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Contents What is Development and Performance Review? .......................................................................... 2
Key Notes .............................................................................................................................................. 2
Principles of DPR ................................................................................................................................. 3
Equality and Diversity ...................................................................................................................... 3
Documentation ...................................................................................................................................... 4
Why does the University use a DPR scheme? ................................................................................ 4
Benefits for individuals ..................................................................................................................... 4
Benefits for reviewers ...................................................................................................................... 4
Benefits for the University ............................................................................................................... 5
DPR Process......................................................................................................................................... 5
Who is involved and how is confidentiality maintained? ............................................................ 5
Roles and responsibilities ............................................................................................................... 5
Counter signing................................................................................................................................. 6
Head of Department......................................................................................................................... 6
Reviewer’s role: .................................................................................................................................... 8
If you are a Reviewee ...................................................................................................................... 9
Difficult Conversations ....................................................................................................................... 10
Drafting Objectives ............................................................................................................................. 10
Defining objectives ......................................................................................................................... 11
Examples of SMART objectives ....................................................................................................... 12
Academic ......................................................................................................................................... 12
Research Staff ................................................................................................................................ 13
Non Academic Staff ....................................................................................................................... 13
Sample objectives for level 1-5 roles .......................................................................................... 13
Prioritising learning and development needs ................................................................................. 14
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Development and Performance Review – Detailed Guide
What is Development and Performance Review?
The University’s Development and Performance Review (DPR) scheme replaces the
previous annual review and it is expected that all staff will take part. The DPR scheme is
designed to be an open, constructive and positive experience for all.
The purpose of the new Development and Performance Review scheme is to:
Improve and simplify the annual review process whilst maintaining the core principles.
Align individual contributions and objectives to support the aims of departments and the wider University.
Create the opportunity for regular, constructive dialogue between reviewees and reviewers about the individual’s role, work, personal development and career aspirations.
Provide a simplified framework to structure conversations around potential Merit Pay and Senior Staff Review.
Key Notes
There is an expectation that all employees will take part in DPRs, except Clinicians who will continue to use their existing scheme.
Formal DPR discussions should take place at the beginning of the calendar year and the outcomes of these discussions should be captured on the DPR form. It is hoped that the simplified system will enable more regular discussions to be captured throughout the calendar year.
The DPR documentation will be available on the LDC website from 8th January 2015.
Our ambition is that all DPR reviews will be completed by 13th March 2015 for the calendar year 2014. This will be a requirement for Merit Pay and Senior Staff Reviews.
The Annual Review form will no longer be available to use.
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Principles of DPR
The underlying principles upon which DPR is based follow good practice in the sector and
are set out below.
Review discussions will:
Not only take place annually. It is hoped that the simplified system will enable more
regular discussions to be captured throughout the year.
Be based on the reviewee’s own self-assessment.
Ensure there are no surprises for reviewee or reviewers by emphasising the need for
careful , transparent and timely preparation.
Combine discussions on performance, achievement and personal/ career development.
Be an informal but structured meeting that encourages discussion.
Lead to the identification of essential and viable development needs for the reviewee.
Ensure that the dignity of the individuals (reviewee and reviewer) in the DPR discussion
are provided for.
Produce an agreed written record of the discussion and its outcomes.
Equality and Diversity
The University’s written Commitment to Equality and Diversity, contained in the Single
Equality Scheme states that:
The University of Warwick, recognising the value of sustaining and advancing a safe and
welcoming learning environment, strives to treat both employees and students with respect
and dignity, treat them fairly with regards to all assessments, choices and procedures, and to
give them encouragement to reach their full potential.
DPR has a significant role to play in encouraging staff to reach their full potential. The
University ensures that all staff are offered equal access to DPR and asks every member of
staff to familiarise themselves with the scheme and their responsibilities.
Reviewees who have a disclosed disability may choose to raise requests for additional
support such as reasonable adjustments at their DPR meeting. It is important to emphasise
that staff who have a new or previously undisclosed disability take the opportunity to formally
disclose their disability so that the appropriate support and adjustments can be discussed
during their DPR. Staff should note that they do not need to wait till their DPR meeting to
raise these requests. If you or your reviewee(s) have a disability, or wish to raise an issue
relating to any area of Equality and Diversity legislation and practice, including the
University's Athena Swan project which relates to good employment practice for women in
Science, Engineering and Technology, then please remember that you can contact your HR
Link Adviser or the Equality and Diversity team ([email protected] ) for advice and
information.
