PERFORMANCE DEVELOPMENT & REVIEW GUIDE
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1 PERFORMANCE DEVELOPMENT & REVIEW GUIDE Version 1.0
2 Creating a high performance culture at the University of Canberra Performance Management Framework The University of Canberra (UC) is committed to creating a culture of high performance, to ensure that as an organisation we are collectively working towards the achievement of the objectives within our strategic plan. The below framework shows the strategic link between the performance processes at the university. The Performance Development and Review (PDR) process is one of the tools used within the university to drive high performance and align individual goals and organisational objectives. Figure [1]: The UC Performance Management Framework 2 Performance Development & Review Guide Version 1.0 Human Resources
3 An Overview of the Performance Development and Review (PDR) What is the purpose of the PDR? The UC PDR is an annual cycle to assist managers to align individual goals to the overall UC strategy and goals. The purpose of the PDR is to provide a process for managers and their team to improve work performance through: Ensuring that employees understand what is expected of them (in measurable terms) and how their individual work effort contributes to the University; Identifying development needs to build capability for an employee s current role, as well as for future career progression. Providing face-to-face feedback and coaching against role expectations so that all employees know how they are performing, and as a basis for improvement; and Providing fair and consistent assessment of work performance and a process to allow open and honest discussion about that assessment. What is the strategic link? As outlined above, one fundamental purpose of PDR is to ensure that individual goals align with the overall strategic goals of the university. The below image articulates how the strategic plan cascades through to individual PDRs. Why is PDR important? The PDR has been developed to assist managers in providing productive work environments conducive to high employee engagement and to ensure employees understand and undertake the work required of them. The PDR process is designed to provide answers to the following four (4) questions: 1. What is my role? 2. What is expected of me? 3. How am I going? 4. Where am I going? Clarity against these questions assists employees to be motivated and fully engaged with the University objectives. The PDR focuses on an employee s performance and development in their current role and seeks to identify areas for development for their future roles. 3 Performance Development & Review Guide Version 1.0 Human Resources
4 Who does the PDR apply to? The PDR is compulsory for the following UC employees: Full-time employees Part-time employees Fixed term employees (on contracts of 6 months or longer) Exceptions The below contract types do not undertake PDR under the policy however it is good management practice to ensure that all employees are set specific role objectives and performance measures. Contractors Casual employees Fixed term employees (engagement under 6 months) Who is responsible for PDR? PDR is a shared responsibility between an employee and their manager. It is up to both to ensure that performance expectations are clear and understood, and that they align with the goals of the University. The manager however is ultimately accountable for managing their employee s performance, by providing performance feedback both through the formal PDR process and through ongoing performance conversations. Employee responsibilities An employee is responsible for: being an active participant in the PDR process, their roles and their careers; ensuring they are aware of and understand what is expected of them and how their performance will be assessed; actively participating in the PDR conversation, and collaborating with their manager set SMART (see pp. 8 for definition) goals in line with the strategic objectives of the university. Manager responsibilities The manager is responsible for: ensuring that performance is managed in alignment with the strategic goals of the University; setting a clear line of sight between an employee s roles and responsibilities and what the University is trying to achieve; providing leadership and clear direction for the expected level of performance ; articulating how this will be achieved and assessed; providing ongoing feedback, development, and support to the employee 4 Performance Development & Review Guide Version 1.0 Human Resources
5 What are the performance expectations? Academic staff The expectations for Academic staff are outlined in the Performance Expectations for Academic Staff (PEAS) documents. This document breaks down the baseline requirements for satisfactory performance expected at each Academic level (A-E) and Academic type (e.g. teaching and research, teaching focused and researched focused). The PEAS are broken down into three focus areas: teaching and learning, research, and engagement. The PEAS have been developed by the Deputy Vice Chancellor Research (DVCR) and Deputy Vice Chancellor Education (DVCE) in consultation with the VCG and SMG. They have been benchmarked against other universities and identify the specific measures required to meet the objectives set out in our strategic plan. PEAS are a measure of performance over a three year period and as such each Academic staff member should demonstrate a level of forward planning