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  • 1. University Procedure Performance Review and Development Program 1. Purpose To outline the procedure for implementation of the University's Performance Review and Development Program (PRDP), including specific details of the responsibilities of staff and supervisors. The Program aims to bring staff and supervisors together to achieve the goals and objectives of the University, Schools and Sections. Performance Management takes place within the context of the goals and objectives of the School/Directorate Statements of Strategic Intent, and the University's Strategic Plan and Performance Agreement with the Office of Training & Tertiary Education (OTTE). Every member of staff has a role to play in this. 2. Scope The Procedure applies to all staff employed by the University for more than one year on a full-time or part-time basis and either an ongoing or a fixed-term basis. Staff occupying a position of less than twelve months' duration, including sessional and casual staff, are encouraged to participate in PRDP or an abbreviated version thereof, which is to be negotiated between the staff member and the supervisor. Either the staff member or supervisor can initiate negotiation. There are three stages to the Performance Review and Development Program implementation: Stage One: Setting Objectives Stage Two: Ongoing Consultation Stage Three: Reviewing progress 3. Definitions AQTF Standards (TAFE Teachers): Australian Quality Training Framework Standards for Registered Training Organisations (2001) Feedback: • Feedback Feedback is gained from colleagues, supervisors and internal or external clients. All staff and their supervisors will reach agreement on what type of feedback is appropriate and who should be asked to provide feedback. Written feedback should be via the Confidential Written Feedback Form and kept confidential between the supervisor and the staff member. Written feedback should be sought annually. For staff in supervisory positions, comprehensive annual feedback is encouraged utilising 360 degree feedback. Any person asked to give written feedback is not under any obligation to do so. • Student Feedback - SET/SEU This refers to Student Evaluation of Teaching (SET) and Student Evaluation of Units (SEU) (courses, units, competency units and modules). SET and SEU are evaluation instruments designed for teaching staff to obtain feedback from students. SET is used by the teacher to gather information about their teaching style and performance as reflected in the responses of their students. SEU is used to gather information about the students' opinion of the unit content Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 1 of 7
  • 2. University Procedure Performance Review and Development Program and structure. Assistance in interpretation of student feedback can be accessed through Academic Support Services. • Other forms of Student Feedback Teachers may wish to use other forms of student feedback and may do so with prior approval from the Academic Board . Group/Team PRDP: For some staff it may be appropriate for Performance Management to be undertaken as a group/team of staff, if all involved staff agree. If this is to occur, the supervisor will advise his/her supervisor that Performance Management is to be implemented in this way. Performance Management: Performance Management is a collaborative process whereby a supervisor and staff member agree on what the focus of the staff member’s job is for a specified period of time, usually a year, and involves planning, consultation and reviewing. Performance Management Cycle: The period of time over which Performance Management occurs is referred to as a cycle. The cycle refers to the time span over which a plan is devised and outcomes are reviewed. Performance Plans: The Performance Plan documents the goals, strategies, performance indicators and feedback to be sought during the Performance Management cycle within the designated workload of the staff member. Performance Review and Development Program (PRDP): This is the name of the University’s formal process of Performance Management, which provides the opportunity for each staff member and his/her supervisor to meet formally and informally to discuss performance and development. Professional Development Plans: The Professional Development Plan documents the goals, strategies and resources for training and development during the Performance Management cycle. Supervisor: This refers to a staff member who has designated responsibility for managing and overseeing the work and development of other staff. Work Summary (Portfolio): These terms refer to styles of collating work and achievements to prepare for a review at the end of a Performance Management cycle. For example: • for TAFE Teachers, the work summary would include the Annual Work Plan, industry links and experience, and commercial activity; • for Academic staff, the work summary might include research publications and consultancy projects and a progressive recording of activity in the framework of the Boyer Four Scholarships (this contributes to a portfolio of evidence for use in the academic promotions procedure); • for a General staff member with administrative duties, the work summary might include projects undertaken and reports written; • for a General staff member with technical duties the work summary might include achievement of quality standards or OH&S risk minimisation. The content of a work summary/portfolio will therefore differ in detail and scope according to the work undertaken by the staff member. Work Plans (TAFE Teachers only): Are used to specify workloads. They take account of the professional duties and responsibilities of the teacher. This annual negotiated workload comprises three parts: Scheduled Teaching Hours; Scheduled Non-Teaching Hours; Negotiated Unscheduled Non-Teaching Hours. For TAFE teachers, the Performance Plan and Professional Development Plan should be developed in conjunction with the Annual Work Plan. Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 2 of 7
