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Performance and Development Review Guidance Notes

Performance and Development Review Framework

Index:

1. Introduction

The ultimate goal of performance management is to enhance job performance throughout an organisation, which will lead to an increased sense of job satisfaction for employees and an increased likelihood that the organisation will achieve its strategic goals. For this to happen, an appropriate and effective performance management structure must be in place. Such a structure will help to facilitate the achievement of common goals, while providing the guidance and encouragement necessary to support individual development of each staff member.

Glasgow 2020 - A Global Vision

Glasgow 2020 - A Global Vision outlines the vision, mission, values and strategy for the University in the planning period 2010 -2015 and sets out the vision for the University to enhance its position as one of the world’s great, broad based, research intensive universities. The strategy identifies our priorities for a five year period, during which there will be a focus on maintaining existing and developing new, world leading activities. The University intends to improve its standing nationally and internationally, while meeting its research funders’ and students’ needs. The strategy’s main themes are:

Focus
Global Reach
Multidisciplinarity

The Human Resources Strategy is directly aligned with the University’s Strategic Plan to ensure that staff are able to deliver the objectives and ambitions of the University.

Human Resources Strategy - Key Themes

The University is committed to valuing staff by developing their career in a supportive environment that enables them to achieve the highest possible standards in all aspects of their work. The key staff themes identified within the strategic plan are:

Attracting and retaining high quality staff aligned to the University’s vision and values
Developing personal development processes that are linked to the strategic plan
Applying equitable and fair pay and performance systems that reward excellence
Building leadership capacity and ensure capability development

Importance of Performance and Development Review Process

A key component of the achievement of this vision is the recruitment, retention and continuing professional development of high quality staff. The University employs high achievers, whose fundamental career goals are driven by their interests and skills, however it is equally important that performance goals are aligned with the goals of the University. The achievement of workplace and personal career goals is enhanced by effective performance and development.

The successful implementation of a performance and development review process is crucial to attaining and sustaining excellence and to help staff understand and assume accountability for their performance.

Benefits

Performance and Development Review is not simply tabulating scores on a performance ratings form; it is a holistic approach to the development of staff whilst effectively achieving University and individual objectives. Performance and Development Review benefits individuals, Schools/Research Institutes/Services and the University in a number of ways by:

improving communication between line managers and staff;
facilitating the development of clear expectations and performance criteria;
providing feedback to staff about their performance;
clarifying the development opportunities available to staff;
setting clear objectives for the future;
enhancing job satisfaction, and
providing a clear framework for dealing with under-performance.

Performance and Development Review offers an opportunity for staff to:

clarify understanding of job role and expectations;
improve communication;
reflect on performance and learn by looking backward and forward in a constructive way;
discuss any work related issues and develop solutions;
identify development areas and improve understanding of the context of current work priorities;
agree work related objectives for the forthcoming year.

Performance and Development Review offers an opportunity for Schools/Research Institutes/Services to:

link School and individual staff objectives with College/University objectives and targets;
clarify roles and responsibilities;
improve communication;
seek feedback from staff;
identify areas for improvement at the individual level;
identify training and development needs more clearly.

Performance and Development Review offers the University an appropriate framework to:

improve overall performance through effective communication of the University's strategy, goals and values as set out in Glasgow 2020 – a global vision;
ensure objective setting is aligned with University goals and objectives;
create and maintain an organisational culture of continuous improvement and success;
develop opportunities for organisational learning,
improve relationships between line managers and staff, giving line managers the opportunity to utilise their leadership skills in motivating and developing their staff.

2. Performance and Development Review at the University of Glasgow

Principles

Continuing performance improvement is supported by the following principles:

Transparency: a system understood and accepted by all participants;
Trust: a partnership between staff members;
Respect: valuing the other's perspective, needs, position, and/or contribution;
Negotiation: constructive and collaborative management of performance issues;
Communication: bias-free, objective and candid interaction;
Structure: formal and informal monitoring against an agreed standard of performance;
Relevance: of consequence to both staff and the University.

