Policy Library >Human Resources >Performance Management and Training

Performance Management Policy

Intent

To foster an organisational environment which supports and values the work of all members of the University community as we seek to achieve our shared goals.

Scope

This policy applies to all Academic and Professional and Technical employees including casuals.

Key Objectives

The key objectives of the Performance Management Program are to:

a. Create a clear direction for employees by ensuring that work is aligned with the strategic efforts and directions of the University;

b. Assist employees to improve performance by providing employees with:

Clarity regarding roles, responsibilities and performance expectations;
Assistance with identifying changes to a current professional and technical staff position description document;
Rewards for strong performance and assisting to improve performance; and
Training and development relevant to individual performance areas, professional aspirations and longer term organisational needs.

c. Provide an equitable and transparent framework for regular and constructive discussions between supervisors and employees about:

Future organisational developments, operational plans and their alignment with individual work plans, goals and priorities;
Past performance efforts, giving recognition to significant achievements and defining strategies to address identified performance issues; and
Career aspirations and long term professional development plan.

d. Creating a process for determining how high performance should be rewarded, managing performance improvement, and identifying unsatisfactory performance.

Key Values

The University is committed to building a work environment that strives for and rewards high performance, maximises flexibility and encourages employee professional growth and development. In support of its key values the University's Performance Management Policy (PMP) and procedures incorporates the following principles:

a. Clear and Regular Communication – Through regular opportunities for open and constructive communication between employees and their supervisors, the PMP provides a basis for building a shared understanding between supervisors and employees regarding the employees role in the University, and performance expectations;

b. Effective Work Planning and Employee Development – The PMP acknowledges that planning and employee development are two primary keys to improve individual productivity and organisational performance;

c. Feedback, Recognition and Reward – The PMP will guide supervisors in providing constructive feedback regarding performance, and give recognition to work that is of a high standard;

d. Fairness and Transparency – The PMP will guide supervisors and managers in objectively and fairly making recommendations and decisions for rewarding high performance and addressing below standard performance.

Definitions

“Vice Chancellor’s Advisory Committee (VCAC)” - Vice-Chancellor, Senior Deputy Vice-Chancellor, Pro-Vice Chancellors, Deputy Vice-Chancellors, Executive Director Finance and Resource Planning, Chair Academic Board, and Director Governance and Corporate Services and University Secretary.

“Management Group”- Heads of School, Registrar, Directors and Executive Officer equivalent.

“Supervisor” - The person to whom the employee directly reports.

“Reviewer” - An alternative to the supervisor, as agreed between supervisor and employee.

Policy and Procedures

1. Delegations

Operational management of this policy is the responsibility of the Director, Human Resources Management and is achieved through:

Development and maintenance of a best practice framework in consultation with the University community;
Provision of training, advice and coaching to supervisors and employees;
Undertaking audit and compliance checks;
Maintaining PMP reporting frameworks and linkages to training and development initiatives, the position classification process and reward/recognition systems.

VCAC and Management Group are responsible for ensuring that the PMP is implemented as required.Supervisors are responsible for conducting the PMP.All University employees are required to participate in the PMP.

Usually the reviews will be conducted by the employees immediate supervisor who is Head of a School, or Discipline or supervisor with responsibility for the program or area in which the employee is engaged, or other person as agreed between the employee and supervisor, except that where a supervisor may have more than 6 to 8 reviews or in areas where there may be a conflict of interest, an alternate reviewer will normally be appointed in consultation with the relevant staff member.

2. Quality of Process

The quality of the process will be ensured by:

Adequate provision of training and mentoring for all participants;
Provision of adequate resources;
A biennial review of the program by Pro-Vice-Chancellors/Deputy Vice-Chancellors;
Availability of conflict resolution strategies where the parties are not is agreement.

3. Preliminary Requirements

The PMP is to commence immediately following an employee's employment with the Human Resources Office monitoring the probation period.

Initial awareness of the PMP is a function of induction, but the supervisor must ensure that the new employee is formally briefed prior to commencing the process. A formal briefing for new employees is available through Human Resources Office. Supervisors must have attended the basic PMP training conducted by Human Resources Office prior to initiating the PMP process in a supervisory capacity. This training is available to all staff as is refresher training.

The PMP process will be carried out over a 12 month review cycle, and should provide guidance on an ongoing basis throughout the year. There should be at least (2) interim feedback/planning/development discussions prior to the formal review. There should be no surprises at the formal review as important issues should have been addressed at the ongoing feedback sessions. Reviews should be planned including designated date/times. Supervisors must allow sufficient time for attending to PMP responsibilities.

Employees must be provided sufficient notice to plan for PMP discussions with a minimum of five business days.

The employee may request the attendance of a support person who is to be another member of University staff. The supervisor may also request a support person who would normally be a member of Human Resources Office staff for the purposes of mediation or facilitation.

Casual employees will enter into a performance arrangement with their immediate supervisor at the commencement of their employment. The performance arrangement will identify indicators by which performance will be assessed and any potential development needs that may be encouraged during employment with the University.

If student evaluation of teaching is to be used to assist in assessing performance as with ongoing academics then this will be outlined at commencement. The supervisor will also discuss teaching evaluation outcomes when appropriate.

