PERFORMANCE DEVELOPMENT REVIEW (PDR) SCHEME Document: Performance Development Review Scheme Version: One Author: Saaika Mubeen & Katy Pattinson Approval Date : Approved by the Policy and Procedure Committee xxx 2016 Review Date: xxx 2019 1|P a g e Contents Section 1 WHAT ARE (PDR’s)? PERFORMANCE DEVELOPMENT REVIEWS Purpose of PDRs Benefits of PDRs PDR Cycle Links to Performance Management Links Between Observation of Teaching, Learning & Assessment (OTLA) Link to Study Programme Performance and Strategic Direction Link to Capability Line Mangers Overview of the PDR Process General PDR Principles Roles and Responsibilities Disagreements Section 2 SETTING PERFORMANCE OBJECTIVES Effective Performance Objectives Performance Factors Measuring Performance Assessing Performance Standards In Summary Section 3 FORMS (PDR microsite hyperlinked in title) Management Teaching & Learning Support PDR1 – Employee Preparation Form PDR2 – Manager Preparation Form PDR3 – Performance Development Review Form PDR4 – Mid-Year Review Form Management Business Support PDR1 – Employee Preparation Form PDR2 – Manager Preparation Form PDR3 – Performance Development Review Form PDR4 – Mid-Year Review Form Teaching & Learning Support including Assessors (FE) 2|P a g e PDR1 – Employee Preparation Form PDR2 – Manager Preparation Form PDR3 – Performance Development Review Form PDR4 – Mid-Year Review Form Teaching & Learning Support (UC) PDR1 – Employee Preparation Form PDR2 – Manager Preparation Form PDR3 – Performance Development Review Form PDR4 – Mid-Year Review Form Business Support PDR1 – Employee Preparation Form PDR2 – Manager Preparation Form PDR3 – Performance Development Review Form PDR4 – Mid-Year Review Form SECTION 1 WHAT ARE PERFORMANCE DEVELOPMENT REVIEWS (PDRs)? Blackburn College’s Performance Development Review (PDR) scheme provides a formal framework which enables both line managers and staff to take an overall view of the work of the employee to assess performance, provide a framework for improvement, and support career aspirations within the context of the organisation’s strategic priorities. THE PURPOSE OF PDRs The purpose of PDRs are to: 1. Review and recognise past performance against objectives set taking into consideration individual circumstances 2. Reflect on personal performance, conduct and responsibilities 3. Review learning and development activities undertaken and consider career aspirations 4. Reflection on teaching/assessor responsibilities or centre/study area/department/team performance where relevant 5. Conduct a role review to agree activities to stop, start, and continue to encourage a continuous improvement approach to all roles within the College 6. Agree SMARTER performance objectives which demonstrate a direct link to supporting the College to deliver its strategic objectives 7. Agree a Personal Development Plan (PDP) which sets out learning and development needs for mandatory training, role development, and / or career development 3|P a g e THE BENEFITS OF PDR Effective PDRs can: Define priorities and clarify expected levels and standards of performance Ensure objectivity about an employee’s job performance and provide clear direction for improvement Reveal problems which may be restricting the progress of the employee or causing inefficiencies and provide an early warning system for potential issues Develop individuals skills and the skills required by the organisation for the future Evaluate the effectiveness of training and development activities Get the best out of people, make staff feel valued and engaged whilst keeping staff motivated Improve employee / manager relations and communication Improve organisational performance and help the organisation to move forward Help employees to understand their role and see how their performance contributes to achieving our strategic objectives; Quality of Student Experience, Staff Recruitment & Development, QAA / External Inspections and Finance THE PDR CYCLE Formal PDRs take place once a year and they will be reviewed as a minimum at the six month interim mid-year review meeting. These should be supplemented by regular and ongoing feedback (both positive and constructive) which should be at the appropriate time (as something happens / does not happen) and through formal mechanisms such as observations / peer reviews or one-to-one meetings. How frequent these reviews / one to one’s are will depend on the size of the team and the needs of the individual employee. PDR is a continuous cycle with the meeting starting with the end of year review to reflect on performance as well as looking forward through agreeing the future performance objectives. The mid-year review reflects on performance against the newly set objectives: 4|P a g e Performance Development Review End of Year Review Mid Year Review HOW THE PDR SCHEME LINKS TO PERFORMANCE MANAGEMENT PDR is part of Blackburn College’s Performance Management System. All objectives within the Performance Management Framework are directly linked to delivering the College Strategic Objectives with progress against objectives reviewed and evaluated at all levels. The Business Planning process sets agreed objectives for centres / service areas / teams and departments