Performance Management of Staff

Part C Performance Management of Staff

The mission of The University of Western Australia is to advance, transmit and sustain knowledge and understanding through the conduct of teaching, research and scholarship at the highest international standards, for the benefit of the international and national community, as well as the state of Western Australia. To support this mission the University’s key priority is to recruit, develop and retain staff of the highest quality, and to provide a working environment that enables staff to optimise their contribution to the University. Performance management is an important strategy to achieve this. The Professional Development Review (PDR) process is designed both to help UWA staff achieve their personal and professional goals and to promote the University’s mission and goals. All staff of the University are involved in some form of performance review and development. Senior staff (Vice-Chancellor, Executive, Deans, Heads of School and Directors) develop explicit goals relevant to their roles against which their performance is assessed annually. Their review process often includes feedback from their peers and staff. This website provides an outline of the PDR process, and the responsibilities of reviewers and reviewees. An overview Responsibilities of staff involved in the review process Preparation for the Professional Development Review Discussion (being updated) Professional Development Review Report (being updated) Expectations of all UWA staff Expectations of Staff in Leadership and Management Roles Guide for the Use of an Academic Portfolio in Promotion, Tenure and Professional Development Review (PDR) Policy Statement: Professional Development Review (PDR) for staff at UWA

Introduction Professional Development Review Process

Introduction The key priority of the University’s Strategic Plan is “to recruit, develop and retain the highest quality staff”. Through reflection, feedback and discussion, the Professional Development Review (PDR) supports the career development of staff. The PDR aims to: Review the past year’s performance; Recognise the achievements of the reviewee; Clarify any changes to the reviewee’s role; Plan for the coming year and identify goals; Equip individuals to meet the immediate and future challenges of their position; Assist individuals to achieve their goals and those of the School/Unit and the University; and Provide guidance on career development   Professional Development Review Process Who is involved All staff, other than casual staff, will participate in an annual Professional Development Review. For general staff the immediate supervisor will be responsible for conducting the review. Reviewees, however, may request another reviewer and reviewers will have the option of declining to review an individual. Where an alternate reviewer is negotiated the formal supervisor remains the official supervisor. Wherever possible, staff should have the same reviewer from year to year. Reviewees may also ask that a third person be involved in the review process. For academic staff, the review will normally be conducted by the Head of School. In larger Schools the Head of School/Unit may choose to delegate this role to one or more senior academics, with pairings arranged through negotiation with the Head. Ordinarily there will be no third party invovlement. Heads remain the official supervisor and they should, as far as possible, ensure that the reviewee has the same reviewer from year to year. All reviewers must participate in a training program before conducting a PDR. All reviewees will have the opportunity to access training. When and how does it happen? The University expects that every staff member has a clear understanding of their role and priorities/goals. For new staff this will be clarified during the induction process, and should be recorded within two months of appointment. For current staff this may be defined at the first formal PDR discussion. Details of the Induction process are available at New staff at UWA. The Professional Development Review process should then be ongoing with regular feedback to the staff member, rather than a once a year event. It does, however, incorporate a formal discussion. This formal discussion should take place annually, at a time most convenient at the local level. Supervisors are encouraged to engage in a minimum six-monthly informal 'follow up' in which expectations and needs are discussed.

 