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Documentation
During the transition phase the following documentation should be used to provide a review
of performance for the calendar year 2014 and to consider Merit Pay and Senior Salary
Review submissions. For this year only (for example) levels 1a – 8 should complete form D
for the review of performance in 2014, and complete form A section 1 and 2 to capture
objectives and development needs for 2015.
To review performance for the year 2014 o Form D – Level 1a to 8 o Form E – For Professors o Form F – For Senior Professional staff
To agree objectives and development needs for 2015 use forms A,B, or C
o Form A – Level 1a to 8 o Form B - For Professors o Form C - For Senior Professional staff
Why does the University use a DPR scheme? Most organisations, including those in Higher Education, adopt a DPR, or review approach.
There are benefits in this approach for individual members of staff, for reviewers and for the
University.
Benefits for individuals
The University has adopted a single DPR scheme in order to give every member of staff the
opportunity to:
Connect your objectives for the coming year to the aims of the departments and the
wider University.
Have a clear and valued role in supporting these aims.
Have your achievements recognised.
Discuss your career aspirations.
Discuss and agree relevant training and development for the coming year.
Have an agreed record of that discussion and a personal development plan.
Benefits for reviewers
DPR gives reviewers the opportunity to:
Recognise achievement, provide a comprehensive, robust system enabling discussion of
all areas of performance.
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Ensure that their teams/staff are all working towards agreed objectives that collectively
contribute to the aims of departments and the wider University.
Hear feedback and generate suggestions for enhancing the work of the individual, team
or the department.
Prioritise and plan development needs for the individual and the department.
Benefits for the University
The University believes that in implementing a single DPR scheme we:
Ensure clear and effective communication of departmental aims and strategic objectives
in a two way conversation.
Give all staff a voice and a role in the achievements and future development of the
University.
Maximise the impact of training and development so that we equip staff appropriately for
their roles, both now and for the future.
Give everyone the chance to learn from colleagues.
Provides a framework for the consistent review of achievements and contributions.
Increase employee engagement and motivation.
DPR Process
It is anticipated that DPR conversations will take place on a regular basis throughout the
year. A DPR should take place between January and March each calendar year, as a
requirement for Merit Pay and Senior Staff Review.
Who is involved and how is confidentiality maintained?
Two people are involved in the DPR meeting, the reviewee and the reviewer. If you wish to
be considered for Merit Pay or Staff Salary Review, information from your DPR form will be
used as part of your submission. This means that all comments will be read by the
Moderation Panel members, i.e. Head of Department, HR and the Vice-Chancellor Advisory
Group.
Roles and responsibilities
The reviewee is the person whose achievements, contributions, objectives, personal
development and performance are discussed in the meeting.
The reviewer is the person leading the DPR discussion. In many cases this will be the
reviewee's line manager. In some cases however (including academic departments), where
leaders/managers are leading large groups of staff, Heads of Department will share those
review meetings among a number of reviewers. In these cases, reviewees will be informed
beforehand that their DPR meeting will be led by another person from their department. Of
course it is possible that for some staff, their reviewer will also be their Head of Department.
It is recommended that reviewers should conduct no more than six DPR meetings.
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Counter signing
If you wish, your form can be counter signed by a senior member of staff. Their role is to
ensure that there are agreed outcomes to the DPR meeting, that any unresolved issues are
addressed and to ensure that the scheme is consistent, fair and transparent. The senior
counter signing individual will not attend the DPR meeting but will see the agreed outcomes.
Head of Department
The Head of Department will need to ensure that:
Reviewers are aware of the aims of the department and the wider University
The DPR scheme is organised appropriately in the department
All reviewers are clear on their role and responsibilities
A summary of the Departmental Learning and Development needs are captured and
forwarded to the Learning and Development Centre (LDC) to inform the institutional
Learning and Development plan.
