Title:

Performance Management Scheme: Guidelines for Performance Management Supervisors of General Staff

Version 3.0

TRIM file number 06/249

Short description Guidelines for reviewing and planning staff performance.

Relevant to Performance management supervisors of all CSU staff.

Approved by Executive Director, Human Resources

Responsible officer Executive Director, Human Resources

Responsible office Organisational Development, Division of Human Resources

Date introduced 24 May, 2001

Date(s) modified 27 September, 2001

22 October, 2002

18 August, 2006

Next scheduled review date July, 2007

Related University documentsRefer to the Administration Manual for these documents.

Applicable industrial instrument ( i.e. Enterprise Agreement, Australian Workplace Agreement or contract of employment)

Performance Management Scheme: Policy for Executive, Academic and General Staff

Performance Management Scheme: Procedure for General Staff

Performance Management Scheme: Performance Report Forms for General Staff

CSU’s Guidelines on the Management of Unsatisfactory Performance

Related legislationKey words performance management, guidelines, performance

management meeting, performance review, general staff

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TABLE OF CONTENTS

Clauses Page

1 Purpose 3

2 Scope 3

3 Responsibilities 3

4 Performance Report 4

5 Progress Report 4

6 Documents required 5

7 Conducting the meeting 6

8 Giving feedback 7

9 Performance planning 7

10 Writing performance objectives 8

11 Identifying professional development needs 9

12 Performance review 10

13 Performance standards 10

14 Rating performance 11

15 Moderation of ratings 12

16 Rewarding performance 13

17 Improving performance 14

18 Managing unsatisfactory performance 15

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1 PURPOSE

The purpose of these guidelines is to describe how to carry out performance management responsibilities.

2 SCOPE

These guidelines apply to all performance management supervisors of general staff at Charles Sturt University (CSU).

3 RESPONSIBILITIES

Performance management supervisors are responsible for:

(a) dealing with performance issues as they arise rather than saving them for a performance management meeting;

(b) monitoring employee performance and providing constructive feedback on a regular basis;

(c) organising formal performance management meetings for a time that is mutually convenient, and providing the employee with sufficient notice (at least two weeks) to prepare for the meeting, including completing the draft Performance Report;

(d) reading the employee’s completed draft Performance Report and adding comments before the performance management meeting;

(e) checking the availability of resources for the performance plan;

(f) bringing the required documents to the meeting;

(g) conducting performance management meetings in a non-threatening, unhurried and constructive atmosphere;

(h) basing discussion around the draft Performance Report, and focusing on facts and specific examples;

(i) approving the performance plans;

(j) recommending performance ratings to the Dean/Executive Director (or equivalent) for moderation and approval;

(k) compiling the agreed Performance Report for signature by the relevant people;

(l) providing the agreed resources and support related to the employee’s performance plan;

(m) reviewing an employee’s rating no later than six (6) months after the formal review if salary progression was withheld; and

(n) providing information for the Dean’s/Executive Director’s “Report on Staff Participation in Performance Management” to the Division of Human Resources.

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4 PERFORMANCE REPORT

4.1 Questions in the draft Performance Report are minimum requirements for formal planning and review meetings. These questions guide the meeting and must not be altered or omitted. However, other questions may be added if the employee is given advance notice of these questions.

4.2 The form can be saved to the employee’s P or S drive and completed electronically, or printed for manual completion.

4.3 The draft Performance Report is completed by the employee first, who fills in what he/she can, and then gives it to the performance management supervisor.

4.4 The performance management supervisor:

(a) reads the employee’s completed draft Performance Report and adds his/her comments where appropriate;

(b) identifies specific examples that support the comments, where appropriate; and

(c) identifies performance standards if there are any areas of the employee’s performance in need of improvement.

4.5 The draft Performance Report is used as the basis for discussion at the performance management meeting.

4.6 The final version of the agreed Performance Report is prepared, signed by the supervisor and employee, and then sent to the Dean/Executive Director (or equivalent) for moderation and approval.

4.7 The employee, performance management supervisor and Dean/Executive Director (or equivalent) each keep a copy of the Performance Report within the work unit, in accordance with the Faculty’s/Division’s protocols, for three (3) years from the date of review.