REVIEWER REVIEWEE ROLE OF THE HEAD OF SCHOOL/UNIT

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Executive Summary Feedback on the UWA PDR system implementation indicates a smooth and relatively trouble free process that has enabled constructive and regular performance discussions for many staff, including academics. However, the context in which the PDR operates has changed considerably over the last two years, and there is also considerable room for refinement of the system and processes. The changes suggested in this report are designed to increase the accountability and effectiveness of the system, reduce the workload on staff, and increase the usefulness of the PDR outcomes. The review indicates a clear need to shift to an electronic record keeping system rather than a paper-based locally stored record; improve the guidelines, models and templates associated with the PDR system; create transparent and relevant performance indicators to assist academic performance reviews; and develop a rating scale that offers better discrimination on outcomes. The recommendations highlight the critical need to articulate what is expected of academics and to maximise the use of the PDR outcomes by other review systems. Alignment with these reward and recognition processes would strongly encourage further embedding of the PDR process into the regular cycle of university activity.   Summary of Recommendations Recommendation 1: That all supervisors record and manage Professional Development Reviews through the Human Resources Electronic Self Serve (ESS) system. Recommendation 2: That Human Resources modify the ESS system to create annual prompts for supervisors and reviewees to remind them of the need to complete a review, the prompting to continue until the PDR discussion is completed. Recommendation 3: That UWA explore the possibility of employing PDR outcomes to assist with probationary review decisions for all staff. Recommendation 4: That, to support effective use of the probationary period, all new staff be registered for a preliminary performance review through ESS on appointment, with a requirement, supported by prompts from ESS to both supervisor and staff member, two months after commencement to follow up. Recommendation 5: That faculties and schools establish, through a collaborative process, a framework of explicit academic performance expectations for research, teaching and service. Recommendation 6: That Human Resources redesign the Expectations for All Staff documentation to encourage active discussion of how these expectations should be manifested in the reviewee’s work setting. Recommendation 7: That Human Resources redesign the Expectations of staff in leadership and management roles guidelines to better assist discussions of leadership and management outcomes during the PDR discussion. Recommendation 8: That Human Resources develop guidelines for supervisors and leaders to assist in their reflection and review of supervisory and leadership processes. Recommendation 9: That, in the revision of the PDR documentation, Human Resources ensure that the summary section includes a section relating to the agreed goals for the next review period developed during the PDR discussion. Recommendation 10: That Human Resources amend the guidelines relating to learning and development in order to provide more specific guidance on sources of support, modes of development, and mentorship. Recommendation 11: That Human Resources ensure that the revisions to the PDR record include information regarding planned leave clearances. Recommendation 12: That, in the revision of the PDR documentation, Human Resources expand the rating system for satisfactory performance to five performance levels and provide explicit guidance on the interpretation of each level. Recommendation 13: That, in the revision of the PDR documentation, Human Resources modifies the rating of poor performance in order to clearly differentiate between staff who are under-performing and are likely to benefit from ongoing development and guidance, and those with more serious performance problems. Recommendation 14: That Human Resources develop new guidelines to assist heads to more effectively manage the different forms of poor performance. Recommendation 15: That Human Resources remove the explicit listing of rewards from Section 5 and include these in more comprehensive guidelines regarding reward and recognition. Recommendation 16: That Human Resources include more explicit guidelines on reclassification processes in the PDR guidelines. Recommendation 17: That the University consider a limited permission system to enable access to specified elements of the PDR record by approved parties. Recommendation 18: That Human Resources, in the modification of the PDR documentation, more clearly profile the summary statement in the PDR report. Recommendation 19: That Human Resources amend the PDR documentation so that either reviewer or reviewee may draft the summary statement. Recommendation 20: That Human Resources amend the PDR documentation providing more explicit guidelines on the use and preparation of the summary statement. Recommendation 21: That Human Resources provide more explicit guidance on the use of the academic portfolio for PDR purposes, particularly with respect to length and purpose. Recommendation 22: That the Deputy Vice Chancellor (Education) consider the appropriateness of accessing SPOT data for use in the PDR assessment. Recommendation 23: That Human Resources develop a single PDR form available online for use as a preparation, discussion and reporting tool. Recommendation 24: That the Director Human Resources, in consultation with relevant parties, develop an Implementation Plan establishing strategies, a timeline and resource requirements within one month.

