For Area Managers, Heads of Schools, Branch Heads, Supervisors. Managing Performance A guide to managing unsatisfactory performance
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1 For Area Managers, Heads of Schools, Branch Heads, Supervisors Managing Performance A guide to managing unsatisfactory performance
2 Purpose of the Guide This Guide aims to provide you (Area, Heads of School, Branch Heads, Supervisors) with assistance to successfully manage performance, particularly so you can act appropriately in circumstances where: employees need support in order to achieve expected standards of work; concerns about performance need to be brought to the attention of a staff member; swift and informal resolution of difficulties is possible; investigation of unsatisfactory performance is required; formal disciplinary action is necessary. The objective of dealing promptly with unsatisfactory performance is, wherever possible, to raise work performance to a satisfactory level. In cases where this is not achievable, the aim is to reach agreement with the staff member concerned on a mutually acceptable way forward, such as transferring or redeploying the staff member to a position at the same or lower classification level. This guide is for managing performance under the University of Adelaide Enterprise Agreement (as amended or replaced) and reaffirms to the University community that a supervisor must take reasonable steps to resolve instances of unsatisfactory performance by one (1) or more of the following; guidance, counselling (including information counselling), appropriate staff development, or work allocation prior to commencing a formal process under the Enterprise Agreement. Where it is necessary to implement disciplinary action the objective is to do so fairly and in accordance with the Enterprise Agreement. An Overview of Unsatisfactory Performance Overall, managing performance is a method of ensuring that staff activities and outcomes are congruent with the University s and its respective area s strategic objectives. Left unattended, unsatisfactory performance can result in an individual perceiving that their skill, knowledge and/or behaviour are acceptable. This then has the potential to create two issues: 1. the individual does not accept that there is a performance issue (as they are continuing to work as they always have) and 2. The supervisor will have to dedicate considerably more of his/her or others resources to resolving the issue(s). Where there are issues with a staff member s performance it is recommended that: Disciplining staff should be a last resort; Every effort should be made to resolve instances of unsatisfactory performance informally before escalating the issue by one or more of the following: guidance, counselling, appropriate staff development or work allocation; Issues should be dealt with in an equitable manner. The unsatisfactory performance process cannot be used: for probationary staff members or casuals; to deal with staff complaints; to deal with issues of misconduct or serious misconduct. The University of Adelaide 1
3 Procedural and Substantive Fairness All staff members have a right to procedural fairness in their dealings with the University. To minimise the risk of an allegation of harsh, unjust or unreasonable treatment supervisors should be guided by the following general principles: There must be a substantial basis for an allegation of poor performance. Staff members should be personally advised of the time and reasons for any meeting to discuss performance and formal written confirmation promptly provided. Supervisors should avoid acting in any way that may be perceived as officious or unfair. The counselling process must provide the staff member with fair and reasonable treatment. Counselling should take place in a private place and arrangements made to ensure there are no interruptions. The staff member should be offered the opportunity to have a representative present, if they so choose. The staff member must be advised that the performance counselling will be conducted in accordance with clause 8.1 Unsatisfactory Performance in the University of Adelaide Enterprise Agreement (as amended) Discussions should commence with clear statements of the nature of the issue(s). Generalisations must be avoided and any alleged unsatisfactory performance, conduct or behaviour must be clearly identified and be supported with evidence. The supervisor should ensure that the counselling process allows reasonable discussion of the issue(s) without allowing it to degenerate into argument or debate. The pace should allow time for both parties to fully examine and discuss information, evidence and the facts presented. Should facts emerge that require further investigation the supervisor may consider adjourning the meeting and reconvening later. The staff member should be allowed the opportunity to fully respond to all allegations and proper consideration should be given to explanations provided. The supervisor must inform the staff member of the reasons for any decision or course of action. The supervisor must ensure that a written record of all meetings / discussions is produced and the staff member provided with a copy. The record will identify: o o o o Those aspects of performance or conduct which must be improved; The required improvement/remedial action, objectives and metrics; The timeframe for the improvement/remedial action and any formal reviews within that timeframe; That the staff member has been informed that the consequence of non-improvement will be further disciplinary action (i.e Third Counselling Session). The University of Adelaide 2
