Staff Development Procedure – Performance Development Process: Professional Staff

Title of Parent Policy

Staff Development Policy

Preamble

Monash University depends on its most important asset, its staff, to achieve its goal of becoming one of the best universities in the world (Monash Directions 2025). The University relies on the high quality outputs of its professional staff to deliver the ongoing efficiencies, innovations and support required to achieve the operational and strategic goals of the University. The performance development process for professional staff supports these objectives by:

1. encouraging a culture of continuous learning and performance improvements;
2. applying the principles of growth, feedback and accountability to the way that we work; and
3. demonstrating the University’s commitment to developing and retaining the talents of professional staff.

The performance development process is a planning and review cycle that supports staff to reach their full career potential through:

• the provision of professional development opportunities (growth);
• regular, meaningful performance conversations with their performance supervisor and a process of giving and receiving constructive feedback (feedback); and
• clearly identifiable and documented performance development plans that create an awareness of the staff member’s contribution toward faculty/divisional, campus and University goals (accountability).

The process operates on a 12-month planning cycle, from January to December, and is intended to be dynamic and interactive between staff and supervisors in order to encourage trust and regular, open communication.

The procedure applies to all continuing and fixed term professional staff (full-time or part-time, but excluding casual staff) HEW levels 1 to 9.

Staff on performance-based contracts may elect to use the Performance Development Online (PDO) tool to assist in their annual performance planning, with the approval of their supervisor.  However, by doing so the staff member acknowledges that:

• use of the PDO does not alter or diminish the staff member's obligations or the University's rights in relation to managing performance under the staff member's performance-based contract; and
• the annual review and any assessment of performance will be conducted in accordance with the performance-based contract.  The supervisor may use the information from the PDO when undertaking that annual performance review or in assessing performance.

Definitions

Achievement(s) relative to opportunity: is an evaluative framework in which the overall quality and impact of achievements is given more weight than the quantity, rate or breadth of particular achievements. Assessing achievements relative to opportunity involves giving consideration to circumstances, arrangements, career histories and overall time available to the staff member. This in turn allows appropriate evaluation of achievements in relation to:

• the quantum or rate of productivity,
• the opportunity to participate in certain types of activities, and
• the consistency of activities or output over the period of consideration.

Achievement relative to opportunity is a positive acknowledgement of what a staff member can and has achieved given the opportunities available and is not about providing “special consideration” or expecting lesser standards of performance.

Annual performance development cycle: the performance development process for professional staff aligns with the calendar year and runs from January through to December each year.

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.

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.

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: the head of unit/school/department/centre or director or equivalent 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.

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.

Mid-year review: occurs half-way through the annual performance development cycle (approximately May to August) and aims to provide the staff member and performance supervisor with the opportunity to document and discuss the achievements and progress of the staff member against the annual work goals and career aspirations and development goals identified in the staff member’s performance plan.

Performance Plan: is a plan that is prepared in PDO 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.

Performance Development Online (PDO): is an online performance planning tool that supports staff to manage the performance development cycle in a timely and consistent way. It is a hosted, web-based product that is easy to use, offers a secure repository for documentation and streamlines user data entry via SAP.

Performance 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.

Relevant personal circumstances: may include family responsibilities (for example child rearing, elder-care, illness of a partner or dependant), a temporary or permanent disability, relevant cultural expectations or circumstances, periods of part-time working and/or absences due to ill-health or injury.

Supervisor’s meeting: The head of unit meets with the supervisors to convey expectations and to clarify goals and objectives for the faculty/division/school/department/administrative unit for the coming year in the context of the faculty/divisional plan and other university plans. As part of the meeting they will reflect upon achievements and challenges of the past year against previously agreed goals.

Team planning: At the beginning of each planning cycle (or at the end of the previous cycle), members of the work group or team meet with their supervisor to discuss annual team outputs, priorities and goals. The team plan is a tool that informs and guides individual performance development plans.

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.

Requirements for performance supervisors

All designated performance supervisors are required to complete supervisor training in the Performance Development Process for Professional Staff in order to be eligible to authorise incremental progression.

The University recommends that performance supervisors access this training prior to meeting with any staff to complete their performance plans. The training requirements for performance supervisors are as follows.