Participation

All staff members who are employed in full or part-time roles, including those on fixed-term contracts for a period of greater than 12 months, participate in the Performance and Development Review process. The absence of a structured mechanism for evaluating the ongoing performance and development of staff may lead people to judge the work performance of others arbitrarily and informally. This can create serious motivational, ethical and legal challenges in the workplace, and can lead to high staff turnover; for these reasons, participation in Performance and Development Review is a mandatory obligation.

Roles & Responsibilities

The Principal, VP/Heads of College and the Secretary of Court are responsible for ensuring compliance with University policies on Performance and Development Review; for setting strategic objectives linked to the University’s strategy Glasgow 2020 – a global vision and the standards required to achieve these and for developmental planning in their Schools/Research Institutes/Services.

The Human Resources function across the University is responsible for monitoring the operation of the process, providing ongoing support through briefings and training, collecting feedback and working on its continuous improvement.

Staff allocated the responsibility of reviewing others are responsible for ensuring the process is managed at a local level with integrity by appropriate planning, preparation and completion within agreed timeframes.

All staff have a responsibility to engage in the process in a meaningful way and seek support if unclear.

Frequency

Performance and Development Review is an on-going annual process with a formal review meeting normally taking place between 1 May and 30 September each year in accordance with the Performance and Development Review Guidance Notes.

In addition, regular informal review meetings between the line manager and the staff member should take place at a frequency that compliments the operational cycle of staff members’ roles and in accordance with operational needs. This may be as frequent as every six weeks but should be no less frequent than every quarter. To support the principle that P&DR is an ongoing process, line managers and staff should agree the date of the next regular review meeting at the conclusion of each meeting or agree a series of review meetings in advance.

Training and Support

All line managers conducting performance and development review meetings should acquire the necessary skills to effectively manage this process. To support the development of skills, knowledge and ongoing learning, a range of options relating to performance and development review are available through Staff Development Service, both for reviewers and reviewees.

Additionally, local human resource teams will act as facilitators in relation to advice and guidance relating to the process.

3. Performance and Development Review Inputs

The key documents that support the performance and development review process are:

Relevant strategic objectives and goals (e.g. University, College / University Services , school/research institute/service)
Job Description (reviewees)
Performance Standards/Expectations (e.g. embedded in procedures, service level agreements, legislation like health & safety, etc)
Job Role profiles
Professorial Zone Descriptors, Academic Promotion levels

Strategic Goals and Objectives

Schools’/Research Institutes’/Services’ goals and objectives are derived from the University’s strategy and these, in turn, are contextualised as appropriate within individual goals and objectives. Through communication and understanding of University goals and objectives, the performance and development process helps everyone understand their contribution to the University achieving its vision.

Job Description

The job description is a systematic collection of information documenting the details of any given job and is a valuable part of performance and development review. The information contained in the job description should:

accurately reflect the key responsibilities of the post;
demonstrate clear links to the University and School/Research Institute/Service strategic plan; and
provide the basis for performance and development review.

Job performance should be reviewed in the context of the job description. They list the main duties, responsibilities, accountabilities and key objectives which define the areas of work on which any staff member will require to focus to be effective and efficient in their role. The key objectives of any job/role should relate to the goals and objectives of the School/Research Institute/Service and the University.

As part of the P&DR process, it may be appropriate to review the content of the job description if the role has changed substantially over the previous review period.

Performance Standards/Expectations

Managing performance and development should be supported by indicating the standard of performance expected within the role. Performance criteria are defined within the respective Role Profile of the relevant Job Family Role Profiles for support staff on Grades 1-9, Academic Promotion levels and the Professorial Zone Descriptors for academic staff on Grades 6-10.

4. Performance and Development Review Process

There are key aspects that are key within the P&DR process in relation to which all staff should be aware.