43 Guidelines for Conduct in the Workplace

43.1 A Supportive Work Environment

People work best in a setting marked by mutual respect, personal dignity and support which utilises one's skills and abilities, and encourages further learning. Students and all members of staff, therefore, may reasonably expect to pursue their work and studies in a safe and civil environment, free from discrimination, harassment, sexual harassment, threatening or violent conduct, or offences against property. This statement puts forward some guidelines for all members of the University community to follow when they believe the professional integrity of their work or study environment has been compromised by one or more persons engaging in intimidating and/or inappropriate behaviour, often known as workplace bullying. It identifies processes for staff, students and heads of school to follow in attempting to resolve such difficulties. The guidelines DO NOT apply to unsatisfactory performance or misconduct on the part of staff. There are provisions under various Agreements to cater for these circumstances. Additionally, procedures commenced under these guidelines cannot be converted to disciplinary action for unsatisfactory performance or misconduct. However, neither shall anything in this policy prevent the employer from taking disciplinary action for unsatisfactory performance or misconduct should the need arise. Where there is student misconduct, reference should be made to existing processes under Statute 17 of the Regulations covering discipline and misconduct.

 

43.2 What is Intimidating or Inappropriate Behaviour?

Conflict between staff members or between staff and students may occasionally be manifested in behaviour best described as intimidating or inappropriate. It often arises from real or perceived power differentials between two people in terms of the formal or informal hierarchy and culture of the University; indeed, often a formal supervisory relationship. While bullying* may best describe most intimidating or inappropriate behaviour these guidelines are also intended to reinforce the general principle of respecting colleagues. * A formal definition of bullying used by the Queensland Department of Occupational Health and Safety is "the repeated less favourable treatment of a person by another or others in the workplace, which may be considered unreasonable and inappropriate workplace practice". Examples include difficulties between academic and general staff, between senior academics and junior academics, between male and female staff or between staff and students. The following list of behaviours, while incomplete, could be considered as intimidating and inappropriate. They have been categorised in five groups. Threat to professional status Persistent attempt to belittle and undermine work Persistent criticism and lack of respect for judgments, skills or opinions of a person Persistent attempts to humiliate in front of colleagues (put downs and name calling) Intimidatory use of discipline or competence procedures (Note that this does not preclude supervisors using performance management processes in a legitimate way) Threat to personal standing Undermining personal integrity Destructive innuendo and sarcasm (including rumours and gossip) Verbal and non-verbal threats (eg threat of dismissal (although an employer may legitimately use disciplinary action); threat of complaints when people stand up for themselves; use of private information inappropriately) Inappropriate or overly forceful language (including jokes, sarcasm insults and crude language) Initimidatory behaviour (shouting, invasion of personal space such as entering someone's office without knocking, physically standing over another person, rifling through personal files and drawers; reading information on someone's desk without permission; blocking someone's exit, banging a desk.) Physical violence Violence to property Isolation Withholding necessary information or passive non-cooperation Freezing out, ignoring, excluding or cutting off in conversation Denied opportunities for interesting work Unreasonable refusal of applications for leave, training or promotion Overwork Undue pressure to produce work Setting of impossible deadlines Destabilisation Shifting of goal posts without consultation Constant undervaluing of efforts Persistent efforts to demoralise Removal of areas of responsibility without consultation

 

43.3 Organisational and Individual Impacts of Bullying

Organisational impacts of inappropriate behaviours include decreased morale, increased negativism and cynicism, irritability and increased staff turnover. The individual effects of bullying are both psychological (increased stress levels, insecurity and loss of trust) and physical (tiredness, headaches and lost work time from illness). These impacts are not confined to the target of the behaviour but can also affect others in the workplace. Together they can reduce organisational productivity. Indeed, the combination of increased turnover, the need for sometimes complex grievance resolution processes, access to Employee Assistance support and, occasionally, litigation, can escalate the dollar costs of bullying behaviour. It is therefore preferable to minimise the likelihood of inappropriate behaviours. Accountability for this falls to staff with management responsibilities.

