UNIVERSITY OF DUNDEE OBJECTIVE-SETTING AND REVIEW FOR STAFF PROCESS AND GUIDANCE STRATEGIC FRAMEWORK TO 2012 The importance of staff performance management is emphasised in the University's "Strategic Framework to 2012" document which was approved by Court in June 2007. The Strategic Framework highlights the key challenge of unlocking the full productive capacity of our staff, reflecting the increased scale and complexity of the University and the considerable financial and other challenges which we face. Our teachers and researchers, and those who support them, represent our principal resources. It is our responsibility to manage these resources diligently and to create a stimulating, rewarding and productive environment. It is the responsibility of the Human Resources team to provide a framework and support, but the implementation of staff performance management is shared across all staff managers. Consequently all parts of the University are jointly responsible for embedding staff performance management and the achievement of this has been identified as a Key Performance Indicator for the University as a whole. The performance review system for all staff is intended to provide a coherent set of procedures for reviewing individual performance and setting objectives. It will replace all previous and existing appraisal processes. Staff on probation will only be expected to undertake the relevant probationary process. While individual reviews will have regard to the overall academic strategy of schools and disciplines, it is not intended that the process will be used to restrict academic freedom, where this is relevant. In particular, the University of Dundee recognises that academic staff should be free to identify which areas of research they wish to pursue. At the same time, the University of Dundee will continue to recognise the value of research grants obtained from a wide variety of sources. While the University is keen to increase the quantum of research overhead income, particularly from UK research councils, its aim is to achieve this within a balanced portfolio which will continue to include grants from prestigious charitable foundations and other grant awarding bodies. The University accepts that some members of staff have concerns about the implementation of performance review. The University will seek to ensure that the implementation is carried out as fairly as possible and will provide appropriate training to both reviewers and reviewees. We also propose to implement the scheme on a trial basis of one year, subject to the outcome of a joint review by the University and the representative bodies at the end of that period. In the interim, the University and the representative bodies will keep in regular contact and will address any specific issues as they arise. PROCESS Purpose * To enhance the personal contribution of individual members of staff/reviewees through dialogue between the member of staff/reviewee and their line manager/reviewer. * To review achievements over the previous year or period. * To agree objectives and target dates for achievements over the forthcoming year or period taking appropriate account of HERA role profiles, the relevant School/Directorate strategy and the University’s aims and objectives, where relevant. * To set appropriate work-related standards, where relevant. * To discuss any challenges or areas of concern. The opportunity should be taken to discuss factors that are obstructing performance or achievement of objectives (e.g. workload). * To agree what, if any, training and development activities to support the achievement of the objectives or work-related standards over the forthcoming year or period. * To agree any additional support to be provided by the School, College, Directorate or University so as to facilitate the achievement of the objectives over the forthcoming year or period. Forms * The forms to be used are: o ACADPM1; ACADPM2; ACADPM3 * For Senior Lecturers and Lecturers (Teaching and Research) * For Senior Lecturers and Lecturers (Teaching and Scholarship) o CLINACADPM 1; CLINACADPM 2; CLINACADPM 3 * For all Clinical Academic staff o RESPM1; RESPM2; RESPM3 * For all Research only staff o STFPM1; STFPM2; STFPM3 * For Academic Related staff * For Clerical staff * For Technical staff * For Manual staff Cycle of Meetings * Meetings should normally take place between the member of staff/reviewee and line manager/reviewer on an annual basis. * The meetings will take place as determined by the annual timetable. * Interim meetings may be scheduled if required and/or agreed between both parties. Timetable * 1st October – 28th February o All Professorial & Senior Management objective-setting and review meetings/process to be completed. o Other staff objective/setting and review meetings process may commence. * 1st October – 31st December o All Clinical Academic staff objective-setting and review meetings/process completed simultaneously with NHS Appraisal process. * 1st March – 30th September o All other staff (except Manual staff without supervisory responsibility) objective setting and review meetings/process to be completed. * By 30th June o Reminder issued to Deans/Directors and Vice-Principals/University Secretary to complete outstanding objective-setting and review meetings. * By 30th September o Report of number of objective setting and review meetings completed to Human Resources. * December o Director of Human Resources reports number of staff objective-setting meetings completed to Court. Content of Objective-setting and Review Meeting * The objective-setting and review meeting should be entered into by both the line manager/reviewer and member of staff/reviewee in the spirit of reasonableness and co-operation with the aim of reaching agreement. * The normal expectation is that, wherever possible, the objective setting and review meeting will involve the member of staff/reviewee and their immediate line manager or a reviewer agreed by management. In large units where the immediate line manager/reviewer is unable to be involved in all meetings, management will decide the appropriate persons to conduct the objective-setting and review meetings. * The member of staff/reviewee will prepare for the meeting by undertaking a self-review. He/she will complete form ACADPM1; CLINACADPM 1; RESPM1 or STFPM1 and document his/her personal achievements and contribution to School/Directorate/University as well as identifying possible future objectives and the training and development that would support the achievement of these objectives. * The line manager/reviewer should be given ACADPM1; CLINACADPM 1; RESPM1 or STFPM1 (and a copy of the member of staff/reviewee’s CV for grades 7 and above) at least one week in advance of the objective-setting and review meeting. This will form the basis of the discussion. * The line manager/reviewer and the member of staff/reviewee will agree appropriate objectives for the forthcoming year or period and these will be recorded on Part 1 of form ACADPM2; CLINACADPM 2; RESPM2 or STFPM2, which will be signed by both. * As well as completing Part 1 of form ACADPM2; CLINACADPM 