that you, the manager, can
later incorporate input from the professional staff member being reviewed.
II. The Performance Review Discussion


Schedule the meeting in advance: The manager and professional staff member should
schedule a specific time for the performance review discussion, and should meet where
they will not be interrupted. The manager should advise the individual in advance that
the time will be used for a performance review so that he/she can prepare for the
meeting.

Sufficient time should be allocated to allow a thorough discussion of past performance,
and future expectations and development needs. This meeting should be conducted
prior to March 31.

Conduct the meeting:

(1) Discuss Performance

Review performance: The manager should review his/her assessment of the staff
member’s job performance during the previous 12 months, the staff member’s strengths,
and any performance problems and areas where improvement is needed. As noted
above, this should be a review of feedback given to the staff member throughout the
year. The professional staff member should gain a clear understanding of how well
his/her job performance is aligned with the manager's expectations and the job
requirements. The staff member should be told whether his/her performance over the
past year has met expectations, exceeded expectations, or failed to meet expectations.

   •   Keep feedback objective and factual. Feedback is most helpful when it is objective
       and specific. The manager should focus on observable behaviors and results as
       they relate to job requirements, rather than on personality traits. For example,
       rather than saying, "You are not motivated.", the manager might say, "You did not
       complete an important project on time." Instead of "You have done a great job this
       year.", try "The spreadsheet you developed to track claims has been very useful
       and has helped the department avoid costly errors."

   •   Keep the discussion constructive. View yourself as a coach; your role is to help the
       staff member succeed. Focus on what the staff member has done well, and what
       you and he/she can work on together to enhance performance.

   •   Have an honest, open discussion. Any performance problems must be discussed
       openly so the staff member has a clear understanding of what must be improved,
       and why. The manager should explain how unacceptable performance negatively
       affects the department. For example, "As we discussed previously, you were late
       three times during the last two months. This was disruptive to the department
       because your co-workers had to fill in for you and could not complete their
       assignments." As note above, a discussion of performance issues should be a
       review of previous discussions. And, the focus of such discussion should be
       helping the staff member to improve his/her performance.

   •   Allow the staff member to provide input. The performance review discussion
       should be two-way; the staff member should be given the opportunity to explain
      what he/she feels was accomplished during the past 12 months, and his/her
      perception of job strengths and areas where improvement is necessary. The
      professional staff member should be actively involved in determining how any
      performance discrepancies will be corrected. During the review process, the staff
      member should also be given the opportunity to provide input regarding
      anything impeding successful job performance, such as lack of resources, lack of
      access to information, unclear expectations, lack of job training, outdated
      processes or procedures, etc. You may want to ask direct reports the following
      questions:

       Have I clearly communicated my expectations of you?
       What do you need to know or learn in order to be able to effectively do what is
        expected of you?
       Do you have the materials and equipment you need to complete your work?
       What information do you need to complete your work properly?
       Do you feel you receive guidance and feedback on a routine basis?
       Are you given the opportunity to do what you do best while at work?
       Do you feel your opinions matter?
       How does your work impact other department members?
       Over the past year, have you had the opportunity to learn and develop job
        skills?
       What do you like best about your job?
       What do you find frustrating?
       Is there something I can do differently to help you succeed?
       What would you like to accomplish during the coming months?


(2) Discuss Results to be Achieved During the Coming Months

Describe expected performance standards, and establish goals and priorities for the
coming year: The manager should explain what he/she expects of the professional staff
member being reviewed and why it is important to the department and College. This
discussion should include clarification of your (the manager's) performance standards,
and the results the professional staff is expected to achieve during the coming year. The
manager should also give the individual being reviewed the opportunity to discuss what
he/she would like to accomplish during the next 12 months. The manager and staff
member should strive to define mutually agreed-upon goals whenever possible to
help assure a high level of commitment. The manager and staff member should discuss
the resources needed to achieve desired results (access to information, modification of
other job duties, new equipment, procedure changes, etc.).


(3) Discuss and Identify Opportunities for Professional Development, and Create a
Development Plan

Identify professional development needs: The manager and professional staff member
should consider the learning and skill development that must take place in order for the
staff member to enhance his/her performance, and achieve the objectives identified in
the step above.

Create a plan for enhancing skills and abilities: Specific plans for addressing
professional development needs should then be discussed and documented on the
performance review form. Methods for developing skills and knowledge may include:

        participating in formal training and then putting the information learned into
         practice (see www.fandm.edu/humanresources/Professional+Development
         for resources);
        pursuing a professional certification;
        attending a professional conference;
        working on a special project;
        serving on, or leading, a committee or task force;
        serving with a community organization;
        taking on a new responsibility;
        temporarily "swapping" job tasks with a co-worker or filling in for a co-worker
         who is on vacation;
        cross-training with a co-worker;
        benchmarking another organization;
        researching an issue;
        reading professional journals or books;
        networking with other professionals;
        receiving coaching or coaching a colleague


Additionally:

Let the professional staff member know whether his/her work performance over the
past 12 months met expectations, exceeded expectations, or failed to meet
expectations: Assure the staff member knows the reasons behind your evaluation and
what he/she can do to enhance performance as applicable.

