Staff Development Procedure - Managing Unsatisfactory Performance: Professional Staff

Parent policy

Staff Development Policy

Preamble

The University is concerned to support staff members in their performance and development by providing the tools and support that will enable staff to reach and maintain expected performance standards. However, the University will take appropriate disciplinary actions where a staff member’s performance does not accord with expected standards.

This procedure covers the management of staff where a supervisor is of the view that the staff member's performance is not satisfactory, in accordance with clause 65.11 of the Monash University Enterprise Agreement (Academic and Professional Staff) 2009 (“the Enterprise Agreement”).

In this situation, the supervisor may counsel the staff member in accordance with the requirements of this procedure, including identifying the nature of the improvement required and the time within which reasonable improvement can be expected. Supervisors with concerns about the conduct of staff, as opposed to their performance, should refer to Conduct and Compliance Policy and related procedures.

This procedure is based on the principles of procedural fairness and natural justice as set out under clause 52 of the Enterprise Agreement and operates in conjunction with the provisions of clauses 54 and 65.

This procedure applies to all continuing and fixed term professional staff employed at Monash University’s Australian campuses.

Definitions

Annual work goals: are indicators identified by a staff member (and confirmed by the performance supervisor) as necessary for the staff member to achieve in order to meet the Key Results Areas and Responsibilities identified in the staff member’s Position Description.

Career aspirations and development goals: are specific professional development aspirations identified by the staff member (and confirmed by the performance supervisor) as necessary for the staff member’s professional growth and career development through targeted learning and development opportunities.

Counselling : a process in which the supervisor may advise the staff member about aspects of his/her performance that are giving rise to concern. The counselling process is concerned to identify what the issues under advisement are, to examine options for change and to point to ways in which the staff member may improve their performance. The counselling process also provides an opportunity for the staff member to furnish to the supervisor information about aspects of their performance, or about the context or contributing factors that are impacting on their behaviours. Counselling may occur in the context of or arising from the disciplinary process described at clause 54 of the Enterprise Agreement or the performance management process described at clause 65 of the Enterprise Agreement, in accordance with the applicable clause and with relevant University policy and procedures.

Disciplinary action: action by the University to discipline a member of professional staff including unsatisfactory performance, misconduct or serious misconduct, and may entail the following measures: reprimand or counselling; transference to another position within the University (as determined by the University); withholding of an increment; suspension from the University; and/or dismissal as described at clause 54 of the Enterprise Agreement.

End-of-year review: occurs at the completion of the annual performance development cycle and aims to provide the staff member and performance supervisor with an opportunity to document and discuss the achievements of the staff member during the preceding annual cycle against the annual work goals and career aspirations and development goals identified in the staff member’s performance plan.

Faculty or Divisional Cluster: refers to a cluster of Faculties and/or administrative Divisions that is serviced by a particular HR Service Hub. The Faculty or Divisional Clusters at the University are (1) Central Portfolios & PVC Gippsland, (2) Research & Information Services, (3) Social Sciences & Creative Arts, (4) Engineering & Sciences, (5) Arts, Education & Law and (6) Biomedical Sciences.

Feedback: the primary means for recognising good performance and for redirecting performance that needs improvement. Feedback is an ongoing activity that is usually information based, regular, immediate, informal and verbal. It is used to build trust and relationships in the workplace.

Head of unit: head of an academic or organisational work unit, for example Head of School, Head of Department or where applicable, a person acting as his or her nominee.

HR Business Partner: is a member of the Monash HR community who operates as a strategic partner responsible for providing a range of human resources services for an assigned Faculty or administrative Division. HR Business Partners are located within a HR Service Hub.

HR Service Hub: is the centre for human resources services and activities within a Faculty or Divisional Cluster.

Incremental progression (and accelerated incremental progression): with the exception of those on performance based contracts, staff employed at Monash University’s Australian campuses are entitled to salary increases through incremental progression. These will be based on the staff member’s performance being assessed as satisfactory by the staff member’s supervisor through the performance development process. Consideration is given to accelerated or additional increments where it can be clearly demonstrated by the supervisor that the staff member has exceeded the required performance level.

