Probationary Personal Development Planning (PPDP) and the Probation Process. Guidance for Academic Probationers

Transcription

1 Probationary Personal Development Planning (PPDP) and the Probation Process Guidance for Academic Probationers November

2 Probationary Personal Development Planning (PPDP) and the Probation Process Guidance for Academic Probationers 1. Introduction from the Vice-Principal The purpose of probation and probationary personal development planning The PPDP and probation process Setting Objectives Using SMART methodology to set objectives Responsibilities in the PPDP and probation process Assessing Existing Capabilities Designing a support and development plan The Postgraduate Certificate in Academic Practice The role of your mentor Annual reviews and end of probation review Completing probation Early completion of probation Limited Extension of Probation Practice drafting your objectives Further sources of information and online forms Appendix 1: Writing SMART objectives for PPDPs Appendix 2: SMART Objectives Planning Template Teaching Research Administration Other (e.g. clinical activities)

3 1. Introduction from the Vice-Principal Dear Colleague, Congratulations on your recent appointment, and welcome to the University. I am pleased to be able to introduce to you this booklet Probationary Personal Development Planning (PPDP) and the Probation Process: Guidance for Academic Probationers. The booklet contains important information on how to go about preparing agreed objectives for your probation, together with a personal development plan, and explains how your progress towards meeting your objectives will be supported and reviewed throughout your period of probation. Your probation is an important start to your academic career at the University, and should not be seen as a mere paper exercise or formality. Your PPDP is a personalised contract between you and the University in which the expectations and commitments of both parties are clearly set out and agreed a negotiation of the small print of your letter of appointment, if you like. For this reason it is essential that the process is followed diligently and the deadlines for completion of the various stages are met. The booklet and the PPDP and progress review record form pack both clearly set out the stages and responsibilities of the various people involved. As your probation progresses, you, your mentor and your Head of School will add to the information in the PPDP and progress review record pack, enabling you to gradually build up a complete record of your probation. It is important to keep safe copies of both the electronic version and printouts or photocopies of the completed sections, including the record of progress on 'Record of Stages Completed', which contains the signatures indicating that actions have been agreed and recommendations approved. I hope that your probationary period will be a productive and rewarding time for you. If you do have any difficulties relating to the completion of the PPDP, or progress with your objectives or development plan, please do bring these to the attention of your mentor and/or your Head of School immediately, so that they can take prompt action to ensure that your chances of successful completion of probation are not compromised. I wish you every success in your probationary period. Yours, [insert signature] Professor Michael Sheppard Vice-Principal 3

4 2. The purpose of probation and probationary personal development planning Effective probation is beneficial for the career development of new staff, as it provides a period of time during which individuals can learn new skills and gain experience to help them do well in the role to which they have been appointed. Progress reviews during, and at the end of, the probation period allow Heads of School to make fair assessments of the competence of new academic staff members for their post. Probation is not just a paper exercise. The benefits of basing your probation on an agreed Probationer s Personal Development Plan (PPDP) for you, the new member of staff, are: you have agreed objectives to work towards; your support and development needs can be identified and met; dialogue between you and your Head of School is encouraged, so both parties can communicate their expectations within probation, and any difficulties encountered can be discussed; the PPDP provides the basis for constructive feedback on progress towards meeting your objectives; the informal review schedule encourages ongoing support from your appointed mentor. 3. The PPDP and probation process The PPDP and probation process entails; Producing a clear statement of appropriate, agreed objectives for you, the new member of staff on probation; Encouraging formulation of a detailed and practical development plan designed to help you achieve your objectives through the provision of tailored guidance, developmental opportunities, monitoring and evaluation of your ongoing progress. Establishing regular progress review meetings between your mentor and you with brief notes taken and retained by the mentor until the satisfactory completion of probation. In years 1 and 2 of your probation, meetings with your mentor must take place on at least a quarterly basis. In the final year of your probation, meetings must take place at least every six months. Holding annual formal performance development reviews (PDR) with your Head of School to assess and record progress, agree any changes to your original PPDP and plan further measures to assist you in meeting the objectives that have been jointly agreed. 4

