HANDBOOK FOR MANAGERS/SUPERVISORS OF PROFESSIONAL/GENERAL STAFF

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1 HANDBOOK FOR MANAGERS/SUPERVISORS OF PROFESSIONAL/GENERAL STAFF

2 Section 1: Managing and Developing People at CSU... 3 Section 2: People Management, the Broad Structure... 3 Section 3: Principles... 4 Section 4: The CSU Employee Development and Review Scheme (EDRS)... 5 Section 5: Planning Cycle... 5 Section 6: The Role of the Manager/Supervisors of Professional/General Staff in Performance... 6 Section 7: The Role of Professional/General Staff in Performance... 6 Section 8: Maps of Employee Development and Review Scheme (EDRS)... 7 Section 9: Detailed Steps to Complete the CSU Employee Development and Review Scheme... 8 Prepare... 8 Meet... 8 Recognise... 8 Develop the New Future Work Plan... 8 Set Individual Objectives... 8 Professional Learning and Development Planning... 8 Experience, Exposure and Education - 70:20:10 Model... 8 Section 10: Things Not Going To Plan Section 11: Charles Sturt University Enterprise Agreement PAGE 2

3 Managing and developing people is one of the most rewarding and challenging aspects of a manager s or supervisor s role. It is an enabling function that encourages people to do the best job they can and to further develop their competencies and capabilities. Good people management requires managers/supervisors to have a range of well developed skills, a high level of self awareness and the ability to create a supportive working environment. Although some learning is achieved by trial and error and through on-the-job experience, managers/supervisors are strongly encouraged to build their skills using the available tools, seeking peer advice and support, and by using their manager s/ supervisor s feedback. The CSU Human Resources Liaison Teams provide just-in-time coaching and expert advice to assist managers/supervisors to work through new or challenging situations. They assist and provide coaching with processes and complex issues. There are learning and training packages available to managers/ supervisors at CSU, some leading to formal qualifications. In addition, resources and opportunities for coaching, mentoring and shadowing can be accessed to build competencies and expertise. People management is the overarching approach to working with staff. People management is an ongoing process and the goals are to: align everyone s work with CSU objectives fully develop people into their positions encourage individual planning of professional learning and development People management includes the processes of Induction, Probation, Formal Annual Review, Professional Learning and Development, Promotion and management of unsatisfactory performance with informal discussion and monitoring of work throughout the year. The annual formal meeting to discuss and review an individual s work and development needs is the Employee Development and Review Scheme (CSU Enterprise Agreement ). The management of unsatisfactory performance is addressed in the CSU Guidelines on the Management of Unsatisfactory Performance, The unsatisfactory performance process can be initiated at any time of the year and is separate from the Employee Development and Review Scheme (EDRS). PEOPLE MANAGEMENT INDUCTION PROBATION EMPLOYEE DEVELOPMENT AND REVIEW SCHEME UNSATISFACTORY PERFORMANCE PAGE 3

4 General Principles This handbook is based on the following principles: 1. The Employee Development and Review Scheme will be aligned with CSU organisational strategic objectives and priorities to encourage a culture of high performance that supports individual and organisational development: a. The CSU University Strategy and Initiative and Implementation Plans identify the University s organisational goals and objectives of the University, Division, Faculty and Section/School 2. The Employee Development and Review Scheme is a fair and equitable process, and should incorporate the principle of natural justice: a. CSU is committed to following policies and practices that do not discriminate against individuals on the basis of race, ethnicity, age, sex, marital status, pregnancy, disability, sexual orientation, transgender identity, responsibilities as a carer, religious or political affiliation The Employee Development and Review Scheme clearly articulates development expectations and provides ongoing feedback and support 4. Professional learning and development is a shared responsibility between individual staff, managers/supervisors and the University. a. Staff take an active role in their own ongoing professional learning and development. They practice and consolidate their learning in the workplace b. Managers/supervisors ensure staff can participate in planned professional learning and development activities, evaluate the impact of participation and provide a workplace environment that enables staff to practice and consolidate their learning. 5. The Employee Development and Review Scheme is undertaken in a professional manner and aligns with the University values. Our Values Collaborative we believe we are at our best when we work together with others to achieve mutual goals. Student centred we recognise that delivering an excellent student experience is central to our success. We listen to our students to understand their individual needs. We work to make a real difference in our students lives. Agile we recognise that our environment and the needs of our students, professions, communities and staff are constantly changing and we continually refine and adapt to these differing and changing needs. Agents of change we think differently and look beyond the obvious. We ask why and why not. We constantly strive for new and better ways to achieve our goals. We make things happen. Reliable we are consistent, trustworthy and dependable. We set realistic aspirational goals and we strive to achieve them. Inclusive we recognise that we achieve better outcomes when we embrace and respect the different views, cultural backgrounds and abilities of all staff, students, graduates and external communities. 1 CSU Code of Conduct for Staff, 2008 PAGE 4