• Supervisors must attend a supervisor workshop if they are new to a supervisory role, or if they have not previously undertaken performance development training, or if they have been directed to update their knowledge and skills in this area by their supervisor.
• Supervisors may attend the supervisor workshop if they have already completed training but would like refresher training.
• Experienced supervisors who have previously completed training in this area can contact the Staff Development Unit in Monash HR to discuss alternative training options.

Supervisors can book into the supervisor’s workshop via the Monash University Staff Development web page. Supervisors should contact their HR Business Partner if they are unsure of whether or not they should undertake performance development training.

Overview of Performance Development Process: Professional Staff

The annual performance planning cycle could commence as early as September each year with the supervisor meeting and team planning activities outlined below.

During the period from November to March, the staff member and the performance supervisor will meet to finalise the staff member’s previous annual performance plan (the end-of-year review) and to discuss and confirm the staff member’s annual performance plan for the year ahead.

The staff member and the supervisor will also meet mid-year (between May and August) to discuss the staff member’s progress towards the annual work goals and career aspirations and development goals identified in the staff member’s performance plan (the mid-year review).

The annual performance development planning cycle

Step 1. Supervisors meeting and team planning

Supervisor’s meeting

As early as September each year, the head of unit will meet with the supervisors to convey expectations and to clarify goals and objectives for the department, and division or work unit for the coming year in the context of the faculty/division plan and other university plans. As part of the meeting they will reflect upon achievements and challenges of the past year against previously agreed goals.

Team planning

The supervisor/s and their respective team members or work group meet to discuss and plan annual team outputs, priorities and goals in line with faculty/division plan and other university plans.

Step 2. End-of-year review and planning

In the period from November to March, the staff member and performance supervisor will meet to finalise the staff member’s previous annual performance plan and to agree on the annual work goals to be pursued during the forthcoming annual performance development cycle and the staff member’s career aspirations and development goals.

End-of-year review

The end-of-year review meeting is one of two review meetings conducted during the annual performance development cycle. The requirements for both of these review meetings are outlined below under the heading Conducting Review Meetings.

Developing an annual performance plan

The performance plan for the forthcoming annual performance cycle is developed by the staff member and then submitted to the performance supervisor for discussion and confirmation at the end-of-year review meeting.

Prior to this meeting the staff member should identify annual work goals for the year ahead and his or her career aspirations and development goals and record these in the performance plan.

The performance plan for professional staff consists of the following parts.

• Annual work goals: staff should identify between 5 and 25 annual work goals for the forthcoming annual performance cycle and the specific targets that would need to be achieved in order to meet these goals

• Career aspirations and development goals: in addition to identifying specific career aspirations and development goals, staff should identify the professional development activity or activities that would assist them achieve these goals, for example, training, mentoring or work experience requirements. Staff should also indentify the timelines in which they would aim to achieve the goals.

• Progress reports: prior to each review meeting, the staff member is required to summarise his or her achievements and progress towards the annual work goals and career aspirations and development goals identified in the performance plan. The performance supervisor will also provide a progress report following the review meetings.

• Overall comments and outcome: in this section additional comments can be made by the performance supervisor or the staff member in relation to the performance plan, including any relevant personal circumstances that will facilitate an assessment of the staff member’s achievements relative to opportunity. It is also in this section that the performance supervisor indicates whether the staff member’s performance is “satisfactory” or “not yet satisfactory” following both the mid-year and end-of-year review meetings.

• Position description: an updated position description reflecting the staff member’s current role and responsibilities must be attached to the plan.

It is good practice for supervisor performance development plans to contain a staff feedback component. Supervisors with responsibility for five or more staff may access a formal 360 feedback tool to seek feedback on their leadership strengths and development needs. Monash HR recommends psychometrically valid and reliable 360 feedback tools as stand-alone approaches, or supervisors may participate in 360 feedback as part of the University’s leadership development programs. Refer to the Leadership and Organisational Development web page and the Staff Development web page

Following the end-of-year review/planning meeting, the staff member will update the performance plan with any changes to the annual work goals and career aspirations and development goals that were agreed during the meeting and the supervisor may add in any additional planning comments, if necessary.