Allow the professional staff member to record comments: Following the performance
review meeting, the staff member may write comments regarding the evaluation on the
performance review form, or attach his/her self-review.


III. After the Review


Forward the completed review form:

   •   The final version of the performance review form is to be signed by the
       professional staff member and his/her immediate supervisor, and then
       forwarded to the department manager, director, or Associate Dean by March 31.
       The professional staff member who was reviewed should receive a copy.
   •    The original, signed review form is to be forwarded by the department manager
        to the appropriate Senior Officer by April 15.
   •    Each Senior Officer is asked to review his/her area's performance review forms
        and then forward all original forms to Human Resources by May 15.

(A completed review form is required for all professional staff members hired before
October 1.)

Make recommendations regarding merit increases: The manager or department chair
should make recommendations to the department manager or Associate Dean, and/or
Senior Officer, regarding merit increases for each of his/her professional staff members,
based on their performance and College budgetary guidelines. The manager should
identify those professional staff members within his/her area who (a) have fully met
expectations, (b) have exceeded expectations, and (c) have not met expectations during
the previous 12 months.

Review the merit increase: The manager should notify each of his/her professional staff
members of their merit increase as approved by their Senior Officer and the President
(notification should occur only after the merit increase has been approved by the Senior
Officer and the College President).

Follow-up: The manager should schedule periodic follow-up sessions (such as monthly
or quarterly) to compare the professional staff member's current performance to desired
results; to discuss any obstacles to achieving desired results; and to review progress
against development objectives. If department conditions or objectives change during
the year, the staff member's objectives may need to be revised.

If performance problems are identified during the performance review, a meeting(s)
should be scheduled to review the staff member's efforts to improve performance. The
“Worksheet for Performance Improvement and Development Planning” (available in the
Human Resources public folder in eDisk) may be a helpful tool if performance problems
arise during the year. The manager should complete this Worksheet, and then meet with
the staff member to discuss performance issues, using the Worksheet as a discussion
guide.

       Interim review-- Managers may wish to ask their staff members to complete an
       interim self-review about 6 months after the formal spring performance review.
       This will provide an opportunity for the manager and staff member to assess
       progress against objectives.


Merit Increases

Salary / merit increases are generally given once per fiscal year to eligible employees,
based on the College's budgetary guidelines. Salary increases are based on merit: how
well job duties were performed and job performance met expectations, as evaluated by
each professional staff member's manager and Senior Officer. The Senior Officer, in
consultation with each professional staff member's manager, will recommend salary
increases for full- and part-time members of the professional staff in his/her area, as
follows:
   •   Each professional staff member whose job performance is determined, by his/her
       manager and Senior Officer, to be fully meeting expectations is typically eligible
       to receive a merit increase, based on the College’s budgetary guidelines. To help
       assure consistency across departments, the percentage increase will be the same
       for each professional staff member fully meeting expectations. This percentage
       will be established each year by the Senior Officers of the College, based on
       budgetary guidelines.

   •   Each professional staff member whose job performance is determined, by his/her
       manager and Senior Officer, to be unsatisfactory / not meeting expectations will
       receive a lesser salary increase, or no increase. All performance issues must be
       documented by the manager on the performance review form, and the manager
       and professional staff member will be expected to develop a written performance
       improvement plan for the individual.

   •   Each professional staff member whose job performance is determined, by his/her
       manager and Senior Officer, to exceed expectations will typically be eligible to
       receive a merit increase above that provided to those meeting expectations. The
       specific amount will be recommended by the Senior Officer with responsibility for
       the area, based on job performance during the previous 12 months and the
       College’s budgetary guidelines. Examples of the ways in which the professional
       staff member's performance exceeded expectations must be documented by the
       manager. Such increases will generally not exceed a maximum level established
       for the year (typically no more than 6%), to help assure consistency across
       departments.

It is expected the majority of professional staff members will be designated as having
“met expectations”. If an individual's performance during the previous 12 months
exceeded expectations, the manager, as noted above, must document specific ways in
which performance went beyond what was expected. If an individual’s performance
did not meet expectations, the manager must clearly document the reasons for this
assessment on the staff member’s performance review form.

As noted above, once salary increases have been finalized, the manager should notify
each professional staff member reporting to him/her of their increase. This information
will also be communicated to each professional staff member in mid-June, via the annual
"salary letter".

Members of the professional staff hired April 1 or later are typically eligible for their first
salary increase on July 1 following the year of hire.