4. Review and Feedback

4.1 First Review

At the commencement of the review period the employee will document their achievements, sources of feedback, and their developmental and support needs for their performance and career development, and will meet with their supervisor for the purpose of:

Discussing the relevance of the employees work against strategic work unit objectives and identify core areas of development including any identified changes to roles and responsibilities;
Setting performance objectives and key performance indicators for the upcoming review period;
Reviewing work planning and workload allocations. In many work units workloads are set as part of a group planning process, but where this has not occurred workloads should be considered as part of the PMP. Workload setting should give recognition to the importance of maintaining a healthy balance between the employees working life and family/social responsibilities and include monitoring of current leave balances, and annual leave and long service leave plans. Additional consideration should be given to any additional resources that may be required to facilitate the achievement of performance standards and/or training and development needs;
Considering professional development needs against the core competency requirements of the position;
Assessing career aspirations and possible career progression.

4.2 Interim Review

There should be no less then two (2) feedback/planning/development discussions throughout the review period. The supervisor is responsible for ensuring PMP discussions occur on the agreed dates or where significant events impact on the ability to maintain an agreed date, a new date is to be agreed with the employee.

Interim feedback/planning/development discussions provide an opportunity for the employee and supervisor to review objectives/KPIs and level of achievement at each interval, review work planning arrangements, and review employee development needs. Discussions should also include the provision of adequate resources and training.

The supervisor is responsible for maintaining a record of interim feedback/planning/development discussions and the employee will be provided the opportunity to respond to and sign this record.

This record may be referred to for subsequent PMP discussions/processes.

4.3 Final Review

The 3rd feedback/planning/development discussion will represent the final discussion for the current review period. This discussion will also be used to plan for the upcoming review period. Following the discussion the Supervisor will prepare a report on:

Achievements against objectives/KPIs;
Standard of performance against competencies and identified issues/development needs;
Updated career aspirations;
Overall performance assessment including recommendations for training and development, incremental progression and performance recognition rewards, or action / development needed to address below standard performance;
Objectives, KPIs and work plans for the upcoming review period.

The employee will be provided an opportunity to respond to the report. The completed report must be signed by the employee and the supervisor.

4.4 Recommendations

The supervisor and employee are to submit the completed report to the relevant manager. The relevant manager will consider the preliminary recommendations and make a determination about final outcomes and formal recommendations. Where the relevant manager disagrees with the recommended outcomes they must meet with the employee and their supervisor to discuss any concerns and any proposed alternatives.

4.5 Record Keeping and Confidentiality

Where the completed report is for a probationary employee, or there is action arising from the report that requires action by the Human Resources Office, the completed report with signatures of all parties is to be forwarded to the Director, Human Resources Management (refer Employee Performance Management Program Report document). All other reports are to be held by the relevant area.

Confidentiality about the PMP outcomes is to be maintained at all times by all relevant parties.

5. Performance Assessment Process

Performance is to be assessed against:

Achievement of KPIs; and
Achievement in the key competency areas.

Written feedback from third party sources may be incorporated into the review process but must be confined to agreed performance criteria and outcomes. Relevant third party sources include:

Student Feedback and Course Evaluation;
Client feedback;
Peer Feedback;
Feedback from designated indirect supervisors and/or assigned project managers.

6. Implementation of Outcomes

6.1 Incremental progression

Incremental progression will be awarded subject to the provisions of the University Productivity and Rewards Program.

6.2 Reward Recommendations

The awarding of performance recognition rewards will subject to the provisions of be the University Productivity and Rewards Program.

6.3 Training and Development

The PMP Report contains a feedback sheet which details specific training that is required. The Human Resources Office will record all training and development information for the purpose of developing a University training and professional development plan. Where unit specific training is required this should be provided at the unit level.

6.4 Career Aspiration

Information pertaining to the employee's career aspirations will be considered in the workforce planning process.

7. Below Standard Performance

Where an employee's performance is assessed as below standard and prior efforts to address performance issues through the PMP review/feedback discussions have failed, relevant PVC/DVC, following consultation with the supervisor may refer the matter to be managed under unsatisfactory performance procedures.

The PMP is not to be used for managing unsatisfactory performance. An employee can be referred onto the unsatisfactory performance process at any stage of the PMP review cycle. However, where an employee is referred to unsatisfactory performance procedures the PMP review cycle will cease for that review period. The PMP review cycle will only recommence once the employee's performance returns to a satisfactory standard.

8. Monitoring, Audit and Compliance Checks

The Director, Human Resources Management will monitor and evaluate the implementation of PMP policy and procedures.

9. Grievance Resolution

Should any employee believe they are disadvantage or discriminated against by the incorrect application of the PMP procedures, they may raise a dispute in accordance with Part 8 Section 53 Grievance Resolution Procedures of JCU’s Enterprise Agreement.

Where needed either the employee or supervisor may refer disagreement to the Director, Human Resources Management for mediation should they not be able to resolve differences.

Policy sponsor:	Director, Human Resources Management
Approval authority:	Remuneration and Human Resources Committee
Version no:	05-1
Date for next review:	31/01/2010

Version no.	Approval date	Implementation date	Details
05-1	17/11/2005	18/11/2005
08-1	10/04/2008	11/04/2008