Performance plan: is a planning tool that is prepared by the staff member and confirmed in a meeting with the performance supervisor at the commencement of the annual performance development cycle. It records the annual work goals and career aspirations and development goals for the staff member’s year ahead and the specific targets and progress towards achieving those goals. The performance plan forms the basis for performance conversations at any stage of the annual performance development cycle including formal mid-year and end-of-year reviews and any regular informal performance discussions.

Supervisor: the person who is responsible for managing the performance of a staff member. This will be the immediate line manager, unless the University nominates an alternative supervisor. The supervisor must be trained to effectively perform his or her role in the performance development process. Where a staff member has two or more supervisors, one should be nominated as the performance supervisor.

Unsatisfactory performance: when a staff member’s performance is assessed as “not yet satisfactory” during either the mid-year or end-of-year review and for a sustained period or the desired performance improvement has not been achieved.

Regular Discussion and ongoing informal feedback

The performance development process at Monash University encourages a culture of continuous improvement. Supervisors are required to formally meet with their staff members twice per year to review achievement of goals and provide feedback on performance based on self assessment and discussion with the supervisor. In addition, supervisors are encouraged to meet informally and regularly with their staff throughout the performance cycle (see Staff Development Procedure - Performance Development Process: Professional Staff)

Regular and informal feedback is crucial to achieving positive performance development. Informal feedback meetings should be conversational and a two-way exchange of information shared in a supportive environment. Examples of informal meetings and feedback opportunities include:

• holding impromptu discussions,
• weekly or fortnightly one-on-one catch ups,
• discussing problems and challenges and finding solutions,
• informally discussing goal achievement,
• seeking input from staff, and
• brainstorming sessions on how to progress goals.

Regular and informal feedback sessions are an opportunity to raise problems or concerns regarding a staff member’s performance and/or behavior at an early stage, and allows for strategies to be put in place to resolve these concerns prior to formal meetings within the cycle and prior to formal counselling. It is recommended that the supervisor maintain a written record of these conversations (preferably by using the Notes function in the Performance Development Online (PDO) system).

Monash HR’s Staff Development Unit offers training on giving and receiving feedback. This training is available for both supervisors and staff.

Formal review meetings

In accordance with the University’s performance development process for professional staff, formal review meetings must be convened mid-year (in the period May to August) and at the end of the annual performance cycle (in the period November to March). Performance supervisors must ensure that either of these review meetings is held at least three (3) months and no more than six (6) months prior to the staff member’s increment due date or anniversary of the last incremental advancement for professional staff who are at the top of their increment scale.

The staff member and supervisor are both required to include progress reports of a staff member’s progress towards annual work goals and career aspirations and development goals as well as overall comments on the staff member’s performance. Supervisors are encouraged to use this opportunity to formally record any observations that a staff member is not meeting his or her performance expectations. Confidential notes can be made in the PDO system by using the Notes function, if preferred.

Withholding Increments and Performance improvement

Where a staff member has not made satisfactory progress towards meeting goals set in the performance plan, and where, in the opinion of the supervisor, a staff member’s overall performance is regarded as “not yet satisfactory” at either the mid-year review or the annual review, the supervisor will arrange for a counselling discussion with the staff member.

During this discussion the supervisor will:

• outline how the staff member is to achieve the expected performance standard;
• provide a time frame for when the standard must be achieved; and
• discuss the resources that may be available to assist the staff member meet the standards, (e.g. professional development opportunities).

The performance standards required should be reasonable and reflect the genuine needs and requirements of the position.

The counselling discussion will also confirm that the staff member may be subject to further disciplinary action if the staff member does not meet the required performance standard within a specified timeframe.

The discussion should be a two-way dialogue between the staff member and the supervisor. During the discussion the staff member is able to:

• ask questions of the supervisor;
• provide information about his or her performance(including mitigating factors); and
• to request assistance in meeting required standards where such assistance is available and suitable for the purpose.

At the end of the counselling discussion the staff member should have a clear understanding of:

• her or his level of performance (as assessed by the supervisor);
• how s/he is failing to reach the required performance standard;
• what is required of him or her to meet the required performance standard; and
• the period of time in which performance is expected to improve.

The supervisor will keep a record of the counselling discussion and provide a copy to the staff member. In addition, the supervisor will ensure that relevant goals, strategies and achievement indicators are reflected in the staff member’s performance development plan.

