Leadership - Managing Performance HOW TO GUIDE. for Academic & Support Staff with Leadership / Management Roles

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1 Leadership - Managing Performance HOW TO GUIDE for Academic & Support Staff with Leadership / Management Roles Introduction The purpose of the How To Guide 2 Why managing performance is important for those in leadership and management roles at Cardiff University 2 Practical tips for managing performance Linking the institution s goals with the work of the individual 3 Practical guidelines on managing performance - good equality and diversity practice 4 Cardiff University weblinks to support managing performance 5 Leadership in Action (managing performance) - Self Assessment Tool 6 School / Directorate Induction Checklist 7 APPENDIX Overview Cardiff University policy, procedures & support for managing performance 10 Induction 10 Probation 11 Annual Appraisal 12 Finding out more a selection of external weblinks on performance management 15 Introduction the purpose of the How To Guide

2 The Leadership How To guides are primarily aimed at helping with the leadership and management, both of individuals and teams. The guidelines can be of use when leading people from any category of staff. The objectives of these guides are threefold: 1. To offer guidance on how to get the best out of existing Cardiff University HR policies and procedures. 2. To suggest information and sources of further support, both within the University and external to it that can be of use to the leader. 3. To offer practical tips on key areas of good practice in human resource management and leadership. There are three How To guides that support leadership and management. These are: Communicating Effectively Managing Performance Leadership Essentials Developing People Each guide is complete in itself, but together they provide a useful range human resource management practice tailored for those in leadership roles within the University. Why the managing performance is important for those in leadership and management roles at Cardiff University Competent performance management ensures that the institution derives the best value for money out of resources available and co-ordinates activities effectively so that research; learning and teaching as well as third mission outcomes are achieved. Good leadership motivates teams as well as individuals to perform and to continuously improve their performance so that the University s goals are achieved and its reputation enhanced. A performance management system is an important and necessary tool to: enable efficient and effective use of the talents and capabilities of people; help recognise people who are performing well, so that they can be kept motivated and the University retains them; identify inadequate performance early so that the people involved can be developed, supported or guided to improve their performance. ensure people understand and appreciate how the work they do contributes to the overall performance of the School / Directorate. 2

3 Practical tips for managing performance Linking the goals of the institution with the work of the individual The foundation of the work of every individual in the institution must ultimately be the University s strategic plan. This links the institution s vision and the vision of each individual School / Directorate as laid out in its operational plan. In this way everyone can move from an understanding of What are we here for to a personal understanding and acceptance of What am I here for? How am I doing? Performance Review Annual Appraisal What must I achieve in the short to medium term? Performance Objectives Probation or Annual Appraisal What am I here for? Job Role Induction & Probation What are we here for? School / Directorate s Vision School / Directorate s Operational Plan What are we here for? University s Vision University Strategic Plan The policies and procedures of the Cardiff University performance management system are there to help those with leadership roles, managing or supervising people extend that linkage further into clear performance objectives wholly relevant to work of the School / Directorate. People need to understand: Their specific job role how their day-to-day work fits into a team, unit, section, department or ultimately the School / Directorate (What am I here for?) - This is covered by the processes of Induction and Probation. Their specific responsibilities to achieve certain performance objectives (What Must I achieve in the short to medium term?) - This is covered by the processes of Probation and Annual Appraisal. Their achievements and deficiencies are (How am I doing?) This is covered through any specific performance review processes as well as Annual Appraisal. 3

4 Practical guidelines on managing performance - good equality and diversity practice Good practice as regards equality and diversity when managing performance means: a. Ensuring all staff have the opportunity to perform their job role competently. This does not mean that everyone must be led, guided and supported in exactly the same way. However, it does mean that everyone must have access to the leadership, guidance and support that is reasonably necessary to perform their work activities effectively. b. Offering encouragement and constructive criticism on the basis of relevant factors related to work tasks and not by reference to race, gender, disability, sexuality, religion, belief, age or any other factor that involves discrimination. c. Addressing unsatisfactory performance with sensitivity to potential underlying factors such as bullying, harassment, previously undisclosed disability or difficulties arising from managing caring responsibilities. d. Promoting a work culture in which staff understand that reports of bullying and harassment and disclosures of disability or other equality-related issue will be managed appropriately and in accordance with the University's Confidentiality Policy. e. Ensuring that all staff have opportunities to offer suggestions, share ideas, and review the way work is done or can be improved within their School / Directorates. This individual approach values the diversity of people within the University community, helps to eliminate potential barriers to continuous improvement of its processes, and contributes to creating an inclusive University culture. It also helps the individual, the School / Directorate and the University to achieve better performance. 4

