Personal Development and Performance Review Guide University Performance Framework Version 2.0 Last amended: 15/12/2015

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1 The University of Nottingham Performance Management Framework Introduction The performance management system and process deployed by the University (Personal Development and Performance Review (PDPR)) is the managerial element of a wider performance and reward framework that the University employs to ensure staff are managed and rewarded appropriately. In order for performance management to be successful, it is important that all elements of the framework are considered and appropriately applied to ensure consistency and fairness in the application of the PDPR process. Inputs Managerial Activity Outputs UoN Strategic plan Personal Objectives Performance Management School and departmental plans Strategic and Operational MI Behavioural Measurement Resource and skills requirements PDPR (Personal Development and Performance Review) process Review & Reward Outcomes Job families and role profiles Development plans Ways of working (Values and Behaviours) High performers & Succession Pay and reward Policy and structure Managing Under performance Performance at Work

2 Alignment of Objectives To ensure the activity of individual staff is aligned to the needs of the University, it is vital that the University defines and communicates its plans appropriately. The University has defined its priorities through The University of Nottingham s Global Strategy 2020 supported by Faculty, School and Departmental strategic plans. This document should be used as a key reference point for Senior Managers in determining their School or Departmental plans and help establish the desired outcomes required by each area to ensure delivery of the overall University Objectives. The development and communication of these local plans is key to the successful application of the PDPR system, in that it transforms a high level strategic document into activity and deliverables that are relevant at operational levels and enables staff to see how their potential contribution fits in to the overall purpose of the University. The creation of these local plans would also typically include information relating to staff and skills required to ensure these plans are achievable. It is the role of managers, reviewers and supervisors to ensure this translation from strategic aims to shorter-term tangible deliverables and outcomes is successfully deployed ensuring, individual performance plans and objectives are relevant, appropriate and aligned to the needs of the University. Measurement & Performance Monitoring In support of the University Strategic Plan, the University is developing a centralised Business Information platform that will report and monitor progress against key strategic deliverables (through KPI s). The principle of this tool is to enable the University to monitor progress at a strategic level and drill in to areas of concern. It will also provide a strategic focus for Senior Managers to cascade this information and support Senior and Operational Managers in their development of School and Departmental plans and provide clarity as to areas of focus. To support this cascade of strategic information it is anticipated that local management teams develop supporting operational information and systems that enable proactive management of day-to-day services as well as provide lead key performance indicators as to progress against the desired strategic outcomes and the potential impact of any improvement intervention. This may include: League table reports SET scores Customer survey information Project update reports Financial budget vs spend report Work force allocation reports Staff attendance reports Workload monitoring and turn around reports (in service areas) Workload planning The input of good management information is a vital component to ensure performance management activity is focused and enables a tangible assessment of performance aligned to the impact being made and the actual outcomes being delivered. Page 2 of 7

3 Turning Performance Management from Task Focused to Improvement Focused Although it is vital that objectives and plans are cascaded effectively to all staff, there is a danger that this can lead to a performance management process that predominantly focuses on the monitoring of short-term tasks rather than a mechanism that supports longer-term improvement and development of individuals and the University as a whole. Job Families & Role Profiles A critical component of The University of Nottingham s Performance and Reward Framework is the Job Family structure that the University has implemented. One of the major benefits of the Hay Job family role profile methodology is that it provides a framework that can underpin all the main requirements of modern people management from recruitment to performance and development (see diagram below). Using the Job Family Framework to Support Improvements in People Management Succession Planning Career Planning Managing Performance Job family / models / role profiles / Competencies Recruitment and selection Training and development Pay and reward Page 3 of 7

4 The purpose of the Job Family structure is to: Describe a number of roles which are engaged in the same or similar type of work within the University Provide indicative work definitions and accountabilities that cross traditional functional boundaries and allow comparisons to be made between seemingly unrelated work. Provide consideration as to how many levels of type of work there are in each group and the key factors that differentiate them including: o Complexity and variety of tasks and responsibility o Nature of problem solving with role e.g. following or making rules o Supervisory responsibilities o Knowledge skills and experience required o Scope of planning and organising within the role o Key outputs and expectations of delivery Used effectively, the job family structure provides a framework that supports and enables a consistent and transparent approach to: Job sizing and grading Performance management and improvement Review and evaluation Reward and recognition Staff development Career planning and progression Job Families & their Link to Effective Performance Management The key to the Job Family structure and its use in supporting effective performance management is that it provides a clear and concise indication as to what is expected of an individual in order to be operating effectively within the their role. Used in conjunction with the cascade of University objectives, this framework can ensure any performance plans and objectives, agreed with individuals, are set appropriately to the job level the individual holds as well as providing clarity to both the manager and role holder the expectations required of them relating to ownership of accountabilities and key areas of responsibility. By using the Job Family Framework in this way it ensures that a consistent approach is taken across the University relating to expectation setting, performance planning and assessment. This approach will help drive transparency and fairness in the overall application of the PDPR process. An additional benefit of the Job Family and Role Profile Framework is that it provides clarity and comparison between an individual s role and roles round it (e.g. levels below and above). Having this visibly therefore helps managers and staff make assessment relating to: An individual s performance relative to the expectations of their level (e.g. by making reference to the levels above and below) Support the development of staff through providing visibility of the requirements of roles at higher levels and enabling discussions relating to longer-term development aspirations Provide a shorter-term development focus using information contained within the Role Specification section of the Role Profile or focus on areas that are currently weaker in the overall delivery of the whole role Page 4 of 7