Following the counselling discussion, the supervisor will monitor the staff member’s performance and will keep the staff member informed about how s/he is progressing in meeting the required standard.

At the conclusion of the set period of time in which performance was to have improved, and no later than one month prior to the increment falling due, the supervisor (and where necessary, the relevant HR Business Partner or Workplace Relations Consultant) should meet with the staff member and advise whether their performance is now satisfactory. If performance is satisfactory, the staff member will be advised that the increment will be paid at the due date.

In the event that the staff member’s performance is still not satisfactory the staff member will be advised in writing of the reasons that an increment will be withheld in accordance with clause 65.12 and 65.13 of the Enterprise Agreement.

Further disciplinary action

If the supervisor considers that no substantial improvement has occurred and that counselling has not produced the desired improvements in performance, the supervisor should consult with the head of unit and the relevant HR Business Partner to determine whether further disciplinary action is required. The HR Business Partner will in turn consult with the Workplace Relations Consultant assigned to their HR Service Hub.

If all parties agree that the staff member’s performance is unsatisfactory, the supervisor, with the assistance of the HR Business Partner and Workplace Relations Consultant, will engage in a formal unsatisfactory performance disciplinary process in accordance with clause 54 of the Enterprise Agreement.

Responsibilities

Staff member

Staff members have a responsibility to perform their work to a standard that is acceptable to their supervisor and which conforms with the accepted work performance policies, objectives, and accountabilities of the work units in which they are engaged.

Where staff members are deemed not to be performing to the accepted standard they have a responsibility to:

• use their best endeavours to quickly reach and maintain the standard;
• inform their supervisor of any matters that are affecting their ability to perform to an acceptable level; and
• participate fully in any measures that the University considers are suitable in assisting the staff member to attain and maintain acceptable work performance standards.

Supervisor

The supervisor is accountable to the University for:

• the performance and conduct of those whom they supervise; and
• ensuring that staff members understand the standards of performance that apply to the work that they are given.

Where a staff member’s performance is not to the standards that have been set, the supervisor has a responsibility to:

• inform the staff member of this as soon as it is practicable and to discuss with the staff member in a counselling session why performance is not to standard;
• work with the staff member to determine what the issues are and the actions required to improve performance to the acceptable level within a specified timeframe; and
• ensure that the resources and measures that have been identified as being a part of the improvement program are accessible to the staff member in a timely fashion.

Where the staff member persists in not meeting the standards of performance expected by the University, or is not moving satisfactorily towards meeting those standards, the supervisor has a responsibility to:

• advise the staff member about the possible disciplinary actions that may be taken; and
• provide information to the head of the unit and the HR Business Partner about the staff member’s performance issue.

The head of unit

The head of unit is responsible for:

• reviewing the issues and facts after an allegation of unsatisfactory performance has been made by the supervisor; and
• ensuring that the supervisor has followed procedures, including counselling.

Monash HR Responsibilities

HR Business Partner

The HR Business Partner is responsible for:

• ensuring that the supervisor has followed University procedures, including counselling with regard to managing unsatisfactory performance; and
• providing procedural advice and support to the head of unit and the supervisor with regard to managing unsatisfactory performance.

Staff Development Unit

The Staff Development Unit is responsible for:

• scheduling workshops for supervisors in the Performance Development Process: Professional staff; and
• maintaining a list of supervisors who are authorised to approve staff incremental progression.

Workforce Policy and Performance

Workforce Policy and Performance is responsible for:

• maintaining this procedure and related procedures and documents;
• updating this procedure in consultation and communication with key stakeholders; and
• generally providing advice and support with regard to Managing Unsatisfactory Performance: Professional Staff.

Workplace Relations

Workplace Relations is responsible for ensuring compliance with the unsatisfactory performance and disciplinary action provisions in the Enterprise Agreement.

Related procedures

• Conduct and Compliance Policy
• Staff Development Procedure - Performance Development Process: Professional Staff

Related Enterprise Agreement Clauses

• Clause 52. General Principles
• Clause 54. Professional Staff Disciplinary Procedures
• Clause 65. Professional Staff Performance Management Scheme