5 Cardiff University web links to support managing performance The University website offers access to all necessary information, including downloads of documents about: Information for new staff The University vision, aims, strategic plan and structure. Policies and procedures. Frequently asked questions on employment at Cardiff University. Induction and Staff Development. Living and working in Cardiff. Facilities and perks. Probation The information contained in these web pages (link below) relates to the probation policy introduced on the 1st August In recognition of the diversity of roles within the University, there are seven probation schemes in operation. Information on which probation scheme applies is contained within the individual member of staff's contract of employment. Appraisal The Appraisal template documents are on the website and are downloadable. They have been developed in line with good practice and can be adopted by Schools/ Directorates and used in their entirety, or may be adapted and contextualised to meet the specific requirements of each School/ Directorate. Advice and assistance will be available from the Human Resources Directorate to facilitate this process. Staff Development Including: Training. Staff Regrading and Academic Promotions 5

6 Leadership in Action (managing performance) - Self-assessment Tool This is a self-assessment tool to help all people in leadership roles focus on the key actions that other people expect from them in terms of their leadership. The expectation that people have of leaders is that the leader will take the lead role in managing performance. Key actions for Leaders Explaining the significance / value of the individual s responsibilities / tasks to the overall performance of the School / Directorate. Giving clear instructions to people about what work the need to do and, if they need it, guidance on how they are supposed to do it. Talking regularly talk to people, in detail, about the work they are doing, how well they are doing and if necessary what needs to improved or be done differently. When someone does something the wrong way, correcting them constructively and in a professional way. Always giving praise and recognition for work well done. Self-assessment never sometimes often always Showing interest and encouraging people to offer suggestions. Being polite and fair in all dealings with everyone. Actions to improve: (Those that score never or sometimes) What needs to change How to change When by Who can help 6

7 School / Directorate Induction Checklist The aim of induction is to ensure staff have the information they need to settle in quickly to a role and start fulfilling their duties. This checklist should be viewed as a template to guide people who are providing induction, and should of course be adapted to suit the job role, individual, location and circumstances. It is important to note that induction is not only for members of staff who are new to the University, but also for staff that are changing roles within the institution. The Organisational Development Team in Human Resources can provide support to School / Directorates in developing the School / Directorate induction processes. Name School / Directorate Start Date Introduction to the Job Welcome to the School / Directorate Introduction to Head of School / Directorate Job Description/Duties and Responsibilities Role of Section/Department Role of School / Directorate *Role of the University Introduction to colleagues Key contacts within the School / Directorate, across the University and externally Laboratory contacts and procedures (if relevant) Section/Departmental communication structures *University Policies and Strategies *Equality and Diversity *Data Protection and Freedom of Information * Information on topics marked with an asterisk can be found at 7

8 Practicalities Location of work station Location of toilets, refreshments and other work facilities Security access: ID Card, Keys, Out of Hours access Use of telephone functions Network and GroupWise logon Familiarisation with specific School / Directorate software (if appropriate) Familiarisation with the School / Directorate / University web pages Car Parking Local shops, cafés etc Support Services e.g. Occupational Health, Safety, Sport and Trade Unions etc. *Public transport/use of bicycles Manual handling contacts Calendar of events/meetings Mail arrangements Booking of School / Directorate facilities Administration handbook Purchases of consumables *Financial Regulations (Travel & Accommodation Expenses etc) Recycling *Welsh Language * Information on topics marked with an asterisk can be found at Conditions of Service Hours of Work (any arrangements for staggered lunch and breaks) Absence, lateness (who to notify) Sickness (who to notify, by when, where to send certificates etc) Overtime/Shift arrangements (if any) Contact relevant staff for information on Pensions and superannuation scheme Holiday entitlement (procedures for applying for leave) Change of address (who to notify) HR contact for other conditions of service and relevant polices e.g. Maternity and Paternity, Regrading and Relocation Disability support adjustments and arrangements Occupational Health Screening (if relevant) Health and Safety 8

