UNIVERSITY OF DUNDEE OBJECTIVE-SETTING AND REVIEW FOR SENIOR MANAGEMENT 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. 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 senior management through dialogue between the member of senior management and his/her line manager. • 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 Directorate/College/Library’s 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 member of senior management and his/her line manager 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 Line manager to advise the SASS Human Resources Officer of the number of senior managers’ objective-setting meetings completed. o SASS Human Resources Officer to report numbers for senior managers in Directorates/Colleges/Library to the Director of Human Resources. • November o Director of Human Resources reports percentage of senior management objective-setting meetings completed to Court. o Professorial/Senior Management Review. Content of Objective-setting and Review Meeting • The normal expectation is that, wherever possible, the objective-setting and review meeting will involve the member of senior management and the relevant line manager. • The member of senior management will prepare for the meeting by undertaking a self-review. He/she will complete form SMPM1 and document his/her personal achievements and contribution to the Directorate/College/Library/University as well as identifying possible future objectives and the training and development that would support the achievement of these objectives. • The member of senior management will give form SMPM1 and a copy of his/her up-to-date CV to his/her line manager at least one week in advance of the objective-setting and review meeting. This will form the basis of the discussion. • The line manager and the member of senior management will agree the appropriate objectives for the forthcoming year or period and these will be recorded on Part 1 of form SMPM2 and the form signed by both. • As well as completing Part 1 of form SMPM2 the line manager and the member of senior management will also agree and sign the training and development form for senior management (form SMPM3). The line manager and the member of senior management will agree how the training and additional support will be arranged and who will be responsible for arranging it. • Following the objective-setting and review meeting, the line manager will summarise his/her assessment of the member of senior management’s achievements against the objectives for the previous year or period on Part 2 of form SMPM2. The line manager will sign this and return the form SMPM2 to the member of senior management. The member of senior management will add any comments he/she wishes to make, sign and return the complete form to the line manager, having retained a copy for his/her own record. The form will be filed in a confidential storage system within the line manager’s office. • The line manager 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 SASS Human Resources Officer. The Director of Human Resources will report to Court the overall percentage of senior management objective-setting and review meetings that have been completed in Directorates, Colleges/Schools and the Library. • The frequency of the meetings will be agreed between the line manager and the member of senior management 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 and the member of senior management as a firm commitment. GUIDELINES Confidentiality • The discussion about objectives will be conducted between the member of senior management and the line manager. • Documentation related to senior management objective-setting and review will be filed in a confidential storage system in the line manager’s office. Link with Remuneration • The Remuneration Committee will consider salary awards for senior management submitted by Vice Principals, Directors and the University Secretary in the first semester of the academic year. • All members of senior management will receive the normal cost of living increase in salary. In addition, achievements against agreed objectives in SMPM2 will be taken into account when making additional salary award recommendations. Other relevant factors may also be taken into account. Dispute Resolution • Where a member of senior management 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 University Secretary, relevant Director or University Librarian. If resolution cannot be found in this way, the matter will pass through the appropriate University process including mediation and/or grievance. . S:\MISC\Md\Policies and Procedures\SMObjectiveSetting and Review2008agreed with UCU.doc