OUTLINE of CONTENTS. Introduction. Professional Development Policy. Part 2 Performance Review and Planning Procedures. Part 3 Salary Increment Policy

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1 PACIFIC ADVENTIST UNIVERSITY PROFESSIONAL DEVELOPMENT, PERFORMANCE REVIEW AND PLANNING POLICY OUTLINE of CONTENTS Introduction Part I Professional Development Policy Part 2 Performance Review and Planning Procedures Part 3 Salary Increment Policy

2 Introduction Pacific Adventist University (PAU) is committed to working collegially both with academic staff for the purpose of continuously improving the quality of teaching and learning, research and community service and with academic support staff in their support of these activities and in the overall administrative processes. The Professional Development and Performance Review Policy (PRP) includes planning as integral parts of the process and PRP is designed to facilitate this objective. The PRP process is also designed to link the goals of the institution with the career development plans of individual staff members and to help staff develop career pathways in the areas of their interest, expertise and personal choice. Part 1: Professional Development Policy Pacific Adventist University has a strong commitment to excellence in all areas of life. The University accepts that its faculty members are the key to excellence. By encouraging and supporting the continuing professional development of all its faculty members, the University will be assisting them in their contribution to this ideal. The principal purposes of professional development are to optimise the quality of working life and to achieve excellence by enhancing and supporting the existing strengths and potential contributions of all faculty members to the work of the University. Professional development applies to all teaching faculty members as well as general and academic staff, and is an integral part of professional responsibilities. It imposes obligations on individuals to develop themselves and on the University to support that development in ways that are consistent with individual and University needs and objectives, and with the availability of resources. Setting Goals for Professional Development Important matters in Professional Development of faculty members are planning, clarification and review of the goals of each faculty member. These matters are to be addressed within Schools and through the annual PRP process. The process is a two-way one in which the needs and goals of both the individual and of the University are taken into account. Attention is focused on the individual and on the context in which the individual works. A plan of action to reach these goals is established. Meeting Professional Development Needs Whilst the review-planning process is central to professional development, it is important not to lose sight of the contribution of the traditional forms of professional development. At the individual level, these include: courses seminars formal study or continuing education participation in special projects participation in induction programs At the work-group level these include: peer-review of work undertaken becoming involved in networks of similar faculty At school level these include: undertaking review or planning retreats inviting trainers or speakers to address schools on matters of concern or interest 2

3 following up people who have attended courses so that their new skills can be used constructively in the school. Procedures The faculty member will submit a proposed program to the Dean at the time of the annual PRP. Alternately, the faculty member may submit requests for changes to the initial professional development requests provided that they are within the current budget constraints. These proposals are reviewed by the Dean of the School before being considered by a full meeting of the faculty of that School. Approval of the professional development proposal is by recorded minute of the faculty meeting. If the proposal is for a conference, the decision is made on the basis of the principles and budgets agreed and set aside for the School in that particular year. If the request falls outside of the agreed principles and budgets for that particular year, the request is refereed on to the Administrative Council for special consideration. Principles for conference attendance include: Faculty members are encouraged to present an academic or scholarly paper at a conference as a pre-requisite for obtaining ongoing funding for conference attendance. (This is to promote the dissemination of Pacific Adventist University research and to improve the academic profile of the University). Faculty members are encouraged to present their conference paper at a University colloquium prior to attending the conference. (This is to allow the presenter to obtain preliminary feedback from colleagues on his/her paper in preparation for presentation at the conference). Upon return to the University a short report detailing the highlights of the conference must be circulated to other academic faculty members. Faculty may attend conferences with colleagues however normally no more than two faculty members should attend the same conference. (This is to assist in expanding the range of academic conferences attended by University faculty.) (please see separate Conference Leave Policy for further details) Principles for seminar, workshop, or short course attendance include: The seminar, workshop or short course must be compatible with the agreed PRP goals for the faculty member for that year; or The seminar, workshop or short course must be compatible with the faculty member s agreed career development plan for that year; or The seminar, workshop or short course must be compatible with the University s strategic plan covering that year. Part II: Performance Appraisal and Planning in the University The performance review and professional development planning process PRP is designed in the one review process to cover appraisal of staff, professional development achievements for the previous year as well as plans for the coming year, and will involve consideration of eligibility for salary increments. Applications and processes for promotion in rank are also provided for but are considered in a separate policy document on faculty ranking and procedures (see PAU Academic Ranking Policy). The PRP process is designed to be collegial rather than judgmental in nature, to help individuals focus their efforts in a way that will assist the institution to achieve its strategic objectives and to provide for planning for the future so that both individual and institutional goals are achieved in an efficient and cost effective manner. 3