5 The CSU Employee Development and Review Scheme is a component of people management. It is the annual process of formal work review, planning for the future and considering development needs and opportunities. The overall purpose of the CSU Employee Development and Review Scheme is to enhance the capability of the University by developing an employee s skill and knowledge to meet or exceed the performance requirements for their current position or to prepare them for another position or a more senior role that they may wish to pursue. The CSU Employee Development and Review Scheme provides a confidential supportive setting, free from distractions and interruptions, for employees and their manager/supervisor to discuss your progress and achievements in the last 12 months, and to plan for the next period. The CSU Employee Development and Review Scheme enables the staff member and their manager/supervisor to: reflect on work progress against last year s Performance Plan focus the work by evaluating performance against specific objectives review activity and outcomes of last year s development and learning plan discuss the Generic Responsibilities and expectations of all CSU staff identify key learning areas and issues discuss priorities and ensure they are balanced receive and provide constructive feedback reinforce or realign performance for the future agree on priorities and progress for the future identify future individual development needs to ensure optimal performance in the position align future development needs with the staff member s career pathway and aspirations. The CSU Employee Development and Review Scheme is undertaken in the first quarter of each year (January to March) for professional/general staff. The CSU Employee Development and Review Scheme is part of the University s planning and review cycle, which commences with the annual review of Faculty, School, Division or Centre portfolios and development of operational plans. These plans provide the basis for performance planning. Regular reviews throughout the year are required to monitor progress and to identify any potential performance issues at an early stage. Variations to this cycle: Formal meetings must be scheduled within four weeks of a staff member: (i) Completing probation so that the employee development and review process commences on a regular cycle (ii) Being appointed or seconded to another position within the University so that the Future Work Plan can be developed for the new position (iii) Commencing or returning after a period of extended absence so that the Future Work Plan can be updated. CSU University Strategy Faculty Plan and Objectives School or Unit Plan and Objectives Individual Plan and Objectives PAGE 5

6 In relation to performance, your role as a manager/supervisor is to: Provide reasonable workloads and performance goals for each staff member, starting at induction Coordinate the workloads and performance of the work groups or teams Monitor performance and provide positive, constructive and timely feedback throughout the year Document and store evidence of individual performance for each staff member throughout the year Address any performance issues as they arise Use the available tools, procedures and policies to guide the process. Seek advice from their manager/supervisor or from the Division of Human Resources sooner rather than later to support the process Progressively improve their people management skills and ensure skills are aligned with best practice. In relation to the CSU Employee Development and Review Scheme, the role of a manager/supervisor is to: Organise a formal Annual Employee Development and Review Meeting with each staff member at a mutually convenient time Provide each staff member with sufficient notice (at least two weeks) to complete the Employee Development and Review Report and prepare for the meeting Review the staff member s completed Employee Development and Review Report and add comments before the meeting Ensure the availability of resources for agreed developmental activities Conduct the meeting in a positive and constructive setting Arrange follow-up meetings, as appropriate Report on the collective development needs for the team to the Faculty/School/Division/Centre Facilitate the completion of the professional development plan. In relation to performance, the role of a staff member is to: Undertake a reasonable workload and meet performance goals Work in cooperation with the other members of the team to meet Faculty/School/Division/Centre objectives At some point each week, stop and consider your work and performance. Consider improvements that can be made and whether the development activities undertaken have improved your knowledge and skills Participate in regular discussion about your work and performance with your manager/supervisor Expect to receive regular feedback about your work and performance from your manager/supervisor Promptly discuss with your manager/supervisor, issues, events or concerns In relation to the CSU Employee Development and Review Scheme, your role as a staff member is to: Spend some time thinking about your work and performance over the last 12 months. Reflect on your progress, achievements and the challenges Spend some time reflecting on your work and performance for the next 12 months. Reflect on your aspirations and plans Spend some time reflecting on your development activities over the last 12 months. Reflect on the outcomes, your capacity and your future development needs Complete the Employee Development and Review Report and prepare for the Annual Employee Development and Review Meeting Participate in a formal meeting with your manager/supervisor at a mutually convenient time Participate in the EDRS meeting in a positive and constructive manner Request or participate in follow up meetings, as appropriate Use the current and agreed Employee Development and Review Report as a guide for your performance and development throughout the year. PAGE 6