5 Managing the What & the How Key to a successful performance management process is the ability for managers and reviewers to review performance in the broader context of what an individual does as well as how objectives have been met. It is more often the how where effective focus on personal development can be applied to improve an individual s performance, whether this is through the application of new skills that have been acquired through training or through recognising and adopting a different approach to a situation to achieve a more successful outcome. This is sometimes referred to as behavioural competency and can sometimes be difficult to identify or articulate to a member of staff. Competencies: What are they? Competencies are abilities or attributes, described in terms of behaviour, key to effective and/or superior performance within a particular job They are applicable across a range of jobs, unlike specialist or technical skills which may be job specific. They provide a common language for describing performance and the abilities/attributes displayed by individuals. They focus on how tasks are achieved, not what is achieved Competencies are not intended to be specific to roles or areas of work within the University, but more of a guide to what effective behaviour may look like for general abilities or attributes that can be applied across the whole University including indicators for different levels of staff or staff with a specialist focus. With this in mind, managers should discuss (and agree) what particular competences are relevant to the member of staff, their role and their level and what these may look like in their specific area of the University? Such discussion and agreement will help to promote consistency of review and focus on development, which will in turn ensure a fair and equitable process. The use of competencies in the PDPR system is not designed for rigid assessment and for best results should be used with a large application of common sense. To support this competency approach to performance management, the University has drafted an indicative set of competency indications and encourages managers and staff to use this to facilitate the performance process with a greater emphasis on continual individual development. Motivation, Recognition & Reward A key enabler to an effective performance management system is the ability to ensure staff are: Motivated - There are many elements of an effective performance system that drives staff motivation this include: 1. Understanding as to how contribution fits in to the wider team, department or University 2. Visibility of performance and clarity as to where focus can be placed to maximise achievement 3. Challenge through taking on stretching objectives or work that will require development Page 5 of 7

6 4. Incentivised through the knowledge that achievement or over achievement will result in recognition and/or reward Recognition - A performance system must have a mechanism that can assess performance and contribution to ensure individuals are clear as to what is good and what could be improved on and ensure all good performance is recognised appropriately. Recognition processes could include: 1. Self assessment reflecting on what went well and what did not 2. Peer review and feedback from colleagues 3. Manager or reviewer feedback and assessment 4. University wide recognition and communication of achievement Reward - Linked to recognition is the ability for the University to reward its staff for the contribution they make relative to the role they are expected to do. Reward does not always mean financial and can include: 1. Recognition, the process of recognition itself can be reward enough in some instances this may be a simple as a thank you or public communication and recognition of achievement 2. Training and development, although training and development is key to ensuring the requirements of the role are met the use of training as a reward process can be effective and can provide a win-win for the University and the employee. Employees receive a reward for their contribution and the University benefits from the outcomes of the training activity 3. Bonus or outcome related payment - payment linked the achievement of a specific activity for project 4. Consolidated payment, increase in base pay linked to continual achievement and recognition that development and experience are likely to result in a higher level of contribution in the future 5. Special awards given through the recognition of exceptional contribution or achievement by the University It is important to note that there is always a tension between the ability to recognise performance through payments and the financial realities of managing an effective University. This being the case it is not always possible to reward staff financially for their individual contributions, however, this does not mean that the PDPR system should not recognise the performance and contribution of staff and is in fact a vital part of a successful performance system. Personal Development & Performance Review System (PDPR) The PDPR system is not a single process or form, but a recommended series of processes and interventions that tranform the inputs of the wider performance framework (articulated above) into a series of tangible outcomes designed to facilitate the delivery of excellent performance across the University. The success of the PDPR system is dependent on input from both role holder and manager/reviewer and the effective utilisation of the tools and guides provided. Page 6 of 7

7 The intended outcomes being: The setting of clear and appropriate objectives aligned to the needs of the University and consistent with the outcomes expected from the level of individual The development and completion of personal development plans focusing on the skills, knowledge and behaviour required to ensure effective performance The identification of exceptional contributions and recognition of individual, team and functional achievements Allocation and awarding of appropriate reward The identification and implementation of corrective action or performance plans that ensure every member of staff are meeting their full potential and to the basic requirements of the role and level Identification of talent and the development of succession plans that reduce University risk relating to critical skills management Page 7 of 7