for how they propose to achieve the objectives over the following three years. Professional staff The expectations for professional staff are found in their Position Description. In addition, each professional staff member is held accountable to four key objectives outlined in their PDR. These objectives cover: 1. business objectives 2. behaviours 3. people management and development 4. finance and sustainability Through the PDR process, professional staff members will be required to outline how they meet these objectives and develop SMART (see pp. 8 for definition) actions for building further capability in these areas. What does the cycle look like? Managing performance and providing feedback is not an isolated annual event. Rather, it is an ongoing process that takes place throughout the year. The PDR is designed to complement rather than replace or diminish regular communications between mangers and their employees about work performance. The PDR operates on a twelve month cycle with individual performance goals varying yearto-year based on University objectives as set out in the strategic plan and supporting plans. 5 Performance Development & Review Guide Version 1.0 Human Resources
6 What are the key process steps? The PDR includes the following seven key process steps: Step 1: Strategy Setting and Operational Plans Prior to the commencement of the PDR cycle, the Vice Chancellor (VC) and Executive review and determine the strategy and key organisational objectives for the next 12 months. Step 2: Context Setting Meeting The VCG meet with the Senior Management Group (SMG) to communicate and discuss the agreed outcomes. This includes University strategy, operational plans and key objectives for the next 12 months. This sets the context which enables clarity regarding the work goals applicable to their areas of accountability in the University for the next 12 months. Commencing with the VC and the University Executives, and cascading throughout the University, managers meet with their teams to communicate the agreed strategy, plan and objectives for the next 12 months. Step 3: Performance Planning (Goal Setting) Meeting Managers meet with their direct reports individually or in the case of Academics as part of a panel. During this meeting, each party will agree the specific measurable contribution that the employee will make and agree on a development plan to facilitate delivery of these goals and targets. Step 4: Progress Review Meeting Managers meet with each of their direct reports to ensure the agreed goals and targets remain relevant, to review their performance to date, and to identify any mid-cycle corrective actions required. Although having a progress review conversation is not a mandatory aspect of the PDR, it is highly recommended that at least one takes place. Step 5: Final Review Meeting Managers meet with each of their direct reports to review the team member s performance against objectives during the year. It is an opportunity for both the manager and the employee to recognise the degree to which the employee met performance objectives agreed during the Performance Planning (Goal Setting) Meeting and discussed at the Progress Review Meeting (where applicable). This final review meeting will ordinarily take place at the same time as the following year s performance planning meeting. Step 6: Finalise Ratings in the System At the end of the PDR cycle, each team member and manager confirms the conversation took place, records overall comments, and a final rating is entered into the PDR system. Step 7: Team Calibration Meeting Once Managers have completed all Final Review meetings, the VCG/SMG member convenes a Team Calibration Meeting with his/her direct reports. The purpose of this meeting is to help ensure a consistent and fair application of the rating process for all team members. 6 Performance Development & Review Guide Version 1.0 Human Resources
7 Performance Planning (Goal Setting) Meeting Why is planning important? To perform well, staff need to know what is expected of them. Well documented and mutually understood performance expectations can: Serve as an objective basis for conversations about performance; Enable staff to differentiate between acceptable and unacceptable performance; Increase job satisfaction because employees know what a job well done and success looks like; Inform employees about their manager s/university performance expectations; and Encourage an open, honest and trusting relationship between managers and employees. The PDR requires the manager and employee to determine the SMART actions and performance objectives that are to be achieved during the year. These actions and objectives must always relate back to specific performance expectations (e.g. PEAS) and must align with University objectives. What are performance outcomes? Performance outcomes express the results that an employee is expected to produce during the PDR Cycle. They help inform managers and employees where to direct efforts and resources to deliver on work area business plans and University objectives. SMART outcomes or actions Performance outcomes are most effective when they are: S pecific M easurable A ttainable R esult-oriented T ime-framed Exactly what actions and results is the employee expected to deliver Establish clear quantitative and qualitative measures of performance Objectives should be challenging but achievable Employee should be able to achieve expected results within resource constraints Results should be delivered within realistic timeframes in line with business needs 7 Performance Development & Review Guide Version 1.0 Human Resources
