Leading and Managing in LSBU · 2015-04-23 · Managing the performance and development of our senior managers is central to our institutional success. It helps senior managers identify

Leading and Managing in LSBU

Guidelines on the Senior Managers’ Performance and Development Review Process

Human Resources Department, September 2006 Amended and as agreed by the Senior Management Team 30 June 2008 Amended and as agreed by the Senior Management Team June 2009 Amended and as agreed by the Executive June 2011

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Contents SECTION 1 - AN INTRODUCTION TO THE SENIOR MANAGERS’ PERFORMANCE AND DEVELOPMENT REVIEW PROCESS ............................................................................................ 3

What is the Senior Managers’ Performance and Development Review Process and Why is it Important? ................ 3

SECTION 2 - HOW THE PROCESS WORKS ................................................................................. 4

2.1 The Key Features............................................................................................................................................... 4

2.2 The Process in Action – The Senior Managers’ Performance and Development Review Cycle ....................... 4

2.3 The Importance of Preparation......................................................................................................................... 5

2.4 Preparation – Hints and Tips ................................................................................................................................... 6

SECTION 3 - THE PROCESS FURTHER DEFINED ...................................................................... 7

3.1 Planning What Needs To Be Done – Identifying Objectives based on Key Job ...................................................... 7

Requirements and Responsibilities............................................................................................................................... 7

3.2 Agreeing What Needs To Be Achieved – Defining Key Performance Indicators (KPIs) .......................................... 7

3.3 Planning for Success - Setting Personal Professional Development Objectives ..................................................... 8

3.4 Formalising The Way Ahead – Recording Objectives.............................................................................................. 8

SECTION 4 - THE PERFORMANCE DEVELOPMENT REVIEW .................................................... 9

4.1 The Performance and Development Review Meeting............................................................................................ 9

4.2 Part 1: Achievement over the Past Year ................................................................................................................. 9

4.3 Part 2: Action Planning by Setting Objectives and KPIs for the Next Year............................................................ 10

4.4 Part 3: Management Standards and Personal Professional Development Plans ................................................. 10

4.5 Part 4: Performance Rating and Completion of Documents ................................................................................ 11

SECTION 5 - APPENDICES.......................................................................................................... 13

Appendix i – Moderation Process ........................................................................................................................... 13

Appendix ii - Performance Ratings Definitions ....................................................................................................... 15

Appendix iii - Examples of Job Objectives and Key Performance Indicators .......................................................... 17

Appendix iv - LSBU Management Standards (Key Role Skills): Definitions ............................................................ 21

Appendix v - Examples of Personal Development Objectives and Key Performance Indicators ............................ 23

Appendix vi - Linking Pay to Performance .............................................................................................................. 26

Appendix vii - Appeal Against Performance Rating Process ................................................................................... 30

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SECTION 1 - AN INTRODUCTION TO THE SENIOR MANAGERS’ PERFORMANCE AND DEVELOPMENT REVIEW PROCESS

What is the Senior Managers’ Performance and Development Review Process and Why is it Important?

The Senior Managers’ Performance and Development Review Process is the formal means by which an individual senior manager’s performance and abilities, both existing and potential, are linked to LSBU’s corporate plans, as well as to faculty or departmental business plans. Its usefulness can be enhanced by having less formal quarterly reviews of progress and regular one to ones.

Managing the performance and development of our senior managers is central to our institutional success. It helps senior managers identify how they can best contribute to the success of LSBU and to the achievement of its key strategies, and hence to their own personal success. It gives the University an objective basis for recognising and rewarding senior managers’ contribution, and for planning their future development.

It means making it clear to everybody exactly what is expected of him/her in his/her job. It means having clearly defined job descriptions and annual objectives against which performance can be accurately measured, and by which short and long term training and development needs can be more precisely identified and actioned.

The Senior Managers’ Performance and Development Review Process is concerned with continuous improvement. Its aim is to:

Develop the skills and abilities of managers critical to the success of the organisation, as

well as to the individual, and thus to continuously improve performance;

Provide more focused guidance for individuals on how to continuously improve;

Provide the opportunity for formal discussions on performance and on current and future development needs: a Personal Professional Development Plan (PDP) should be agreed.

The process seeks to provide LSBU with improved information about the abilities and potential of its managers to facilitate succession planning, career development, and to identify accurately education, training and development requirements. It provides a structured framework to focus the resources and activities of managers on achieving our key corporate objectives. Finally, it can be used as a mechanism to identify and reward achievement and contribution.

