1. FACULTY PERFORMANCE REVIEW AND DEVELOPMENT: Key Issues and Challenges Penn State “Academic Leadership Forum” February 12, 2015 Presented by: Theodore H. (Terry) Curry Associate Provost and Associate Vice President, Academic Human Resources Professor, School of Human Resources and Labor Relations

2. AGENDA Faculty Performance Reviews -- An Overview The critical importance of the review Underlying Assumptions Two review conference scenarios The Ideal Process Legal/Regulatory Issues A Review of Sample Letters Process Options

3. “To say that the faculty are the University may be trite, but it is nonetheless true. To me a university faculty member has always seemed to be among the most blessed of mankind. He is permitted to spend his time in the search of knowledge and in expounding the knowledge he possesses to the intellectual elite among the youth of the nation." Walter H. Johns The History of the University of Alberta, 1908-1969

4. What can department chairs do to help their faculty perform at outstanding levels?

5. CURRY ASSUMPTIONS – REVIEWS AND MERIT PAY Faculty are our most important resource. Faculty independence and self- direction must be balanced with the mission of the unit and University. Faculty should participate in setting and clarifying expectations. Faculty deserve feedback.

6. CURRY’S ASSUMPTIONS -- Continued Faculty should participate in the process of evaluation and development. Faculty career development is an ongoing event even though writing the review is an annual process. Expectations may change over the faculty career. The annual and extended reviews are part of a larger picture of growth and development.

7. CURRY’S ASSUMPTIONS -- Continued “Merit” pay decisions require an effective performance appraisal. Equity is the issue in compensation, internal and external, not just amount. Merit pay discussions should be separated from discussions about performance and development.

8. THE IDEAL PROCESS – The Prerequisites Unit establishment of performance criteria and standards Criteria – relative importance of teaching, research, outreach, service Standards – the definition and determination of excellence Clear guidelines for fair and equitable faculty workloads College/unit mission, vision, and values

9. THE IDEAL PROCESS Peer review and advice to the administrator Faculty self-appraisal and oral input The plan (as updated) would serve as the basis for the annual and extended review Yearly update of the plan An individually tailored career development plan based upon unit mission, objectives, and standards established with faculty input

10. THE IDEAL PROCESS (Continued) NO SURPRISES in any part of the process Do not finalize the written review without an opportunity for faculty member feedback Separate discussion of performance from discussion about compensation

11. LEGAL ISSUES Legal/regulatory issues are likely to arise in one of three contexts: an adverse personnel decision, a disciplinary action, or a defamation action

12. The Written Performance Review and Supporting Documents Should Provide Support That: The faculty member received clear communications concerning expectations The expectations were reasonable, fair and consistent with University guidelines Where improvement is needed, communications about it is clear Consequences are included where warranted The unit’s process was fair and consistent with its (and University) policies

13. LEGAL ISSUES -- Continued In some states, written performance reviews are accessible under freedom of information acts and/or state records access laws. The truth, supported by evidence, is the best defense. (But don’t write anything you would be embarrassed to see all over the internet.) Be objective where possible rather than subjective in your choice of words. Include support.

14. YOUR ASSIGNMENT Review the sample performance reviews assigned to your group. What are its strengths and weaknesses? How could it be improved? Where is it likely to be successfully used, e.g. large departments, professional schools, etc.? What developmental issues should be addressed in the meeting with the faculty member? Review the other sample reviews Designate a spokesperson

15. PERFORMANCE REVIEW ISSUES FOR DISCUSSION Timing the Review Clarity of expectations, a few things to think about: Research/creative activities – publications (number, quality, time period counted), funding, peer review Teaching – evaluations, portfolios, observations Service – unit, college, university, profession, impact The Review Process Annual activity report? Review committee? Meeting with faculty member? The written review? Joint appointments

16. PERFORMANCE REVIEW ISSUES FOR DISCUSSION Relationship of evaluation to reappointment, promotion, and tenure Relationship to merit increases Improving the quality of the performance feedback session Accomplishments Areas in need of improvement Developmental strategies Reappointment, Promotion and Tenure