Performance Planning and Review (PPR) Framework THE PPR GUIDE

Performance Planning and Review (PPR) Framework THE PPR GUIDE

Index Overview Page 1 The Principles Page 1 Who does it apply to Page 1-2 Employees and Managers Responsibilities Page 2 PPR Cycle Page 3 Developing your Individual Performance Plan (IPP) including: what is included performance indicators values and behaviours Page 3-4 Developing your Individual Development Plan (IDP) Page 4-5 Effective Feedback Mid Cycle Feedback Review End of Cycle Feedback Review Page 5-6 Assessment Ratings and Descriptors Page 6-7 Access to PPR documentation Page 7 Dispute Resolution Page 7-8 Performance Improvement Page 8 Resources and Support Page 8

Overview The department s Performance Planning and Review (PPR) Framework provides the basis for managing the performance of its employees. It also enables employees to understand the goals of the organisation and see how their work contributes to the achievement of these goals. The PPR Framework is made up of an Individual Performance Plan (IPP) and Individual Development Plan (IDP). Both are developed through discussions with the employee and manager and describe: what key tasks the employee is going to do; how the employee is going to do them; how the employee/manager will judge achievement standards; and what skills the employee has and what skills they will need. Remember, that an IPP and IDP are not static documents. They are to be taken out, improved and upgraded as responsibilities, priorities and circumstances in the employee s workplace change. Managers need to ensure that a PPR Form is completed for all employees and it is up to the employee to ensure that a signed copy is kept. The Principles The key principles of the department s PPR Framework are to foster a performance culture in the department by: linking organisational efforts to corporate outcomes; identifying, measuring and improving performance against corporate goals; ensuring employees have a shared understanding of what needs to be achieved; providing a mechanism to facilitate communication and feedback on performance; identifying and meeting development and career planning needs of employees; and recognising achievement in order to reward and retain employees Who does it apply to? Under the Public Service Act 1999 all employees who are covered by the department s Enterprise Agreement are required to fully participate in the department s PPR Framework. All non ongoing employees should have a PPR in place if their contract, including any extensions, is for more than three months. However, most non ongoing employees will not have access to salary advancement as a result of a performance rating. If an employee has been promoted or has recently moved to a new position they should have in place a PPR within a month of commencement. If an assessment rating occurs shortly after the employee commences, as long as they are progressing in learning how to do the job effectively, they should be rated as Fully Effective rather than Unsatisfactory. For those employees returning from a break of duty which has been longer than three months, a new PPR should be negotiated no later than one month after commencement. For any employee leaving their work area for an extended period 1

(longer than three months, either permanently or temporarily), they should complete a feedback review and receive an interim rating before departing. A record of that discussion should be kept and can be shared with your next manager. If a manager has not managed the employee for the full cycle they can: talk to the employee s previous supervisor/s to seek their feedback comments; if appropriate, consider inviting the previous supervisor to be part of the rating discussion, or ask this supervisor to provide some written comments. This is particularly advisable if you have not been the supervisor for very long; and if the employee has only been in the department for part of the cycle, or a previous manager has left, then assess the employee s performance for the reduced time period. For those participating in the department s Graduate Program, your work will be based on your Graduate Performance Plans. At the completion of each placement, an Assessment Rating will be made but does not count for salary advancement purposes. Responsibilities and Accountabilities for Employees and Managers Employees Managers constructively participating in the PPR process ensuring that the PPR form has been completed developing a performance agreement with their manager so that they have a clear understanding of their work role and what is expected of them; monitoring/managing the work performance and development of all employees in their work area actively participating in any learning and development activities outlined in the IDP; modelling and promoting a culture consistent with the APS values and Code of Conduct; and undertaking regular feedback with their manager on their performance and personal development ensuring that performance agreements for their employees contain key tasks and performance indicators consistent with operational and business objectives and classification capabilities; ensuring that realistic and timely learning and development opportunities are provided and seek employee feedback on whether this is occuring; providing ongoing feedback, including mid-cycle and end-of-cycle reviews identifying and appropriately addressing areas of employee performance; and modelling and promoting a culture consistent with the APS values and Code of Conduct. 2