to support the delivery of the College Strategy. The individual business objectives identified through the business planning process combine with the individual development objectives to form the basis for the structured PDR discussion and PDP agreement. The link is demonstrated by the following diagram: 5|P a g e The PDR Timeline (detailed below) demonstrates the revised approach to target dates based on staff group. Executive PDRs will be completed in the first target period followed by Management PDRs in the second target period then academic and business support staff in the third target period. The hierarchical approach to conducting PDRs ensures that objective setting is clearly linked to business planning and that consistent messaging cascades through a team via the management hierarchy structure. Staff Group SelectHR Annual Target Completion Date Vice Principals 30 September Top Management Tier (Executive Team &CLT) 15 November Managers of Academic and Business Support Staff 15 January Academic & Business Support Staff Group 1 15 April (last Appraisal held/scheduled prior to April of last academic year) Academic & Business Support Staff Group 2 31 August (last Appraisal held/scheduled post April of last academic year) LINK BETWEEN OBSERVATION OF TEACHING, LEARNING & ASSESSMENT (OTLA) OUTCOMES INCLUDING ACTION PLAN AND PDR Included in the individual development objectives section of the PDR scheme is a clear link to the Teaching and Learning Observation and Peer Review Processes which in turn links with the College’s Organisational Development Plan. All FE academic staff and certain staff in student facing roles undertake an annual learning observation which leads to a developmental action plan, and UCBC academic staff undertake a peer review with reflections on CPD requirements and opportunity to share practice. This is the process by which academic staff demonstrate that they are providing an outstanding classroom experience for the learner and that they are complying with the Quality Standards as set by the College. A good PDR involves both summative and formative components. Therefore, it is vital all staff incorporate the outcomes of their observation including CPD requirements, opportunities to share practice developmental action plan and feedback in the summative discussions to inform the comprehensive performance development plan (PDP) to assist the employee in continuously improving their practice. This will allow staff to focus on one developmental action plan targeted at key essential development to complete during the PDR period and have reviewed at the mid-year review. 6|P a g e If staff have been placed on an action plan this must also be reviewed at the PDR and any further identified actions included in the PDR development plan. LINK TO STUDY PROGRAMME PERFORMANCE AND STRATEGIC DIRECTION The individual development objectives also incorporates the Programme Development SelfAssessment Review (SAR) process within FE and the Annual Programme Review (APR) process within UCBC. This ensures that the academic staff development plan is discussed in the context of the performance and strategic direction of the study programmes / courses that academic staff lead or deliver on. LINK TO CAPABILITY Where an employee’s performance falls below the required standard as identified in the end of year rating “4 (Requires Improvement) - does not meet standards for performance and behaviour. Requires immediate improvement and formal Performance Management and this will be managed in line with the College’s Capability Policy & Procedure. LINE MANAGERS OVERVIEW OF THE PDR PROCESS Plan PDRs Schedule Meeting (allow at least 2 hours if necessary) Prepare for PDR Meeting Agree date and time (give 2 weeks notice) Arrange venue (private room) Issue PDR1 forms and guidance (2 weeks in advance) Gather information together and complete PDR2 Manager’s Preparation Form Conduct the PDR Meeting - Beginning Set up a comfortable room Put the member of staff at ease and build rapport Check the member of staff has prepared Outline the agenda for the meeting and how long it is expected to last Conduct the PDR Meeting – Main Body Facilitate a balanced discussion – remember the conversation split should be 80% employee, 20% manager so encourage the member of staff to think and talk openly as it is their PDR Adopt a facilitative/coaching approach through using open questions Review performance against the objectives and development requirements set last year and agree a 7|P a g e performance standard Discuss all sections in PDR3-Use forms as a guidance- ask other questions if necessary to assess performance Conduct the PDR Meeting – The End Summarise discussion Agree a date for sharing the typed up agreement for signature End on a positive note Post Meeting Actions Update last year’s appraisal form and complete PDR 3 Form and share with employee for signature Scan last year’s form, the PDR3 form and send the PDF and word version by email to [email protected] copying in the employee Diarise dates for reviews (one to one meetings, mid year review, or formal reviews) Arrange development activities which do not require action by the OD Department Ongoing Feedback Give feedback throughout