5 PROGRESS REPORT

5.1 The procedure for the Progress Report is similar to clause 4 for the Performance Report.

5.2 The main differences between the procedures for the Progress Report and the Performance Report are that:

(a) the progress meeting is normally an informal review meeting based on the employee’s and supervisor’s answers on the draft Progress Report;

(b) only those areas of an employee’s performance that were rated as “below requirements” are to be formally reviewed and rated at a progress meeting;

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(c) the Dean/Executive Director (or equivalent) does not need to view or sign the agreed Progress Report unless the supervisor has recommended that the rating be adjusted from “below performance requirements” to “meets performance requirements”; and

(d) the employee and performance management supervisor each keep a copy of the Progress Report within the work unit, in accordance with the Faculty’s/Division’s protocols, for three (3) years from the date of the progress meeting. NOTE: The Dean/Executive Director (or equivalent) also keeps a copy for three (3) years if the performance rating was adjusted.

6 DOCUMENTS REQUIRED

6.1 Documents required for completing the draft Performance Report and guiding the performance management meeting include:

(a) the employee’s current duty statement;

(b) the employee’s draft Performance Report with the supervisor’s added comments;

(c) the employee’s Performance Report and Progress Report (if applicable) for the previous year;

(d) the position descriptors for the employee’s current level of employment

(e) the operational plan for the School/Section or Faculty/Division;

(f) the “Generic Responsibilities of CSU Staff” (Appendix 1 of the “Performance Report Form for General Staff”);

(g) the “Performance Rating Scale” (Appendix 2 of the “Performance Report Form for General Staff”); and

(h) any supporting information (e.g. samples of work, feedback from clients or staff, statistics, survey results, specific examples).

6.2 Duty statement

6.2.1 The review of the duty statement is a management process that complements but is not part of the Performance Management Scheme.

6.2.2 The duty statement underpins both performance review and performance planning, as outlined below.

(a) The employee's performance is reviewed against the current duty statement at the annual performance management meeting.

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(b) If an outcome of the performance review is the need to update the duty statement, then the proposed changes are taken into account when planning objectives for the year ahead.

6.3 Performance management documents are to be retained for three (3) years from the date of review for academic and general staff, and until seven (7) years after the end of employment for senior and executive managers.

6.4 The following documents are to be retained:

(a) the original Performance Report, which is to be securely stored by the Dean/Executive Director (or equivalent), employee and supervisor within the work unit, in accordance with the Faculty’s/Division’s protocols; and

(b) the Performance Management Authority Form, which is to be securely stored within the campus Human Resources Office.

7 CONDUCTING THE MEETING

7.1 The Division of Human Resources will give the performance management supervisor a three (3) month reminder about scheduling a performance management This will allow sufficient time for the meeting to be held, the Performance Report to be moderated and approved by the Dean/Executive Director (or equivalent), and the Division of Human Resources to organise salary progression or payment of a performance bonus.

7.2 Meetings for the performance management reporting period must be completed by 31 March of each year.

7.3 Organise a suitable venue that is comfortable, non-threatening, and free from distractions and interruptions.

7.4 Schedule a reasonable amount of time so that the meeting will not be rushed.

7.5 Explain the purpose and format of the meeting.

7.6 Encourage free and open discussion in a relaxed atmosphere.

7.7 Use the employee’s answers and the supervisor’s comments in the draft Performance Report as a basis for discussion.

7.8 Ask open questions that encourage the employee to present his/her points of view. For example, begin the questions with “what”, “why” or “how”.

7.9 Listen attentively and with an open mind to clearly understand the employee’s views, proposed plans and recommendations.

7.10 Stick to the facts and, wherever possible, provide specific examples to support statements.

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7.11 Record the mutually agreed decisions reached at the meeting. However, if agreement is unable to be reached after discussion, note this fact and make the final decision.

7.12 Check that the employee clearly understands his/her duties, performance objectives and performance requirements. Also check that the objectives and professional development activities/performance improvement plan for the coming year are achievable, realistic in terms of time and budget, and meet the needs of the employee, School/Section and/or Faculty/Division.