  • 3. University Procedure Performance Review and Development Program 4. Actions A The Implementation Procedure Stage I Setting Objectives Stage 2 Ongoing Consultation Stage 3 Reviewing Progress B Further Information Incremental Progression Accelerated Incremental Progression (Academic & General Staff) Time-frame for the Performance Management Cycle Grievance Monitoring & Review 1. The Implementation Procedure Performance Planning is a collaborative process whereby a supervisor and staff member agree on the focus of the staff member’s job for a specified period of time, usually a year. It involves referring to the overall team, School or Section goals (the Statement of Strategic Intent or SSI), the Position Description, and then devising a set of goals for the individual that support the overall SSI and the career goals of the individual. Having clear Performance Plans provides a number of benefits:  the staff member knows what is expected  the staff member can self-assess his or her own performance and self-correct if necessary  both supervisor and staff member have an agreed basis on which to assess achievement and performance  it provides a basis for managing change in a person’s job Effective two-way communication is an essential characteristic of effective Performance Management discussions. An important part of the role of the supervisor in the process is that of mentor and coach, which involves giving constructive feedback and guidance. There are three stages to the Performance Review and Development Program implementation: • Stage 1 - Setting objectives • Stage 2 - On-going consultation regarding progress on performance and development objectives between the staff member and their supervisor • Stage 3 - Reviewing progress Stage 1 - Setting Objectives Before beginning the Performance Review and Development Program, supervisors must ensure each staff member for whom they have supervisory responsibility has an accurate and up-to-date position description that clearly outlines the duties, responsibilities and expectations of the position. 1. Supervisors arrange a planning session to meet with staff members (providing at least ten working days notice). Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 3 of 7
  • 4. University Procedure Performance Review and Development Program 2. The Planning Session: To be effective, Performance Plan objectives of the staff member should be specific, measurable, achievable, realistic and time specific. Objectives should be identified that are: 2.1 Linked to the University SSI and the School/Directorate SSI 2.2 Linked, where appropriate, to the personal and professional objectives of the staff member 2.3 For TAFE teachers, the Performance Plan and Professional Development Plan should be developed in conjunction with the Annual Work Plan and the requirements of the AQTF standards. 3. Use the Performance Plan proforma to record the work objectives, and the strategies and resources to achieve them. In regard to all staff groups, when each objective, performance measure, feedback, timeframe and strategy has been discussed and negotiated, the supervisor and the staff member sign off as provided on the proforma. A future date is established to Review the progress of the Plan. 4. Utilising the Professional Development Plan proforma, the supervisor and the staff member identify any resources and professional development and training that will be required to enable the staff member to achieve their objectives. When resources for professional development have been identified, recorded and agreed to, the supervisor and staff member sign off as provided on the proforma. Where the supervisor is not the Head of School/Director, sign off for resources is to be endorsed by the Head of School/Director. 5. A copy of the completed proformas is sent to the staff member within five working days of completion and the original documents will be filed in a confidential Performance Management file in the School/Directorate. A summary of the Professional Development requirements only, with no staff identification, will be sent to Human Resources. The purpose of this is for Human Resources to monitor and review the professional development, training requirements and resource implications of all staff members, and to make recommendations about the most cost effective means of providing University wide professional development activities. During the period between objective setting and review, staff should undertake the training and professional development that has been identified. Training requirements that are not met by a University-wide program should be arranged between the staff member and their supervisor. Stage 2 - Ongoing Consultation During the year the staff member and their supervisor should meet to identify any issues, obstacles or new directions, which may have become evident. This is also a time to review objectives and to receive some feedback on progress. This ongoing consultation should happen throughout the period set for the achievement of the objectives, and provides the opportunity to ensure that the staff member can achieve their objectives. Ongoing consultation provides the opportunity to deal with issues before they become difficulties and to make sure that the objectives are current. Supervisors can ensure that the appropriate resources have been identified and that professional development has been undertaken or is planned to assist the staff member to achieve their objectives. Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 4 of 7