7 Prepare for Formal Review Schedule meeting Review work objectives and progress Reflect on impact of development activities Think about desired work objectives, align goals to CSU Strategy and University Plans Identify professional development opportunities Utilise resources on HR website Ongoing feedback, coaching and monitoring Update Plan throughout the year Follow up actions, career and development planning conversations EDRS meeting Discuss achievements Reflect on work and development objectives Discuss desired objectives and Development Plan for coming year Finalise Plans Performance Plan Professional Development Plan PAGE 7

8 Timeframes Activity Annual Performance Meetings Notification to Division of Human Resources Staff ineligible for salary progression Salary progression for eligible staff 1. Prepare Throughout the year the manager/supervisor will monitor, document and store evidence related to individual performance. Prior to undertaking an annual Employee Development and Review meeting, manager/supervisor will undertake the following steps: Organise a meeting date suitable for you both and schedule a reasonable amount of time so that the meeting will not be rushed Provide a copy of the Annual Employee Development and Review Report at least two weeks before the scheduled meeting The staff member should complete the draft report, and return it to the manager/supervisor at least one week before the meeting. On receipt of the report the manager/supervisor will: General Staff From January to March By 30 April 1 June Write comments on the form, including appropriate amendments where necessary Identify specific examples or evidence from the relevant documents to support the comments Check the alignment of proposed plans with the objectives and strategic priorities of the Faculty, School Division or Centre Identify performance objectives, based on, classification level and position description 2. Meet It is important to provide a setting that will encourage free and open discussion. Welcome the staff member and explain the purpose and format of the annual review meeting. Base the discussion predominately on the staff member s responses and the written comments in the Employee Development and Review Scheme Report and the presented evidence. Ask open questions that encourage the staff member to present his/her points of view, listen attentively and with an open mind to clearly understand the staff member s views and proposed plans. It may become apparent that the staff member requires more information, clarification of an issue or a broader contextual understanding to fully align their position with the current Faculty/ School/Division/Centre and University requirements. The meeting is the opportunity to provide this clarification and readjust expectations and position specifics. You should: Ask about their own assessment of progress and encourage the acknowledgement of achievements with particular focus on performance in relation to objectives, duties and generic responsibilities. Discuss assessment of their work and performance link the work done by the individual staff member to team and organisational outcomes Recognise and provide positive reinforcement of performance and achievements Identify any key issues or foci arising for the staff member s new Future Work Plan Check that the proposed performance objectives and professional development activities for the new performance period are achievable, realistic in terms of time and budget, appropriate to the staff member s classification level, Position Description or career development aspirations and relevant to the needs of the Faculty, School Division or Centre and aligned with the direction of the University Ensure that the staff member clearly understands his/her duties, responsibilities and accountabilities, performance objectives and performance expectations The meeting also provides an opportunity to review the Position Description and ensure it accurately reflects the work being undertaken. Variations to this preparation: Staff at Level 3 or below may elect not to set performance objectives or to prepare a formal performance report. In these cases, performance will be reviewed against the Position Description. PAGE 8