4 How does the PRP process work? The teaching or other academic staff member and his/her Dean will meet on an annual basis, and review the outcomes that were agreed upon at the previous PRP meeting. Both the faculty member and the dean will take time to complete two pro-forma forms prior to the meeting. These self-evaluation forms provide for reflection on the previous year and explore plans and hopes for the forthcoming year. They also provide opportunity for reflection on the faculty member s job description, the overall workload that was in operation in the School during the past 12 months, and whether or not the individual faculty member s workload was equitable and reasonable. In reviewing past work, students subject evaluation will be considered and any other information such as course reviews, moderators comments, comments of external advisory committee members, accreditation panels, or published relevant research or guidelines. A separate performance evaluation form will be used for employees in administrative or support roles in the institution. The faculty member will suggest outcomes for the next planning phase (12 months). These outcomes should relate to the strategic plan of PAU, cover the agreed areas of academic staff work (i.e., teaching, research, community service, and administration) and relate to the relative weighting and emphasis of each area that has been selected by the faculty member and agreed to by the Dean. The Dean and faculty member identify areas in which the faculty member will need to access professional development in order to develop skills to meet the agreed goals. Where appropriate, the Dean prepares a recommendation on the awarding of an increment and this is forwarded to the Human Resource Director (HRD) who is Secretary of the Salary Audit Committee. If it is appropriate that the faculty member should be considering a request for promotion in rank, the Dean will discuss the process with the faculty member, the nature of the port-folio that will need to be prepared and the ways in which the Dean may be able to assist the faculty member in the application process. Why do we need PRP? The PRP process has the potential to focus the work output of faculty by enabling them to work on achieving their agreed goals within the timeframe. It helps the institution to meet its goals by having faculty focused on matters of primary importance. The process also has the potential to improve the level of understanding and collegial relationships between dean and faculty, and to improve the overall job satisfaction. Where problems exist or arise, the PRP process is able to constructively address these problems and/or issues that academic staff may be having in their roles. More specifically the PRP process aims to: Improve communication with faculty to improve morale and overall performance Monitor performance and provide focused feedback to the faculty member Recognize excellence and identify problem areas Assess skills and tap the potential and creativity of faculty Identify professional development needs Match plans for professional development activities to the needs of faculty in their work roles Develop a plan of action that is agreed to by both parties Support career planning and the development of career pathways Clarify accountability and performance standards. 4