How the Performance and Development Review Process is to be used to reward such achievement and contribution by linking pay to performance is contained in Appendix vi of the Senior Managers’ Performance and Development Review Process Documentation.

The process has been designed to be two-way. Its effectiveness depends on the commitment and participation of all parties involved.

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2.1 The Key Features

SECTION 2 - HOW THE PROCESS WORKS

Review of Performance and Development

The aim of the Performance and Development Review Process is to summarise performance throughout the year, and to rate achievements in relation to annual objectives, based on key job requirements and responsibilities, as well as any additional contribution.

The review also looks forward to identify key objectives, based on key job requirements and responsibilities, for the coming year, as well as to consider personal aspirations and possible suitable positions over the longer term. In this way it focuses on continuous performance improvement, and areas for personal professional development in the medium and longer term. This enables a Personal Professional Development Plan (PDP), using assessment against management standards, to be drawn up.

2.2 The Process in Action – The Senior Managers’ Performance and Development Review Cycle

The Managers’ Performance and Development Review Process aligns objectives, based on key job requirements and responsibilities, of each senior manager with annual faculty and departmental business plans, which in turn support the achievement of LSBU’s corporate plan.

LSBU’s CORPORATE PLAN

FACULTY AND SUPPORT DEPARMENT

ANNUAL BUSINESS PLANS

INDIVIDUAL MANAGER’S JOB RESPONSIBILITES AND ANNUAL OBJECTIVES

INFORMAL QUARTERLY MEETINGS AND ONE TO ONES

PERFORMANCE AND DEVELOPMENT REVIEW

Part 1

Performance in relation to annual objectives, based on key job requirements and responsibilities

Recording of additional achievements

Assessment of performance

Part 2

Objectives, based on key job requirements and responsibilities, for the coming year

Development of management standards

Personal professional development plan

Career aspirations

Part 3 Part 4

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2.3 The Importance of Preparation

The annual Performance and Development Review allows you and your manager to discuss your performance over the previous 12 months, and to plan ahead for the coming year. The best outcomes will be achieved by both of you being open and honest, and the discussion will be all the more worthwhile if both you and your manager have prepared for it well.

Preparation is also vital to ensure the review discussion is factually based, well planned and beneficial to both parties. A date for your review meeting is set between you and your manager at least a month in advance. At that stage you should both start to prepare by reviewing your performance against objectives, based on key job requirements and responsibilities, established at the start of the performance year, taking into account any modifications made during the year at quarterly reviews, one to ones or other discussions.

To gain maximum benefit, you need to think about all aspects of your performance and focus on both your achievements and personal successes, as well as areas for improvement, including any points raised in informal reviews. Consider what performance rating you deserve. Consider, also, performance in relation to technical / professional skills which may need to be further enhanced. Evaluate what further development you may need.

At the same time your manager will be considering your achievements and provisionally assessing what your rating of performance should be, although no performance rating should be confirmed until after the moderation process has been completed. Your manager will also be considering what skills or experience require further development. Where a job has a dual reporting line, i.e. line and functional manager, it will be necessary for the 2 managers to discuss your performance before the review meeting takes place.

You and your manager should prepare for the review meeting in a structured way by referring to the Performance and Development Review Form, and by using a copy of it to make draft preparatory notes. Following the sequence of the form will help focus your thinking on the key aspects to be covered in the review, and will mirror the structure of the discussion itself. Two weeks before the review meeting, you and your manager should exchange copies of your draft completed forms. This information will help you both to focus on the key aspects of the discussion and will make it all the more meaningful and objective. Some of you may prefer to complete the PDP at a follow up meeting.

Both of you should schedule adequate time for the meeting/s, free from interruptions. Even though you will both have prepared thoroughly, it is likely that 1 to 2 hours will be required.

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2.4 Preparation – Hints and Tips

In considering all aspects of performance, it is vital to concentrate on fact and not opinion, on what was achieved, demonstrated and observed rather than what was expected and perceived.

In order to do this successfully and equitably, judgements on performance in all areas should be based on actual examples and evidence of performance demonstrated throughout the year. It is therefore paramount that both you and your manager gather these examples on an ongoing basis from the beginning of the year. Quarterly reviews and regular one to ones should aid this.

Likely sources of information to help you in your preparation might include:

File notes;

Locally designed performance logs, diaries etc.;

Examples of demonstrated behaviour observed or commented on by others;

Performance and Development Reviews (if you have reported to another manager over the last 12 months);

Quarterly, one to one and other informal reviews;

Input from other managers, peers or colleagues;

Letters from internal/external customers;

Management information.