5 Key events in the process are: When? Who? What? After interview and University HR Issues letter of Appointment before starting in post department stating length of probation (normally, 3 years); Head of School Allocates a mentor to the probationer Prior to taking up post Probationer Pre-induction activity asks probationer to complete a Short Personal Audit of Teaching and Learning sent in the pre-induction materials Not later than 2 weeks Head of School Allocates probationer a mentor if not already after appointment allocated as part of pre-induction Immediately after Probationer and Series of meetings to formulate draft content of allocation of mentor mentor PPDP. Discussion with mentor of the Short Personal Audit of Teaching and Learning Not later than 6 weeks Probationer and Meeting to jointly agree content of PPDP, sign after appointment Head of School and forward PPDP to Head of College. Not later than 6 weeks Probationer and Optional: discuss development needs and after appointment Not later than 2 months after appointment Year 1 ongoing End of Year 1 Year 2 ongoing End of Year 2 Review Year 3 ongoing At least 2 months before the end of the probationary period Not later than six months after the expiry of probation period POD 1 consultant Head of College Probationer and mentor Probationer and Head of School Probationer and mentor Probationer and mentor Probationer and Head of School Head of College suggested activities Approves PPDP and returns signed copies to College Head of HR, Head of School and the probationer Meetings at least quarterly to review and obtain feedback on progress Formal PDR review meeting and report on progress in Year 1; signed copies retained by Head of College, Head of HR, Head of School and the probationer Meetings at least quarterly to review and obtain feedback on progress Formal PDR review meeting and report on progress in Year 2; signed copies retained by Head of College, Head of HR, Head of School and the probationer Meetings at least every six months to review and obtain feedback on progress Formal PDR review meeting and report on progress; Head of School completes and submits to Head of College an end of probation report recommending Confirmation of Appointment, Limited Extension or Non Confirmation of Appointment; signed copies retained by Head of College, Head of HR, Head of School and the probationer Makes a decision on outcome of probation and communicates this to College Head of HR; Probationer is informed in writing, with copy to Head of School/Department 1 People and Organisational Development 5

6 4. Setting Objectives A key part of developing a PPDP is the setting of agreed objectives for you in your new academic role. In setting objectives the following aspects are important: Participation joint objective setting is far more effective than having objectives imposed; Specificity results are much more effective where the objectives are clear and specific; Challenging challenging (but realistic) objectives are more motivating and help you to achieve your best; Feedback you are likely to make better progress where regular, constructive feedback is provided; Relevance commitment is maximised where objectives are relevant and important to both you and your School. A well formulated PPDP sets out clearly what is expected of all parties involved in your probation. Since a PPDP is not a static document it will almost certainly evolve as progress is made, and objectives should be reviewed at least annually. 4.1 Using SMART methodology to set objectives The usefulness of a PPDP is enhanced by the use of SMART methodology in setting agreed objectives. In other words, PPDP objectives should be: Specific Measurable Precisely what will you do, how, when and with whom? Eg Review and redesign the first year undergraduate ten credit module (name of module) in collaboration with (names/ roles of others); teach the first year undergraduate ten credit module (name of module) to a cohort of approximately 150 students through lectures of one hour per week for 10 weeks during the 2010 autumn semester, and two x one hour small group sessions per week, in collaboration with (names); set and mark assignments etc. Write and submit a research paper on (topic or working title) of approximately 5,000 words to one or more of the following peer-reviewed journals (name target journals), with support from (names) during the planning and drafting stages What measures or success criteria will you use to demonstrate that you have met the required standards? What quantitative measures can you use to show how much you are doing? E.g. numbers of hours taught, numbers of students supervised or tutored; number of papers etc submitted for publication, number of funding applications made for specified amount of money. How can you show that the quality of your work has met the required standard? E.g. mean student feedback scores; teaching observation reports from mentor or head of department, comments in external examiners reports, papers accepted for publication and/or receiving positive peer reviews, research funding applications successful or receiving positive feedback from funding bodies. 6