5 What are the underlying principles? Collegiality The PRP process is meant to be a positive experience and is not meant to be threatening, although it may be used as evidence in continuation of employment. The process is intended to foster team work and respect amongst all teaching faculty and academic staff. Continuous improvement in faculty expertise Throughout their careers faculty are expected to develop their skill base and to improve their professional expertise. The outcome of the PRP process is that the faculty member is more academically mobile, flexible and competitive. Continuous improvement of the educational product Improvements in experience, expertise and skill base have implications for the quality of teaching, learning and research. Improved quality in this area is important to PAU as it strengthens the institution s academic status. What is the PRP process? The PRP process is cohesive and consists of a number of interrelated parts: a. the performance review; b. academic planning for the forthcoming period; c. professional development planning to support the academic planning; and d. developing a report of agreed outcomes identified in the PRP process and plans for the forthcoming period. e. assessing the appropriateness of awarding a salary increment (see page 9) and f. discussion of plans and timing of rank promotion. How does a faculty member prepare for PRP? Notice of the Meeting In early July each year a general reminder will be issued by the Office of the Deputy Vice Chancellor to all academic staff. This reminder will indicate that members of each school need to make an appointment to see their Dean during September each year. Preparing for the Interview Downloading the PRP pro-formas from the intranet. These forms are used to undertake a selfassessment and recording of activities during the preceding 12 months. The period of review (12 months), will depend on the needs of the faculty member and the needs of the institution. The forms will need to be completed and submitted to the Dean with sufficient lead time for the Dean to read it before the meeting. If necessary the faculty member should prepare a folder of supporting documentation that can be refereed to at the interview. The faculty should also make a list of matters to discuss with the Dean. How does a Dean prepare for PRP? Make an appointment with each member of their School individually and invite the faculty member to include a supportive colleague in the interview if he/she wishes to do so. Allow about one hour of uninterrupted time. It needs to be noted that any final recommendation concerning the awarding of an increment recommended by the Dean will be, in the first instance made known to the Deputy Vice- 5

6 Chancellor who will advise the Secretary of the Salary Audit Committee (SAC) to include the recommendation on the Agenda of the Salary Audit Committee.. What takes place in the interview? The purpose of the interview is for faculty members to consider their performance against the current position description and the agreed outcomes set in the previous PRP interview. Any factors relating to the faculty member s ability to perform his or her job during the previous period should be noted and taken into consideration when planning the forthcoming 12 months. Faculty Member Dean Briefly identify the highlights of the past 12 months in relation to what has been written in Section A Answer questions the Dean may have in relation to this presentation Plan for your future career path and your future relationship to the Institution. Establish how and when to follow up on commitments for improvement Agree on a date and time for the Performance Review Assessment Form to be signed and returned Set the faculty member at ease Establish the purpose of the meeting Focus on performance Be a positive listener Be specific, give examples of good and unsatisfactory performance Limit topics covered to the most important Be open and candid Stress the how as well as the what of accomplishments Ask the faculty member s input (this is a two-way communication) Look at the future, set goals Establish how and when to follow up on commitments for improvement Compare ratings of dean and faculty member General Principles Base the assessment on the typical performance of the faculty member during the entire period. Base assessments on accurate data obtained from records whenever possible. Do not let your assessment in one area influence your assessment in other areas. Do not let salary or length of service affect the assessment. Do not let your personal feelings bias your assessment. Do not be swayed by previous assessments. Do not make an assessment on vague impressions. Take time to appraise accurately. Differentiate between performance and personality. What happens following the interview? Dean Write a report of the agreed outcomes. Request the faculty member to read this report, comment if necessary and sign the form as a record of the agreements reached during the interview. If an 6