PPR Cycle PPR cycle follows a 12 month cycle commencing from 1 July to 30 June each year. Develop a PPR Agreement Conduct an end-ofcycle feedback review Conduct a mid-cycle feedback review Developing your Individual Performance Plan (IPP) During June/July the employee and manager will discuss and develop the employee s IPP. It is usually developed after that of more senior managers in the employee s work area and is linked to their section/divisional business plans. The employee s IPP will include: 3-4 tasks that reflect those tasks and responsibilities that the employee and manager consider major and important enough to define how they plan to contribute to key business outcomes and corporate goals; performance indicators against each of these key tasks; behaviours consistent with the APS Values and Code of Conduct; and corporate responsibilities including, but not limited to, (First Aid Officer, OH&S Representative, Fire Warden, Divisional Consultative Committee Member, Divisional Performance and Development Network Member, Workplace Relations Committee Member, Staff Committee Member and Union Delegate. (Please note that these responsibilities can not be assessed at your mid and end of cycle reviews but consideration of the time you need to undertake these responsibilities needs to be identified). The length of the employee s IPP is largely individual some people feel comfortable with a short, big picture plan some people prefer more detail. However, it is not expected to identify all the employee s tasks and responsibilities or to be a detailed action plan. The employee s IPP forms the basis for the feedback reviews as well as providing a structured opportunity to clarify expectations for them and the manager. 3

Performance Indicators The performance indicators need to be clear, specific, achievable and relevant to both the employee and manager. This ensures that the employee understands what is expected and how well each task must be performed. In determining a performance indicator, the employee and manager should consider; when does the key tasks need to be completed; what quality standard needs to be achieved to have completed these key tasks; and whom does the employee need to satisfy in completing the key task Performance indicators can be defined in quantitative and/or qualitative terms. For example quantitative measures may be timeframes (e.g, the project is completed by a certain date), cost (e.g. the program is run within the allocated budget), response times (e.g stakeholders receive a response to their queries within 4 working days), accuracy (e.g the invoice details are 100% accurate). Qualitative measures could include observable impacts, results or behaviours, evidence of thorough research, or stakeholder feedback. It is also important to remember that the expected level of performance must be consistent with the classification level and the requirement of the job. If the manager is unsure they can refer to the department s Capability Profiles the Integrated Leadership System and Work Level Standards. These guides will assist in clarifying the expected standards for each classification level. The manager needs to remember that the expected levels of performance are for a position/role not for a particular person. Values and Behaviours The department requires all employees to demonstrate certain behaviours and ways of working in order to do their job well. All employees are expected to demonstrate behaviours consistent with the APS Values and Code of Conduct and are a condition of employment in the APS. The employee s values and behaviours will be assessed by using a number of information sources which could include the manager s direct observations, self review, feedback from peers and colleagues and external and internal feedback. Developing your Individual Development Plan (IDP) The employee and manager need to identify the skills and knowledge required to achieve the agreed key tasks. The employee s IDP will: identify further learning and development needs, with specific reference to the skills and knowledge they may need to successfully address the duties and responsibilities outlined in their IPP; and facilitate a discussion about their career ambitions. To assist with the employee s IDP, the department offers a range of learning and development programs. The department s Capability Guides will also assist with understanding the skills and knowledge expected under each capability for the employee s classification. Remember learning opportunities are not just about 4

attending formal training program, the employee should also look at on the job opportunities/coaching, mentoring and attending seminars/conferences. Effective Feedback Effective feedback should be provided on an ongoing, year-round basis, not just during the formal appraisal periods. Providing regular feedback is a part of a manager s role and responsibility and it is important that the feedback is specific and provided in a timely manner. To be fully effective, feedback should be: based on open, two-way communication; timely and regular; factual and specific; understood; honest; constructive; and followed up. The PPR process provides for two formal feedback reviews. During these reviews there should be no surprises as any performance issues should be raised and discussed as soon as they occur. Similarly, the employee should discuss with the manager in an ongoing fashion any issues that they may have in relation to meeting key tasks and performance requirements. Mid Cycle Feedback Review This feedback review happens during December/January. It is also important that this occurs and that the employee and manager have had the opportunity to: discuss their performance during the cycle so far; review the behaviours that were demonstrated in completing these key tasks; update agreed expectations as the year progresses and/or if circumstances change; discuss strategies for improving performance (if necessary); review and refine the IPP and IDP; discuss the department s attendance expectations and raise any unscheduled absence issues that may have impacted on the employee s ability to meet their key tasks; provide an interim rating of satisfactory/unsatisfactory and record this on the PPR Form; and through constructive discussions, ensure there will be no surprises when it comes to the end-of-cycle feedback review. After this feedback review if there are any issues with performance, the manager should develop, in conjunction with the employee, a performance improvement plan to help ensure that the employee improves their performance prior to the final appraisal. End-of-Cycle Review This occurs in June/July of each year and focuses on the employee s individual accountabilities/performance and their values and behaviours over the year. It should 5