 

43.4 Responsibilities of Deans of Faculties, Heads of School and Supervisors

School heads and supervisors have management responsibility for the smooth functioning of the work of the school or work area. In most circumstances this responsibility can be effectively undertaken through successful delegation and regular reporting. Minimising the possibility of bullying behaviour is best done through a staff discussion in each workplace about what staff jointly believe to be reasonable expectations and standards for individaul behaviour. Developing a set of protocols in this way can bring attention to the problem, create a shared understanding of what is acceptable and what is not, and empower individuals to speak out when those protocols have been breached. For a suggestion on what might constitute a useful set of protocols see Appendix 1. Heads of School and supervisors are encouraged to include consideration of appropriate behaviour as part of their accountability framework for staff. Staff who are perceived to have difficulties in this area should be encouraged to participate in development programmes through the Centre for Staff Development or other providers. Occasionally, however, despite such precautionary efforts, conflict may arise between two staff members or between a staff member and a student. Heads and supervisors must accept that complaints of this nature can be serious and should be dealt with carefully. It is the responsibility of the Head or supervisor to ensure that such conflicts are resolved to the satisfaction of all parties, such that the effective functioning of the school is restored. It is important to note that while of the Head of School has the ultimate responsibility, generally disputes are best sorted out at the lowest and most informal level where possible. A suggested process for managing these problems is outlined in Section 43.6.

 

43.5 Responsibilities of Staff Members and Students

Each staff member is responsible for carrying out the duties identified in his/her conditions of employment. Students are required to fulfill the requirements of the courses in which they are enrolled. When the behaviour of another member of the University community is such that the staff member's or student’s work/study effectiveness and sense of personal well-being has been eroded, it is that individual's responsibility to identify these behaviours. This can be done in the form of personal notes which specify the occasions on which the behaviour occurred and how it has impacted on his/her work or study environment. In general, it is appropriate that the individual who is affected by the behaviour of another person approach the other party directly to seek resolution, if possible. Where the problem has arisen from a genuine misunderstanding this is usually the most effective approach. Prior to doing so the staff member or student may wish to contact an equity advisor who can act as a reference point and give guidance. If speaking directly to the other party proves difficult or inappropriate, and the staff member or student wishes to raise the concern with management, he/she should meet with his/her supervisor, (or the supervisor's supervisor as necessary) to lay out the facts as he/she sees them. In some instances this will be the Head of School. This would generally be the case for students. In the case of general staff, supervisors are nominated on the duty statement of the position occupied. Any staff member who is unsure of their supervisor can contact Human Resources for clarification. In this meeting a complainant is entitled to be accompanied by a neutral third person to provide support (eg. a colleague or co-worker who has agreed to keep confidentiality) if he or she wishes. Generally, it is inappropriate to discuss the issue with others in the work environment. This is unlikely to be effective and, indeed, such discussion may be construed as gossip and result in divisive consequences in a school. Only staff in supervisory positions have the authority to institute the appropriate resolution processes required. To obtain personal support in what can often be a difficult time staff are encouraged to access the University's Employee Assistance Programme (EAP) either through Davidson and Trahaire or to the University Counselling Service. Both providers have counsellors who are experienced professionals with specialist expertise.

 

43.6 Managing the Complaint at the Local Level

The staff member or student wishing to raise the concern meets with the Head of School or supervisor (or Dean if the complaint is about the Head) to discuss it. The Head or supervisor informs the complainant that he/she will meet with the other party to discuss the substance of the concern. Listening to both sides of a complaint is an essential element of natural justice. The Head of School or supervisor then speaks with the person alleged to be causing the difficulty. If he/she acknowledges his/her behaviour and the distress it has caused, and undertakes that this behaviour shall not occur again, such promises should be recorded in a brief note to be held confidentially in the appropriate school file, with copies to both parties. The Head is then responsible for monitoring the situation to ensure there is no recurrence of the behaviour. If the behaviour does recur then formal disciplinary procedures are advised. If, during the course of discussion, it appears that the person alleged to be causing the difficulty is not at fault, or if he or she indicates that the complainant is equally at fault, a skilled Head of School or supervisor might well be able to assist in resolving the issue at this stage through mediation. The Centre for Staff Development occasionally offers short workshops in mediation and conflict resolution to help develop the required skills. Managers and supervisors who need advice on dealing with difficult people issues are also encouraged to use the Manager Assist facility provided through the Employee Assistance Programme. It is important that the Head of School's or supervisor’s action results in a clearly understood outcome which is accepted by all those involved. Failing resolution at the local level, there are two possible outcomes: resolution by mediation conducted by a University mediator or resolution through an industrial process (in the case of staff) or existing discipline procedures under Regulation 17 (in the case of students). Such processes should be invoked where it is clear that one party has been intimidating the other, as this may constitute unsatisfactory job-related performance or possibily misconduct.