the year on performance Hold regular one-to one meetings or supervisions (PDR5) and file locally Review PDR objectives and development plan progress at mid year review (PDR4) and scan completed form to [email protected] GENERAL PDR PRINCIPLES PDRs must: Take place for all Blackburn College staff once a year, with a formal 6 monthly interim review (or more if required). Follow the corporate principles and use the forms documented in this guidance. Be conducted on a one-to-one basis. Be conducted by the person best placed to comment on the member of staff’s work. This is usually the line manager unless another Colleague is more appropriate e.g. on a day-today basis the member of staff works more closely with another manager or supervisor. Be supported by relevant guidance / briefing / training so that staff can participate effectively. Be consistently applied to all staff, including full time, part time, fixed term contract, and 8|P a g e agency staff (where appropriate), with the exception of consultants. Be completed on the forms provided applicable to that staff group./ the forms can be used as guidance questions and other questions can be asked to assess performance PDRs should be: A culmination of good management practice – not a stand-alone activity that happens once a year. Nothing in a PDR meeting should come as a surprise. Based on facts and evidence and should not be based on opinion or personal values. A two-way process with both the line manager and member of staff participating fully in the preparation, discussion and follow up actions. PDR at its best incorporates elements of assessment, performance management and personal development. To be effective, robust and meaningful, the process should identify good performance and performance requiring improvement at individual and/or team level. Conducted according to these guidelines. Performance Development Plan (PDP) All staff must have an agreed PDP in place to ensure the development needs identified through discussions are recorded and are linked to: Role development or Career development Mandatory training The PDP must be stretching and challenge the employee to gain continuous professional development (CPD) in line with the College requirements (30 hours CPD if full time and pro rata if part time with a minimum of 6 hours per academic year). Staff can record their development on their CPD log on their desktop. Managers must also review the Continuing Professional Development logs at the PDR and ensure records are updated for College monitoring. A copy of the employee CPD log must be attached to PDR3 and scanned across with the requested documents. All PDP plans must include a target for digital literacy (staff must take their skills scan report to the PDR) and development opportunity to gain industry updating (if applicable) ROLES AND RESPONSIBILITIES (EXPECTATIONS) The broad roles are described below. Role of the Line Manager (or appropriate manager) Line Managers must: 9|P a g e Ensure all members of staff have an annual PDR and regular reviews Ensure the member of staff has had a copy of the Performance PDR Scheme Ensure that the member of staff understands the PDR scheme and is able to fully participate in the process Agree the date and time of the PDR with the member of staff Book a suitable room which is free from interruptions Collect and copy any information including; Sickness Absence information over last 12 months (available through SelectHR) Work / Role Adjustments previously agreed Mandatory Training Compliance Information - course completed and expiry dates, courses required to be completed and due dates Managers of FE Academic Staff & Assessors only; Register completion rates / Assessor review completion rates Learning Observation Outcome and Action Plan if relevant Programme Review SAR Action Plans for all study programmes/course led or delivered on Managers of UC Academic Staff only; Annual Programme Reviews (APRs) for all study programmes/course led or delivered on Managers of Academic Management only; Performance Management Review Information for Academic Centre/Study Area Managers of Business Support Management only; Performance Management Review Information for Service Area / Team Prepare for the PDR and completed the Manager Preparation Form (PDR2) Be objective and base the discussions on facts and not opinions Be a respectful and developmental discussion on the employees role Use a facilitative/coaching rather than telling approach Conduct PDRs in a fair and consistent manner Take appropriate follow up action after the PDR meeting Ensure copies of PDR paperwork are scanned and emailed to HR in a timely manner Ensure objectives set fall within the SMARTER guidelines The content of a Personal Development Plan should be sufficiently challenging and ambitious to enable the employee to improve practice but manageable within the context of competing professional priorities. Ensure that development needs identified via the Observation process, the SAR process and/or the APR process and subsequent action plans are captured in PDR discussions and form part of the Personal Development Plan for the employee. Ensure if any actions require an input from another colleague/manager