Staff Development Procedure - Performance Development Process: Academic Staff

Parent policy

Staff Development Policy

Preamble

Monash University relies on the high quality teaching and research of its academic community to ensure that it provides the highest quality education for Monash students and performs research which is relevant and innovative.  The performance development process for academic staff supports these objectives by:

1. encouraging a culture of continuous learning and performance improvement;
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 academic staff.

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

• providing opportunities to develop through professional activities (growth);
• regular, meaningful performance conversations with their 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, campus and university goals (accountability).

The process operates on a three year forward planning cycle that allows annual adjustments for changing priorities and circumstances. The process is intended to be a dynamic and interactive one between staff and supervisors which encourages trust and regular, open communication.

The process is coordinated with the University's planning cycle to effectively align individual goals with faculty/University objectives.

All designated performance supervisors are required to complete supervisor training in the Performance Development Process: Academic Staff to be eligible to authorise staff incremental progression.

This procedure applies to all continuing, fixed term and probationary academic staff, including research only staff.

Definitions

Academic promotion: a process by which academic staff are promoted at Monash University based on merit.

Academic performance development plan: a planning template for academic staff to record three-year career and performance plans, strategies, annual achievement indicators and achievements. The template is available on the Human Resources Division web pages.

Achievement indicators: a detailed summary of the various indicators of performance outputs that demonstrate the achievement of or progress towards agreed goals in any given year.

Annual work allocation: a combination of self-directed and assigned tasks in research, education and service. The assigned proportion of an academic staff member's work may include, for example, teaching delivery and preparation for teaching, assessment, supervision and the necessary administrative work associated with teaching and research in a collegial environment.

Conflict of commitment: occurs when one interest of a staff member, which may, or may not be a private interest or non-University interest may harm or interfere with the productivity or involvement of that staff member in aspects of their University responsibilities. It may concern the staff member's distribution of efforts between employment obligations to the University and to outside activities. Conflicts of commitment can occur in research where the staff member's non-University activities harm or interfere with the staff member's research obligations.

Conflict of interest: refers to a situation where a conflict arises for an individual between two competing interests. These are often, but not exclusively, interests of public duty versus private interests. This refers to a reasonably perceived, potential or actual conflict of interest. Conflicts of interest can involve financial or non-financial interests of the staff member, and the interests of a business partner or associate, family member, friend or person in a close personal relationship with the staff member.

Feedback: the primary means for recognizing 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, where applicable, a person acting as his or her nominee. If there are no heads of unit within the faculty, a deputy dean or equivalent may be delegated the head of unit's responsibilities for the academic performance development process.

Incremental progression (and accelerated incremental progression): 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 and portfolio of evidence being accepted as satisfactory by the staff member's supervisor. 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. Incremental progression will not be authorised without supervisor sign off.

Intellectual property: any copyright work, circuit layout, eligible layout, design, patent, invention, confidential information, know-how, plant variety, trade mark or other insignia of origin, and any related right. Staff duty to engage in research during any performance period includes a duty to carry forward the fruits of the research - for instance to invent things in the course of research and to co-operate with the University to commercialise or to patent any invention(s). Staff must also assign any intellectual property or invention created in the course of employment with the University, to the University, from the date the intellectual property comes into existence. Note that under the Monash University Intellectual Property Regulation staff must not publish or otherwise disclose  any patent worthy discovery or invention or any intellectual property (other than copyright belonging to the staff member under the Monash University IP statute and regulations) until such publication is approved in writing by the Intellectual Property Officer or nominee.

Outside studies program (OSP): provides academic staff with a period of relief from normal University duties to carry out a cohesive program of scholarly work to enhance staff member's development and extend the body of knowledge in their chosen field. Encouragement is also given for programs which have an emphasis on course development, teaching improvement and innovation. This emphasis is not at the expense of the traditional research orientation of an OSP activity, but specifically recognises teaching-related projects as a legitimate and valued alternative. Approval may be given for a program where the sole or main purpose is to obtain a relevant formal higher degree, provided that the proposed program directly benefits the University, faculty and department concerned.