7 Achievable Relevant Time framed Is the objective realistic for you in the context of your other duties, you knowledge, skills and experience, and the timescale allowed? Do you have the capabilities (skills, knowledge) to successfully meet the objective within the timescale set? (see section 5 below) Is it appropriate in scope? Do you have the necessary tools or resources to accomplish this objective? With all your other commitments within the School, is this objective realistic? Is the objective within your/your unit s/your team s control and influence? (eg you cannot guarantee that a paper will be published within the probation period, only that you can submit it and expect to receive positive feedback from anonymous peer reviewers. It may not be advisable to state publication as an objective for a named article, but to specify how many papers in total you aim to have had accepted for publication by the end of each stage of your probation.) Is the objective in alignment with the mission of the School, unit or work group? Does the objective relate to broader objectives that the School wishes to achieve? Is it within the scope of your job description? What is the specific time frame to achieve this objective (beginning and end date)? Is the time frame reasonable? Have other factors been considered (delivery by others, coordination)? Have you included interim steps that you can monitor, eg on an annual basis? Eg complete first draft of article and pass to colleague for feedback by (date). Emphasis on SMART methodology does not mean that objectives have to follow the order set out in the acronym rather, objectives should meet SMART criteria overall. For more examples of SMART objectives, see Appendix Responsibilities in the PPDP and probation process Both the individual probationer and the Head of School have responsibilities in the preparation of the PPDP and the probation process. As a probationary member of staff your key responsibilities are to: Freely discuss your work and its progress, including any difficulties; Seek to clarify any expectations which are not clear; Ask for help, training or resources where needed; Accept and discuss any feedback in a non defensive way; Identify issues which may impact on performance in future; and Provide feedback to the Head of School on your progress. 7

8 The responsibilities of the Head of School/Department are to: Be well informed of your progress by obtaining feedback from you, your mentor and other appropriate sources; Listen to your comments and discuss them openly with you; Ask questions to obtain a clear view of how well you are achieving your objectives; Provide and openly discuss feedback with you in a constructive way, whether positive or critical; Be open to both positive and negative feedback from you, the staff member; Be prepared to negotiate with you to alter plans or individual objectives in an appropriate way if circumstances require. 6. Assessing Existing Capabilities Part of the process of setting objectives is to ensure that objectives are not set which are impossible for you to achieve. However, it is desirable that objectives should require a level of motivational stretch and challenge in order to be reached. In determining achievable objectives cognisance should be taken of your current level of competence in relation to each objective; Where a proposed objective is beyond your current skill level or capacity as a new member of staff, open discussions need to take place between you, your mentor and your Head of School as to whether support or development will fill the gap, or whether the objective needs to be altered in some way; Where support and development is seen as a feasible course of action, it is essential that a planned programme of support and development is documented and incorporated into the PPDP. POD offers an advisory service 2 to assist in identifying development needs and planning suitable development activities. The POD advisory service is likely to be of particular assistance to more experienced newcomers where development activity is less obvious, but may nonetheless be desirable, eg for leadership and management. The Centre for Learning and Academic Development 3 (CLAD) offers a suite of academic programmes and continuing professional development workshops and events that are designed to support teaching and student learning. Some of these are open to all staff, while others are specifically designed for postgraduate and/or research staff. Academic staff with a substantive teaching and assessment role at the University are required to complete the 60 credit Postgraduate Certificate in Academic Practice (see Section 8 below). Assessing your capabilities at the outset of the probationary personal development planning process provides a safety net for both you and the School. It is recognised that new academic staff may start probation with varying levels of capability in the key areas of 2 managementpod@contacts.bham.ac.uk or visit intranet.birmingham.ac.uk/hr/development for further information. 3 cladenquiries@contacts.bham.ac.uk or visit intranet.birmingham.ac.uk/as/claddivision/clad/ for further information. 8

9 research, teaching and administration. The PPDP process allows for this by documenting your existing capabilities in teaching, research and administration, and using this information as the starting point for drawing up an agreed support and development plan for you. The University induction process for new academic staff involves an element of self assessment in terms of existing capabilities in teaching and learning and this will prove useful in the PPDP process as a starting point of where you are at with respect to this aspect of your role. 7. Designing a support and development plan PPDP encourages formulation of a detailed and practical plan of support and development designed to help you achieve your objectives through the provision of tailored guidance, developmental opportunities, monitoring and the evaluation of ongoing progress. It is important that you Take time to consider development issues; Consider the probationary objectives that you will be required to meet, including the standards to which each objective must be achieved; Reflect on your academic activities and accomplishments to date; Consider any particular challenges that you may encounter in carrying out your duties and any special factors; Identify any gaps in your current capabilities (skills and knowledge) or aspects of your job where you are not entirely confident that you can meet the required standards without support and development. In light of these considerations, you should then determine with your mentor and Head of School not only your objectives for each year s work during your probation, you should also jointly identify support from colleagues and development opportunities that you will need to give you a good prospect of attaining your PPDP objectives. The range of types of possible development opportunities is illustrated below, but this is by no means an exhaustive list. On-the-job training, job shadowing Attending or participating in professional organisations Coaching or supervision by a colleague Team teaching, co-writing and other collaborative activity with more experienced colleagues Working with or as a mentor Reflecting and acting on feedback from students, colleagues, your mentor, your Head of School Management development programmes Attending workshops, conferences, or teleconferences Self-study or reading Online learning projects Attending meetings for Head of School or with Head of School Participation in special projects Training programmes 9