4 Support for Supervisor s & Managers Tools & Templates This guide provides three key tools to support and guide Supervisor s and Manager s in the formal process. Appendix 1 Letter advising of performance counselling (after informal counselling steps have been taken) Appendix 2 Suggested Performance counselling meeting script Appendix 3 Template for Performance Improvement Plan Your HR Advisor or Business Partner (or equivalent) is available to assist you in developing your documentation as well as to provide support to all Supervisors and Managers, and staff members in all formal disciplinary processes and can be contacted in the first instance to ensure due process is followed and to provide appropriate support and guidance to all parties. Contact the Human Resources Service Centre on to establish the appropriate HR Advisor or Business Partner (or equivalent) who can assist you. Staff Member Representation and HR Involvement A staff member has the right to representation (as per clause 8.1.1(f) of the Enterprise Agreement), if they so choose, during counselling. It is important when informing a staff member of the requirement for them to attend performance counselling that they are advised of that right. Counselling is an internal administrative process conducted in accordance with the Enterprise Agreement. The role of any representative attending the meeting in support of the staff member allows them to observe the process and to offer support and advice. It is not intended that representatives advocate for the staff member as if in an external arbitration context. Supervisors may seek advice on process at any stage from a Human Resources Advisor or HR Business Partner (or equivalent) and should consider requesting the attendance of a Human Resources Advisor or HR Business Partner (or equivalent) at any meeting that a representative has been requested to attend. The University of Adelaide 3
5 Performance Counselling Performance counselling can be difficult for all concerned and requires a calm and measured approach by supervisors. Counselling must provide the staff member with procedural fairness and a clear indication of how their performance is unsatisfactory and where improvement is needed. The counselling will be more effective if a positive sense of support for the staff member is conveyed through the process. Supervisors conducting performance counselling are encouraged to use a script to ensure that all elements of the process are properly covered in a logical sequence. The script will also provide formal evidence of the University s approach to the counselling particularly in the event the issue is escalated for conciliation or arbitration in an external jurisdiction. The Performance Counselling Script template (at appendix 1) provides a logical approach to counselling and will assist in recording the meeting. Records of all meetings with the staff member must be kept and the staff member provided with a copy, whether they choose to acknowledge it or not. In the event that they do not acknowledge the issue(s) raised it is best practice to note this down on the record. Performance Counselling All documentation (notes of counselling sessions, s, letters, interview scripts, records of interview, etc.) related to a staff member s formal unsatisfactory performance process must be maintained on a dedicated RMO file. Copies of all documentation should be forwarded to Human Resources for inclusion in this file. It is important that a written summary of any performance related discussions are also provided to the staff member to ensure joint understanding of the discussions held, actions agreed and when the next review of performance will be conducted. All jointly developed and finalised Performance Improvement Plans (PIP) should also be placed on the appropriate RMO file. The University of Adelaide 4
6 Flowchart of the Unsatisfactory Performance process The University of Adelaide 5
7 The key steps to managing unsatisfactory performance What the University of Adelaide Enterprise Agreement (as amended) says: 8.1. Unsatisfactory Performance Principles a) A supervisor must take reasonable steps to resolve instances of unsatisfactory performance by one (1) or more of the following: guidance, counselling (including informal counselling), appropriate staff development, or work allocation. b) If performance improves to a satisfactory level at any stage as detailed in 8.1.2, and 8.1.4, and is maintained for a period of six (6) months then the matter will be considered closed. c) Satisfactory performance means a level of performance consistent with a staff member s contract of employment, position description and/or role statement (where applicable) and the Classification Standards (Academic and Research Only staff) or Professional Classification Standards descriptions as set out in this Agreement. d) A written summary will be provided to the staff member and a copy placed on their staff file at the completion of counselling sessions (8.1.2, and 8.1.4). e) If at any stage of the process of dealing with unsatisfactory performance a staff member does not acknowledge the performance issue that has been raised or is not willing to provide and to demonstrate a genuine and sustained commitment to improve their performance, the staff member s supervisor is not obliged to follow and and may make a formal report in accordance with clause f) A staff member has the right to be supported and/or represented, if they so choose, at any stage during the process. g) A Performance Improvement Plan (PIP) will include specific performance objectives and may provide for training and development and/or mentoring to assist a staff member to improve their performance. The final PIP will be placed on the staff member s file First Counselling Session a) Where a staff member s supervisor considers they have evidence that the staff member s performance is unsatisfactory, they shall first meet with the staff member to provide details of such unsatisfactory performance, the required improvements to meet the expectations of satisfactory performance and an appropriate timeline for addressing these concerns and demonstrating satisfactory performance. A first review period will be set and a PIP will be developed jointly with the staff member. b) The staff member will have 10 working days from the date of receipt of the counselling session summary and the PIP to respond in writing to their supervisor and raise any relevant issues including extenuating circumstances. c) The staff member s supervisor will consider the staff member s response and may meet with the staff member to further discuss, before finalising the PIP. d) In the event that no response is received the PIP will be implemented. The University of Adelaide 6