7 agreement cannot be reached either about the review of the previous 6 or 12 months work or about the outcomes for the forthcoming period, the grievance processes are initiated. Final agreements are to be signed by both the academic faculty member and the School dean. The Dean then sends recommendations concerning increments to the HRD for inclusion on the agenda of the Salary Audit Committee. Faculty Member Take time to study the comments of the Dean If satisfied, sign and return to the Dean. If not satisfied, a formal request for reassessment should be made in writing. If justified, a second assessment will take place with a senior administrator. In the event that a review of the faculty member s work finds that it has continued to be unsatisfactory over a period of time, and if attempts to remediate previously identified problems have been unsuccessful, the person will be counselled and may ultimately lead to termination of their employment. When the process above has been completed for all academic faculty members the report and planning document shall be submitted to the University Academic Ranking Committee. Recommendations for the awarding of increments are forwarded to the HRD for inclusion on the agenda of the annual meeting of the University Salary Audit Committee. Matters concerning promotion in rank shall be processed under the terms of the Ranking Policy. How does PRP help a faculty member? Full-time and temporary faculty members employed as lecturers or researchers and who have served for a period of one year or longer will benefit from this collegial process whereby they have the privilege to contribute to the institutional goals and to have the institution contribute as appropriate to their personal career advancement. How does the PRP process help Pacific Adventist University? The PRP process assists PAU to create an environment that supports the full potential development of all faculty members. In this way PAU is better able to achieve its goals and objectives. Through the process PAU may also become aware of areas in which improvements could enhance the process and product of its educational endeavours. The Process for the Appraisal of School Deans. The process for assessing School Deans is the same as above for other teaching faculty and academic staff except that the interview is conducted by the Deputy Vice Chancellor or their designee. Professional development and research matters are reported to the Academic Ranking committee. Increment matters are reported to the University Salary Audit Committee.. Staff in each School and others who interact with the Dean in the performance of their duties may be asked to complete a survey for a Dean as per the sample in Part D. Part III: ACADEMIC SALARY INCREMENT POLICY The Academic Salary Increment Policy deals with salary increments within a given academic rank. An Academic staff member is assigned an initial academic rank on appointment to Pacific Adventist University and progression between ranks is covered by the Academic Ranking Policy. 7

8 Appraisal All staff will be subject to an annual appraisal. For Academic staff the appraisal instruments are the PAU Academic Staff Performance Review pro-formas. These instruments are first completed by the faculty member who is then interviewed by their Dean and on the basis of objective evidence recommended or not as the case may be for salary increments. Each rank level (eg. Lecturer or Senior Lecturer), has five steps from entry level to the top level within that range. Appraisal of the School Deans will be initiated by the Deputy Vice Chancellor. Incremental Progression Subject to an appraisal process, an academic staff member may progress by increments to the top of the relevant salary range. In order to assist the appraisal, a faculty member may provide additional documentary evidence of their performance and professional development. Common Dates for Submission of Application and Payment of Increments Performance review interviews shall be conducted during September each year and shall be completed no later than September 30. Normally, increments will be reviewed as part of the annual Salary Audit process and approved at the March Council. Increments will be backdated to1 January following the decision of the March Council. Approval of Increments The authority to grant or withhold an increment rests with the following authority according to the types of award. Types of Award Increment within a rank Promotion to a new rank Authority Salary Audit Committee University Ranking Committee All increment decisions will be reported to the University Salary Audit Committee before being voted by Council. Remunerations and Benefits Committee: Deputy Vice-Chancellor: Chair Human Resources Director: Secretary Members: Bursar One external member of Academic Ranking Committee One Dean Review Process for Increments To be considered for an increment, an academic employee must have completed the performance review process and have submitted any additional required information to the School Dean no later than 31 st July. Recommendations received after 31 st July will not be considered. The School Dean may request additional information from the applicant and should endeavor to obtain similar amounts or levels of information from all applicants. Normally only one step increments on the salary scale will be recommended subject to satisfactory performance. Otherwise the increment may be withheld. In either case, the Dean will forward the recommendation to the Human Resources Director with a copy to the applicant. After consideration of the recommendations by Salary Audit Committee the Human Resources Director (HRD) will inform the Bursar with a copy to the Dean and employee concerned.. 8