10 In terms of better identifying the probationer s professional development some discussion should take place around the probationer s learning preferences, for instance through reading, research, listening, discussion, practical activities, projects, experimentation, formally or informally, individually or in a group. For more ideas and information on development activities visit the POD website at 8. The Postgraduate Certificate in Academic Practice Probationary academic staff with a substantive teaching and assessment role at the University are required to complete the 60 credit Postgraduate Certificate in Academic Practice (PCAP) as a development target and as a condition of probation for academic teaching staff 4. The aim of the programme is to provide a comprehensive preparation for the learning and teaching aspect of an academic role, and to relate this to wider responsibilities associated with professional practice such as research and academic leadership. Please note that the programme is timed to take three years with intakes in September/October and January only. Further information can be obtained from the CLAD website at intranet.birmingham.ac.uk/as/claddivision/clad/courses-and-programmes/pcap-am You can normally only be exempted from the requirement to complete PCAP if you can demonstrate that you have already successfully undertaken an equivalent accredited higher education teaching and learning course at a UK higher education institution (HEI). If this is not the case you may be able to claim partial exemption through the accredited prior learning route: Route 1. Academic staff who have already completed a 20 credit equivalent qualification with a UK HEI, who wish or are required to complete a full PGCert. Route 2. Colleagues who have been recognised as a fellow of the HEA through direct recognition route, but want or are required to participate in the full programme, OR colleagues who have a minimum of three years of experience of teaching in Higher Education, but have not successfully completed a formal, accredited course. Advice and further information on any of these exemptions can be obtained from CLAD pgcertenquiries@contacts.bham.ac.uk. Please note that with respect to the conditions set for PCAP accreditation your teaching mentor should have completed a PGCert in HE teaching and learning / academic practice or be a Fellow of the Higher Education Academy. If this is likely to be a problem please contact the Programme Director via pgcertenquiries@contacts.bham.ac.uk. 4 The former is in compliance with the UK Higher Education Act 2004 and a requirement from 2012/13 to report to HESA teaching qualifications held by staff. The latter adheres to the decision of UEB in Individuals appointed under the new University Birmingham Fellows programme are exempt from the probation requirement but, as a minimum are expected to complete the first module of PCAP no later than 5 years from date of appointment. 10