 

43.7 Mediation

If, during the course of his/her discussions with the staff member or student raising the complaint and the other party, the Head or supervisor forms the view that it cannot be resolved by the two parties independently or through mediation at the local level, then mediation through an external and independent person may be helpful. Mediation is most useful when there may be a personality clash or misunderstanding. The role of a mediator is not that of an arbitrator; his/her purpose is to assist the parties to arrive at an agreement that is satisfactory to both. For this reason mediation needs the full cooperation and agreement of both parties. The Head of School or supervisor is invited to contact either the Manager, Employee Relations and Management Services (ph 3031) or the Manager, Equity & Diversity (ph 3791) for a list of mediators. Because it is important that the mediator is acceptable to both parties, the Head or supervisor should provide a copy of the list of mediators to each party and ask them to identify any seen to be unacceptable. The Head or supervisor can then make contact with a mediator acceptable to both parties. The mediator will meet with both parties to assist them to reconcile their differences and prepare a list of agreed commitments about future behaviour. A full statement of agreed actions will be prepared by the mediator and copies given to both parties. The agreement will be confidential to both parties and the mediator. The Head of School or supervisor will be sent a brief statement indicating whether or not the mediation was successful. The statement will be filed confidentially in accordance with school policy. Such records are helpful in providing some continuity when there is a regular turnover of the headship in a school. The Head of School or supervisor should arrange follow-up discussion with both parties to confirm their satisfaction with the result. The Head of School or supervisor is then responsible for monitoring the situation to ensure there is no recurrence of the behaviour.

 

43.8 Resolution through Existing Industrial or Discipline Processes

If, during the course of his/her discussions with the two parties, the Head forms the view that the nature of the concern is such that the problem cannot be resolved through mediation or is inappropriate for mediation (eg physical intimidation), then The University of Western Australia Academic Staff Agreement 2009 Schedule C and Schedule D provides an account of the relevant procedures to follow in relation to academic staff . In the case of general staff, procedures are outlined Procedures for Managing Unsatisfactory Performance and Misconduct: All Staff Other Than Academics. For further advice please contact the Manager Employee Relations and Management Services (ext 3031). In the case of students recourse should be made to Statute 17 of the Regulations. For further advice please contact the Registrar (3001).

 

43.9 Support for the Process

There are a variety of programmes offered through the Centre for Staff Development to assist heads of school and supervisors in carrying out their management roles including conflict resolution. Individuals are also encouraged to contact the Centre if they wish to improve their skills in working effectively with others including assertiveness strategies. For further information please contact the Staff Development Centre on 1504.

 

43.10 Appendix 1

Appendix 1 (taken from B A Thomas-Peter. Personal Standards in Professional Relationships: Limiting Interpersonal Harassment, Journal of Community & Applied Social Psychology, Vol 7, 233-239 (1997). I will not confront my colleagues with information that challenges their actions or participation in projects where they have made significant investments until such time as that issue has been addressed in private with them. I will treat my colleagues with the degree of sensitivity, courtesy and respect due from one human being to another, even in the difficult circumstances of disagreement, being criticised or offering criticism and telling or being told bad news. I will help my colleagues to recover from error, to change their minds and to acknowledge their limitations without seriously undermining their relationships with individuals and the organisation. I will advise my colleagues of dangers and pitfalls that I am aware of and will not allow them to make errors that I can prevent. I will not undermine the actions and purpose of my colleagues by instituting policies or practices, alone or with others, without consulting with them, declaring my agenda and disclosing my methods for wider consideration. I will encourage my colleagues to question my opinions and decisions without risk to them. In addition I will not obstruct the expression of an opinion or belief merely because it is inconvenient or because I disagree with it.