All these sources of information can be factors to take into account in the assessment of performance. Reading these examples, whilst preparing for the Performance and Development Review, will refresh the memory, and will help in reaching an accurate, balanced and fair assessment.

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SECTION 3 - THE PROCESS FURTHER DEFINED 3.1 Planning What Needs To Be Done – Identifying Objectives based on Key Job

Requirements and Responsibilities

Each July, following completion of the University’s annual corporate planning and budgeting process, and when faculty and departmental business plans have been formulated and agreed, individuals’ objectives, based on key job requirements and responsibilities, for the upcoming year are set. This should be done as the forward planning of the individual’s Performance and Development Review. In this way the performance expectations are clearly defined, articulated, and understood, as early as possible.

Job descriptions are key to the process and they will need to be checked for currentness. If significant changes are needed these should be advised to the Human Resources Department and re-evaluation under the HERA job evaluation process considered. Objectives need to align with up to date job descriptions, so if roles have changed job objectives may also need to be reviewed. Achievement against job responsibilities as detailed in job descriptions may also need to be assessed where job objectives are limited or where there are no previous objectives against which to measure, such as for new joiners or role changers.

Unless an individual’s role changes significantly, the key job responsibilities should not alter significantly year on year. However objectives and KPIs should be redefined on an annual basis.

In developing your objectives, you and your manager should consider the SMART criteria, and ensure that they are:

Specific A clear, unambiguous statement of requirements.

Measurable In terms of quantity, quality, time and cost.

Achievable By the post holder in relation to the job.

Relevant To your job, to your manager’s objectives and to LSBU’s overall business goals.

Timely By providing timescales for completion.

The first step in objective setting is to identify the priority areas of your unit’s plan that affects your role, and on which performance and outcomes will be assessed. These priority areas will be arrived at by looking at the job as a whole, recognising that some objectives may be achievable in the short term, for example during the first half of the year, whilst others will be ongoing throughout the whole of the year. In some instances, objectives may continue into the next year.

Finally, it is important to remember that too many objectives might confuse and hinder success. As a guide, 3-6 measurable objectives should be enough to enable the individual to measurably improve.

3.2 Agreeing What Needs To Be Achieved – Defining Key Performance Indicators (KPIs)

There are likely to be several outcomes required for each objective. These outcomes are referred to as KPIs and they should clearly describe how well an outcome should be accomplished.

KPIs describe the end results, or outcomes, in terms of quantity and quality. KPIs allow you to track the achievement of objectives against standards that are pre-determined.

Examples that show the relationship between objectives (what needs to be done), and associated KPIs (what needs to be achieved), are contained in Appendix iii of the Senior Managers’ Performance and Development Review Process Documentation.

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3.3 Planning for Success - Setting Personal Professional Development Objectives

In addition to the business oriented objectives, you should also have personal professional development objectives, which will address any gaps in skills, knowledge or experience, and thus focus you on achieving your job responsibilities and objectives. They form the basis of your personal professional development plan (PDP). To produce the PDP you should identify what you need. Are there gaps in core role and other skills, knowledge or experience?

Once your gaps are identified, you should build them into your own PDP. It is recommended that no more than 6 are identified.

The aim should be to specify the change/improvement sought by each personal and professional development objective, to plan how that might be achieved, and to indicate a KPI and timescales.

Examples that show the relationship between personal professional development objectives (what needs to be done), and KPIs (what needs to be achieved), are contained in Appendix v of the Senior Managers’ Performance and Development Review Process Documentation.

Who is going to take action?

You will have the primary responsibility for your own performance improvement and development. Your manager will take responsibility for supporting you to undertake any appropriate internal or external training and development programmes, and may, in addition, take other actions to support your development.

There will be further opportunities for you to discuss your own training and development plan at quarterly, one to one and informal reviews you may have during the year. It is important, however, that you have a clear understanding of your areas for self development at the start of the performance year. Addressing these will assist the achievement of your job responsibilities and objectives.

Your personal professional development objectives will, of course, be subject to review and amendment along with your job objectives. Your performance against these will form a part of your annual Performance and Development Review meeting.

A PDP is not only for the effective performer. For the individual who is not yet achieving ‘Effective Performance’ it is essential to include any retraining or additional training requirements. This will detail the standard of performance expected.