8 Advice and Guidance on the First Counselling Session The First Counselling Session provides supervisors with the opportunity to formally support a staff member in their efforts to improve unsatisfactory performance. It is desirable that performance issues are formally addressed promptly if informal counselling has not achieved the required satisfactory performance. The supervisor should attempt to establish that the staff member s unsatisfactory performance is not caused by problems of a more personal or non-work related nature that may be better addressed through the Employee Assistance Program or other mechanisms. The aim of the First Counselling Session is to inform the staff member in a positive manner of the concerns with their performance, set a first review period and finalise a jointly developed PIP prior to implementation. Performance Improvement Plan (PIP) A principal outcome of the First Counselling Session is the development of a Performance Improvement Plan (PIP) to formally record the specific details of the staff member s unsatisfactory performance and the required response. The PIP is to be developed in consultation with the staff member and identifies the specific responses required to correct unsatisfactory performance. Required responses may include: performance objectives (e.g. complete all reconciliations according to schedule), training initiatives (e.g. attend customer service training), other arrangements (e.g. engage in a mentoring arrangement). The PIP provides an opportunity to show support for a staff member who is attempting to correct unsatisfactory performance and to develop professionally. The supervisor s prudent management of the process may assist the staff member in viewing the process in a more positive way. First Performance Improvement Plan Review and Report Back Meeting It is expected that from the commencement date of the first review period the staff member will attempt to meet the requirements of the PIP and that the supervisor will provide progressive feedback. In circumstances where the staff member is either unable or unwilling to meet the requirements of the PIP then it may be brought to an early conclusion. At the conclusion of the first review period the supervisor should meet with the staff member and advise whether their performance is now satisfactory. In the event that the staff member s performance is still not satisfactory the supervisor will advance the process to the Second Counselling Session. The University of Adelaide 7
9 8.1.3 Second Counselling Session a) If a staff member s performance continues to be unsatisfactory following the first counselling session, and the first review period, their supervisor will again counsel them on the required improvements to meet the expectations of satisfactory improvements.. b) A second review period will be set and the PIP reviewed. c) The staff member will have 10 working days from the date of receipt of the counselling session summary and the revised PIP to respond in writing to their supervisor and raise any relevant issues and extenuating circumstances. d) The staff member s supervisor will consider their response and may meet with the staff member to further discuss before finalising the revised PIP e) In the event that no response is received the revised PIP will be implemented. Advice and Guidance on the Second Counselling Session When the first counselling session does not result in the required improvement, then the second counselling session must take place. The aim of the Second Counselling Session is to inform the staff member in a positive manner of the continued concerns with their performance, to undertake a review of the PIP, agree on any changes or amendments to the PIP and set a second review period. Performance Improvement Plan (PIP) A principal outcome of Second Counselling Session is the review of the PIP developed in the First Stage to formally record the specific details of the staff member s unsatisfactory performance and the required response. The PIP should be reviewed in consultation with the staff member and should identify the specific responses required to correct unsatisfactory performance. Required responses may include: performance objectives (e.g. complete all reconciliations according to schedule), training initiatives (e.g. attend customer service training), other arrangements (e.g. engage in a mentoring arrangement). Second Performance Review and Report Back Meeting It is expected that from the commencement date of the second review period the staff member will attempt to meet the requirements of the reviewed PIP and that the supervisor will provide progressive feedback. In circumstances where the staff member is either unable or unwilling to meet the requirements of the PIP then it may be brought to an early conclusion. At the conclusion of the second review period the supervisor should meet with the staff member and advise whether their performance is now satisfactory. In the event that the staff member s performance is still not satisfactory the supervisor will advance the process to the Third Counselling Session. The University of Adelaide 8