  • 5. University Procedure Performance Review and Development Program Stage 3 - Reviewing Progress At an agreed date for the review of the Performance Plan, the staff member and the supervisor will together, review the achievement of the objectives over the review period. This discussion should include: 1. consideration of any feedback that was agreed to in the original Performance Plan 2. a Work Summary (Portfolio) summarising the work and achievements of the review period. (Academic staff are encouraged to record activity in the framework of the Boyer Four Scholarships as this also contributes to a portfolio of evidence for future use in the academic promotions procedure.) 3. a Self Assessment statement reflecting on achievements, experiences, any mitigating circumstances etc. 4. student feedback (for academic staff and TAFE teaching staff) The cycle starts again with a new, or revised Performance Plan and Professional Development Plan. 2. Further Information Incremental Progression Performance and salary incremental progression may be linked, and reference should be made to the appropriate Agreements or relevant Australian Workplace Agreements documents. Accelerated Incremental Progression (Academic and General Staff) In exceptional circumstances, a Head of School/Director or other senior manager can recommend to the Vice-Chancellor, or appropriate Deputy Vice Chancellor, Vice President, accelerated incremental progression when the staff member consistently and significantly excels. Accelerated incremental progression may apply to Academic and General Staff only. The Head of School/Director or other senior manager recommends via the Vice-Chancellor where appropriate, or through the respective Deputy Vice Chancellor/Vice President, accelerated incremental progression in writing to the Director - Human Resources, detailing the exceptional performance. Accelerated incremental progression is limited to the anniversary date and the next highest point beyond normal advancement within the one classification level Time-frame for the Performance Management Cycle A Performance Management cycle usually occurs over 12 months. Any variations to this time frame should be discussed and agreed to between the staff member and the supervisor. In the event that a Performance Management discussion has not taken place in the 12 month period, or other agreed variation to this time frame, the staff member should discuss the matter with their supervisor's supervisor to ensure arrangements are made to implement Performance Management in accordance with University Policy and Procedure. Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 5 of 7
  • 6. University Procedure Performance Review and Development Program Grievance A staff member may invoke the Staff Grievance Procedure where he/she considers that he/she has been treated unfairly in the application of Performance Management, eg by an unfair or biased evaluation of performance. Monitoring and Review To ensure effective and equitable implementation of Performance Management: • The Vice-Chancellor, Deputy Vice-Chancellors, Vice President, Heads of Schools, Directors, will be responsible for implementation of Performance Management in their area; • effective implementation will be reviewed annually with the Vice-Chancellor, Deputy Vice- Chancellors, Vice Presidents, Heads of Schools, Directors as part of their annual performance review; • Human Resources will conduct regular audits of the ongoing effectiveness of the Program; • the Planning Section conducts regular audits of University policy and procedures. 5. Responsibilities • The Director - Human Resources is responsible for the maintenance of this procedure. • All supervisors have specific responsibility for ensuring that Performance Management is implemented for all staff for whom they are nominated as supervisor. 6. Policy Base • Performance Review and Development Program Policy. 7. Associated Documents • University of Ballarat Union Collective Agreement 2006-2008 – Academic and General Staff Employees or relevant Australian Workplace Agreement. • University of Ballarat Grievance Policy 2005 • Probation Policy and Procedures (for General Staff and TAFE Teacher) 1999 8. Forms/Record Keeping Two copies of the Performance Plan, and the Professional Development Plan are: • signed by both parties to indicate agreement with the content • one copy is given to the staff member • the other copy is placed in a confidential file within the School/Directorate • a summary only of the Professional Development Plans, with no identification of individual staff, is sent to Human Resources to review the professional development, training requirements and resource implications for University-wide professional development. Title Location Responsible Minimum Officer Retention Period Confidential Written Feedback Form School/Directorate Head of School/ Allow at least two Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 6 of 7
  • 7. University Procedure Performance Review and Development Program Title Location Responsible Minimum Officer Retention Period (Confidential File) Director planning cycles Performance Plan School/Directorate Head of Allow at least two Performance Plan (Copy) (Confidential File) School/Director planning cycles Staff member Professional Development Plan School/Directorate Head of Allow at least two Professional Development Plan (copy) (Confidential File) School/Director planning cycles Staff Member Work Plan Form (TAFE Teachers) School/Directorate Head of Ongoing (Confidential File) School/Director Salary Incremental Advice Form School/Directorate Head of Ongoing (Confidential File) School/Director Human Resources Director – Human Resources Warning – Uncontrolled when printed! The current version of this document is kept on the UB website. Authorised by: Vice-Chancellor Original Issue: 05/12/01 Maintained by: Director, Human Resources Current Version: 1 May 2007 Review Date: 1 February 2009 Page 7 of 7

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