Paid outside work: work undertaken outside of a staff member's normal duties that may reasonably be construed as either university or private practice. Paid outside work requires prior written approval from the Dean. It may only be included as part of university practice where the University is party to the contract under which the work is undertaken.

Performance development portfolio: evidence or material that supports the staff member's claims of progress made and goals achieved such as awards received, articles published, teaching evaluation results, books written and any other relevant evidence.

Performance goals: are grouped into three areas of academic activity – research, education and service. Goals relating to research supervision may be documented under either the ‘research' or the ‘education' category, but not both.

Performance improvement: the process of personal and professional growth through targeted learning and development activities.

Probationary period: all new academic staff appointments at levels A to D at Monash University's Australian campuses are subject to probationary periods of 3 years. This is extendable by up to 24 months for staff employed on a full-time or part-time continuing basis of by up to 50% of the period of fixed-term contracts, whichever is the shorter. Probationary periods do not apply in cases of transfer, secondment, pre-retirement contracts, second or subsequent contracts unless the second or subsequent contract is for a position where the duties are substantially different; or to contracts for a period of less than six months.

Strategies: proposed programs, methods, projects or other courses of action developed for the attainment of a career and/or work goal.

Supervisor: the person who is responsible for managing the performance of a staff member. This will be the immediate academic line manager, unless the University nominates an alternative supervisor at level C or above. 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 primary supervisor.

Unsatisfactory performance: when a satisfactory level of performance is not sustained or the desired performance improvement is not achieved.

Overview

The performance planning cycle commences in September each year, however may be finalised as late as March at the discretion of the head of unit and in accordance with the operational planning activities and timelines set for each faculty/portfolio/campus/centre.

Step 1 Supervisors meeting

The head of school or department meets with the supervisors to convey expectations and to clarify goals and objectives for the school or department for the coming year in the context of the faculty 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.

Step 2 Annual performance development review and planning

The staff member and supervisor meet to: review achievements for the past 12 months; revise three-year career and performance goals; and plan strategies and achievement indicators for the coming year.

The timing of the annual review and planning meeting will be aligned with the University's planning cycle.

2.1 Prior to the annual meeting

In preparing for the annual meeting at least 3 to 4 weeks in advance, the staff member and supervisor will:

• schedule the meeting for a mutually suitable time and date, in a private location, free from interruptions; and
• reflect on performance and career progress during the past 12 months in the three key areas of research, education and service.

At least 2 weeks in advance the staff member will:

• retrieve his or her current Academic Staff Performance Development Plan or logon to the performance development online (PDO) system;
• record actual annual achievements and comments in the relevant sections of the current plan;
• collate relevant information for the performance development portfolio, including any mid-cycle feedback meeting outcomes;
• attach his or her performance development portfolio to the current plan;
• enter career aspirations, three-year performance goals, strategies, annual achievement indicators and annual work allocations into a new plan;
• ensure that the current and new plans are submitted to the performance supervisor with the performance development portfolio; and
• consider specific areas for giving or receiving feedback.

It is good practice for supervisor performance development portfolios to contain a staff feedback component. Supervisors with responsibility for five of more staff may access a formal 360 feedback tool to seek feedback on their leadership strengths and development needs. The Human Resources Division 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 management development web page.

When completing their own performance development plans heads of unit, deans, pro vice-chancellors, deputy vice-chancellors, campus directors and centre/institute directors will also record their leadership plans, strategies and indicators in the leadership section of the plan.

In addition, supervisors will:

• prepare to discuss career and development strategies;
• note which of their staff are subject to probationary periods;
• be aware of outstanding issues related to grievance and disciplinary procedures;
• have completed Equal Opportunity online training; and
• consider if they need to complete performance development training.

The University recommends that supervisors access training in the performance development process as follows.

• Supervisors must attend a half-day supervisor workshop if they are new to a supervisory role, or if they have not previously undertaken performance development / management training, or if they have been directed to update their knowledge and skills in this area by their supervisor.
• Supervisors may attend the half-day 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 Human Resources Division to discuss alternative options to the half-day workshop.

Supervisors can book into the supervisor's workshop via the Monash University Staff Development web page. Supervisors should contact their faculty Human Resources representative or the Human Resources Division if they are unsure of whether or not they should undertake performance development training.