10 8.1.4 Third Counselling Session a) If there is insufficient improvement after the first and second counselling sessions and the two (2) review periods conducted in accordance with clause and 8.1.3, the staff member s supervisor will again meet with them to discuss the performance issues. b) If the supervisor believes that the staff member s performance has not improved and/or is unlikely to meet the expectations of satisfactory performance they may discuss alternative strategies with the staff member. c) These may include, but are not limited to, transferring or redeploying the staff member to a position at the same or lower classification level. Any strategy must be mutually agreed. Advice and Guidance on the Third Counselling Session If there is insufficient improvement following the First and Second Counselling session (Ref and 8.1.3), the supervisor should meet with the staff member to discuss the performance issues. At this meeting, the supervisor will outline the performance issues (with supporting evidence) that they believe to exist despite formal counselling and support, and discuss alternative strategies with the staff member. Alternative Strategies for discussion with the Staff Member May include but are not limited to the following: Transfer or Redeployment to a Position at the Same or Lower Classification Transfer or redeployment to a position at the same or lower classification may be discussed with the staff member where it may provide them with the opportunity to perform at a satisfactory level in a less challenging position. This option does not imply management acceptance of a lesser standard of performance, only that a staff member may find satisfactory performance in a lower classified position or an alternative position that better fits within their capability. Any other strategy mutually agreed Human Resources should be involved in the negotiation of any other strategies to ensure that a staff member s basic terms and conditions of employment are not compromised. Discussions of the above with the staff member implies acknowledgement of the parties that despite the staff member s best efforts they are not capable of sustaining satisfactory performance in their current position. Where a supervisor is of the view that the staff member s continuing unsatisfactory performance is an outcome of unsatisfactory effort rather than ability it may be appropriate to dispense with discussions on the above alternatives and to continue with disciplinary action. If the discussions on the above options fail to satisfactorily address the staff member s unsatisfactory performance, then further disciplinary action may then be considered as appropriate. The University of Adelaide 9
11 8.1.5 Recommendation to the Deputy Vice-Chancellor/Vice-President a) Where the staff member s supervisor can demonstrate that counselling has not resulted in satisfactory performance, they will advise the staff member of their intention to provide a written report through the Area Manager (or functional equivalent) to the Deputy Vice- Chancellor/Vice-President that the staff member s performance is not satisfactory. Such a report will state clearly the aspects of the staff member s performance that are not satisfactory, the attempts to remedy the problem, any extenuating circumstances, and the recommended disciplinary action (as defined in this Agreement) and will provide any supporting materials. b) Your staff member s supervisor will provide the staff member with a copy of the report and supporting material at the time it is submitted. The staff member will have 10 working days from the date of receipt of the report to respond in writing to the Deputy Vice- Chancellor/Vice-President. Advice and Guidance on the Recommendation to Deputy Vice-Chancellor / Vice-President Your HR Advisor or HR Business Partner (or equivalent) is available to support Supervisors in the process of making a recommendation to the Deputy Vice-Chancellor / Vice-President and should be contacted in the first instance to ensure due process is followed and to provide support and guidance to Supervisors. Your HR Advisor or HR Business Partner will provide Supervisors with the appropriate template documentation to support this part of the formal process Disciplinary Action a) Upon receipt of the supervisor's report and any written response from the staff member, the Deputy Vice-Chancellor/Vice-President must be satisfied of the following: i. Appropriate steps have been taken to bring the unsatisfactory nature of performance to the staff member s attention; ii. iii. iv. An adequate opportunity to respond was given; Any response was taken into account; and A reasonable opportunity was afforded to remedy the performance problem. b) The Deputy Vice-Chancellor/Vice-President will then advise the staff member in writing of what action they will be taking. This may mean one (1) of the following, but is not limited to: i. Taking no further action and advising the staff member in writing; ii. Referring the matter back to the staff member s supervisor to ensure that and are complied with in substance and in a manner appropriate to the circumstances; or iii. Taking disciplinary action as provided for in this Agreement. c) For all disciplinary action other than termination of employment, the Deputy Vice- Chancellor/Vice-President will advise the staff member in writing of their determination. If the staff member does not lodge an appeal within 10 working days from the date of receipt of the written advice, the disciplinary action will take effect as advised. The University of Adelaide 10
12 Advice and Guidance on disciplinary action For any recommendation of disciplinary action, supervisors are encouraged to seek advice from their HR Advisor or HR Business Partner (or equivalent) to discuss the appropriate action to be taken that is commensurate with the performance issues under consideration Termination of Employment a) For termination of employment, the Deputy Vice-Chancellor/Vice-President will advise the staff member in writing of their recommendation to the Vice-Chancellor to terminate the staff member s employment. If the staff member does not lodge an appeal within 10 working days from the date of receipt of the written notice, the Vice-Chancellor will write to them advising them that their employment with the University will be terminated. b) Further to clause (a) the staff member will be given written notice by the Vice- Chancellor, as specified in their contract of employment or as set out in clause 6.2 (whichever is the greater), that their employment will be terminated. They will receive payment in lieu of notice for part or all of the notice period Appeal A staff member may, within 10 working days from the date of receipt of the advice in clause (c) or clause (a), seek a review by a Review and Appeals Committee in accordance with clause 8.3. The staff member must submit a written request outlining the reasons for the appeal and any relevant supporting documentation to the Deputy Vice-Chancellor/Vice-President. Advice and Guidance on Termination of Employment and Appeal processes Your HR Advisor or HR Business Partner (or equivalent) will work with the relevant Supervisor / Area Manager to effectively manage any termination of employment or appeal processes. The University of Adelaide 11
