UNIVERSITY OF DUNDEE OBJECTIVE-SETTING AND REVIEW FOR PROFESSORIAL 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 professorial and equivalently graded staff is intended to provide a coherent set of procedures for reviewing individual performance and setting objectives. 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. 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 and recognises that the DUCU has raised a number of relevant points about the scheme. 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 a joint review by the University and the DUCU at the end of that period. In the interim, the University and DUCU 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 the professoriate through dialogue between the Professor and their Dean. • 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 the relevant School strategy and the University’s aims and objectives. • To discuss any challenges or areas of concern. • To agree training and development activities to support the achievement of the objectives over the forthcoming year or period. • To agree any additional support to be provided by the School, College or University so as to facilitate the achievement of the objectives over the forthcoming year or period. Cycle of Meetings • Meetings should normally take place between the Professor and Dean on an annual basis • The meetings will take place as determined by the annual performance management timetable. • Interim meetings may be scheduled if required and agreed between both parties Timetable ? By 30 September o All objective-setting and review meetings to be completed. • By mid-October o Deans to advise the College Human Resources Officer of the number of professorial objective-setting meetings completed in School. o College Human Resources Officer to report numbers for Schools/College to the Director of Human Resources. • November o Director of Human Resources reports percentage of professorial objective-setting meetings completed to Court. o Professorial Review and Remuneration Committee. Content of Objective-setting and Review Meeting • The normal expectation is that, wherever possible, the objective setting and review meeting will involve the Professor and the relevant Dean. In large units where the Dean is unable to be involved in all meetings, the Dean and Vice-Principal and Head of College will agree, in consultation with the relevant Professor/s, the person to whom the Dean will delegate this responsibility. • The Professor will prepare for the meeting by undertaking a self-review. He/she will complete form PROFPM1 and document his/her personal achievements and contribution to School/University as well as identifying possible future objectives and the training and development that would support the achievement of these objectives. • The Dean should be given PROFPM1 and a copy of the professor’s CV at least one week in advance of the objective-setting and review meeting. This will form the basis of the discussion. • The Dean and the Professor will agree appropriate objectives for the forthcoming year or period and these will be recorded on Part 1 of form PROFPM2, which will be signed by both. • As well as completing Part 1 of form PROFPM2 the Dean and the Professor will also agree and sign the training and development form for Professorial staff (form PROFPM3). The Dean and Professor will agree how training and additional support will be arranged and who will be responsible for arranging it. • Following the objective-setting and review meeting, the Dean will summarise his/her assessment of the Professor’s achievements against the objectives for the previous year or period on Part 2 of form PROFPM2. The Dean will sign this and return the form PROFPM2 to the Professor. The Professor will add any comments he/she wishes to make, sign and return the form to the Dean, having retained a copy for his/her own record. The form will be filed in a confidential storage system within the School. • The Dean 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 Human Resources Officer. The Director of Human Resources will report to Court the overall percentage of objective-setting and review meetings that have been completed in SASS/Directorates and Colleges/Schools. • The frequency of the meetings will be agreed between the Dean and the Professor 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 Dean and the Professor as a firm commitment. GUIDELINES Confidentiality • The discussion about objectives will normally be conducted between the Professor and the Dean (or her/his agreed representative). • Documentation • related to professorial objective-setting and review will be filed in a confidential storage system in the School. Link with Remuneration • The Remuneration Committee considers salary awards for professorial staff submitted by Vice-Principals and Heads of College in the first semester of the academic year. • All Professorial staff will receive the normal cost of living increase in salary. In addition achievements against agreed objectives in PROFPM2 will be taken into account when making salary additional award recommendations. Other relevant factors may also be taken into account. Thus the Remuneration Committee considers the following criteria when making awards: o Individual performance Internal contribution in the form of especially effective leadership of successful research groups, effective leadership of teaching or quality initiatives, generation of research and other income External recognition in the form of membership of learned societies and distinguished bodies, etc. or other honours e.g. honorary degrees, FRS, FBA, FRSE, Feng, etc. Academic distinction in the form of publications, lectures to external bodies, some forms of external appointments, etc. o Contributions to Unit/School/College Areas relating to individual contribution to their Unit/School/College in which distinguished, high quality contributions in some of the following ways may be examples of indicators: • Effective leadership of a Unit/School/College • Outstanding contribution to College-wide initiatives or goals. o Institutional Contributions Areas relating to individual contribution to institutional goals in which distinguished, high quality contributions in some of the following ways may be examples of indicators: • Managerial leadership, especially in difficult areas or circumstances • Convenership of, or contributions to, University of Dundee committees or groups • Leadership of, or contribution to, cross College or University-wide initiatives or goal. Dispute Resolution Where a Professor has concerns about issues that they believe to compromise the fair conduct 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 Vice-Principal and Head of College. If resolution cannot be found in this way, the matter will pass through the appropriate University process including mediation and grievance.