Step 3. Mid-year review

In the period May through to August, the staff member and performance supervisor will meet to discuss the staff member’s achievements and progress towards the annual work goals and career aspirations and development goals in the staff member’s performance plan.

The mid-year review is one of two review meetings conducted during the annual performance cycle. The requirements for both of these review meetings are outlined below under the heading Conducting Review Meetings.

3.1 Conducting review meetings

Prior to the review meetings

Review meetings must be convened mid-year (May to August) and at the end of the annual performance cycle. 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. In preparation for these review meetings, the supervisor and staff member will:

• schedule the meeting for a mutually suitable time and date, in a private location, free from interruptions; and
• reflect on the staff member’s progress towards and performance against the annual work goals and career aspirations and development goals.

At least two weeks in advance the staff member will:

• retrieve his or her performance plan;
• complete a self assessment of his/her own achievements and progress against each of the annual work goals and the career aspirations and development goals identified in the performance plan (the staff member’s progress report);
• include any informal feedback received during the previous six-month period and any other relevant information;
• where applicable, attach to the performance plan any documentation that is relevant to the staff member’s performance (eg. emails/letters of acknowledgement or completion of training certificates);
• consider any variations or additions to the annual work goals and career aspirations and development goals to reflect current or changing circumstances and record these in the plan; and

• record in the Overall Comments section any relevant personal circumstances to facilitate an assessment of the staff member’s achievements relative to opportunity.

3.2 During the review meetings

During the review meetings, the staff member and performance supervisor will discuss:

• the staff member’s progress report against each of the annual work goals and career aspirations and development goals identified in the performance plan;
• the performance supervisor’s observations of the staff member’s achievements relative to opportunity and progress towards the annual work goals and career aspirations and development goals;
• professional development opportunities for the staff member;
• any adjustments that may be required to the annual work goals or career aspirations and development goals of the staff member;
• any progress made by the staff member against any agreed improvement goals that are linked to managing unsatisfactory performance actions (refer to Staff Development Procedure - Managing Unsatisfactory Performance: Professional Staff);  
• any feedback on performance (supervisor) and support received or required (staff member); and
• whether the staff member has met the University requirements for training in Equity and Diversity (including the Equal Opportunity Online Training) and Occupational Health and Safety.

3.3 Following the mid-year review meeting

During or following the mid-year review meeting, the performance supervisor will:

• complete the supervisor’s mid-year progress report on the staff member’s achievements relative to opportunity and progress towards each of the annual work goals and the career aspirations and development goals;
• consider if any variations are required to the annual work goals or career aspirations and development goals of the staff member and record the variations in the progress report;
• record the outcome of the staff member’s performance as “satisfactory” or “not yet satisfactory”; and
• record any other supervisor comments or feedback in the relevant section of the plan.

For staff members whose employment anniversary date falls within three to six months of this review meeting, a “satisfactory” outcome will trigger incremental progression (where applicable).

Where the outcome is “not yet satisfactory”, the staff member will be given an opportunity to improve his or her performance in accordance with the provisions in Clause 65 of the Monash University Enterprise Agreement (Academic and Professional Staff) 2009. If the staff member’s performance does not improve and a decision is made to withhold the staff member’s increment, s/he may dispute the decision in accordance with the process set out in that clause (refer to Staff Development Procedure - Managing Unsatisfactory Performance: Professional Staff).

3.4 Following the end-of-year review meeting

During or following the end-of-year review meeting, the performance supervisor will:

• complete the supervisor’s end-of-year progress report on the staff member’s achievements relative to opportunity and progress towards each of the annual work goals and the career aspirations and development goals;
• record the outcome of the staff member’s performance review as “satisfactory” or “not yet satisfactory”;
• consider if further time is needed for the staff member to complete his or her plan and document this in the comments section of the plan;
• consider if changes to the staff member’s position description are required as a result of the end-of-year meeting and progress this appropriately; and
• record any other supervisor comments or feedback in the relevant section of the plan.

For staff members whose employment anniversary date falls within three to six months of this review meeting, a “satisfactory” outcome will trigger incremental progression (where applicable).

Where the outcome is “not yet satisfactory”, the staff member will be given an opportunity to improve his or her performance in accordance with the provisions in Clause 65 of the Monash University Enterprise Agreement (Academic and Professional Staff) 2009. If the staff member’s performance does not improve and a decision is made to withhold the staff member’s increment, s/he may dispute the decision in accordance with the process set out in that clause (refer to Staff Development Procedure - Managing Unsatisfactory Performance: Professional Staff).