9 Tour of building University Safety Policy Fire Alarm System Fire Exits Fire evacuation and assembly point Action in event of a fire First aid and accident reporting First Aid Representatives Safety Representatives Manual Handling Training, Appraisal and Probation Scheduling attendance on University Induction Information on appropriate Probation scheme Name of Mentor Date of first Probation meeting Information on appropriate Appraisal scheme Information on Postgraduate Certificate of Undergraduate Teaching and Learning (PCUTL) (if relevant) Internal and External Training opportunities and procedures to attend training 9

10 APPENDIX Cardiff University policies, procedures and support for managing performance The overall purpose in setting up these policies, procedures and support is to encourage: A culture of good inter-personal communication and transparency in the context of being focused on doing worldclass research, offering high quality teaching and supporting staff with the systems and services they need to perform; Fair, simple and transparent documentation, of all aspects of performance monitoring and review; Agreed and communicated straightforward, consistent policies / guidelines for implementation of both performance management and individual development; The development of those who lead, manage or supervise people in methods, techniques and behaviours to manage performance and support individual development; Motivating, fair ways of recognising &/or rewarding good performance as well as guiding and correcting performance problems. To do this Cardiff University gives explicit guidance and offers support to both the staff member and the manager for: Induction The process that assists new people to get to know their School / Directorate and the University. Probation The process that assists new people to get to know their job role, guides their performance and supports their development, so that they can function effectively in that role. Appraisal The process that enables people to have a formal, annual opportunity: to assess their own performance and development; allows leaders and managers an opportunity to discuss these with each individual; and, gives both the opportunity to discuss and agree future performance and development objectives. The processes are outlined below and full detail can be gained through the Human Resources Directorate. The weblink details are above. Induction School / Directorates have the responsibility for inducting new staff on arrival to take up the post. A School / Directorate Induction checklist template is provided in the Appendix. The Human Resources Directorate provides regular University Induction Seminars: Seminars for Academic Staff - A half-day session to give participants an overview of the key issues appropriate to academic staff who are new to the University. These are offered four times per year. The seminar provides information about the University structure, its aims, and how the 10

11 organisation operates. In addition new staff can find out about the systems for, and the requirements of, academic career development, as well as gaining information on the support available to assist them in research development. Seminars for Support Staff - A half-day session is to welcome new members of staff to Cardiff University and to introduce those present to the wider aspects of University life. These seminars are usually offered every month. Topics covered include: The University s mission and objectives; facilities and opportunities with the University; staff development opportunities. There is also an opportunity to discuss issues arising from the contract of employment. Probation Probation is a positive, two-way process designed to assist an individual in integrating into a new role, with emphasis on support and development. The need to develop all staff to allow them to meet their full potential and make a valued contribution to the institution as a whole is recognised. The University views the probation and development review as a positive process designed to assist an individual in integrating into a new role. The University has developed appropriate probation schemes to recognise the diversity of roles within the Institution. Objectives of the Scheme: to agree and monitor clear, relevant and measurable objectives for the role; to provide regular feedback on performance; to ensure that all staff are given the support and the opportunity to maximise their potential and to achieve success in carrying out their duties to the required standard; to identify training and development needs in line with the aims and objectives of the School / Directorate and the University as a whole ; to ensure effective communication between all parties involved in the Scheme. Roles and Responsibilities The Individual: participates fully in the appropriate Scheme; attends all meetings, as required, in support of the Scheme; completes and maintains copies of all paperwork regarding their probation. 11

12 The Probation Review Manager (Head of School / Directorate or nominee): ensures adherence to the Scheme; ensures that induction forms a fundamental part of the probationary process ; communicates with the probationer throughout the probationary period, giving open and constructive feedback on performance; agrees training and development needs. The Head of School / Directorate: ensures the effective implementation of the Scheme within the School / Directorate including reviews of its operation; authorises and approve the resources for training and development needs identified. The Human Resources Directorate: provides advice to both the Heads of School / Directorate and the individuals involved in the Scheme ; manages, monitors and evaluates the effectiveness of the Scheme; provides scheme documentation; provide appropriate training and development for everyone involved in the Scheme advises Probationers of progress and decisions in respect of the Scheme. Annual Appraisal The Cardiff University Appraisal Scheme is a flexible enabling framework which can be adapted and contextualised to meet the functional needs of different roles and the requirements of School / Directorates at Cardiff University. Appraisal provides an opportunity for an open discussion, which reviews both performance and development, whilst also providing an opportunity for those involved to plan ahead for the coming year and can be integrated where appropriate into the existing School / Directorate s developmental/monitoring activities. Appraisal should be part of a regular constructive feedback process. The appraisal meeting is an annual event and is mandatory for all members of staff who have completed the Probation period or the development review for specified Senior Academic staff. Objectives of Appraisal to review performance annually and to provide a formal context for feedback; to support career development and help identify individual training and development needs consistent with University aims and objectives; to identify organisational and other factors which may have a bearing on the future objectives of the individual and their priorities; to determine clear, relevant, and measurable objectives for the individual appropriate to the short, medium and longer term; to agree clear action plans in support of the aims of the University. 12