7.13 If conflict arises in the performance management meeting, then follow the conflict resolution process outlined in the ”Performance Management Scheme: Procedure for General Staff”.

8 GIVING FEEDBACK

8.1 Be prompt with giving feedback, i.e. it should be as close to the actual event as possible. However, be sensitive about the timing. Depending upon the circumstances, it may be better to wait until a more suitable time.

8.2 Readily praise achievements and progress. Be sincere.

8.3 Discuss any concerns as they arise. Describe their impact.

8.4 Focus on observed behaviour and not on underlying motives or personal traits.

8.5 Be open, specific and brief. Give one or two examples.

8.6 Do not dwell on a problem. Instead, redirect the focus onto how to solve the problem.

8.7 Where possible, encourage the employee to come up with his/her own solutions.

8.8 Jointly agree what changes are needed, and how and when to implement them.

8.9 Ask the employee to summarise the agreed actions. This is a check that the employee and supervisor both have the same understanding of what has been agreed.

8.10 Affirm your belief in the employee’s abilities.

8.11 End on a positive note.

9 PERFORMANCE PLANNING

9.1 As part of the performance management meeting, the supervisor and employee jointly plan the employee’s performance for the coming year.

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9.2 Performance planning consists of the following:

(a) performance objectives; and

(b) professional development (including activities/strategies, support and/or resources) to enhance performance that meets or exceeds requirements; or

(c) a performance improvement plan (including performance standards, strategies/professional development activities, a timeframe, support and/or resources) to meet performance requirements and/or professional development needs.

10 WRITING PERFORMANCE OBJECTIVES

10.1 Performance objectives are agreed statements of desired outcomes for the employee to achieve, based on his/her duties, work priorities and/or the “Generic Responsibilities of CSU Staff”. NOTE: If agreement is unable to be reached in relation to objectives based on “meets performance requirements”, then the supervisor is authorised to make the final decision.

10.2 An employee (HEW level 1-4) and supervisor set objectives based on “meets performance requirements”.

10.3 An employee (HEW level 5-10) and supervisor set objectives based on “meets performance requirements”. If the employee would like to strive for a performance bonus, then additional objectives (called “stretch” objectives), based on “outstanding performance”, may be set. NOTE: Stretch objectives may be re-negotiated by mutual consent during the first six (6) months of the reporting period – this will allow flexibility to respond to changing circumstances or new opportunities.

10.4 Performance objectives should be SMART, i.e. specific, measurable, achievable, relevant and time-based, as described below:

(a) “Specific” means that objectives clearly specify intended outcomes;

(b) “Measurable” means that it is possible to monitor progress and measure the extent to which objectives are achieved;

(c) “Achievable” means that objectives are challenging but capable of being achieved, and that the people who are to achieve them have the necessary time, skills, resources and authority to deliver results;

(d) “Relevant” means that objectives are aligned with and support the objectives of the Faculty/Division and University; and

(e) “Time-based” means that target dates are set for achieving objectives and completing interim steps.

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10.5 Performance objectives should use action verbs such as “plan”, “design”, “achieve”, “complete”, “develop”, “maintain”, “produce”, “improve” or “gain experience” rather than abstract verbs such as “know”, “understand” or “appreciate”, which are difficult to measure.

10.6 Achievement of performance objectives is monitored informally on an ongoing basis and/or at progress meetings, and formally reviewed at the annual performance management meeting in accordance with the Performance Rating Scale for General Staff.

11 IDENTIFYING PROFESSIONAL DEVELOPMENT NEEDS

11.1 Professional development may be based on the employee’s needs for:

(a) performance improvement – the aim is to provide an employee, who has been rated as “below performance requirements”, with opportunities to improve skills and knowledge in identified areas so that he/she may overcome any performance difficulties at an early stage and meet performance requirements for his/her position at the next review;

(b) performance enhancement – the aim is to provide an employee, who has been rated as meeting or exceeding performance requirements, with opportunities to develop skills and knowledge for purposes such as job enrichment, maintaining currency of skills and knowledge, and keeping up-to-date with the latest developments; and/or

(c) career development – the aim is to provide an employee with opportunities to develop skills and knowledge in preparation for another position or a more senior role (inside or outside the unit) that he/she may wish to pursue.