11 9. The role of your mentor There is a requirement to have a completed and approved PPDP within two months of appointment. During this period, support and guidance is provided by both the Head of School and your mentor in order to help you to formulate your PPDP. You will be allocated a mentor shortly after commencement of employment at the University. In some cases, it may be that two mentors are allocated, one concentrating on research-related activities and the other on teaching-related and learning activities. Mentors can play a crucial role in supporting you throughout your probationary period to help you to achieve successfully the objectives set out in your PPDP. It is important that you have regular contact with your assigned mentor(s) during the first month in employment to devote adequate time to discussing your PPDP and to start formulating ideas about your development needs. You should then have meetings on at least a quarterly basis (we actually recommend monthly meetings) to help you monitor your progress and to take early action for a rescue plan if things start to go wrong. Mentors are not in a managerial relationship to new academic staff at Birmingham, but are there to offer guidance, support, encouragement and informed, constructive feedback. The mentor s role is essentially to accelerate the rate at which the probationer learns. A mentor therefore has to possess a real interest in the other person and specifically in their development and learning. Your mentor will be nominated by your Head of School who will, as far as is reasonably possible, ensure that the mentor is acceptable to you. Successful mentoring aims to enable you to develop a realistic assessment of your existing skills, to monitor your ongoing progress, and to establish an appropriate development path. Contact with your mentor is essential during the early stages of formulating a PPDP but is just as important throughout all of your probation so that your mentor can monitor your progress and provide constructive feedback. If your mentoring arrangements are not working you should at first try to resolve the matter directly with your mentor. If there are still problems you should discuss these with your Head of School at the earliest opportunity. 10. Annual reviews and end of probation review The process for arranging and conducting probationary progress reviews is the same as for other staff development reviews as described at intranet.birmingham.ac.uk/hr/employment/pdr/ The probation process entails, normally, a first and second year review and an end of probation review in the third year. The purpose of these reviews is to monitor progress of the objectives jointly determined in the personal development plan and to provide continuing support and guidance. The need for ongoing feedback and support from your mentor has already been emphasised and there should be frequent contact between you and your mentor not simply at the end of year review and end of probation review. It is important to raise any concerns you may have about your progress at the earliest opportunity with your mentor this should not be delayed until formal review meetings. This will ensure that you are absolutely clear about expectations and priorities for the remainder of your probationary period, that you have the best possible chance of addressing any progress issues, and that you are not faced with any unexpected difficulties at the end of the probation period. 11

12 You should complete in the probationary PPDP form the relevant section(s) relating to both the annual and the end of probation review. This should be sent to the Head of School 10 days before the review interview. You may if you wish obtain the help of your mentor in completing the review sections of the pro forma. There is a requirement that mentors should provide a mentor s report as part of the end of probation review. Head of Schools write their own report to support the recommendations they make for the end of probation. The review interview(s) consider achievement of agreed objectives, achievement of agreed development activities during the review period, any need for additional support and development and a summary of your main achievements during the review period. Any particular difficulties experienced by you during the review period should be documented. In undertaking annual reviews and an end of probation review, the Head of School will consider your progress in terms of agreed objectives and development activities. If required the Head of School may suggest changes to the PPDP objectives and revisions to the personal development plan to support these changes 11. Completing probation The objectives to be achieved and the development activities agreed in the PPDP are viewed as requirements for satisfactory completion of probation and part of your contractual requirements. At the end of the probationary period, an end of probation report is prepared by the Head of School who will seek your comments before finalising the report and sending it to the Head of College. The end of probation report will also include input from your mentor. The report can recommend one of the following: Early completion of probation Successful completion of probation, Limited extension of probation Probation has not been successfully completed and that an appointment is not confirmed Early completion of probation Recommendations for early completion of probation are encouraged, where appropriate, at any time during the probationary period. This can only happen where a PPDP has been initially formulated and the SMART objectives specified have been met sooner than originally planned. In this situation, if your performance and progress have achieved a satisfactory standard then early completion of probation can be approved by the Head of College on the recommendation of the Head of School Limited Extension of Probation Where the objectives specified in the PPDP have been narrowly missed and further time is needed to successfully achieve these, a Head of College can determine that a limited extension to your probation be granted. 12

13 12 Practice drafting your objectives Before you meet with your mentor you may wish to practise writing SMART objectives. This section guides you through the process. Information you will need Your job description This gives an outline of what is expected of someone in a specific role (regardless of who that person is). The language used in your job description should provide you with an idea of the level expected of someone in that role e.g. to co-ordinate or to manage, to supervise or to do, to evaluate use or to support use etc. You will also be expected to take into account your particular circumstances e.g. length of experience or time in similar posts and working arrangements. School and/or team objectives The College, School and/or team s objectives will give you a more specific idea of the direction your work should be taking, and how you can contribute to the efforts of the wider team. You should ask your Head of School for information on team objectives. Your CV You may need to extract and summarise relevant information that demonstrates your current level of capability for the role. Section 4 and Appendix 1 and 2 will assist you in writing appropriate SMART objectives. The material in Appendix 1 is presented for illustrative purposes in such a way as to help you to analyse how each objective has been constructed. You do not need to present your objectives on your own PPDP in this format. Your own objectives are likely to vary from those given. Appendix 2 contains a blank SMART objectives template which you can use for drafting your objectives. 13. Further sources of information and online forms Further information on development, an electronic version of the PPDP form and copies of this guidance booklet are online at intranet.birmingham.ac.uk/hr/employment/probation.aspx A link to notes on the formal requirements for probation is at: intranet.birmingham.ac.uk/hr/employment/probation.aspx The University Ordinance on probation for new academic staff is at 13