 

 

45 Procedures for Managing Unsatisfactory Performance and Workplace Behaviour: Professional and General Staff

45.1   Overview These procedures apply in the management of all professional and general University staff including staff in the areas of ELICOS and childcare. The University expects each staff member to show competence, care, good faith and compliance with instructions, policies and procedures in the performance of their duties and to conduct themselves in a manner which respects the rights and welfare of other members of the University in line with the University’s Code of Ethics and Code of Conduct. Where a staff member’s work performance does not meet a satisfactory standard an appropriate process of investigation and corrective action must be taken. The action taken must conform to the relevant legislation and accord with the principles of natural justice and procedural fairness. The University is committed to ensuring that fair and effective systems exist for managing unsatisfactory work performance and allegations of unacceptable conduct or workplace behaviour. The managing of unsatisfactory performance requires the principles of natural justice and procedural fairness to underpin all actions undertaken by supervisors. Staff from the Employee Relations and Management Services (ERMS) Section can advise on this. The principles of natural justice are: All parties will have the right to be heard and judged without bias All issues are investigated thoroughly and justly The principles of procedural fairness are: The standards of conduct or job performance required will be made clear to the staff member by documentation or during interviews The staff member will be made aware of the likely next steps in the event that satisfactory performance or conduct is or is not maintained The staff member will be afforded the right to be accompanied and represented by an employee representative at discussions or interviews at any level of the discipline process When a complaint about performance or conduct is brought to the supervisor’s attention by a third party, the substance of the complaint will be verified before any action is taken on the matter These procedures do not replace the normal responsibility of a supervisor to discuss work or conduct issues with staff members, to ensure that staff members have a clear understanding of the work and conduct expected of them and to provide appropriate feedback on their performance. The emphasis should always be on early intervention and informal resolution of a problem, as opposed to a more formal intervention at a later time. In any event, unless the matter is of a serious nature, the formal disciplinary process outlined below should only be commenced when it becomes clear to the supervisor that a work performance or conduct problem has not been corrected through relatively informal discussion between the supervisor and staff member, Nothing in these procedures precludes the University from terminating the employment of a staff member for unsatisfactory performance. 45.2   Definitions ‘Employee Representative’ means a person nominated by a staff member to provide support and/or make representations to the University on their behalf, where they so choose and who is not currently a practising solicitor or barrister. ‘Disciplinary Action’ is the action or actions taken as a result of moving through this process and is the outcome of the staff member’s failure to achieve the required standards of performance or workplace behaviour and for which a penalty is deemed appropriate. ‘Supervisor’ means the person who is responsible for day-to-day supervision of the staff member. ‘Staff Member/Employee’ means a member of staff employed by the University, including general, ELICOS and childcare staff and excludes academic staff. ‘Unsatisfactory work performance or behaviour’ includes inefficiency or negligence in the performance of the employee’s duties or unacceptable workplace behaviour. 45.3   Stage 1 Managing for Performance and/or Behaviour This stage should be followed where informal chats about performance or behaviour have not been successful and where there are still concerns regarding a staff member’s performance or behaviour. Whilst it is expected that the matter will be managed at the local level, the supervisor may discuss this part of the process with an Employee Relations and Management Services (ERMS) officer at any time. Step 1 A) As soon as problems or concerns regarding a staff member’s performance and/or behaviour appear raise them with the staff member. B) When approaching the staff member about the need to meet: attempt to put the staff member at ease approach the staff member respectfully and discreetly making sure that he or she does not lose face in front of work colleagues let the staff member know in advance the purpose of the meeting; and invite them to bring an employee representative for support A manager/supervisor can also invite a representative from ERMS to be present, if required. C) Give clear evidence or examples to demonstrate that the staff member’s performance and/or