8 What are the behavioural expectations at UC? While achieving objectives is important, UC expects that every employee will do this in a way that is consistent with the behaviours outlined in the policy, Code of Professional Ethics for Staff at the University of Canberra. Additionally, PDR for professional staff now outlines a set of behaviours which all professional staff will be measured against. These behaviours include: Demonstrate commitment to diversity, treat all others with dignity and respect, and create an environment free from discrimination, bullying and other inappropriate behaviour. Act with integrity, performing all duties with professionalism, skill, care and fairness, and in accordance with University policy and relevant legislation. Abide by all work health and safety requirements established by legislation and University policy, and ensure that no unsafe areas or practices go unreported. Work collaboratively and engage with others, build productive working relationships and teams, and partner with staff from across the University to achieve business objectives. Provide a high level of customer service. What are some examples of SMART actions? The following table provides examples of performance objectives to assist managers and employees in developing and agreeing on individual objectives. These objectives are to be used as examples only - the type and variety of objectives will vary for each employee depending on their individual objectives and the contribution they need to make to the achievement of work area and organisational goals. Objective SMART Action Research income To achieve $50,000 in research income over the next 12 months through applying for [X] research grant. People management and development Develop a research plan and identify appropriate research grants to achieve an additional $100,000 in research income over the next two years. To demonstrate effective leadership behaviour in line with UC Leadership Capability Framework to ensure that the group functions as a cohesive and continually improving team. Success will be measured by: PDR processes conducted on time and for 100% of employees. 8 Performance Development & Review Guide Version 1.0 Human Resources
9 Objective SMART Action Employee engagement surveys with a minimum engagement result of [X]% (as compared to last result of X). Finance and sustainability To review and revise current business practices in A, B and C areas to improve operational efficiency and effectiveness by [date]. Success will be measured by client feedback obtained via a customer satisfaction survey to be conducted [date]. To pay all invoices acceptable for payment within supplier trading terms in [X]% of cases by [date], (compared to the current payment within trading terms rate of X%). Behavioural To reinforce values and behaviours in all people interactions during the review period. Success will be measured by feedback obtained from peers, team members and students intermittently during the review period. To proactively contribute to the induction and integration of new team members, including role modeling UC behaviours, during the review period. Success will be measured by feedback obtained from new team members and direct behavioural observation during the review period. 9 Performance Development & Review Guide Version 1.0 Human Resources
10 How are development needs determined? The employee and manager will also need to discuss the development needs of the employee during the PDR Cycle to successfully achieve their objectives in the current role and for future roles. When deciding what development approaches may be appropriate for an employee, consideration should be given to the 70/20/10 approach. This approach aims to ensure learning activities are successful and applied on the job, and recognises that people gain knowledge in different ways. Therefore: 70% of learning should occur on the job projects, shadowing, placements, secondments, job rotations, action learning 20% of learning should occur from others coaching, feedback, networks, mentoring, communities of practice, collaboration platforms 10% of learning should occur in a structured/formal setting workshops, webinars, online learning modules, elearning When determining the appropriate development plan, the following criteria should be satisfied for any agreed development activity: Compatibility of the activity with the employee s specific work performance objectives; Estimated likelihood of transfer of learning to the work situation; Available resources (including financial, time and people) for the proposed activity; and Employee-related factors which may impact upon the success of the activity. For example, will the employee be readily released to fulfil the development plan? Once development needs have been decided, the corresponding section on the PDR Form will need to be completed. Progress Review Meeting What is the purpose of the Progress Review Meeting? A Progress Review Meeting, although not a compulsory part of PDR is highly recommended and is designed to provide the manager with a formal opportunity to provide the employee with detailed feedback and discuss performance to date against objectives. This feedback is critical to the employee s continued success and motivation to deliver the highest level of performance. Once performance objectives are established, the manager will observe employee performance and check in with each of their employees regularly, providing constructive feedback. Managers are accountable for recognising and reinforcing strong performance as well as identifying and encouraging improvement where it is necessary. At the Progress Review Meeting, the manager will: 10 Performance Development & Review Guide Version 1.0 Human Resources