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For the Reviewee and Reviewer
When conducting a review of performance for 2014 and agreeing objectives and
development needs for 2015 follow this process:
DPR meeting arranged
Reviewee prepares Section 1 of the review form D, E or F and considers section 1 & 2 of either form A, B or C in preparation for the meeting
Forms sent to the Reviewer one week before the DPR meeting
Reviewer completes comment's section of form's D, E or F (section 1) and reviews the proposed objectives and development plan (Form A, B or C). Reviewer passes
form back to reviewee before meeting, retaining a copy
Meeting takes place
2014 performance is reviewed and agreed
Objectives and Development plan for 2015 are agreed and recorded
Section 2 of form D, E or F are completed in line with local arrangements
If being nominated for Merit Pay, Reviewer provides a narrative and suggested score on Merit Pay spreadsheet and copies Section 2 of the form and sends to person
administering the Moderation Panel
If eligible for Senior Salary Review DPR to be submitted to HOD and the Reward Team
Departmental Administrator/HOD collates learning and development needs and submits to LDC ([email protected])
It is hoped that the simplified system will enable more regular discussions and development and performance to be captured through the calender year
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Reviewer’s role:
Brief the Reviewee
If this is your first meeting, talk through the purpose and procedure with the
reviewee.
Agree date and time for meeting, allowing enough time for preparation.
Ensure reviewee has the appropriate form’s to complete.
Assessing Achievements, Contributions, Performance
Collect information on reviewee’s achievements and contributions.
If appropriate, discuss achievements with people who are impacted by the
individuals work.
Read last year’s review (if available) especially the follow up actions agreed.
Review the value and impact of learning and development undertaken since the last
review.
Complete your part of the form as appropriate.
Plan Meeting
Anticipate any potential challenges and think through how you will handle them (see
section on constructive conversations – page 10.
Make a note of any things that need to be agreed by the end of the meeting.
Practical Arrangements
Check room availability and layout.
Ensure there are no interruptions.
Ensure you have any relevant information on work done and a copy of the
School/Department objectives.
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If you are a Reviewee
• Allow yourself sufficient time to prepare for your DPR.
• Ensure you complete the paperwork before your meeting and send to your reviewer.
• Be prepared to have a two way conversation.
• State your views constructively and put forward your own suggestions.
• Ask questions if you are not clear about something.
• Be prepared to listen to constructive feedback.
• Reflect on your achievements and contributions from the previous review period and
consider any extenuating circumstances.
• Give thought to what you would like to achieve in the coming year – what do you
need to help you achieve these objectives, including any learning and development
need.
• Identify how your reviewer could help you achieve your objectives.
In Section 1 of the DPR form you are asked to comment on achievements and contributions
during the previous review period. You should look back at the agreed objectives for the
previous period to form the basis for your answers. It is a chance for you to openly and
honestly reflect on all aspects of your achievement and also areas that did not go so well. If
you do not have objectives from the previous year, perhaps look at your job description and
use this as a basis to provide examples of your achievements this year.
Ensuring that Conversations are Constructive
Reviewees who have taken part in DPR briefings report that a DPR conversation is more
likely to be productive when you:
ensure you read Part 1 of the form returned to you by your reviewer so that you know what they wish to discuss in the meeting
bring evidence of your achievements and contributions to focus the discussion
are ready to listen as well as offer information, ideas and solutions. This is a two way conversation that should result in a plan agreed by both parties
seek clarification of anything you are unsure of
adopt a joint problem-solving approach where needed.
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Listening
Listening is a vital skill involved in effective1:1 conversations.
Experienced reviewers/reviewee’s typically define the essential pre-requisites of an effective
listening conversation as:
Choosing an appropriate venue for the discussion
Not allowing outside interruptions
Giving the meeting your full attention
Allocating an appropriate amount of time
Being open to what is being said
Listening is not simply about being silent and allowing the other person to reflect and talk in
their own time. Effective conversations occur where both parties are engaged and
responsive.
Techniques to enable this include:
Testing our understanding of what has been said by asking clarifying questions
Giving or receiving feedback
Summarising what has been said and the point which the conversation has reached
Developing an idea or suggestion in collaboration with the reviewee
Difficult Conversations
Prior to the meeting, it is important that both parties have agreed the agenda for the
discussion. This will help to ensure that there are ‘no surprises’ raised during the meeting.