11.2 Identify the employee’s professional development needs by considering the following questions:

(a) What is the desired level of performance?

(b) What is the current level of performance? and

(c) How can the gap between the two levels be bridged?

11.3 Identify the employee’s preferred way of learning. For example:

(a) Does the employee learn best by doing or experiencing something first and then reviewing the experience? or

(b) Does the employee learn best by thinking first and then applying that thinking?

11.4 Help the employee to identify professional development activities that match his/her preference for learning through “thinking” or “doing”.

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(a) Examples of appropriate professional development activities for “thinkers” are:

an information session; a TAFE or University course; an internal or external seminar or conference; resources for self-directed learning; talking to an expert; professional reading; and a mentoring program.

(b) Examples of appropriate professional development activities for “doers” are:

a practical workshop; a project; being coached; secondment; a committee or forum; a professional experience activity; and higher duties for a limited period.

12 PERFORMANCE REVIEW

12.1 As part of the performance management meeting, the supervisor and employee jointly review the employee’s performance over the past year.

12.2 The performance review covers the following areas:

(a) achievement of the employee’s performance objectives;

(b) the employee’s performance in relation to the duty statement and/or the “Generic Responsibilities of CSU Staff”; and

(c) professional development.

12.3 One of the outcomes of the performance review may be the need to update the employee’s duty statement shortly after the performance management meeting.

14 PERFORMANCE STANDARDS

14.1 Performance standards specify the behaviours or activities that are expected or required in a particular rating category; they are objective criteria against which individual performance may be compared.

14.2 Performance standards should be developed as part of a performance improvement plan to describe satisfactory performance in relation to identified areas that fall “below requirements”.

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15 RATING PERFORMANCE

15.1 The “Performance Rating Scale for General Staff” describes performance requirements and subsequent actions for each of the following rating categories:

(a) “outstanding performance”;

(b) “exceeds performance requirements”;

(c) “meets performance requirements”;

(d) “below performance requirements”; and

(e) “unsatisfactory performance”.

15.2 The purpose of rating employee performance at the performance management meeting is to:

(a) reward performance that “meets requirements”, “exceeds requirements” or is “outstanding”;

(b) facilitate the improvement of performance that has been rated as “below requirements” to the category of “meets requirements” by developing and implementing a performance improvement plan; and/or

(c) manage “unsatisfactory performance” by suspending the Performance Management Scheme and implementing “CSU’s Guidelines on the Management of Unsatisfactory Performance”.

15.3 The performance of all individual employees of CSU is rated on whether or not:

(a) performance objectives have been achieved;

(b) there are any unresolved issues in relation to the duty statement and/or the “Generic Responsibilities of CSU Staff”; and

(c) in the case of a “below performance requirements” rating, significant progress has been made in relation to the performance improvement plan.

15.4 Rate performance on the employee’s achievements, and not on factors that are outside the employee’s control and have impacted negatively on performance (such as technology problems, budget constraints, delays or cancellations).

15.5 The employee self-rates his/her performance and provide reasons for this rating at the end of the performance management meeting. The supervisor then rates performance as objectively as possible in accordance with the “Performance Rating Scale for General Staff”, and discusses his/her recommended rating, actions associated with the rating, and reasons for the rating with the employee.

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15.6 If an employee is paid a Higher Duties Allowance, then the performance requirements will be based on the classification level relevant to the higher duties. To receive a rating of “exceeds performance requirements” or “outstanding performance”, the employee will need to exceed the performance requirements of that classification level.

15.7 The supervisor submits all the completed Performance Reports to the Dean/Executive Director (or equivalent) for moderation and approval. (See clause 16 of these Guidelines for details of moderation.)

15.8 The Dean/Executive Director (or equivalent) signs the employee’s Performance Report, files the original, and forwards a copy to the supervisor and employee to store securely within the work unit in accordance with the Faculty’s/Division’s protocols.

15.9 The Dean/Executive Director (or equivalent) signs the Performance Management Authority Form and forwards it to the campus Human Resources Office for administrative action.