3.4 Formalising The Way Ahead – Recording Objectives

Once drafted, all objectives, both job and personal development related, complete with KPIs, will be discussed between you and your manager and amended if necessary, prior to finalising them. These should be recorded in the relevant section of the Managers’ Performance and Development Review Form or on a separate attached sheet.

The Performance and Development Review Process should not be regarded as a set of rigid procedures and forms. The main thing is that you should have a clear understanding of the basis on which your effectiveness will be reviewed at the end of the year. Performance in relation to objectives should be regularly reviewed quarterly and during one to ones and, if necessary, revised to take account of changed business priorities or resource allocation.

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SECTION 4 - THE PERFORMANCE DEVELOPMENT REVIEW

4.1 The Performance and Development Review Meeting

It is important to remember that the Performance and Development Review is a discussion in which information is exchanged, views and assessments are discussed, and agreement on outcomes arrived at. It is not a one sided evaluation. Both you and your manager need to hear the comments, assessments and observations of each other. Both of you have a responsibility to make this happen.

The success of the whole process hinges on the co-operation, discussion and agreement established at such meetings.

In essence the review meeting consists of 4 parts that will be summarised on the Performance and Development Review Form.

Part 1 - Achievement of Objectives and Additional Contribution Over The Past Year Part 2 - Action Planning and Setting Objectives and KPIs For The Next Year Part 3 - Review of Core Role Skills and PDP and New PDP For The Coming Year Part 4 - Rating of Performance and Completion of Documents

4.2 Part 1: Achievement over the Past Year

Job Requirements, Objectives and KPIs

Achievement of job requirements and objectives set at the previous review should now be considered. Evidence should be included and an assessment, as to whether objectives have been achieved or not, recorded.

Additional Contribution/Achievements

This provides the opportunity to refer to any other achievements, over and above those required in relation to your job responsibilities and objectives that have enabled you to demonstrate additional contribution over the year.

These should be taken into account in terms of overall performance, and should be reviewed in the light of their impact and overall contribution. Judgement needs to be applied as to whether they led to achievement of what was required generally, or to over achievement. These achievements may have demonstrated a range of skills, knowledge or experience which might otherwise have gone unnoticed.

Assessment of Performance and Provisional Rating

Part of the review process is to assess performance of an individual’s achievement in all outputs of the role, and in the overall contribution made.

There is no ready formula or numerical equation for deciding on the appropriate performance rating.

The rating should be consistent with the specific assessments made on the different aspects of performance highlighted above;

The rating must reflect overall judgement of performance.

The basis for the overall rating will primarily be your own achievements in relation to your job objectives and your overall contribution. Consideration will also be given to external factors that may influence the University’s and your own overall performance.

Your manager will take into account the points raised in the review discussion before deciding on a provisional overall performance rating reflecting the achievements over the past 12 month period.

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He/she will also discuss this rating at a moderation panel which will take place before any ratings are confirmed. Whilst it will remain the manager’s responsibility to decide on the final rating, the moderation process will offer the opportunity for feedback, views and opinions from other senior managers to be taken into account. It will also facilitate consistency in performance ratings. Details of the moderation process are at Appendix i of the Senior Managers’ Performance and Development Review Process Documentation.

LSBU’s performance ratings are categorised under four headings: (O) Outstanding; (E) Effective; (D) Developing (U) Underperformance.

Detailed descriptions of performance ratings are contained in the performance rating definitions in Appendix ii of the Managers’ Performance and Development Review Process Documentation Pack.

Provisional ratings may be discussed at the review meeting, but will only be confirmed once the moderation process is complete and recorded in part 4 of the Senior Managers’ Performance and Development Review Form .

4.3 Part 2: Action Planning by Setting Objectives and KPIs for the Next Year

The purpose of planning is to indicate objectives with corresponding KPIs that will be required in the role for the coming year. How to agree and set such objectives is covered in detail in section 4 above and examples are contained in Appendix iii of the Senior Managers’ Performance and Development Review Process Documentation.

4.4 Part 3: Management Standards and Personal Professional Development Plans

Management Standards (Key Role Skills or Competencies)

Now achievement of management standards or key skills for your senior management role needs to be considered. Effective job performance is strongly influenced by the application of such key skills. This is an important analysis as the basis of future planning, performance improvement, and development of potential.

LSBU’s standards for senior management posts are as follows:

Commercial orientation (CO);

Communication (CM);

Complex analytical reasoning (CR);

Customer service excellence (CS);

Decision making (DM);

Initiative (IN);

Leadership effectiveness (LE);

Management effectiveness (ME);

Teamwork (TW).

