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Performance Review and Planning Policy

This is the current version of this document. To view historic versions of this document click the link in the main navigation (grey) bar above or contact policies@scu.edu.au for versions that expired pre August 2012.

Section 1 - Definitions

(1) For the purposes of this policy the following definitions apply:

  1. 'Supervisor' - Each employee has a formal supervisor nominated by their Relevant Executive Member. The supervisor will normally be the Head of the appropriate Work Unit, provided that for academic staff the Relevant Executive Member may delegate another staff member classified at Level C or above to be the supervisor of one or more staff members.
  2. 'Performance Review and Planning' (PRP) refers to the process of managing employee performance, the setting of objectives and performance indicators for the period ahead, providing feedback and identifying and planning staff development needs.
  3. 'Employee' refers to all academic and professional employees but does not include casual employees.

Section 2 - Policy Statement

Part A - Policy Declaration

(2) This policy sets out the responsibilities of staff and supervisors and specifies the processes for enhancing organisational performance through the management and review of employee performance.

Part B - Policy Description

Objectives

(3) The aims of the Performance Review and Planning Policy are to facilitate and promote improvement in organisational outcomes through the effective management of employee performance, to enhance the job satisfaction of employees, and to advance and support the career development of employees.

Scope

(4) This policy applies to all non-casual employees.

Part C - Content and Implementation

(5) Managing and reviewing employee performance and fostering staff development are critical elements in achieving the University's priorities and its overall success. As a tool to assist in the review of performance, supervisors and employees engage in a PRP process appropriate to the employee's work responsibilities.

(6) PRP is a joint responsibility between an employee and their supervisor. PRP provides an opportunity for employees and supervisors to work together in a structured way to review performance, identify and describe work expectations, agree on future work goals, discuss learning and development needs, recognise achievements, provide feedback and plan for future individual and organisational growth and development.

(7) PRP enables employees and their supervisors to:

  1. encourage dialogue between the employee and their supervisor that enables regular and ongoing feedback to both parties;
  2. review performance against previously set objectives;
  3. establish objectives to guide the work of the employee throughout the year. (For academic staff, objectives need to be consistent with the staff member's approved work profile);
  4. for academic staff, review the appropriateness of the member's work profile every three years based on the member's performance against objectives over that period, and the member's goals for the next three years;
  5. identify development and education needs to assist employees in taking responsibility for their career development;
  6. provide an opportunity to discuss Work Unit plans, values and standards;
  7. identify possible ways of improving the way the job is structured within the Work Unit;
  8. identify and acknowledge staff for excellence in performance which contributes positively to objectives specified in approved University plans;
  9. identify and manage potential barriers to satisfactory performance;
  10. formulate and implement improvement strategies in cases where the performance of employees is below that expected from the classification level descriptions in terms of quality or extent of performance; and
  11. ensure fairness and due process as well as effective outcomes when dealing with demonstrated unsatisfactory performance.

Responsibilities

(8) The employee's responsibilities are to:

  1. consult with their supervisor, seek advice and express views about any aspect of work;
  2. provide input on performance objectives and plan performance enhancement strategies;
  3. self-assess achievements against approved objectives;
  4. for academic staff, every three years discuss with their supervisor their proposed goals for next three years and proposed work profile;
  5. for academic staff, provide a current Academic CV;
  6. seek clarification on job expectations;
  7. seek opportunities and take responsibility for ensuring staff development and career advancement needs are met;
  8. participate in an annual performance review discussion and draft a PRP plan in readiness for the annual meeting; and
  9. treat their supervisor in a fair and respectful manner.

(9) The supervisor's responsibilities are to:

  1. initiate and ensure the PRP process is completed annually for each employee;
  2. treat employees in a fair and equitable manner;
  3. provide the employee with details of work expectations, including setting performance objectives and reasonable timeframes for their achievement;
  4. for academic staff, negotiate changes required to work profile;
  5. for academic staff, review work profile every three years against member's performance against objectives;
  6. provide employees with recognition where appropriate;
  7. in consultation with the employee, establish performance criteria that align with operational and strategic plans;
  8. discuss work performance with the employee on an on-going basis, including identifying and clarifying underperformance issues;
  9. review employee performance against established criteria;
  10. develop, in consultation with the employee, strategies for performance enhancement; and
  11. facilitate employees to undertake professional learning opportunities that align with the Work Unit's goals and where possible support other career development opportunities.

(10) The Head of Work Unit's responsibilities are to ensure that appropriate and effective PRP processes are carried out in accordance with this policy.

Timing

(11) PRP processes are to be timed so that the Work Unit's operational plans inform PRP discussions and decisions including the identification of any learning and development needs.

(12) Staff performance plans should be forwarded to HR Services by the end of December each year.

New Employees

(13) At the time an offer of employment is made, prospective eligible new employees are to be made aware of the University's Performance Review and Planning Policy and how to access it.

(14) The work expectations and performance criteria established during induction will inform the new employee's first PRP process.

Probationary Employees

(15) Where an employee is on probation for a period of 12 months or more, probationary reviews will replace the PRP process during the probationary period. Annual PRP processes will commence following successful completion of a probationary period.

Incremental Progression

(16) Where an employee has completed a PRP review and the report indicates performance has been satisfactory, the employee will progress to the next increment level in their salary classification on the due date.

Staff Rewards

  1. innovation;
  2. initiative;
  3. exceptional productivity and/or effort;
  4. excellence in client service; and/or
  5. leadership.

Professional Learning

(17) Information derived from the PRP process informs the development of the University-wide Professional Learning Calendar and priorities.

(18) Professional learning needs identified in the PRP process should be linked to the Work Unit's and the University's operational and strategic plans and should consider the range of professional learning options available e.g. on the job and online training.

Managing Underperformance

(19) Supervisors should not wait until the annual PRP meeting to address underperformance issues.

(20) Where underperformance is identified, the supervisor sets objectives and reasonable timeframes within which improvements are to be achieved. The supervisor will closely monitor the work and communicate frequently with the employee. The employee will be provided with the opportunity and assistance to address underperformance.

(21) Where there is evidence that underperformance has not been remedied through this process, the relevant formal Procedures for managing unsatisfactory performance are to be followed.

Training for Performance Management

(22) Supervisors are required to be trained in the PRP process.

(23) Induction programs will include information on the PRP policy and available training.

(24) Supervisors are responsible for ensuring all employees under their supervision are made aware of the PRP process for the Work Unit.

Risk Management

(25) Where relevant, an employee's responsibilities in relation to risk management in the context of the University's Risk Management Plan are to form part of the PRP discussions, and access to appropriate training should be facilitated.

Equity

(26) The PRP process is to be consistent with equity principles and policies.