15.10 The employee’s performance management data relating to the meeting dates, anniversary date and approved rating, associated actions and professional development activities are entered onto the Faculty’s/Division’s database for the purpose of collecting statistics for the Faculty/Division and the Division of Human Resources.

15.11 Ratings and actions such as a reward or performance improvement plan are to be confidential to the employee, supervisor, Dean/Executive Director (or equivalent), and employees whose duties require them to have access to the documents for the purposes of administration, rewarding performance or managing unsatisfactory performance.

16 MODERATION OF RATINGS

16.1 The Dean/Executive Director (or equivalent) meets collegially with the performance management supervisors of general staff to discuss Divisional/Faculty targets and achievements as well as issues of consistency, equity and fairness in performance ratings. This Divisional/Faculty level discussion will promote transparency and accountability.

16.2 The Dean/Executive Director (or equivalent) moderates the recommended ratings for consistency, equity and fairness within the Faculty/Division.

16.3 Moderation may occur on an ongoing basis throughout the year, after submission of individual performance reports or collectively after the submission of all reports.

16.4 If a recommended rating needs to be changed, then the Dean/Executive Director (or equivalent) will contact the supervisor and discuss the issues of inconsistency, inequity or unfairness concerning the recommended rating.

16.5 If the Dean and supervisor are unable to resolve the matter, then the Dean may rectify the situation by changing any or all of the supervisor’s recommended ratings and/or actions.

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16.6 If the supervisor’s recommendation is not approved, then the Dean shall inform the employee in writing.

17 REWARDING PERFORMANCE

17.1 The reward for general staff “meeting performance requirements” is salary progression (if the top step hasn’t been reached).

17.2 The reward for general staff “exceeding performance requirements” is salary progression (if the top step hasn’t been reached) plus a one-off performance bonus to the value of 2.5% of the employee’s current annual salary.

17.3 The reward for “outstanding performance” by general staff is salary progression (if the top step hasn’t been reached) plus a one-off performance bonus to the value of 5% of the employee’s current annual salary.

17.4 The performance bonus replaces accelerated salary progression.

17.5 The employee has the choice of taking the performance bonus as:

(a) an up-front, lump sum cash payment (taxable and non-superable); or

(b) an internal funds transfer (non-taxable) into a nominated Divisional/School/Centre account for the general staff member’s professional development, in accordance with his/her wishes.

NOTE: Employees covered by the “CSU Enterprise Agreement” may take up to 50% of their salary in the form of pre-tax benefits available through the CSU Voluntary Salary Packaging Scheme. Employees covered by an Australian Workplace Agreement may take up to 100% of their salary in the form of pre-tax benefits available through the CSU Voluntary Salary Packaging Scheme. Details are available from http://www.csu.edu.au/division/finserv/payroll/salpack/salpackindex.htm

17.6 The Dean/Executive Director (or equivalent) completes a claim form for all high performing academic staff who have requested that their performance bonus be paid directly into a School/Centre account that they have nominated, and forwards it to the Division of Financial Services for processing

17.7 Salary progression and/or payment of a one-off performance bonus will take effect on 1 June of each year, commencing in 2008.

NOTE: Payment of performance bonuses will depend upon the Faculty/Division meeting the University’s key performance indicator of staff participation in the Performance Management Scheme (currently 90% of eligible staff) by 30 April.

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18 IMPROVING PERFORMANCE

18.1 If an employee receives a rating of “below performance requirements”, then a performance improvement plan should be developed to address performance areas in need of improvement.

18.2 The purpose of a performance improvement plan is to provide an employee with a clear understanding of what constitutes satisfactory performance in relation to specific duties, performance objectives and/or the “Generic Responsibilities of CSU Staff”, and to plan strategies/professional development activities to address the areas in need of improvement. The aim is for early intervention to prevent performance from becoming unsatisfactory.

18.3 The Organisational Development team in the Division of Human Resources is available to provide advice and assistance to the performance management supervisor and/or employee on developing and implementing a performance improvement plan.

18.4 For areas of an employee’s performance that do not meet requirements, the performance improvement plan should include the following components:

(a) areas of performance in need of improvement;

(b) performance standards – identify and record criteria (quantitative and/or qualitative) that describe satisfactory performance;

(c) strategies and/or professional development activities to meet the performance requirements;

(d) a timeframe for implementing the strategies and/or professional development activities;

(e) support to be provided (e.g. monitoring, regular feedback, coaching, progress meetings); and

(f) resources to be provided (e.g. written instructions, checklists, mentor).