When a performance plan is completed, the final plan will be sent to the staff member to acknowledge the completion of the plan.

Regular informal performance discussion and feedback

During the annual performance cycle and in addition to the formal review meetings outlined above, the supervisor and staff member will meet regularly and informally to:

• discuss the progress in achieving the annual work goals and career aspirations and development goals set in the current plan;
• discuss any support required by the staff member in order to meet the specified targets;
• where relevant, discuss and note updated goals to reflect the changes to faculty/division plans and priorities, including the update of relevant strategies to progress towards these goals.

Following the discussion, any changes to the staff member’s performance and development plan will be noted in the performance plan, including the reason for the agreed changes, and formalised during the next review meeting. A copy of the staff member’s performance plan will be retained by the supervisor and the staff member for the subsequent performance review meeting.

Responsibilities

Professional staff member

The professional staff member is responsible for:

• formulating his/her annual work goals and career aspiration and development goals and entering these into the performance plan;
• aligning his/her annual work goals with the Key Results Areas and Responsibilities in the staff member’s position description and the faculty/division and university plans and priorities;
• identifying professional and career development requirements;
• where necessary, divulging relevant personal circumstances to facilitate an assessment of achievement relative to opportunity;
• attending staff briefing sessions on the Performance Development Process: Professional Staff;
• completing all mandatory training including induction, online equal opportunity and occupational health and safety; and
• following this and all related procedures and policies.

Performance supervisor

The professional staff performance supervisor is responsible for:

• providing ongoing, regular and constructive feedback to staff;
• advising and coaching his/her staff on available development options;
• approving the staff performance development plans at the beginning of the annual performance cycle;
• ensuring that staff plans are aligned to the unit and university goals;
• ensuring that staff have completed induction and online training in Equity & Diversity and Occupational Health & Safety ;
• ensuring that the staff member has sufficient support and resources to progress the work goals and targets identified in the staff member’s performance plan ;
• meeting with the staff member to review performance and development progress twice a year;
• encouraging staff to divulge any relevant personal circumstance to facilitate an assessment of achievement relative to opportunity;
• reassuring the staff member that any personal information provided will be kept confidential and only used to help make a contextual and holistic assessment of the staff member’s achievements;
• providing progress reports on a staff member’s achievements and progress towards the annual work goals and career aspiration and development goals following the review meetings;
• authorising completed plans at the end of the annual performance development cycle;
• authorising incremental progression; and
• following this and all related procedures and policies.

Where a staff member has more than one supervisor, the nominated primary supervisor is responsible for consulting with the other supervisors of a staff member to determine the plan and review comments.

Performance supervisors must be adequately trained in the performance development process. This is vital to the success of the performance development process and also gives supervisor’s authorisation to recommend and sign off staff incremental outcomes.

Monash HR Responsibilities

HR Business Partner

The HR Business Partner is responsible for providing information to staff about available development activities.

HR Operations

HR Operations is responsible for processing staff incremental changes.

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;
• ensuring compliance of procedures with the University’s Enterprise Agreement;
• updating this procedure in consultation and communication with key stakeholders;
• ensuring leadership coaches and workplace relations consultants are kept up to date with the University’s performance development requirements; and
• generally providing advice and support with regard to the Performance Development Process: Professional Staff.

Related procedures

• Conduct and Compliance Procedure - Conflict of Interest (including Conflict of Interest in Research)
• Conduct and Compliance Procedure - Paid Outside Work
• Probation Procedure - Professional staff
• Staff Development Procedure – Managing Unsatisfactory Performance: Professional Staff
• Staff Development Procedure – Staff Study Support

Related enterprise agreement clauses

• Clause 52. General Principles
• Clause 54. Professional Staff Disciplinary Procedures
• Clause 56. Employment Related Grievance Resolution Procedure
• Clause 65. Professional Staff Performance Management Scheme

Related Documents

• Assessment of achievement relative to opportunity

Related links

• Performance Development Process for Professional Staff

Related forms

• Professional Staff Performance Development Plan 2011 [word]