Self-Assessment

All staff members will be expected to reflect on their performance by completing the self assessment section of the relevant form prior to their annualreview meeting. The form will assist staff in assessing:

What they have achieved?
How well s/he has performed since the last review against the main duties, responsibilities, accountabilities and objectives/standards;
What areas/aspects of the job have been particularly successful. Why they were successful.
Areas of performance which could be improved. What support is required in terms of training and development needs.
How the School/Research Institute /Service or line manager can support staff leading to improvement or enhancement in performance or career development?
Any amendments to the job description that should be discussed and considered to be updated as a result of any changed responsibility?
Any other relevant matters.

The Formal Review Meeting

The performance and development review meeting is based on face-to-face, two-way discussion between a member of staff and his/her line manager. The staff member will be informed who will carry out the review in advance of the meeting. Ideally, there should only be one reviewer conducting the meeting with the reviewee.

The value of focused and purposeful interaction between a reviewer and reviewee should not be underestimated. Both the reviewer and the reviewee should prepare for the meeting and the reviewee should complete a self-assessment form and send this to the reviewer 1 week in advance of the meeting. There should be no surprises at this meeting.

The job description and performance criteria should have been clearly documented and agreed upon previously, and feedback provided regularly.

When planning the meeting, sufficient time should be set aside to cover all the issues thoroughly. The discussion should cover the following and may cover other elements related to performance and development:

review of the past year, with reference to any relevant documentation;
performance during the review period, including achievement of objectives set the previous year;
factors that influenced performance;
feedback from others, where appropriate;
personal development activities undertaken in the past year;
identify the development plan for the forthcoming year, and;
objective setting for the forthcoming year.

At the beginning of the discussion account should be taken of overall research plans and/or teaching objectives, service quality, resource management and interpersonal skills as appropriate. Notes and/or records should be consulted, such as publication lists, income generation information, work diary, reports or feedback from other senior managers with whom the staff member interacts on a regular basis. The whole picture should be considered.

After the opening overview, the performance criteria/objectives set should be reviewed using relevant performance indicators or measures to assess whether each was achieved or not. If performance was not to the desired standard, discussion should take place as to the reasons for non-achievement or under-performance.

Observing work performance and providing feedback about performance should be integral to the performance and development review process. Feedback is based on observed and/or verifiable work-related, actions, statements and results. In simple terms, it is an explanation of what constitutes 'high quality performance' and, if necessary, where there is potential for improvement. The staff member should also have opportunities to raise broader work issues through the informal feedback mechanism.

An important element of the performance and development review process is the discussion and agreement regarding any further action that may need to be taken. As well as undertaking specific training courses, career development can also be enhanced if the staff member is prepared to consider the following lateral or enriching moves:

secondments;
coaching and mentoring;
work enriching experiences (e.g. reassignment of specific tasks);
job rotation; and/or
dual career paths (e.g. technical/administrative).

The review process will alert the line manager to individual staff needs such as work satisfaction, opportunity for challenge, growth and skill enhancement.

The formal review meeting is a good forum for discussion of future plans including retirement. This can incorporate discussion with staff of all ages about where they see themselves in the next few years and their future contribution to the organisation. Where an employee then indicates that they are considering retirement, more detailed discussion can take place around their intentions. To avoid age discrimination it is good practice to ensure that all staff are asked about their future plans. Further guidance can be found in the University’s Retirement Guidance.

Outcomes of the formal performance discussion should be documented using the appropriate Performance and Development Review form. It is normal practice for all staff, excluding Grade 10 staff, for there to be a discussion at the review meeting in relation to the proposed overall performance assessment level in the preceding year. It may be that there is more than one meeting for P&DR: the proposed overall performance assessment must be discussed before the end of the last meeting.

The allocation of an overall performance assessment outcome should not be completed at the review meeting for Grade 10 staff. Reviewers should not advise such staff of the proposed outcome at the review meeting as there is a University wide moderation process for Grade 10 staff.

Development Plan

A Development Plan tailored to the reviewee should be one of the outcomes of the review meeting and should be aligned with the goals and objectives of the University. It will take into account the reviewees existing knowledge and skills, how these relate to their role and how they could be developed to improve performance.