9 Appeal against withholding of Increment An academic staff member may appeal against a decision to withhold an increment only on the grounds of procedural matters. If an academic staff member wishes to appeal, he or she must notify the HRD of her or his intention in writing, within 14 working days of the date of advice from the HRD. Matters considered in Awarding Increments In assessing eligibility for the awarding of increments Deans are required to consider four responsibility areas: teaching, research, administration, and professional community service. The self-evaluation instrument assesses these areas. Faculty may wish to submit additional documentary evidence together with their completed self assessment form if they so choose. The four areas are described below: (a) Teaching Responsibilities Professional conduct in carrying out teaching assignments Formal teaching allocation, measured by the number of contact hours per week and the number of equivalent full time students; The load from supervising students in honors, graduate diplomas, masters and PhD; Development of course, subject and teaching materials; Results of formal student evaluation of teachings; Formal recognition in teaching excellence; Development of teaching activity by attending staff development courses in teaching. (b) Research Responsibilities Research work published in local journal; Research work published in international journal; Research work published in book chapter; Research based reports; Research grant received; Seminar/conference papers; Distinguished achievement; Patents development; Professional society activities; Development of specific research skills; and Provide leadership to a team of researchers. (c) Administrative Duties Participation in school administration and governance; Participation in University administration and governance; Course administration and support Policy submission. (d) Professional Community Service Unpaid consultancy/advisory services; Membership to external bodies; External examiner/reviewer; Representing university to outside bodies/forum; 9

10 Services to university community; Promoting university image; Supporting student extra curricular activities; Voluntary educational services; Objective Review of Self-evaluation Instruments A score method will be used to assess the performance of employees for the award of an increment. Based on the standard appropriate to the academic staff members level of appointment, and consistent with the academic staff member's duties as set out in the Schedule A performance in each component of the instrument will be measured by scoring the performance based on the following table: LEVEL Teaching Research Admin Prof Comm Total Professor Associate Professor Senior Lecturer Lecturer Associate Lecturer Tutor Lecturers are able to vary the percentages for each section by up to 10%. Thus a Lecturer may be doing 15% research and 70% teaching instead of the 25% and 60% shown in the table. This provides an opportunity for an academic staff member to increase the ratio of one or more of the responsibility areas in a way which best reflects his/her contribution/ performance. Based on the above principle, an academic staff member will determine and advise how he/she wishes the 10 point variation to be distributed between the four responsibility areas. Benchmark for Awarding of Increments In order to receive an increment an academic employee must attain the following level of score. However, a score of 80 and above does not guarantee the award of promotion unless some other institutional considerations are favorable. Increment Single increment No increment Score 75 and above 74 and below These scores will be calculated with reference to the assessment of your Part A review and the Self-evaluation instrument. This covers the four areas Teaching, Research, Administration and Professional Community Service. The scores will reflect how a staff member has achieved in relation to the goals that they have set in consultation with their Dean. Further the scores will be weighted in harmony with the agreed ratios as per the table above and your particular allocation within that table. 10

11 Processing the PRP After sighting by the Academic Ranking Committee a copy of the PRP form is kept by both the Dean and the faculty member. At the conclusion of the 12 month period, where the goals have been achieved and performance is satisfactory the form will be destroyed. However, where problems are identified in performance and where remedial actions are put in place, the PRP form will be kept until the performance level is agreed to be satisfactory. At the conclusion of the PRP round, the Dean will prepare a list of all the faculty members professional development needs and pass the list to the Deputy Vice Chancellor for implementation in the following year. This list will be prepared in the following format. Professional Development Activities Requested Number of faculty members requesting this activity Priority (high, low, medium) 11

12 Appendix I Performance Review Instruments Part A Review Faculty member completes Part A prior to interview. It may not be necessary to complete all sections or even all forms. If you need additional space use the reverse side of the form. 1. Teaching List of subjects taught: Reflection 2. Professional Development Description of goals and hopes for professional development during past year Progress Reflection 12

13 3. Research Description of achievements during past year Reflection 4. Professional Community Service Description of achievements during past year Reflection 5. Administration/Governance List committee memberships during past year Reflection 13

14 Part B - Planning This form is filled in by the Dean and the faculty member after reviewing Part A. Together they consider all aspects that may enhance the faculty member s effectiveness. During the past 12 months: What have you done to enhance your area of expertise? How have you contributed to your profession? What has been your over all contribution to the university? What challenges have you encountered? How can the University assist in overcoming these challenges? Do you have any personal or career preferences that you wish to achieve? What plans do you have for your professional development during the next 12 months? 14