If you anticipate that there might be any ‘difficult’ aspect to your conversation, it is important
that you address this prior to the meeting by speaking to an experienced colleague or to your
HR Adviser.
You might also find it useful to visit the LDC website to access appropriate support.
Drafting Objectives
Drafting objectives is a core element of the DPR scheme. Objectives are developed and
agreed so that the reviewer and the reviewee have a shared understanding of the key focus
of work and results which need to be achieved.
Objectives must be appropriate to the grade and role of the reviewee and should be set in
the context of the aims of the Department and the wider University.
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An individual may typically have between four and seven objectives. Any larger objectives
can be split in to sub-objectives if that is useful. Effective objectives should be written
positively and should concentrate on the outcome or result you are seeking.
SMART is a well-known model used to capture effective objectives and stands for.
Specific
Measurable
Achievable / Agreed
Realistic
Time bound
SMART objectives:
Are those which are consistent with the aims of the department and wider University
Are expressed in positive language
Start with an action to ensure they are focussed on something that can be subsequently
measured (e.g. complete, publish, investigate, propose, revise, plan, install, design,
develop, produce)
Defining objectives
When starting to plan your objectives, you may find it helpful to consider these questions:
What is the overall purpose of your role?
What are the main areas of work or tasks that you perform at the moment?
Is this the same as you will be doing in the future? If not, why not and what will you be
doing that is different next year?
How should this work be done? Are there any defined standards that are set? If not,
what standards would you set?
What are you expected to produce as outputs or outcomes in your role?
What support do you need to do this?
What knowledge, skills and behaviours do you need to do this work?
What development needs do you have in your current role?
What knowledge, skills and behaviours will you need for your future role if this will
change?
What development needs do you have that will enable you to apply for promotion or a
new role?
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Examples of SMART objectives
Some examples of SMART objectives that have been written by colleagues working in a
range of roles:
Academic
Administrative Duties
To produce Supervisor/student guidelines which are in line with University regulations for
the department by DATE
To allocate x hours to support/mentor x new probationers in the current/next academic
year
To establish collaborative partnerships with department x, y, z for the delivery of cross
disciplinary module in x aimed at (specific target group) by DATE
Research
To submit x grant applications (to the minimum value of x) with X or Y funding bodies to
be targeted) by DATE
To increase citations in (specified publication types) by x% by DATE
To review research options by DATE and agree research priorities in line with the
department’s research plan
Teaching
To demonstrate through student evaluation data an average satisfaction score of x for all
modules that you are responsible for in Term 1, YEAR.
To improve student satisfaction scores from x to a minimum of y by DATE
To develop a module for the UG/PG degree in x for approval/validation by the University
by DATE
To observe the teaching practices of x colleagues per year for the next academic years
To review the content of and learning approaches used in delivering X module by DATE
and agree enhancements that will achieve an increase in student satisfaction scores (of
at least X%)
Supervision
To supervise (as principle/co/joint supervisor) x students to successful completion of
their PhDs by DATE
To undertake an internal/external professional development course (recognised by…) in
research supervision in this academic year.
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Research Staff
To submit x grant applications (to the minimum value of x) to x or y funding bodies by date
To increase citations in specify publication by x% by date
To publish x research papers and peer review journals by x date
To submit x abstracts for consideration to specify type and / or level conference
presentation by date
To attain national / international recognition of leadership in field by publishing
research outcomes at a national / international conference by date
Conference attendance/presentation
To hold x team meetings per term / month for the specific project
To continue to update knowledge and understanding in field by attending x
workshops for professional development by date
To increase impact in widening participation activity by x date
To increase research impact by x % and by x date
Non Academic Staff
Sample objectives for level 6-9 roles
To write a procedure to improve the planning, operation and flow of work through the
office by DATE
To ensure the website pages on examination regulations are accurately updated by
DATE
To design a work allocation model that ensures agreed core areas of work can be
covered during staff absence by DATE
To implement the agreed procedure on purchasing across the department by DATE
To complete a feasibility study on the implications, costs and impact of adopting a XX
work model by DATE
To increase the satisfaction rating of customers using the helpdesk to XX% by DATE
To propose an appropriate cleaning schedule to achieve University standards with X
staff for the new XXX building by DATE
Sample objectives for level 1-5 roles
To work with helpdesk colleagues to recommend ways of improving the speed of getting
messages to technicians/electricians/plumbers etc by DATE
To review the equipment/materials suppliers used for your area and recommend best
prices for best products by DATE
To complete the lab/workshop/depot health and safety risk analysis by DATE
To work with colleagues to sort and tidy the storage area to remove out of date supplies
and meet health and safety objectives by DATE
To achieve 95% success rating in cleaning standards in X work area between DATE and
DATE
To collate feedback on workshops within one week of the workshop being run
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Prioritising learning and development needs
What is a development need?