Based on a joint discussion, the postholder and the line manager should agree a development plan for the year ahead which may include:

objectives;
developmental tasks;
the identification of personal skills, interests and values that are relevant to the development plan.

The following should be considered when preparing the development plan:

how well objectives have been achieved
how training, development and or support could improve performance
new skill requirements or interests;
potential ways to gain new knowledge;
new tasks;
long-term career direction;
(retirement);
scope for development of their current role;
short term goals (next 12 months)

The staff member is primarily responsible for drawing up and progressing their own plan and for ensuring that the plan is implemented. However to different degrees, staff members will need encouragement, guidance and support. A mentor, where one has been assigned can also provide assistance. It is therefore important that staff are familiar with the development planning process and how to identify learning needs.

Regular Informal Review Meetings

Regular informal review meetings between the line manager and the staff member should take place at a frequency that suits the operational cycle of the staff member's role and operational needs. This could be as frequent as every six weeks but should be no less frequent than every quarter. To support the principle that review is an ongoing process, the line manager and staff member should agree the date of the next regular review meeting at the conclusion of each review or agree a series of review meetings in advance.

The 'agenda' for the meeting will consist of items which either party wish to raise in the context of the staff member's role, performance or development. The focus of the discussion will concern:-

the general performance of the staff member, as it relates to the job description and the associated standard of performance ;
progress made towards previously agreed personal objectives, whether performance related or developmental;
whether agreed objectives require to be altered following changing circumstances and/or operational needs.
progress made towards meeting training needs as they arise; and
the staff member's role in relation to changing section and School/RI/Service needs.

Review Feedback

Review Feedback
Feedback at the formal review meeting and throughout the year is key to the member of staff understanding their strengths and identifying areas for development.

Specific rather than general
Change is facilitated when expectations are clearly described, there is a focus on the issue and positive feedback is specific.

Manageable
Feedback relating to an identifiable action will be more productive. The focus should be on past and potential future action.

Immediate rather than delayed
Timely feedback, immediately following an incident will allow for learning to occur. When feedback, particularly negative feedback, is only presented at the formal review meeting, staff members may feel overwhelmed and resentful, and may well challenge the basis of the information.

Positive as well as negative
It is important to balance any negative comment with constructive and positive advice and information. Supportive coaching and/or access to other help or developmental activities to meet the agreed objectives documented on the development plan is an integral part of the developmental process.

Negotiated
Feedback and subsequent discussions may lead to the adjustment of the previously agreed objectives when circumstances change or if resources are not available.

Able to be Validated
A work diary or other notes of informal feedback are valuable references, particularly if aspects of performance need to be validated during the formal performance and development review meeting. Accuracy and directness is essential. Additionally, notes of other circumstances such as illness or prolonged periods of leave affecting the achievement of the agreed performance criteria can contribute to the discussion.

Follow-Up Action

Further Action Intended:
Both parties have a responsibility to follow up the formal performance and development review meeting. As a first step, follow up should comprise written documentation (the relevant Performance and Development Review form) detailing the outcome of the meeting and any further action intended. The report may include extra development activities, additional experience in a certain work area, and modification of the standard of performance, where necessary. The reviewer should sign the form indicating their acceptance of the accuracy of the record. Reviewees should also sign the form confirming accuracy once the completed form is scheduled to be returned. For grades 1-9 best practice is to return the completed performance review form within 4-6 weeks at the latest following the review meeting.

All staff up to Grade 9 will be informed of the outcome of the relevant performance assessment level after it has been noted by the relevant Head of School/RI/Service or Head of College where appropriate. For Grade 10 staff, the outcome of the review meeting will be moderated by their College/US Management Groups and the Board of Review to ensure standards have been applied consistently; following which Grade 10 staff will be informed of the outcome via the line management structure and formal notification from the Principal.