15 Part C Report This report is a summary of Parts A and B. This summary is later shared with the faculty member and signed. In what areas is the faculty member to be commended? Agreed action plan Dean s general comments Dean s signature... Faculty member s signature... Sighted by Academic Administration... Date: 15

16 Appendix II Annual Faculty Performance Review Specific Assessment Form Name : School: Both the Dean and the Faculty Member will independently score each item on a scale of 1 5 where: 1. = poorly or not at all; 2. = marginally satisfactory the minimum compliance just to get by; 3. = achieved compliance sometimes and sometimes not - many lapses; 4. = achieved compliance about 90 % of the time with only a very few lapses; 5. = Achieved compliance 99% of the time with very rare lapses that arose from exceptional and unavoidable situations. The Faculty Member: Teaching Practice Performance Area 1. Follows a practice of consistently being prompt for the beginning of classes and starts the class on time more than 90% of the time. 2. Is punctual in submitting Subject Outlines to the Dean without the need for repeated reminders at the beginning of the semester 3. Complies with required format and standards of preparation of Subject Outlines. 4. Prepares Examination papers on time and in the required University format for consideration by each mid-semester Examination Board. 5. Returns marked assignments to students promptly to ensure needed feedback for students. 6. Completes end of semester grading promptly and has grade submission records and materials ready for consideration by the Examination Board by the due date. 7. Prepares innovative teaching materials for lectures and tutorials to enhance student learning and interest in the subject. 8. Carries out student feedback surveys each semester. 9. Receives mostly positive feedback from student surveys that demonstrated progress in achieving excellence in teaching. Professional Practice 10. Carries the normal teaching load and is willing to accept assignments of subjects as requested by the Dean. Faculty Self Assessment Dean s Assessment Comments 16

17 11. Attends Faculty meetings and other academic appointments within the School punctually and consistently more than 90% of the time. 12. Responds promptly to messages and requests for information from colleagues and the Dean. 13. Is willing to be flexible and accommodate the needs of the institution and the needs of others in accepting timetabled assignments on the class schedule. 14. Consistently follows University protocol in completing regular leave request forms and notifying the Dean of absences because of sickness and or other emergencies. 15. Has maintained good communications and relationships with teaching colleagues and other support personnel. 16. Enjoys the confidence and respect of teaching colleagues. 17. Participates willingly as requested or as required in institutional administration and governance through such activity as committee membership or participation in task groups. Co-curricular Involvement and Support 18. Consistently attends chapels and assemblies 19. Supports the Campus spiritual life program consistently and in an enthusiastic manner. 20. Supports students by participation in the extra-curricular social program of the University. Research and Professional Development 21. Demonstrates a commitment to research and professional development by attending conferences or seeking opportunity to present papers. 22. Is involved in ongoing research activity either jointly with others or individually and has made progress in developing materials and results for publication or presentation. 23. Has sought opportunity to be involved in scholarly activity and the achievement of publications. 24. Achieved publication of articles in national or international journals. 25. Has undertaken an advanced study program for personal and professional development. Community Service 26. Undertook unpaid consultancy/advisory services for the benefit of the wider community or served as an external examiner or review for other examination boards beyond the School and/or the University. 27. Helps to promote the University corporate image in the community. 17

18 28. Participates in teaching professional short courses or summer upgrading programs for distance mode students or helped develop course materials for use in distance or flexible mode delivery. Total Assessment Marks Averaged Assessment Marks Signature of Dean: Signature of Faculty Member: Note: Evaluation will be calculated on 25 of the 28 items. Faculty wish to omit items that may not applicable to their role or professional development objectives at this stage of their career. Increment Requirement Increment awarded 75% + of total No Increment 74% of total or below Note: Where an agreed average total falls within 5 percentage points of the requirement for the awarding of a salary increment the assessment shall be referred to the DVC for consideration by Dean s Council Increment Recommended: Deputy Vice-Chancellor: 18

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