11 Meet with each of their direct reports to ensure the agreed goals and targets remain relevant; Review performance to date against the objectives and behaviours that were set at the Performance Planning Meeting; Identify and document any mid-cycle corrective actions Final Review Meeting What is the purpose of the Final Review Meeting? The Final Review Meeting takes place at the same time as the Goal Setting Meeting, and is designed to summarise the employee s contributions over the previous PDR Cycle. It is an opportunity for both the manager and the employee to recognise the degree to which the employee met the performance objectives set during the previous Performance Planning (Goal Setting) Meeting and discussed at the Progress Review Meeting (where applicable). At the Final Review Meeting, the manager will: Discuss their proposed assessment of the employee s work performance in relation to specific performance expectations and contribution over the current PDR Cycle; Identify and discuss key performance strengths, contributions made to the results of other team members, and areas for improvement; Seek feedback from the employee in relation to how the manager can support them in improving their performance; Rate the employee s performance in accordance with the rating scale included in the PDR Form; and Together with the employee, set the objectives for the coming year. How will performance be rated? Ratings should be given in accordance with the following scale and definition: Outstanding - performance that makes an exemplary contribution on all standards Significant - performance that makes a strong contribution on all standards Satisfactory - performance that meets minimum standards Borderline - performance that inconsistently meets minimum standards Unsatisfactory - performance that does not meet minimum standards 11 Performance Development & Review Guide Version 1.0 Human Resources
12 Team Calibration Meeting What is the purpose of the Team Calibration Meeting? Once Managers have completed all PDR conversations, a Team Calibration Meeting may be called to help ensure a consistent and fair application of the rating process for all team members. In preparation for the Team Calibration Meeting, managers should: Consolidate the PDR for each of their employees; and Recommend a proposed overall rating for each team member, exercising judgment in considering the scores and assessments made in providing an overall rating of performance. During the Team Calibration Meeting, the VCG/SMG and his/her direct reports will: Discuss the final rating proposals tabled by each direct report in an objective manner; Seek further information from the direct report in support of his/her final rating proposals as required; and Confirm the Final Ratings for all employees within the unit. Additional information What are the linkages to existing remuneration and incentive systems? The PDR is the foundation for managing performance in an employee s current role. The system informs decisions relating to annual salary reviews and is linked to: The Annual Remuneration Review process for all employees engaged under an individual contract of employment or management level common law contracts. The final performance rating achieved by the employee will inform decisions relating to remuneration movements. The Employee Bonus that applies to staff who are eligible for consideration for a bonus payment. The PDR rating of satisfactory or above is required to be eligible for consideration for a bonus payment. The Advancement provisions under the Enterprise Agreement. Incremental advancement through the salary points is dependent on satisfactory performance the achievement of a minimum final performance rating of satisfactory is required for an employee to be considered for incremental advancement. 12 Performance Development & Review Guide Version 1.0 Human Resources
13 What are the records management requirements? PDR is to be captured through HR Online and can be accessed by both the employee and their manager. Capturing PDR on HR online varies slightly for professional and Academic employees, so it is recommended that employees familiarise themselves with their specific process prior to commencing the PDR cycle. Professional staff will use an excel form to complete their PDR and are required to retain a copy of this, as well as provide a copy to Human Resources via at pdr@canberra.edu.au, please ensure you include employee name, business unit/faculty and year in the file name. Employees may also wish to keep information relevant to the PDR process on an e-portfolio e.g. Mahara, to access Mahara please visit the UC Website. Where can I find the PDR policy? The PDR Policy outlines the set expectations of UC employees in relation to PDR. The policy can be found on the policy database on the UC Website. Still need more information? More information about PDR including PDR templates, additional resources and FAQs can be found on the PDR section of the UC website. If you have any questions, please contact your HR Consultant. 13 Performance Development & Review Guide Version 1.0 Human Resources
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