13 Roles and Responsibilities The role of the Appraisee is: to participate in the appraisal on an annual basis; to complete the appropriate paperwork and prepare for the appraisal meeting; to provide the Appraiser with the relevant paperwork in advance of the appraisal meeting as outlined in this policy; to participate in appropriate appraisal training. The Appraiser will be the line manager/supervisor or another individual designated by the Head of School/Directorate or other relevant area Head. The role of the Appraiser is: to ensure adherence to the operation of the annual Appraisal Scheme as outlined in this policy; to prepare for the Appraisal meeting in advance; to review the performance and development activities of the Appraisee against previously agreed objectives; to plan and agree the work and development objectives to be achieved during the forthcoming year; to forward the Appraisee s training and development plan to the Head of School/Directorate or other relevant area Head; to participate in appropriate appraisal training. The Head of School / Directorate: to ensure the effective implementation of an Annual Appraisal Scheme within the School/Directorate in line with the principles of the framework outlined in this document; to undertake appraisals where appropriate, and to designate appropriate Appraisers to members of staff within the Schools/Directorates in line with this agreed policy (see Selecting an Appraiser); the Head of School / Directorate, or an appointed nominee, will notify new and existing members of staff of their Appraiser. For consistency, staff who have recently completed probation will be appraised by their probationary review manager; to facilitate, where appropriate, the organisation of the pre and post appraisal meeting/s of all Appraisers within the School/Directorate. The purpose of these meetings is to facilitate the discussion of key issues, priorities and themes that should be addressed both prior to and following the completion of all appraisals; to monitor the appraisal process within the School/Directorate and complete and return the appropriate Appraisal Monitoring Form to the Human Resources Directorate; to produce a summary Training and Development Plan for the School / Directorate. 13

14 The Human Resources Directorate: provides advice to both the Heads of School / Directorate and the individuals involved in Annual Appraisal ; manages, monitors and evaluates the effectiveness of the Annual Appraisal process; provides guidance and templates for documentation; provide appropriate training and development for everyone involved in Annual Appraisal; advises all staff of progress and decisions in respect of the process. 14

15 External web links PERFORMANCE MANAGEMENT Advisory, Conciliation and Arbitration Service (ACAS) This website outlines workplace legislation in such areas as disciplinary procedures, rights at work and equality. Bacal and Associates The site, from Bacal and Associates, offers useful links and information on performance management and appraisal. Free Management Library The Management Assistance Program (MAP) hosts this free site. It provides a large amount of introductory information on many management topics, including performance management, developed by Carter McNamara of Authenticity Consulting. Harvard Business School Publishing Although the official site of Harvard Business School Publishing charges for most of its articles, it remains one of the best sources of cutting-edge performance management thinking on the Web. The Balanced Scorecard Collaborative Founded by Kaplan and Norton, the creators of the world-famous Balanced Scorecard, this site provides a comprehensive guide to current thinking on the revolutionary performance measurement system. LEADERSHIP Leader to Leader Institute The Peter F. Drucker Foundation for Non-profit Management site is a mine of information and provides other useful links on leadership and management. Leadership Research Center This forum on leadership provides up-to-date articles as well as hosting surveys and discussion forums on the subject. 15

16 Center for Leadership and Change Management The Center for Leadership and Change Management is an independently managed website of the Wharton School at the University of Pennsylvania. It provides further reading material and links on the topic of leadership. Strengthening Leadership in the Public Sector Here you can download a copy of the highly informative 2001 report by the Performance and Innovation Unit entitled: Strengthening Leadership in the Public Sector: a research study by the PIU. 16