14 Appendix 1: Writing SMART objectives for PPDPs SMART stands for Specific, Measurable, Achievable, Relevant and Time-framed Area of Activity Include all the main duty headings from your job description. Check the Job Evaluation / Classification (Job Family Frameworks) at intranet.birmingham.ac.uk/hr/benefits/ progression/grading for the typical range and level of activities expected for a lecturer (grade 8). Specific activities and tasks and the conditions under which they will be undertaken Measures of success (qualitative and quantitative) Time-frame (start and end dates) Check that the range of specific tasks is relevant to the job description and the goals of the School and College. Check that overall workload represented by the list of tasks is achievable given the time-frame and success standards set and your current level of expertise. Including interim goals will help you to do this, and will make it easier to monitor progress of bigger tasks. Remember to allow time for development and training activities. TEACHING examples (these do not represent the full range of teaching responsibilities normally expected, and are for illustrative purposes only). Teach undergraduate students Prepare and deliver 6 x 1 hour lectures to a large group (approximately 150) first year UGs as part of 10 credit module (title and code) under the supervision of the module co-ordinator Interim goals: Complete preparation of lecture plans, notes, handouts and other materials with input from the module co-ordinator so that a mean student satisfaction rate of (give score) is achieved in end of module feedback, and the module co-ordinator deems the content and delivery of the lectures observed to be at least satisfactory. to the satisfaction of the module coordinator between October and December 2010 by 1 September

15 Area of Activity Assess students work and provide feedback Specific activities and tasks and the conditions under which they will be undertaken Design one summative assessment (2,000 word essay) to be set at the end of module (title and code) Mark the assessed work for module (title and code) for 40 students and provide written feedback Measures of success (qualitative and quantitative) so that the assessment design is appropriate for the module and programme learning outcomes, the assessment criteria and level of students, and is approved by the module co-ordinator so that the module co-ordinator and the second markers agree that: the work is marked in accordance with University criteria and returned within the agreed timescale; feedback is constructive and accurate and is provided in compliance with University guidelines and timescales; respect is shown to all students in the comments made on their work and impartiality and fairness are maintained. Time-frame (start and end dates) by end of October 2010 the essays are marked and returned by January RESEARCH examples (these do not represent the full range of research responsibilities normally expected, and are for illustrative purposes only). Planning and carrying out research By end of 2013 Plan and execute a high quality research project as part of the (title) research team Interim objective: Design and submit to the research team leader a proposal for a new research project into (topic) so that progress is judged to be satisfactory by the team leader, and all protocols and ethical considerations are duly met the Head of School gives approval to start the project By the end of January

16 Area of Activity Presenting findings of research Specific activities and tasks and the conditions under which they will be undertaken Submit a research article on (topic) to a peer reviewed journal with a view to publication Measures of success (qualitative and quantitative) so that the paper receives positive feedback from anonymous journal reviewers Time-frame (start and end dates) submit by end of March 2011 Interim goal: Pass first draft to research team leader for initial feedback from the team so that the paper receives positive and constructive feedback from colleagues in my research team complete first draft by end of November 2010 ADMINISTRATION examples (these do not represent the full range of administration and management responsibilities normally expected, and are for illustrative purposes only). Maintain student records Committee membership Keep records of tutorials held with tutees and produce termly progress review reports Prepare for, and attend, meetings of the departmental UG programmes committee and make constructive contributions to the business of the committee so that information is collected, handled and stored in a manner which ensures that confidentiality is maintained, and all records are accurate, complete and current and are submitted in a timely manner All meetings (4 per year) are attended and active participation is evident in the minutes and in feedback from the Chair. From initial meetings with tutees in October 2010, until end of year progress reviews are complete (May 2010 From January 2011 until end of probation 16

17 Appendix 2: SMART Objectives Planning Template Area of Activity Teaching Specific activities and tasks and the conditions under which they will be undertaken Measures of success (qualitative and quantitative) Time-frame (start and end dates) Research Administration Other (e.g. clinical activities) 17