2.2 During the annual meeting

Supervisors will facilitate the annual review and planning discussion.

In reviewing the past 12 months, the staff member and supervisor will:

• discuss career aspirations and development strategies;
• discuss achievements and progress towards the three year goals;
• discuss contributions made to faculty and University key performance indicators (KPI's);
• discuss progress in relation to probationary appointment where relevant, refer to Probation and Confirmation of Appointment procedure for academic staff;
• discuss progress against any agreed improvement goals that are linked to managing unsatisfactory performance actions (Refer to Staff Development Procedure - Managing Unsatisfactory Performance: Academic Staff)
• give feedback on performance (supervisor) and support received (staff member);
• ensure that the staff member has met the University requirements for training in Equity and Diversity and Occupational Health and Safety;
• ensure that the staff member has completed Equal Opportunity online training;
• discuss intellectual property, patent worthy discoveries or inventions to ensure compliance with the Monash University Intellectual Property Regulations; and
• review any outstanding issues related to Conduct and Compliance Policy and procedures such as conflict of interest and paid outside work activities.

* Note that the supervisor must address performance issues related to disciplinary procedures in accordance with Clauses 50 & 51, Monash University Enterprise Agreement (Academic and General Staff) 2005.

In planning for the next three year period, the staff member and supervisor will:

• discuss career goals and objectives for the coming three years;
• agree to three year performance goals, strategies and annual achievement indicators, linked to faculty / University goals and KPI's (refer to Planning at Monash University web page);
• agree to professional development goals, including those in relation to academic promotion and the outside studies program;
• agree to annual work load allocation within the maximum allocated hours limit; and
• schedule a mid-cycle feedback meeting (usually about 6 months after the annual planning meeting).

When the review and planning meeting is over the staff member will make any changes required to their performance development plan.

2.3 Following the annual meeting

When the review and planning meeting is over the supervisor will:

• consider if further time is needed for the staff member to complete his or her plan;
• inform the staff member of their recommendation in relation to incremental progression, accelerated progression or review for tenure;
• consult with the head of unit about staff appointments that are at the end of their probationary period; and
• record supervisor comments in the relevant section of the plan.

When the plan is completed the supervisor will:

• sign the completed plan and ensure that it is signed by the staff member; and
• forward the completed and signed plan to the relevant head of unit; or
• if using PDO system, submit the plan to the next stage.

The head of unit will:

• review completed plans, adding comments as appropriate;
• follow up with the supervisor on any issues that require further action or clarification; and
• ensure that the relevant faculty/campus HR area is advised of incremental progression outcomes.

Where an increment is withheld, the staff member may dispute the decision in accordance with the process set out in Clause 53, Monash University Enterprise Agreement (Academic and General Staff) 2005.

Where hard copy plans are used, the head of unit will:

• sign and date the plans to indicate approval and
• return signed copies of the plans to the supervisor and staff member.

If using the PDO system, the head of unit will submit the plan onto the next stage.

Step 3 Mid-cycle feedback meeting

The staff member and supervisor give and receive feedback on progress made toward goals set in the annual meeting, and review and revise plans as appropriate. These meetings are compulsory for staff members subject to a probationary period.

3.1 Prior to the mid-cycle meeting

In preparing for the meeting at least 2 weeks in advance, the staff member and supervisor will reflect on performance and progress over the past 6 months.

The staff member will:

• revise relevant information collected for the performance development portfolio; and
• consider specific and priority areas for giving or receiving feedback and advise their supervisor.

Supervisors will note which of their staff are subject to probationary periods.

3.2 During the mid-cycle meeting

In reviewing the past 6 months, the staff member and supervisor will:

• discuss progress toward each annual achievement indicator;
• discuss progress in relation to probationary appointment (where relevant);
• discuss other strategies to support the achievement of performance goals and career aspirations;
• review suitability of goals in light of changing circumstances;
• give feedback on general performance (supervisor), support and development (staff);
• discuss intellectual property, patent worthy discoveries or inventions to ensure compliance with the Monash University Intellectual Property Regulations;
• review as relevant, any outstanding issues related to conduct and compliance policies such as conflict of interest and paid outside work;
• record summary comments; and
• agree on the next annual review and planning meeting date.