they are notified and agree to the action prior to sign off 10 | P a g e Role of the Employee Employees must: Familiarise themselves with guidelines relating to the PDR scheme Ask their line manager for clarification or explanation if things are not clear Prepare for the interview by thinking about the areas for discussion and gathering required information; Mandatory Training Compliance Information - course completed and expiry dates, courses required to be completed and due dates CPD Log – evidence of 30 hours CPD in last 12 months Professional Membership information – Professional Body, Membership Level, Membership Number, Expiry Date FE Academic Staff & Assessors only; Register completion rates / Assessor review completion rates Learning Observation Outcome and Action Plan if relevant Programme Review SAR Development Action Plans for all study programmes/course led or delivered on UC Academic Staff only; Annual Programme Reviews (APRs) for all study programmes/course led or delivered on Academic Management only; Performance Management Review Information for Academic Centre/Study Area Business Support Management only; Performance Management Review Information for Service Area / Team Complete the employee preparation form (PDR1) and taking it to the PDR meeting Take an active part in the PDR meeting – own your PDR Base the discussions on facts and not opinions Have a respectful and developmental discussion on the role Take agreed follow up action after the PDR meeting All staff must reflect on common individual objectives such as: Acting as role models to students in their professional behaviour, appearance and attitude to learning and work Participate in Marketing and business development activity to support College recruitment through attendance at recruitment events, if required Role of Centre/Service Heads (or their appointed officer) Senior Managers must: Ensure their PDR practices within the centre/service conform to these guidelines including ensuring that all objectives set fall within SMARTER guidelines Ensure PDRs take place for all staff prior to the allocated deadlines Ensure staff have the skills and knowledge to participate fully in the PDR process Ensure consistency and quality of the PDR process within their Centre/Service Area Deal with any disagreements that cannot be resolved by Line Manager and Employee 11 | P a g e Make the outcomes of PDR available for analysis to meet the requirements of equality legislation Role of the Director of Human Resources and Organisational Development The Director of HR and Organisational Development must: Monitor how the PDR policy is implemented across Blackburn College Approve any changes to the scheme as necessary Report on compliance with the scheme to the Executive Management Team Ensure quality of PDRs and provide support and development where quality standards are not met Maintain links between the PDR process, the Quality Unit and the Organisational Development Team Provide support and training for Line Managers and Staff through the Organisational Development Team DISAGREEMENTS It is expected that the line manager and member of staff, with the intervention of a more senior manager if necessary, can resolve most disagreements. Additionally, regular monitoring of the scheme and appropriate training should alleviate most issues. However, where agreement cannot be reached, the PDR forms completed by the line manager will be submitted to HR with a file note confirming that the employee has not agreed with the content. This will be the recorded PDR for the employee. SECTION 2 - SETTING PERFORMANCE STANDARDS EFFECTIVE PERFORMANCE OBJECTIVES This PDR scheme involves setting performance objectives, which break jobs down into achievable goals based on the business planning objectives of the Centre/Service Area and the College Strategic Objectives. You need to ensure these objectives state very clearly what performance is expected. You can’t assess performance unless you have objectives that make it very clear to everyone what is being working towards and what does successful achievement of the objective look like. First, you need to work out the key responsibilities. Most jobs have a number of key responsibilities, which are ongoing throughout the year. Within each of these areas will be key objectives. These are statements of the key targets, which the jobholder should achieve to an agreed standard, over a set period of time. These should tie in with Performance Management, Blackburn College’s Vision and Values, and Strategic and Business Planning Priorities. Clear targets and standards are essential to measure performance. They need to be mutually acceptable to you and your staff. Targets are about achieving short-term goals, getting results, and providing a challenge and a sense of achievement. They can be used to set, raise, or reestablish standards, change priorities or achieve a project that often gets neglected. Standards are continuing yardsticks; they cover quality as well as quantity. Standards can be 12 | P a g e deadlines - the completion of tasks to time. They can be numeric - the quality of items produced, or procedural - the carrying out of correct stages and procedures. They can also be financial - the working to budgets, or negative – i.e. the number of complaints received. They should be recorded in the Performance Objective section of the PDR3 form. Effective objectives need to be challenging: they cannot be ‘a given’ of the role the employee is to do. The employee needs a challenge to work towards and the objectives need to stretch their skills and abilities. Sometimes you will have to convince them that you have the confidence in them that they can do it, even if they don’t. A minimum of four annual key work objectives should be set for each employee every year, managers should expect to be set considerably more. Objectives should be set using form PDR3 and need to be set within SMARTER guidelines: SPECIFIC Specific means that the objective is concrete, detailed, focused and well defined. The objective must be straight forward and emphasise action and the required outcome. Specific also means that it’s results and action-orientated. Objectives need to be straightforward and to communicate what you would like to see happen. MEASURABLE If the objective is measurable, it means that the measurement source is identified and we are able to track the actions as we progress towards the objective. Measurement is the standard used for comparison. Remember if you cannot measure it, you cannot manage it. It is important to have measures that will encourage and motivate staff on the way as they see the change occurring, this may require interim measures. Measurements (and visible progress) go a long way to help us to know when we have achieved our objective. If setting a behavioural objective they should describe measurable behaviour. ACHIEVABLE Objectives need to be achievable, if the objective is too far in the future, staff will find it difficult to keep motivated and to strive to attain it. Objectives need to stretch you, but not so far that you become frustrated and lose motivation. However, achievable does not mean easy. Achievable means that the individual has access to the time, skill, knowledge and resources to get it done. Ask the question; with a reasonable amount of effort and application can the objective be achieved? RELEVANT This means two things; that the goal or target being set with the individual is something they can actually impact upon or change and secondly it also supports the achievement of overarching Team and College objectives. Ultimately ask how does this impact on the learner or our customers and service users? TIME-BOUND Time -bound means setting a deadline for the achievement of the objective. Deadlines need to be both achievable and realistic. If you don’t set a time you will reduce the motivation and urgency required to execute the tasks. Agreed time frames create the necessary urgency and prompts action, empowering individuals to prioritise their own workloads. 13 | P a g e EVALUATED In order to ensure that Objectives remain relevant there should be an evaluation of progress at various stages and once the objective is completed. Feedback for the individual should include the impact of achieving the objective, not just an acknowledgement that it was achieved. REVIEWED In order to measure progress and evaluate whether an objective remains relevant there should be an agreed process of reviews. How frequent these reviews are will depend on the objective and the individual but as a minimum there should be one interim review (at six months) between setting the objective and the timescale for completion PERFORMANCE FACTORS Line managers must consider all relevant performance factors when assessing to what extent the employee’s performance is meeting the requirements of the job. External factors that affected the achievement of the objective should be taken into account. If the employee achieved the objectives in the face of unforeseen obstacles then this would be worth more than if they’d had it plain sailing. Circumstantial factors should also be taken into account. You need to be aware that ill health or personal, financial worries can have an effect on performance and will need to be dealt with according to College policy. You will also need to take into account general factors that people in work are expected to maintain, such as standards of behaviour, dress, time-keeping and applying common sense and initiative where necessary. Levels of commitment and motivation also need be taken into account. It is not expected that individual objectives will be set relating to circumstantial factors unless there are serious issues related to conduct or capability. MEASURING PERFORMANCE Performance Objectives The objectives in the PDR system are assessed against the Performance Objectives set in form PDR3 and should be rated as follows: Exceeded – this is where an individual does not just meet the objective or minimum required standard but performs significantly above expectations. Met – this is where the individual achieves the objective as set out within timescales and the resources allocated Not Met with Reason – this is where an individual has been unable to achieve the objective due to external or internal factors over which they had no influence. These factors should be significant and clearly evidence how they prevented achievement of the objective Not Met – this is where an individual has failed to meet a required standard or achieve an objective and there are no significant influencing factors. 