2; RESPM2 or STFPM2 the line manager/reviewer and the member of staff/reviewee will also agree and sign the training and development form for staff (form ACADPM3; CLINACADPM 3; RESPM3 or STFPM3). The line manager/reviewer and member of staff/reviewee will agree how training and additional support will be arranged and who will be responsible for obtaining approval for this. * On form ACADPM3; CLINACADPM 3; RESPM3 or STFPM3 the training/development required must be categorised under o Essential * Training that is essential to enable the member of staff/reviewee to work in compliance with legislation, work-related Codes of Practice or to acquire skills that are essential to perform their job. There will be a date by which the training will need to be undertaken. * A copy of the training form must be passed by the line manager/reviewer to the person responsible for arranging mandatory training. o Work Related * Training that would enable the member of staff/reviewee’s current work to be undertaken more effectively. * A copy of the training form must be passed by the line manager/reviewer to the person responsible for arranging training and/or for the training budget for consideration about the appropriate timing of the training. o Developmental * Training that will develop skills that are not essential in the short-term but would be useful in the current role or future roles to which the member of staff/reviewee aspires. * A copy of the training form must be passed by the line manager/reviewer to the person responsible for arranging training and/or for the training budget for consideration about the appropriate timing of the training. o NB * A copy of all training and development forms: ACADPM3; CLINACADPM 3; RESPM3 and STFPM3 should be emailed to the Professional Development Officer, Management and Personal Development. * Following the objective-setting and review meeting, the line manager/reviewer will summarise the agreed assessment of the member of staff/reviewee’s achievements against the objectives for the previous year or period on Part 2 of form ACADPM2; CLINACADPM 2; RESPM2 or STFPM2. The line manager/reviewer will sign this and return the form ACADPM2; CLINACADPM 2; RESPM2 or STFPM2 to the member of staff/reviewee. The member of staff/reviewee will add any comments he/she wishes to make, sign and return the form to the line manager/reviewer, having retained a copy for his/her own record. The line manager/reviewer will copy the finalised form to his/her senior manager (e.g. Dean or Director) for information and if the member of staff/reviewee’s comments disagree to any extent with the line manager/reviewer’s assessment of their performance, the member of staff/reviewee will have an opportunity to meet and discuss the comments with the senior manager (e.g. Dean or Director). * The form will be filed in a confidential storage system and will only be used for the purpose of performance management. * The line manager/reviewer will ensure a record is maintained that the objective-setting and review meeting has taken place so that a return can be made to the College/SASS Human Resources Officer and confirmation can be given to the Vice-Principal and Head of College/University Secretary that all staff meetings have been conducted. The Director of Human Resources will report to Court the overall percentage of objective-setting and review meetings that have been completed in Colleges/Schools and SASS/Directorates. * The frequency of the meetings will be agreed between the line manager/reviewer and the member of staff/reviewee and typically will be annually, unless both parties agree that there is reason to meet at different intervals. The next objective-setting and review meeting should be diarised by both the line manager/reviewer and the member of staff/reviewee as a firm commitment. NB: It should be noted that most but not all categories of staff will require to undertake the objective-setting and review process (e.g. manual staff not in supervisory roles who operate to specified and understood standards in their roles). GUIDELINES Confidentiality * The discussion about objectives will normally be conducted between the member of staff/reviewee and the line manager/reviewer (or her/his representative). Academic and research staff may be asked by Deans to review colleagues, as reviewer and reviewee. * The Dean/Director will be provided with a copy of the objective setting and review documentation for each member of his/her School/Directorate. Thereafter, documentation related to staff objective-setting and review will be filed in a confidential storage system and will only be used for the purpose of performance management. * The member of staff/reviewee and line manager/reviewer will agree who needs to understand any or all of the member of staff/reviewee’s objectives to facilitate effective working. Roles and Responsibilities – points to note * Deans/Directors o To communicate the School/Directorate’s plans. o To agree objectives with their direct reports. o To approve appropriate reviewers, where necessary. o To communicate an understanding of exceptional, acceptable and unacceptable performance within the School/Directorate, taking account of the career stage experience, discipline and opportunities to make a contribution. * Line Managers/Reviewers o To understand the School/Directorate’s plans. o To interpret School/Directorate’s plans for the member of staff/reviewee, where necessary. o To agree appropriate and realistic objectives with the member of staff/reviewee taking account of their career stage, experience, discipline and opportunities to make a contribution. o Agree with the member of staff/reviewee any colleagues who need to be advised about any or all of their objectives and agree who will do this. o Liaise with Dean/Director or other budget holder to ascertain whether any identified need for training or other resources can be made available and advise member of staff/reviewee. o Where changes to the member of staff/reviewee’s objectives occur during the year, revisit the objectives in an interim meeting. o Apply flexibility when reviewing achievements, taking due consideration changed circumstances, circumstances outside a member of staff/reviewee’s control and opportunities taken that have impacted upon the objectives. * Members of Staff/Reviewees o To understand your own and your team’s contribution and how this fits in to your School/Directorate’s plans. o Agree your own objective that contribute to your team/ School/ Directorate’s objectives. o Agree with your line manager/reviewer any colleagues who need to be advised about any or all of your objectives and agree who will do this. Dispute Resolution * Where a member of staff/reviewee has concerns about issues that they believe to compromise the fair conduct of their review, or where agreement about objectives cannot be reached via the normal review process as outlined above, the matter will be passed in the first instance to the Dean/Director. If resolution cannot be found in this way, the matter will pass through the appropriate University process including mediation and/or grievance.