Following the meeting the staff member and supervisor will ensure that any agreed variations are recorded in the staff member's performance development plan.

In addition the supervisor should confirm, terminate or extend staff appointments that are at the end of their probationary period as set out in Clause 55, Monash University Enterprise Agreement (Academic and General Staff) 2005.

Step 4 Performance development portfolio

The staff member collects a portfolio of documents throughout the year to present for review at the performance development meetings. These may include a range of documents that can be used to substantiate staff performance and achievements, including:

• current research activities
• publications
• grants
• an up-to-date curriculum vitae
• MonQueST and unit evaluations
• peer reviews
• testimonials
• written feedback
• awards or other forms of recognition.

Responsibilities

Academic staff

The academic staff member is responsible for:

• completing their own performance development plan;
• aligning their annual and 3 year goals to the university's objectives for research, teaching and service excellence;
• maintaining an up-to-date portfolio of evidence to substantiate performance, promotion and probation;
• actively seeking opportunities for professional development;
• initiating evaluations through the Centre for Higher Education Quality (CHEQ);
• attending staff briefing sessions on the Performance Development Process: Academic Staff;
• completing all mandatory training including induction, online equal opportunity and occupational health and safety; and
• following this and all related procedures and policies.

Academic supervisor

The academic performance supervisor is responsible for:

• providing ongoing, regular and constructive feedback to staff;
• advising and coaching their staff on available development options;
• approving the staff performance development plans;
• 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 ;
• allocating and monitoring staff workloads, ensuring that they don't exceed maximum limits;
• meeting with the staff member to review performance and development progress annually and mid-cycle;
• signing completed plans at the end of the annual review period;
• authorizing 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 development 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 authorization to recommend and sign off staff incremental outcomes.

Head of unit

The head of school / head of department is responsible for:

• taking a leadership role in developing the school or department's strategic and operational planning and managing the school/department to achieve its strategic direction and goals;
• approving their unit's academic staff performance plans;
• providing clear direction to staff and supervisors on expected deliverables and annual indicators for the unit;
• providing guidance for improving the effectiveness of teaching, research and service outcomes;
• monitoring and evaluating the school/department's teaching, research and community engagement activities in relation to comparable schools/departments both within and outside the University;
• ensuing that the unit's performance development supervisors have attended a performance development workshop for supervisors (where appropriate);
• mentoring academic staff as required; and
• signing and approving completed reviews and incremental increases.

Human Resources Division

Human Resources Division is responsible for:

• scheduling of workshops for supervisors in the Performance Development Process: Academic Staff;
• providing information to staff about available development activities;
• maintaining a list of supervisors who are authorised to approve staff incremental progression;
• processing staff incremental changes;
• maintaining this procedure and related procedures and documents;
• ensuring compliance of procedures with the University's Enterprise Agreement (EA);
• 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: Academic Staff

Centre for Higher Education Quality (CHEQ)

CHEQ is responsible for providing a range of evaluation services including Monash Questionnaire Series on Teaching (MonQuest) and unit evaluations that can be used by an academic staff member as evidence for a development portfolio. Refer to Centre for Higher Education and Quality (CHEQ) web page

Research Office

The Monash University Research Office is responsible for the provision of the Researchers Online Projects Enquiry System (ROPES), used to help pull together the various data required for tracking an individual's research activity. Refer to Information for Monash Researchers web page

Related procedures

• Conduct and Compliance Procedure - Conflict of Interest (including Conflict of Interest in Research)
• Conduct and Compliance Procedure – Paid Outside Work
• Probation and Confirmation of Appointment procedure for academic staff
• Staff Development Procedure – Managing Unsatisfactory Performance: Academic Staff
• Staff Development Procedure – Outside Studies Program
• Staff Development Procedures – Academic Promotion for Candidates Level B
• Staff Development Procedure – Academic Promotion for Candidates Levels C-E

Related enterprise agreement clauses

• Clause 50
• Clause 51
• Clause 53
• Clause 55

Related documents

• Conduct and Compliance Policy
• Monash University Intellectual Property Regulations

Related forms

• Academic Staff Performance Development Plan