behaviour is unsatisfactory; D) Ensure the staff member knows what to do and that he or she has the skills, resources and tools to do the job; E) Ensure that the staff member understands your expectations with respect to performance and behaviour and try to seek agreement from the staff member around those expectations. Ensure that these expectations are reasonable. Where the staff member feels that the expectations are unreasonable, provide the opportunity for discussion. F) Explore the possibility of there being a personal problem, health problems or some other factor which is impinging on the staff member’s work. Consider suggesting the Employee Assistance Programme or other resources if appropriate. G) Provide workable solutions and identify training and support requirements where appropriate. H) It is important to document the discussions you have with the staff member detailing areas of concern, mitigating factors, a defined and agreed period of time for improvement, and an improvement plan. A copy signed by the staff member should be kept by the supervisor and a copy given to the staff member. Step 2 A) Monitor the staff member’s performance and/or behaviour. B) Meet with the staff member as regularly as appears necessary or as agreed. Step 3 A) If after a reasonable amount of time it appears that the staff member has reached the agreed expectations, then the process will come to an end. If after a reasonable amount of time it appears that satisfactory progress is not being made, discuss the case with your contact in Employee Relations and Management Services (ERMS). ‘Reasonable amount of time’ will vary depending on the nature of the job and the commitment of the staff member to improving their performance/behaviour. B) The supervisor in conjunction with the ERMS officer will determine if it’s appropriate to move to Stage 2 or continue with Stage 1. 45.4   Stage 2 Managing Unsatisfactory Performance and/or Behaviour Step 1 The First Meeting A) Advise the staff member that the process is moving into stage 2 and arrange for a meeting. Depending on the number of issues that need to be covered, this first meeting may in fact be a number of meetings. B) At the meeting: the staff member must be told in clear and precise terms exactly what you are dissatisfied with e.g: continued late attendance such as that which has occurred on……,too many inaccuracies in production of reports etc. It is not sufficient to make broad statements such as "we are not happy with your performance" or, "your attitude will need to improve" ask the staff member to respond to each example and record and consider the responses. Where responses require further investigation. conduct those investigations and follow up on those matters at a subsequent meeting seek to ascertain any underlying cause of the problems. There may be personal, health or other workplace issues impinging on the employee’s capacity to perform to the required standards. In these circumstances seek to address and agree on solutions to these issues but at the same time reiterate your expectations. The University operates a confidential Employee Assistance Program and it may be beneficial to suggest that the member of staff access this service to assist in addressing any underlying problems consider whether the staff member’s responses excuse the performance or behaviour levels; if they do, consider other courses of action. if you consider the responses unsatisfactory, inform the staff member of the following that in your view the responses do not justify the poor performance and/or behaviour in clear terms the performance and/or behavioural expectations that are required that the purpose of this process is to assist the staff member to meet the performance and/or behavioural expectations which have been discussed that failure to improve and achieve the required standards of performance and/or behaviour will lead to disciplinary action that their performance and/or behaviour will be reviewed within a specified time, or earlier. New matters should not be raised during this review period unless considered of a serious nature. Seek advice from Employee Relations and Management Services on the appropriate period for review in each particular case; and discuss with the staff member any measures that are necessary to improve the performance and/or behaviour, such as, further training C) Conclude the meeting ensuring that: the staff member clearly understands the issues that have been discussed and what is required of them an improvement plan has been mutually agreed (if possible) that meets your needs and the staff member you have offered your assistance but do not allow the staff member to shift responsibility back to you; and you have invited the staff member to notify you if he or she encounters any obstacles or barriers to meeting the required standards. Step 2 Follow up from the first meeting A) Following the meeting, and preferably within 5 working days, provide the staff member with a letter or record of meeting confirming the matters discussed and a copy of the proposed improvement plan, B) The