9 Recognise The practice of recognising good performance is an important step in managing people. Recognition can have a significant impact on a staff member s performance, motivation and job satisfaction. When considering rewards, it is important to note that different people are motivated by different types of recognition. There are three levels of recognition at CSU: 1. Workplace Recognition Strategies 2. Faculty and Division Awards 3. Vice-Chancellor s Awards Further information on each of these processes can be located via the following Recognition website: 3. Develop the New Future Work Plan A Future Work Plan involves defining individual performance objectives for the coming year. It links individual success with the success of the team, and aligns with Faculty, School, Division or Centre objectives. The Future Work Plan: Establishes performance expectations and standards Clarifies the markers of successful performance. The purpose of individual objectives is to: Maintain and align individual objectives with organisational objectives Resolve problems that hinder performance Develop more effective and efficient ways 5. Professional Learning and Development Planning Through discussion and development of the Future Work Plan, the manager/supervisor and staff member discuss, identify and plan for development activities that meet individual and position needs. Considerations include: The desired level of performance The current level of performance Bridging the gap between the two levels The manager/supervisor and staff member identify development needs for the next 12 months. Professional learning and development activities should be focused on increasing the staff member s capability to perform in the current role, to meet the needs of any anticipated changes to the role or to prepare for a different role. The Employee Development Plan should: Build the staff member s competencies and capabilities required for the position Consolidate the staff member s existing competencies and capabilities used in the position Incorporate the staff member s career aspirations Include consideration of organisational needs such as succession planning and talent management. 4. Set Individual Objectives An individual objective is an agreed statement of expectation over a given time. Individual objectives align with the objectives of the Faculty, School, Division or Centre and University. Individual objectives can be developed by using the SMART method as a guide. SMART Objectives Specific Measurable Achievable Relevant Time based Objectives clearly specify intended outcomes Objectives identify the measures of progress and achievement Objectives are challenging but realistic Objectives align with the objectives of the Faculty, School Division or Centre and University Objectives identify the time frame to achieve the interim steps and the overall objectives. PAGE 9

10 70:20:10 Model of Professional Development To identify and plan development, it is important that a full range of development activities are considered. The Experience, Exposure and Education Framework, otherwise known as the 70:20:10 model can be used to identify development opportunities. A good Professional and Learning Development Plan will consider all components of the model. This ensures that the planned activities translate readily into workplace performance. 70:20:10 Model of Professional Development 70% Experience On the Job experience might include: Undertake a work based project and review it in depth Visit other workplaces or teams Nominate for a position on a Committee, either internally or in the community Talk to students and stakeholders to find out how you can better serve them Explore possibilities for a secondment Volunteer to lead a work activity or project 20% Exposure Learning from others might include: Meet with peers from other parts of the university to find out how you can work more effectively with them Identify positive roles models and observe their interactions with others Arrange coaching from someone with expertise in an area you want to further develop Join LinkedIn or Yammer and other networking groups Request a mentor 10% Education and Formal Learning Formal Learning might include: Online learning program Study for a formal qualification Workshops Conferences PAGE 10

11 All attempts to resolve performance problems in the first instance should be made in the workplace. It is critical that performance problems are addressed immediately. If problems arise during the meeting, the manager/supervisor and staff member can adjourn the meeting for a week and arrange a third person to be a part of the next meeting. The manager/ supervisor and staff member should agree on the third person. The role of the third person is supportive. They can be the staff member s mentor, a representative from the Division of Human Resources, another CSU staff member or another manager/ supervisor. The person should not act as an adviser, advocate, representative or delegate. In cases where the manager/supervisor thinks that the staff member has not met the objectives and responsibilities to the standard required, the manager/supervisor can contact the Division of Human Resources for advice on the appropriate action and for coaching. Addressing Unsatisfactory Performance Performance is described as unsatisfactory when it does not meet a given standard or does not reach the agreed objectives. It should be addressed when it is identified and not delayed until the next formal Employee Development and Review Scheme meeting. Unsatisfactory performance is managed over time. Following natural justice principles, the manager provides opportunities and support for the staff member to improve and meet the required standard. In the event that action is being undertaken or is initiated for unsatisfactory performance, staff will not be eligible for salary progression on the common anniversary date. Unsatisfactory performance management is not a punitive process. It identifies that there is a problem and that a more intensive response is required. Many people use the performance improvement plan to refocus their work and their performance. It is an opportunity to work with the staff member to get their performance back on track. Unsatisfactory performance is managed through a separate process outlined in the Guidelines on the Management of Unsatisfactory Performance. It is also outlined industrially in the CSU Enterprise Agreement PAGE 11