14 | P a g e Overall Assessment Level The start of the PDR meeting focusses on performance against set objectives and reflects on personal responsibilities and teaching and learning/department/team responsibilities. The manager should consider the employee’s overall assessment against this context and can choose from one of the following four options: 1 (Outstanding) - consistently exceeds standards for performance and behaviour and acts as a role model for colleagues. 2 (Good) - meets standards for performance and behaviour. 3 (Adequate) - does not meet some standards for performance and behaviours. Performance Improvement Plan is required for standards not met. 4 (Requires Improvement) - does not meet standards for performance and behaviour. Refer to HR. The Manager should assess the achievement of objectives across each of the levels and consider the reflections on personal responsibilities and teaching and learning/department/team responsibilities. E.g. if 5 Objectives were set and the individual was assessed as having met 4 objectives and not met 1 objective and they have demonstrated commitment to their responsibilities then their overall assessment level would be ‘2 (Good) - meets standards for performance and behaviour’. If 5 Objectives were set and the individual was assessed as having met 4 objectives and not met 1 objective and they were non-compliant with mandatory training and had low register completion rates their overall assessment level would be ‘3 (Adequate) - does not meet some standards for performance and behaviours. Performance Improvement Plan is required for standards not met’. Where an individual achieves an overall assessment of 1 (Outstanding) then this should be passed to the Manager’s line manager for formal recognition of exceptional performance. Where an individual is awarded an overall assessment of 4 (Requires Improvement) then the College’s capability procedures must be invoked to ensure formal performance management is put in place. ASSESSING PERFORMANCE STANDARDS Assessments should always be backed up by evidence and comments that describe how they were achieved. Comparisons between employees are meaningless. Each employee's performance level relates to the particular circumstances they had to work with, or against. Assessments must however be consistent across all employees. Agreement on the performance rating should be sought between the employee and manager. Agreeing performance ratings can only work if the descriptions of the correct behaviour/action required are agreed when the objectives are written up, as these objectives should describe the required level of performance. 15 | P a g e IN SUMMARY With the right preparation and the use of effective objectives and performance levels, you will be ready for a productive and positive PDR discussion. Both employee and manager need to prepare for the PDR discussion. Performance objectives need to be: Specific Realistic Measurable Achievable Relevant Evaluated Reviewed Performance assessments should be: Descriptive Evidence Based Backed up by Written Comments Consultative Be Reached by Agreement where Possible Evaluated Reviewed Personal Development Plans should be set for all employees. The College is committed to Continuous Professional Development and it is not acceptable for any individual to identify no Learning and Development needs as part of this process. Managers are responsible for ensuring that at PDR minimum qualification requirements are discussed and progress on achieving these monitored (e.g. attainment of a teaching qualification) and fed back to the HR & OD team. Managers are also responsible for ensuring that development needs identified via the Observation / Programme Area SAR and APR process and detailed in action plans are captured in PDPs. LINKED POLICIES Observation of Teaching, Learning and Assessment HR & OD Strategy Capability Policy Probation Policy OD plan College Strategic Plan MONITORING AND REVIEW OF THE SCHEME The PDR process has been revised and simplified and has been designed so that the appropriate set of forms are relevant to the identified staff group. It will continue to be reviewed to ensure that it is fair and fits with the needs of the College and individuals every three years or sooner if required. Compliance with the scheme will be monitored by the HR & OD team and reported to senior management via a variety of mechanisms. EQUALITY IMPACT ASSESSMENT Blackburn College is committed to the promotion of equality, diversity and providing a supportive environment for all members of our community. Our commitment means that this policy has been 16 | P a g e reviewed to ensure that it does not discriminate (either intentionally or unintentionally) any of the protected characteristics of age, disability, gender (including gender identity)race, religion or sexual orientation and meets our obligations under the Equality Act 2010. Therefore, this policy has no adverse impact on any of the above protected groups. 17 | P a g e
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