The full definitions are contained in Appendix iv of the Senior Managers’ Performance and Development Review Process Documentation.

In relation to each of these standards, think realistically about the level you have demonstrated in each category. Pick out two or three standards in which you have excelled during the past year and two or three where you need further development and record examples that show how you have come to that assessment in the ‘self assessment’ box on the Performance and Development Review Form. Identifying your strengths and skills gaps will in turn feed into action planning for the next year later in the review discussion.

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Personal Professional Development Plans (PDPs)

The Personal Professional Development Planning section of the discussion focuses on all the elements of performance so far, the job requirements for the coming year, the current level of skills, knowledge and experience, and takes into account areas identified for further development. A review of the previous year’s plan will also identify any actions not fulfilled or completed that may be relevant to include in the plan for the coming year.

A comparison of these factors will highlight both immediate and medium term development requirements. The actions in the PDP should be geared accordingly; some will need to be implemented immediately, others over the course of the year.

Some of the actions to help improve or enhance performance could include:

Specific learning, training or development programmes;

Coaching or mentoring;

Increasing experience in a particular area or job shadowing;

Specific projects to build on and enhance current capabilities.

For each learning development goal, the desired action and outcome should be specified, a timescale should be agreed, and a person assigned as responsible.

How to set such objectives is detailed in section 4 and examples are contained in Appendix v of the Senior Managers’ Performance and Development Review Process Documentation.

Another aspect of personal development planning is a consideration of development over the longer term in line with the individual’s career aspirations and of possible suitable positions.

Career Aspirations

It may be that the individual aspires to greater responsibilities in a larger role in the future. In some instances this will be realistic, in others not. On the other hand the individual may be keen to expand his/her range of skills and experience, but does not necessarily aspire to a role with greater demands.

During the discussion it may be helpful to consider the following:

Where do the individual’s interests lie?

What does he/she value the most, and what gives the greatest and least satisfaction?

What career route might be suitable? This may be in an area in which he/she is currently

working, or it may be elsewhere;

Is the working environment a consideration?

Has working on one’s own or as part of a team greater appeal?

Next Steps

In considering suitable positions in the future, it is important to take into account all aspects of the assessments and judgements made so far, and to note down the next steps to achieve, for example, any suitable positions that may become available. Lateral moves should also be actively considered as they provide opportunities for broadening skills, knowledge and experience.

It may also be possible that an individual is thinking about retirement or a change of career direction and this should be discussed at the review in terms of both individual and succession planning needs.

4.5 Part 4: Performance Rating and Completion of Documents

Following the review meeting, parts 1 – 3 of the Performance and Development Review Form is completed, recording the outcomes. The original of the form is retained by the reviewer and a copy is sent to the reviewee within a week of the review meeting. A provisional performance rating may be indicated by the reviewer in the form at this stage, but the rating is not to be confirmed until after the moderation process has been completed.

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Once the moderation process takes place, the reviewer completes part 4 the original form to include the final performance rating and sends it to the reviewee within one week of moderation. Where there are issues arising out the of performance rating, the reviewer will discuss these with the reviewee. Any areas of disagreement should also be recorded. The reviewee then completes part 4 of the form and sends it to the countersigning manager (the reviewer’s line manager).

Any recorded disagreements should be reviewed by the countersigning manager. If these relate to the overall performance rating and remain unresolved, the reviewee may appeal in accordance with the Appeal Against Performance Rating process contained in Appendix vii of the Senior Managers’ Performance and Development Review Process Documentation.

The review form is then signed by the countersigning manager and forwarded to Human Resources, copied to the reviewer and reviewee.

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SECTION 5 - APPENDICES

The Senior Managers’ Performance and Development Review Process

Documentation Pack

Appendix i – Moderation Process

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LSBU SENIOR MANAGERS’ PERFORMANCE AND DEVELOPMENT REVIEW PROCESS

Moderation Process

It is important that reviewing managers apply assessment ratings objectively and consistently, and to facilitate this, a moderation process will be applied.

Moderation panels will be set up on an annual basis to review ratings before assessments are finalised. Moderation panels will enable reviewing managers to reflect on, and share with colleagues, the evidence for, and basis of, ratings awarded. They will provide support and guidance to reviewing managers in making assessments; facilitate sharing best practice and experi- ences; and support and test fairness and transparency in the performance review process.