This may be a gap in someone’s experience, a ‘weakness’ or a ‘strength’ that could be
further developed. Development needs should be linked to performance objectives.
There are finite resources and it is unlikely that every development opportunity requested will
be fulfilled. Reviewers have a responsibility to:
Understand the skills and expertise needed in individuals and teams to achieve
departmental aims and objectives
Identify any skills and experience gaps that are essential to the effective performance of
individuals now and in the future
Choose the most appropriate and effective development method, including the best
‘value for money’.
Prioritise development that is critical to the achievement of agreed aims and objectives
Think about the full range of development methods available to support individuals which
might include: E-learning, DVDs, CD’s, Coaching, Conferences, Job Shadowing,
Reading, Secondments, as well as Formal Training workshops.
Discuss the above with Reviewees to identify the most appropriate method of support.
Whose responsibility is it to make development opportunities happen?
It is important that reviewees own their development plans, take responsibility for making
development happen, and for reporting back on the outcomes of their development.
It is the reviewer’s responsibility to ensure that individuals:
are given the support and appropriate resources to access agreed development
review and report on its effectiveness
use what they have learned to enhance their performance in their role
Planning your development
If you need further support around planning and meeting your development needs, this
section may help you.
Why is my development important?
Whether you need to take on new challenges, keep on top of developments in your field or
enhance your performance at work, undertaking learning and development can help. By
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ensuring you have the right balance of knowledge, skills and behaviours, you can achieve
your goals and increase your job satisfaction.
The University is committed to ensuring that all staff benefit from a review of their
Development and Performance needs, and has implemented the DPR process to support
this.
How do I work out my development needs?
Your development needs are unique, and to ensure you progress in the way you need, it’s
worth thinking through your approach. The Learning and Development Centre offers a range
of ideas and opportunities to help individuals develop. There are many other development
opportunities in your workplace and outside. The step-by-step approach below may help you
arrive at an effective personal development plan.
Identify your development needs
Identifying your development needs can be challenging. Often, we find ourselves looking at
what training courses are available and deciding which of those would be most helpful. In
fact, it is better to try and identify what the development need is and then to work out ways of
meeting that need, which may or may not be a training course.
DPR is a great opportunity to discuss your development needs with your reviewer/line
manager. You may be able to discuss the changing requirements of your role, as well as
your personal development aspirations (for example, career development). It is important
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that you have considered your development needs before your DPR meeting as this will
enable you to make the most of your discussion.
Identify what skills, knowledge and behaviours are ‘required’ for you to do your job well
Every role in the University has a job description and a person specification. Your job
description will list the things that you are expected to do. The person specification will
identify the skills, experience, knowledge and behaviours that you need to do that job well.
You may find it helpful to talk to your line manager or Head of Department if you feel you
want to clarify any of the requirements set out in the person specification. Your DPR meeting
will provide one opportunity for you to have this discussion, but you can raise the point about
your development needs at any meeting with your reviewer, manager or HOD during the
year.
At this stage, it’s also worth thinking about the skills, knowledge and behaviours that you
may need to develop in the future in your current job. You may know, for example, that your
role will be changing or that you will be working on different projects or that you are
interested in a career change. What new or different skills, knowledge and behaviours will
you need?
Make a list of current and future skills, knowledge and behaviours that you need
Look at the skills, knowledge and behaviours you actually have now
Look at the list you have produced. Now ask yourself how effectively you match against
each one. You could consider talking this through with a friend or colleague, or with your
manager or HOD.
It is important to ask yourself some rigorous questions at this stage and to answer honestly.