18.5 The performance improvement plan may also include professional development activities that aim to enhance performance in areas that currently meet or exceed requirements.

18.6 In the “below performance requirements” rating category, the employee may participate in professional development activities. However, he/she is not eligible for salary progression or a performance bonus.

18.7 Throughout the performance improvement period, the supervisor is expected to monitor the employee’s progress, hold one or more progress meetings, and provide constructive feedback, support and/or approved resources as needed.

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18.8 The areas of an employee’s performance that were rated as “below requirements” are to be formally reviewed at a progress meeting, to be held no later than six (6) months from the date of the annual performance management meeting.

18.9 The supervisor determines if the employee’s performance has improved sufficiently to meet requirements in the specified areas, and forwards the progress report to the Dean for moderation and approval of the recommended rating of “meets performance requirements” or “below performance requirements”.

18.10 If a recommended rating of “meets performance requirements” is approved, then salary progress will take effect from the date of the progress meeting.

18.11 If a recommended rating of “below performance requirements” is approved, then salary progression will continue to be withheld.

18.12 If the supervisor’s recommendation is not approved, then the Dean shall inform the employee in writing.

18.13 If the employee has not made significant progress at the next annual review in relation to identified areas in need of improvement, then the supervisor should consult the Division of Human Resources for advice on implementing the “Guidelines on the Management of Unsatisfactory Performance”.

19 MANAGING UNSATISFACTORY PERFORMANCE

19.1 Unsatisfactory performance, which is defined as failure of an employee to meet, over a reasonable period of time, the standard of performance expected for the position occupied, may be detected through:

(a) supervisory monitoring of performance (e.g. the frequency and seriousness of errors made, repeated failure to meet deadlines or produce work of the desired quality, or team conflict directly related to an employee’s performance, behaviour or interpersonal skills);

(b) the frequency and seriousness of complaints received from others (e.g. clients or team members);

(c) the amount of coaching and/or counselling provided in relation to performance issues; and/or

(d) the amount of progress achieved following coaching and/or counselling.

19.2 Another way of determining unsatisfactory performance is through reviewing and rating performance as part of the Performance Management Scheme.

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19.3 If an employee’s performance is deemed to be unsatisfactory, then the supervisor should consult the Division of Human Resources for advice on implementing the “Guidelines on the Management of Unsatisfactory Performance”.

19.4 During the disciplinary period, performance management is suspended, and the employee is not eligible for any of the following:

(a) salary progression;

(b) a performance bonus;

(c) participation in CSU’s professional development schemes (NOTE: this does not exclude professional development activities that are appropriate to the management of unsatisfactory performance); and

(d) attendance at external conferences/seminars with University support.

19.5 The disciplinary process involves a specified timeframe for the employee to improve the areas of performance deemed to be unsatisfactory, followed by a formal review to determine whether or not performance requirements have been met.

19.6 The employee may participate afresh in the Performance Management Scheme when:

(a) a determination has been made that the performance problem has been resolved; or

(b) disciplinary action (excluding termination of employment) has been taken.

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Table of amendments

Version number

Date Short description of amendment

1.1 27/11/2001 Guidelines for general staff expanded from HEW levels 1-7 to 1-10.

2.0 21/102002 Information added about unsatisfactory performance for executive staff, Heads of School, middle managers and general staff.

Information added about duty statements for Heads of School, middle managers and general staff.

After the Meeting section expanded in guidelines for executive staff, Heads of School and middle managers.

3.0 18/8/2006 Guidelines completely revised.

Sub-clause 6.2 – review of the duty statement to occur before the performance management process.

Sub-clauses 6.3-6.4 – disposal authority for performance management records.

Information about identifying professional development needs, writing objectives, performance standards, performance rating, moderation, rewards, salary progression, improving performance, and managing unsatisfactory performance added.

Salary progression incorporated into the performance management process.

Sub-clause 15.6 – effect of Higher Duties Allowance on performance rating.

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