Responsibility and accountability for assessing and rating reviewees will remain with the reviewing manager. Whilst moderation panels will offer views, feedback and opinions on proposed ratings, final decisions will be made by the reviewing manager based on evidence of achievement. Ratings can only be changed as a result of a successful appeal.

Human Resources will be responsible for setting up and determining membership of panels; col- lating and distributing proposed assessments prior to meetings and recording any actions and outcomes. All discussions and opinions expressed at moderation panels will, however, be con- fidential and no formal notes of panels will be recorded.

Moderation panels will normally consist of:

Reviewing managers for the group of staff being reviewed; A manager who is knowledgeable about, or is a ‘customer’ of the group of staff, A manager who is independent of, or ‘external’ to, the group of staff; A member of Human Resources as a facilitator.

Following moderation panels, reviewing managers will confirm performance ratings to individual senior managers. Reviewing managers may discuss ratings with their reviewees prior to moderation panels, but ratings should not be confirmed until after the moderation process has been completed.

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Documentation Pack

Appendix ii - Performance Ratings Definitions

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Performance Ratings Definitions

Outstanding (O)

You are one of a very small number of senior managers who have consistently achieved results well beyond your job responsibilities and objectives and, in so doing, you have exemplified the University’s management standards. You have also demonstrated a proactive approach in delivering additional activities or goals throughout the year.

Your performance stands out as exceptional and has been recognised as such by senior management, customers and stakeholders. It has had a significant impact on achieving the University Corporate Plan and your Faculty/Department Business Plan.

Effective (E)

You have achieved your job responsibilities and objectives in an accomplished manner and, in so doing, have demonstrated the University’s management standards. You have also demonstrated a flexible approach in delivering additional activities and goals you have been required to take on during the year.

Your performance has enhanced the results of your team or department and has contributed to the achievement of University’s Corporate Plan and your Faculty/Department Business Plan.

Developing (D)

You have achieved some but not all of your job responsibilities and objectives and, in so doing, have partially demonstrated the University’s management standards. It is expected that, with development, and in some cases experience in the role, you will achieve effective performance.

Advice and guidance will be given to help you achieve the improvement required. This will include a Development Plan.

Underperformance (U)

You have not consistently achieved your key job responsibilities and objectives, and your performance does not currently meet expected performance standards either in one specific area or generally across the range of your job responsibilities.

Your performance needs to improve to a satisfactory standard and a plan of action to achieve this will be agreed with you.

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Documentation Pack

Appendix iii - Examples of Job Objectives and Key Performance Indicators

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SENIOR MANAGERS’ PERFORMANCE AND DEVELOPMENT REVIEW PROCESS

Example of Objective and Key Performance Indicators

Job Objective

Key Performance Indicators

Become pro-active in respect of IGA activities and raise profile of IGA work within the Faculty

(October to September and ongoing)

Promotion and discussion of IGA activities through attendance at Department

and staff meetings

Review of existing consultancy paper in conjunction with Business Development Officer to establish key Faculty objectives in this area

Development of action plan for presentation to Faculty Executive and then

implementation to achieve key objectives

Creation of Faculty enterprise group to share ideas and offer support and

assistance to those developing IGA work Predicted impact of the above outcomes include:

More informed Faculty/Department dialogue on income

Better support structures for those developing IGAs as part of their career

portfolio

Greater achievement of revenue targets and increase in IGA activity across the Faculty

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Example of Objective and Kay Performance Indicators

Job Objective


Develop and deliver a department/faculty plan that meets organisational strategic aims and priorities, and which ensures utilisation of all available resources

(By August 20--)

Formulation a department/faculty plan in support of LSBU’s overarching corporate plan with key benchmarks for measuring success to include:

Robust operational objectives

Who is responsible for delivery

Target outcomes

Performance indicators

Resource implications

Cascade of high level plan to all staff

Involvement of, and input from managers to ensure their and their teams’ objectives are aligned

Involvement and input from staff to ensure their job descriptions and objectives are in turn supportive of the team, department/faculty, and ultimately the corporate plan

Away days and briefing sessions to ensure ownership and clarity of expectations at all levels

Processes established to monitor performance at regular intervals and to communicate progress

A department/faculty learning and development plan created to identify the key learning interventions required for people to deliver against the department/faculty plan

Individual personal development plans implemented for all staff, and required training and development programmes undertaken and evaluated

Regular reviews of individuals’ performance undertaken

Annual performance and development reviews undertaken, key learning, training and development requirements identified, communicated to the Staff Development Unit, and implemented and evaluated

Predicted impact of the above outcomes include:

A shared vision of the purpose and aims of the organisation and the

department/faculty

Roles linked to, and supportive of the organisation’s mission and strategic priorities

People development strategies and activities clearly linked to the aims and priorities of the organisation

Improved individual, team, departmental and organisational performance

Clarity of expectation

Greater sense of involvement, contribution and being valued

Improved communications, morale and retention;

More focused training and development programmes - ROI;

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Example of Objective and Key Performance Indicators

Job Objective


Increase research grant, IGA, KTP and consultancy income to the Faculty

Advance the status and profile of research of the University and self in area of expertise to international level

Support and enhance teaching and leadership within the Faculty in specialist subject area

Increase EPSRC and other grant income by % by September

Increase consultancy and other research income (such as DEFRA and EU) by % by September

Develop IGA activities and secure X more projects by September

Establish X KTP programmes by September

Publish X books or X chapters by September

Effectively chair X International Research Committees such as X, Y & Z during 09/10

Publish X peer reviewed research papers in international journals such as Y during 09/10 which can be submitted as part of the RAE

Submit and present at X international conferences during 09/10

Supervise X PhD and X MPhil students, including X to completion

Effectively chair the Faculty Research and Enterprise Department Planning Committee and for a further semester in 200-/1-

Teach X hours per week during the 200-/1- academic year and act as

admissions tutor for PhD programmes in X

Become lead member of cross faculty working party to develop a new energy

centre by September

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Documentation Pack

Appendix iv - LSBU Management Standards (Key Role Skills): Definitions

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Management Standards: Definitions

Commercial orientation (CO) Demonstrating an understanding of the products and services supplied by the department/unit. Showing an awareness of, and interest in the external market place, and the financial/profit implications of action taken. Entrepreneurial and able to enhance the University’s reputation in the external market.

Communication (CM) Expressing self clearly, succinctly, effectively and persuasively, verbally, electronically and in writing. Tailoring style and content to different situations, objectives and audiences. Winning commitment of others to a decision or course of action.

Complex analytical reasoning (CR) Comprehending and reasoning with complex data – verbal, visual and numerical – when assessing problems.

Customer service excellence (CS) Understanding internal and external requirements, taking appropriate action to build profitable, long-term relationships based on trust and confidence, and through the commitment of giving quality service based on functional and/or academic excellence.

Decision making (DM) Gathering, validating and objectively analysing relevant information to identify key issues, drawing sound conclusions and making decisions on the appropriate course of action. Being prepared to take a balanced risk and be accountable for the outcome.

Initiative (IN) Showing a preparedness to go beyond the normal constraints, and applies a lateral thinking approach to problem solving. Questioning and challenging the status quo, and introducing new approaches to improve quality and performance.

Leadership effectiveness (LE) Moving others towards a stated goal or objective. Demonstrating high standards of integrity and honesty for others to follow. Leading by example, showing a sense of loyalty and commitment to the organization, its corporate objectives and to the welfare and development of others. Providing a focus and direction for others to follow, motivating and inspiring them to achieve by utilising appropriate interpersonal skills. Influencing others through persuasion and personal example rather than through assertive/authoritarian direction.

Management effectiveness (ME) Scheduling work taking account of relative priorities. Planning, co-ordinating and reviewing the use of multiple resources to achieve corporate goals in a changing environment.

Teamwork (TW) Building and maintaining positive and open working relationships, co-operating and liaising with others to achieve goals. Understanding how teams work best and evaluating motivation and needs of others.

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Documentation Pack

Appendix v - Examples of Personal Development Objectives and Key Performance Indicators

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Example of Personal Development Objective and Key Performance Indicators

Personal Development Objective


To be able to conduct well managed and effective meetings

(November and ongoing)

Meetings scheduled well in advance to ensure

optimum attendance

Objectives for meeting and required outcomes

understood by all attendees

Agenda and comprehensive action minutes produced

and distributed in a timely fashion

All meetings begin and end at the allocated time

Open and structured discussion encouraged and

facilitated

Opportunity and encouragement given to all attendees

to contribute

Each topic concisely summarised and all attendees

aware of their and others’ subsequent actions Predicted impact of the above outcomes include:

Improved communication within team and with other

departments

Effective use of time

Clear understanding of outcomes and actions of

meetings

Effective delivery of objectives of meetings

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Example of Personal Development Objective and Key Performance Indicators

Personal Development Objective


To improve communication and presentation skills required for presentation work delivered outside the Faculty as well as to enhance teaching

(By Xmas)