follow a similar process to the mid cycle review, however, the employee and manager will also need to: review against performance indicators whether all key tasks have been completed; discuss any circumstances that may have impacted on the employee s ability to compete the key tasks; review the behaviours that were demonstrated in completing these key tasks; provide the employee an opportunity to discuss their views of their overall assessment; provide an opportunity for the employee to give frank and constructive feedback to the manager; and. discuss the assessment rating to be given and ensure that there is an understanding and agreement, if possible. If during this discussion there are any work requirements, standards or development needs that are not met due to circumstances acknowledged as beyond the employee s control, this should not adversely influence the Assessment Rating. If the employee feels uncomfortable about any aspect of the end-of-cycle feedback review and decide not to sign the PPR form, they should discuss this with their manager's manager in the first instance. If they are still unhappy with the outcome they should refer to Review of Actions provisions. Assessment Ratings and Descriptors Establishing standards for the employee s Assessment Rating will give them and the manager a clear focus for feedback discussions and monitoring throughout the PPR cycle. The employee and manager should discuss exactly what describes a Superior and/or Fully Effective performance rating. This will define the parameters required for the employee to achieve either of these Assessment Ratings. Once the employee has completed the end-of-cycle feedback review, they will receive an Assessment Rating. The Assessment Rating aligns with the Performance Descriptors described in the table below. Both the employee and manager will make written comments about the discussion and then sign the appropriate place on the PPR Form. The Employment Services Team will process salary advancements in consultation with executive officers and managers. Employees who commence with the department in the last 3 months of the PPR cycle will not receive a performance rating in respect of that PPR period. Further details are provided in the Salary Advancement Guidelines. Where an unsatisfactory rating is given, the manager should have already had a discussion with the employee and commenced action to manage performance issues. The manager will also need to advise the Employment Services section as soon as possible. 6

DIISR Enterprise Agreement Assessment Ratings, Salary Point Advancement and Performance Descriptors Enterprise Agreement Assessment Rating Superior (1 salary point advancement) Fully Effective (1 salary point advancement) Unsatisfactory (No salary point advancement and general salary increases not paid until after performance returns to fully effective) DIISR PPR Performance Descriptor Superior describes an employee who: achieves a consistently high level of performance by, on balance, exceeding most of the expected work requirements and standards described in their IPP, or has satisfied the criteria agreed between them and their manager as describing the individual achievements and standards to be met in order to achieve a Superior Assessment Rating; and addressed their development needs in accordance with their IDP Fully Effective describes an employee who: achieves an admirable level of performance by, on balance, meeting all of the expected work requirements and standards described in their IPP, or has satisfied the criteria agreed between them and their manager as describing the individual achievements and standards to be met in order to achieve a Fully Effective Assessment Rating; and addressed their development needs in accordance with their IDP. Unsatisfactory describes an employee who: achieves a poor level of performance by not meeting, on balance, the majority of expected work requirements and standards described in their IPP, and has not satisfied the criteria agreed between them and their manager as describing the individual achievements and standards to be met in order to achieve a Fully Effective Assessment Rating. Access to PPR Documentation As the PPR documentation contains personal information, it will be treated as Staff-in- Confidence. Only the parties directly involved in developing the PPR documentation, the Human Resources and Facilities Branch and a manager with direct responsibility for the performance of a work unit will have access to this information, unless the employee consents to a third party viewing the documentation, or where it is required by law. However, it should be noted that the PPR documentation is also used for reporting and evaluation processes and for the development of divisional learning and development strategies. Dispute Resolution If the employee disagrees with an agreement, performance review or rating, they should in the first instance try to resolve the matter with the manager. If a suitable outcome cannot be resolved then it should be referred to the next level manager. If these actions 7

fail, any aspect of the application of the PPR may be reviewed under the Review of Actions provisions. Where an employee does not agree with their agreement or appraisal they should include their objections on their PPR form. Performance Improvement Poor performance should be dealt with as it arises. The employee should be informed that they are working at an unsatisfactory level regardless of what time of the cycle this may be. This means that if an employee is rated as unsatisfactory at their performance feedback review it should have already been discussed with the individual and not come as a surprise. When a manager advises an employee that they are unsatisfactory and the reasons why, they should implement a performance improvement plan (PIP). A PIP includes: a list of key tasks to be undertaken; against each of the tasks identify how performance will be measured i.e. deadlines, accuracy rates, or in the case of more qualitative tasks how feedback on quality will be provided; making sure that the tasks within the performance improvement plan are achievable and applicable to the employees classification level for the period that performance is being assessed; have a start and end date (usually between one to three months); and detail any learning and development required. The Managers Guide to Underperformance provides further advice on how to work with employees to improve performance. If performance does not improve in a reasonable time-frame then underperformance must be dealt with separately from the DIISR PPR Framework in accordance with the department s policy and procedures for 'Managing Underperformance'. Resources and Support The manager will explain the PPR Framework and assist the employee with the development of their IPP and IDP. Additional information can be obtained from the Divisional Performance and Development Network Representative or from the Corporate PPR Team. Contacts in the Corporate PPR Team are: Manager, People Strategy, 6213 6286 Assistant Manager, People Strategy, 6213 6237 8