13 Appendix 1 Pro-forma: Letter advising of performance counselling (after informal counselling steps have been taken) The supervisor should personally inform the staff member of their intention to undertake a formal counselling session during a brief meeting and use this letter only to confirm the details. Date: Dear: Ref: Formal Counselling Session and Establishment of Performance Improvement Plan Further to our recent meeting(s) (xx/xx/20x, etc.) regarding concerns over your performance I wish to confirm the current status of the matter and advise you of the next steps in accordance with the Enterprise Agreement (as amended) Clause 8.1 Unsatisfactory Performance. The abovementioned meetings allowed identification of the specific concerns held about your performance and for a discussion around the nature of the improvements sought. In summary the principal concerns discussed with you were: Insert specific examples of where performance is regarded as unsatisfactory and attach any evidence as appropriate. I refer you to the record of each meeting that took place (attached) in which these issues where raised with you. Despite our discussions I remain concerned about your performance and will now advance the process so we can meet to discuss the issue and agree to an appropriate performance improvement plan. A meeting is scheduled for xx am/pm, xx/xx/20x and in addition to ourselves will involve (enter the name of any other attendees) and a representative from the Human Resources. I remind you that you may choose to have a support person attend with you. Please confirm your attendance at the meeting by xx/xx/20x. Yours sincerely, NAME (Insert name) POSITION (Insert Title of Position) The University of Adelaide 12
14 Appendix 2 Pro-forma: Suggested Performance counselling meeting script The following template provides a sound approach to performance counselling and ensures that procedural fairness and process compliance can be demonstrated. A copy of the meeting script should be kept on the appropriate RMO file. Performance Counselling Script Staff Member: Counselling Stage: Insert Name First Counselling Session/Second Counselling Session/Third Counselling Session Date of Counselling: Insert Date (xx/xx/200x) In Attendance: Insert Names and Titles of Attendees INTRODUCTION Introduce the personnel attending the meeting to each other and confirm their roles. (If appropriate, acknowledge the representative person accompanying the staff member). State the purpose of the meeting. State the terms under which the counselling will proceed (i.e. Enterprise Agreement clause 8.1). Inform the staff member that a record of meeting will be produced and that they will be provided with a copy. IDENTIFICATION OF UNSATISFACTORY PERFORMANCE Report on the investigation of the staff member s unsatisfactory performance. Inquire if there are circumstances that have contributed to the staff member s unsatisfactory performance that the supervisor may not be aware of. Identify specific instances of the staff member s unsatisfactory performance. IDENTIFICATION OF PERFORMANCE IMPROVEMENT REQUIRED Identify and discuss the performance improvement required of the staff member. Record the tasks/responsibilities and actions to be addressed in the Performance Improvement Plan. Seek agreement from the staff member that their unsatisfactory performance has been fairly represented during the counselling session. Advise the staff member that a Counselling Session Record will be issued and of the requirement for him/her to respond within 10 working days of its receipt. Also advise that the response should include an indication of whether the staff member acknowledges their own unsatisfactory performance and if they are prepared to attempt to improve it in the areas indicated to them. Advise that subject to the above acknowledgements, a subsequent meeting may be held to further develop the Performance Improvement Plan. The University of Adelaide 13
15 SUMMARY Briefly summarise the meeting informing that: The counselling process is in accordance with the University of Adelaide Enterprise Agreement (as amended) process (Clause 8.1) The staff member s acknowledgement of the record of meeting is required. The purpose of the next meeting will be to review the Performance Improvement Plan actions and progress (or alternatively, if the next meeting is the third formal counselling meeting, then the next meeting will be to discuss the performance issues that may be persisting and discuss appropriate alternative strategies and/or disciplinary action). Ask the staff member if they have any further comments they wish to make and take note of these. MEETING CLOSED The University of Adelaide 14
16 Appendix 3 Pro-forma: Template Performance Improvement Plan The supervisor should use the below template to guide the development of a Performance Improvement Plan as required in the first and second counselling stages of the formal process. Performance Improvement Plan This Performance Improvement Plan is in accordance with the University of Adelaide Enterprise Agreement Clause 8.1 Name of staff member: Period of Plan: Work Location: Review Date: 1 Actions to support and address performance issues Required Outcome/Action Action Due By Date Staff member s signature: / /2015 Supervisor s signature: / /2015 Staff member s position: Supervisor s position: The University of Adelaide 15
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