12 The University will provide professional/general staff and academic staff with access to employee development programs to enhance their professional development and performance, and to assist them to achieve their career aspirations. Such programs are funded both centrally and from organisational units across the University and both professional/general and academic staff may apply for access to such funding opportunities. (40.1) Schedule IV Employee Development and Review Scheme 1 General 1.1 The University will continue to provide an Employee Development and Review Scheme (EDRS) that incorporates processes of planning, monitoring, reviewing, improving and, where appropriate, recognising the performance of employees. 1.2 The processes outlined in 1.1 will be implemented in the context of the specified standard relevant to the employee s level of employment. 2 Objectives 2.1 The overall purpose of the EDRS shall be to enhance the capability of the University by developing an employee s skills and knowledge to meet or exceed the performance requirements for their current position or to prepare them for another position or a more senior role that they may wish to pursue. 2.2 The objectives of the scheme are to: (i) assist in the achievement of the goals and objectives of the University, Division/Faculty and Section/School (ii) align demonstrated capacities of employees with the University s mission and strategic priorities (iii) assist an employee to develop and perform to their full potential (iv) provide constructive feedback about performance and progress and recognise high performing employees for their positive achievements or contributions to the University (v) enable individual employees performance problems to be identified and addressed at an early stage (vi) improve or enhance employees work performance through identification of professional development needs and/or training needs for their current position or career development needs for a future position (vii) provide access to appropriate professional development activities for all employees, and (viii) to identify opportunities to enhance organisational support for the professional development of employees. 3 Responsibility 3.1 The Division of Human Resources shall be responsible for overseeing the EDRS policy, procedures, guidelines, forms and supplementary resources and for providing relevant advice, consultancy and training. 3.2 The Vice-Chancellor, Deputy Vice-Chancellors, Executive Directors (or equivalent) and Deans shall be responsible for implementing and monitoring the EDRS within the University or their respective Divisions and Faculties. 4 EDRS Process 4.1 Performance planning and review shall normally be conducted on an annual basis, and one (1) or more progress reviews may be held at regular intervals throughout the year. 4.2 The performance review cycle may be spread over a two (2) year period for academic employees who have reached the top of the salary scale and have a stable workload and are deemed to meet or exceed performance requirements. A short annual review for such employees for the purpose of determining or reviewing their workload allocation for the next twelve (12) months may still be necessary. 4.3 Employees shall be required to prepare, in conjunction with their supervisor, a performance report to review their performance and professional development over the past year and plan performance objectives and professional development for the coming year. 4.4 Employees at Level 3 or below may elect not to set performance objectives or to prepare a formal report, in which case their performance will be assessed against the duty statement for their position. Such employees may elect to develop and discuss a training plan for the upcoming year with their supervisor. 4.5 The EDRS process will: (i) review and/or update the employee s duty statement/ responsibilities (ii) set performance objectives and develop a work plan (including activities, resources and support) to achieve the performance objectives (iii) set professional development objectives and develop a plan (including activities, resources, support and leave entitlements) to achieve the professional development or training objectives (iv) review performance and professional development, and (v) provide feedback on overall performance in relation to the performance objectives and specified standard. 5 Participants 5.1 Each employee shall have a nominated supervisor for the purposes of the EDRS. 5.2 The employee along with the supervisor shall be responsible for completing the EDRS documents. 5.3 At the invitation of the employee, the employee s mentor or support person may participate in the EDRS process, PAGE 12

13 provided that the supervisor is given five (5) days notice. 6 Conflict Resolution If problems arise during the EDRS meeting, the supervisor or employee may adjourn the meeting and, should they so choose, arrange another employee, to be part of the interview. The EDRS meeting shall be reconvened with the additional person in attendance within one (1) week of the adjournment. 7 Access to and Use of Documents 7.1 Access to an employee s EDRS documents will be limited to the employee, the employee s supervisor, the employee s Executive Director (or equivalent)/ Executive Dean, and employees whose duties require them to have access to the documents for the purposes of administration of the scheme. 7.2 EDRS documents may be used constructively as supporting evidence when decisions are being made in regard to: (i) normal or accelerated salary progression (ii) awards such as the Vice-Chancellor s Awards for Excellence (iii) study/developmental leave; and Professional Experience Scheme (iv) participation in professional development activities, including secondment, staff exchange and job rotation (v) attendance at external conferences/seminars (vi) internal recruitment (vii) academic promotion (viii) workload allocation (ix) performance, and/or (x) any other matter by agreement. PAGE 13

14 This document is intended as a general guide. Information in this document is current as at December Published by: Organisational and People Capability Directorate, Division of Human Resources, CSU. The Commonwealth Register of Institutions and Courses for Overseas Students (CRICOS) Provider Number is 00005F for Charles Sturt University. Charles Sturt University, F4178.

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