Are there areas of your work, for example, where developing more confidence would make a
real difference to your success in your job? Are there knowledge, skills and behaviours that
you only need on occasion that would benefit from some development? Can you identify
areas where you feel confident and believe you perform well that could be an even greater
strength for you with some development?
Compare ‘actual’ with ‘required’ to identity any gaps. These are your development needs
Try and be as specific as possible about what you need to do differently. This will really help
you when you are deciding how to best address your development needs. It will also help
you review and measure your success.
For example, “I need to learn how to use Outlook to sort, prioritise and store my emails,” will
be much more helpful than “I need to be more organised,” when it comes to deciding what
development you need. It will also help you check how the Outlook training you undertook
actually made a difference in your ability to be organised.
Practicalities
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It is worth thinking about the practicalities, such as cost, timescales and the urgency of the
development need at the outset. How much funding is likely to be available and what
solutions are available and when, will all have a bearing on how the needs are met. If you
are asking your department to fund the cost of your development, remember that your HOD
will need to consider your request in light of budgetary restrictions and within the wider
training needs of the department. This may mean that your preferred option may not be
feasible in the short term so it might be helpful to consider a number of ways of meeting the
identified development need where possible.
How do I prefer to learn?
Also think about how you prefer to learn or how you learn best. For example, do you learn
most successfully observing, trying things out, reading, listening, discussing, reflecting,
researching or questioning? Think about the times when you have learned something
successfully and try to identify what it was about the experience that helped you learn
effectively. You might find it helpful to think about a time when you didn’t learn well and
compare it to a more successful experience to identify what it is that makes learning work for
you.
Finding the best solution
Remember to start by identifying what it is that you need to learn. Try to be as precise as
you can. What is it that you need to do differently? Make sure that the development you
choose will result in the change you need. If you are thinking about a course, check the
content and learning outcomes advertised and then review these against your development
need. How well do they match?
Remember to consider all the options to make sure you don’t miss the right opportunity. This
may not always be a course or a formal training session. Think about the range of
development methods available to support individuals which might include: E-learning,
DVDs, CD Roms, Coaching, Conferences, Job Shadowing, Reading, Secondments, Formal
Workshops.
Develop a plan
By producing and recording a development plan, you are much more likely to achieve the
goals you have set yourself. Your DPR would be a good opportunity to produce or review
your plan.
The Personal Development Plan in the DPR form will enable you to capture this.
You will need to consider:
What do I need to learn?
These are your development needs, the knowledge, skills or behaviours that you
identified in part one of this process
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How will I do this?
These are the development methods or solutions that you selected in part two of the
process
By when?
When do you aim to complete each activity? Prioritise the most important and consider
what is manageable for you in terms of time commitment
Review and record progress
Reviewing and recording your progress means you can track your development. The
Personal Development Plan is useful for recording what you have learned compared to what
you planned, and will help you prepare for your DPR meetings, revise your CV or apply for
jobs.
You may also find that you develop skills, knowledge or behaviours that you didn’t plan for,
perhaps because new opportunities have come your way in your role. And don’t forget that
development can happen in informal ways such as reading, networking and on the job
training. It’s worth recording all of these on your Personal Development Plan too. In this way,
your Personal Development Plan becomes a record of your ongoing growth and progression
and celebrates your achievements.
Remember to make time to review your Personal Development Plan. As you complete
learning, you need to start thinking about the process of planning your development again.
Our work contexts are evolving all the time and this inevitably means that our roles and
priorities change, with a resulting impact on our development needs. You may also have
career aspirations that will encourage you to think about your development needs.
Developing yourself opens up new opportunities for both you and the University.
How are learning and development needs met and summarised?
Reviewees are responsible for working with their reviewers and colleagues to ensure that
what has been agreed is implemented. At your DPR discussion, you should make sure that
you are clear on how agreed development needs are going to be met and what you need to
do to make them happen. Ultimately, you are responsible for your own development.
Some learning and development needs may require additional support, perhaps from your
Head of Department or from other departments such as the Learning and Development
Centre. Your reviewer will anonymise these and include them in a summary of learning and
development needs which will be collated by your HOD.
If you have any questions about Development and Performance Review please contact your
HR Adviser