Attending the advanced Power Point course when next

offered by SDU

Presentation at next Faculty meeting of monthly update

using Power Point

Incorporation of Power Point presentation for appropriate

lecture/tutorial Predicted impact of the above outcomes include:

Demonstrable improvement in use of power point through

presentation at next Faculty meeting

Feedback from students and evaluations that all topics covered clearly and fully at lecture/tutorial aided by power point

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Documentation Pack

Appendix vi - Linking Pay to Performance

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LSBU SENIOR MANAGERS’ PERFORMANCE AND DEVELOPMENT REVIEW

Linking Pay to Performance

This process applies to senior management posts in grades 11 and 12 on the senior management grading structure introduced with effect from 1 August 2007.

The amount and type of pay to be awarded will be determined by two factors:

the overall performance rating (the rating) for the previous performance year, and

the point on the relevant scale that an individual’s substantive salary is on as at

the implementation date (current pay):

1. Performance Rating

The performance rating will be as assessed by the reviewer and recorded in part 4 of the Senior Managers’ Performance and Development Review form for the relevant performance year. Ratings will be subject to a moderation process contained in appendix 1 of the Senior Managers’ Performance and Development Review Process Documentation. The ratings are:

(O) Outstanding;

(E) Effective;

(D) Developing; (U) Underperformance.

2. Current Pay

Grades 11 and 12 have 5 incremental pay points up to the contribution threshold (I) and additional contribution points (CP) above the contribution threshold. A copy of these pay scales (based on salaries as at 1 October 2008) is below. Current pay is the point salary is on the relevant scale for grade 11 or 12 at the implementation date.

3. How Pay will link to Performance

Pay will be determined using these two factors as follows:

RATING: SALARY BELOW

CONTRIBUTION THRESHOLD SALARY AT OR ABOVE CONRIBUTION THRESHOLD

SALARY AT MAXIMUM OF SCALE

O PA + I inc + Bonus PA + CP PA + Bonus

E PA + I inc PA PA

D PA PA PA U Nil Nil Nil

Key:

PA: Pay Award CP: Contribution Point Inc: Increment

Bonus: Amount of bonus to be set by Executive up to a maximum of 3%

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4. The process

The performance review period will follow the University’s planning cycle. Corporate and Faculty/Department business plans are agreed in July. Performance reviews will be undertaken between July and September and annual objectives set for the coming year - October to September.

In September moderation panels will meet. After the moderation process has been completed, review forms, with final performance ratings for the previous performance year October to September, will be forwarded to and signed by the countersigning manager by the beginning of October.

During October the countersigning manager and the Human Resources Department, as necessary, will deal with any issues and appeals against performance ratings, so that a final outcome is available by mid October.

Finalised forms and recommendations will be submitted to Human Resources by mid October.

Where review forms are not completed or where overall ratings are not provided, payment of increments and pay awards will be withheld.

Human Resources will collate and present recommendations relating to pay to the Executive in November, including an estimate of the cost of implementing recommendations and any bonus payments.

The Executive will decide the amount of any bonus to be paid each year up to a maximum amount of 3% of salary (equivalent to one increment).

Staff will be advised of the recommendations approved by the Executive in December each year.

Salary adjustments will be made over the coming pay year as follows:

Annual incremental and contribution increases on the next incremental review date (anniversary of appointment).

Bonuses (one off, non-pensionable) with December salaries.

Pay awards in accordance with agreements made by the Board of Governors and the Vice Chancellor (usually August each year).

‘

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Documentation Pack

Appendix vii - Appeal Against Performance Rating

Process

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Appeal Against Performance Rating Process

Any disagreement in relation to the review process should be recorded on the review form in part 4 ‘Follow Up and Completion of Documents’. In the first instance, the reviewer should try to resolve any disagreement, if appropriate, by meeting with the reviewee. If agreement cannot be reached, this should be recorded by the reviewer on the review form.

If a disagreement relating to the overall performance rating given by the reviewer remains unresolved, then the reviewee may appeal through the Human Resources Department. The appeal will be heard by an Executive member, different from the reviewer or countersigning manager.

The Executive member can overturn a rating on appeal only where there is evidence

that the assessment or scoring has not been fairly or consistently applied.

Human Resources will be responsible for ensuring the appeals process is carried out, including allocating a member of the Executive to consider any appeal, and that any decisions are recorded and implemented. Any queries concerning the appeals process should be referred, in the first instance, to the Human Resources Department.

(Webloaded/05JUNE09/TP)