Line Manager Monitoring:
It is the role of both the staff member and his/her line manager to see that the required action is carried out. Where there has been a disagreement about the performance and development review assessment, or where the staff member has taken exception to the performance feedback, the line manager and the staff member should take the opportunity to discuss the matter to address any longer term concerns.

Performance Assessment Levels

The allocation of an overall performance assessment level to members of staff within Grade 6 – 10 of the Research and Teaching job family should be considered and informed by the metrics applicable to the relevant College Professorial Zone Descriptors for professors and the Academic Promotion level for all other academic staff on Grade 6 – 9 inclusive.

Outstanding Performance:

Where outstanding performance within the role is identified, the Head of School/ Director of Research Institute/ Service will consider whether it is appropriate to make a managerial recommendation for any individual member of staff for Recognition & Reward.

High Quality Performance:

Where high quality performance within the role is identified, staff members and/or their line manager may consider whether it is appropriate to apply for Recognition & Reward. Staff should be encouraged by their line manager to maintain this level of performance and supported to achieve outstanding performance.

Improved Performance Required:

Highlighting poor performance may cause resistance at both the informal and the formal performance and development review meetings.

Staff should be encouraged to talk freely about their own impressions of their performance. With opportunity for guided reflection, a staff member will often identify and acknowledge shortfalls in meeting the agreed performance criteria. There are a number of reasons that may impact upon performance including:

internal -this may be due to anticipated career track progression and the individual staff member being at a developmental stage or the individual staff member may not have the ability, skill and/or motivation to fully undertake the role.
external –these include situational or environmental factors such as lack of support, inadequate resources, overload, etc.

Where improved performance is required the appropriate line manager should meet with the reviewee to discuss the following:

the areas of underperformance,
ways to address these as appropriate, e.g. a Development Plan
set performance objectives and /or targets with the reviewee with specific time periods for review.

Regular informal feedback sessions should follow with performance monitored on at least a quarterly basis. The purpose is to support the member of staff in reaching the required standard and to avoid formal action. In the event that this approach is unsuccessful and there is consistent and/or serious under-performance over a sustained period, the University’s Competency Procedure should be applied.

5. Managing Performance and Development Review

Confusing performance and development with disciplinary issues

It is important that staff are managed in a fair and consistent manner and that concerns over the performance of a staff member are dealt with promptly by the line manager as and when they arise. A line manager should not wait until the next regular informal or formal performance and development review meeting to raise matters of serious concern. Similarly, staff members should not hesitate to raise with their line managers matters regarding performance or development at the earliest appropriate opportunity.

Where performance falls below an acceptable standard and efforts to improve the performance of the staff member using this review process have been unsuccessful, the matter should be addressed using the formal stages of the appropriate University Procedures, as stated above. Matters which properly fall to be considered under the University's Discipline or Grievance Procedures should not be raised at regular or formal review meetings. Guidance on the application of relevant University procedures is available from your College/Service HR team.

Sources of information for Performance and Development

Good performance and development review takes into account information on results and publications, feedback from clients, customers, and, if appropriate, students and does not rely on only one source of information.

Managing the Performance and Development Process

Where line managers have responsibility for a large number of staff, conducting review sessions to monitor progress throughout the year culminating in formal performance and development review meetings will create workload issues if not planned carefully. It is, therefore, key that the conduct of Performance and Development Review on an annual basis, including informal review meetings, is assigned to the relevant manager in the line management structure, delegating where appropriate.

Determining Performance Standards and Objective Setting in Performance and Development

A job description or a workload plan should not be considered in isolation from the Role Profiles/Academic Promotion levels/Professorial Zone Descriptors, or indeed, last year’s Performance and Development Review summary review form. Objective setting should include both a detailed statement of objectives appropriate for the priorities for the year ahead and acceptable performance criteria for meeting those objectives.

Significance of Continuous Review

Ongoing feedback should be standard practice and staff members should be able to have regular conversations about their performance objectives, not only at the time of the annual performance and development review meeting, but throughout the year. This will enable continuation of performance standards and both parties’ expectations should be met.

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