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Leadership - Managing Performance
HOW TO GUIDE
for Academic & Support Staff with Leadership /
Management Roles
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Introduction – The purpose of the How To Guide
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Why managing performance is important for those in leadership and management
roles at Cardiff University
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Practical tips for managing performance
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Linking the institution’s goals with the work of the individual
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Practical guidelines on managing performance - good equality and diversity practice
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Cardiff University weblinks to support managing performance
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Leadership in Action (managing performance) - Self Assessment Tool
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School / Directorate Induction Checklist
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APPENDIX
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Overview Cardiff University policy, procedures & support for managing performance
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Induction
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Probation
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Annual Appraisal
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Finding out more – a selection of external weblinks on performance management
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Introduction – the purpose of the How To Guide
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
Leadership
Essentials
Managing
Performance
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:
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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 .
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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.
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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.
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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
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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.
http://www.cardiff.ac.uk/schoolsanddivisions/divisions/humrs/newstaff/index.html
Probation
The information contained in these web pages (link below) relates to the
probation policy introduced on the 1st August 2004. 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.
http://www.cardiff.ac.uk/schoolsanddivisions/divisions/humrs/training/perfreview/probation/index.html
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.
http://www.cardiff.ac.uk/schoolsanddivisions/divisions/humrs/training/perfreview/appraisaltop/index.html
Staff Development
Including:
§ Training.
§ Staff Regrading and Academic Promotions
http://www.cardiff.ac.uk/schoolsanddivisions/divisions/humrs/newstaff/staffdev.html
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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
never
Self-assessment
sometimes
often
always
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.
Showing interest and encouraging people
to offer suggestions.
Being polite and fair in all dealings with
everyone.
Actions to improve:
What needs to change
(Those that score never or sometimes)
How to change
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When by
Who can help
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
http://www.cardiff.ac.uk/schoolsanddivisions/divisions/humrs/newstaff/index.html
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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
http://www.cardiff.ac.uk/schoolsanddivisions/divisions/humrs/newstaff/index.html
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
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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
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APPENDIX
Cardiff University – policies, procedures and support for managing
performance
The overall purpose in setting up these policies, procedures and support is to
encourage:
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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
Probation
Appraisal
The process that assists new people to get to know their School /
Directorate and the University.
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.
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
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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 o f 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.
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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 Sche me;
§ 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 o f 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.
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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 4.3.1 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.
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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.
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External web links
PERFORMANCE MANAGEMENT
Advisory, Conciliation and Arbitration Service (ACAS)
www.acas.org.uk
This website outlines workplace legislation in such areas as disciplinary procedures, rights at
work and equality.
Bacal and Associates
www.work911.com
The site, from Bacal and Associates, offers useful links and information on performance
management and appraisal.
Free Management Library
www.mapnp.org/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
www.hbsp.harvard.edu/
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
www.bscol.com
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
www.pfdf.org
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
www.cio.com/forums/leadership
This forum on leadership provides up-to-date articles as well as hosting surveys and
discussion forums on the subject.
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Center for Leadership and Change Management
http://leadership.wharton.upenn.edu/welcome/index.shtml
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
www.number-10.gov.uk/su/leadership/piu-leadership.pdf
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.
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