Improvement Plan (suggested template at Attachment A)should include: The areas of concern The performance and/or behavioural standards to be met and how these will be assessed Agreed training and development requirements The time frame for the process. C) It is recommended that in addition a working review plan (suggested template at Attachment B) is used to document the feedback which will be provided to the staff member at the regular review meetings. This may include the tasks set for the review period (that is week or fortnight), the anticipated time required to complete the task, and feedback on the tasks. D) Have the staff member sign a copy of the documentation to indicate receipt and that it is a true and accurate record of what was discussed. If the staff member disagrees with the content of the document or wishes to make additional comments he or she may provide a written statement in response which will be reviewed by the ERMS officer. Any such additional documentation submitted by the staff member must stay with the original record of meeting. E) The letter of confirmation and the staff member’s statement, if any, are to be forwarded to your ERMS officer who will place them on the appropriate central file on unsatisfactory performance. Step 3 Regular Review Meetings A) Monitor performance and/or behaviour on a regular basis as per the agreed timeframe in the improvement plan. Where necessary review the documentation ensuring that the staff member understands the plan and the possible consequences of not meeting the supervisor’s expectations as outlined in Stage 2, Step 1 B. B) Where the staff member has met the supervisor’s expectations, confirm this in a letter stating that the process has been completed and forward a copy to the ERMS officer who will place it on the appropriate central file. C) If there is not satisfactory improvement within the agreed timeframe, provide the staff member with a written warning outlining the areas of concern and the lack of improvement. A copy of this letter should be forwarded to the ERMS officer who will place it on the appropriate central file. Step 4 Final Warning A) When the staff member has been given a reasonable number of opportunities to improve their performance and/or behaviour, and they have not done so, have a final counselling session and issue a final warning. Seek assistance from your ERMS officer in drafting this letter. A copy of this letter should be forwarded to the ERMS officer who will place it on the appropriate central file. B) Make sure a period of time is again specified for the staff member to improve and that the consequences of failing to perform satisfactorily are understood. C) If sufficient improvement has occurred, continue with the review period. D) If after issuing a final warning sufficient improvement has not occurred during the specified period, conduct another meeting with the staff member. E) If the staff member’s response at the meeting is unsatisfactory as to why their performance has not achieved the required standard, inform them that you are contemplating recommending termination of their employment or disciplinary action. Invite them to offer any mitigating circumstances as to why their employment should not be terminated. F) Make sure you record considerations given to matters raised by the staff member and that you allow yourself sufficient time to consider other relevant matters even if not raised by the employee, such as the length of service and past record of the employee. Step 5 Report to the Director, Human Resources A) If the decision is to recommend disciplinary action or termination of the staff member, forward a report to the Director, Human Resources through your ERMS officer, for consideration of the appropriate action. The report should include: the specifics of the alleged poor performance and/or behaviour the process that has been followed a recommendation for the disciplinary action sort as outlined in the General Staff Agreement 2009, that is, reprimand or censure, withholding an increment or termination copies of records of meetings and other relevant documentation. B) The ERMS officer will acknowledge receipt of the report and provide the staff member with a copy and inform them that they are entitled within five working days of receiving the copy of the report, unless agreed otherwise by the Director of Human Resources, to submit a written response to the Director Human Resources. C) The Director of Human Resources will consider the report and any response in accordance with Stage 3 below. If you are unsure about any aspect of the above procedure, it is vital that you seek further advice from Employee Relations and Management Services. 45.5   Stage 3 Review and Action by the Director, Human Resources A) Upon receipt of the supervisor’s report provided in accordance with Stage 2 the Director, Human Resources shall first satisfy him/herself that reasonable steps have been taken to remedy the poor performance or behaviour. B) The Director Human Resources may, after full consideration of the matter, decide to: take no further action refer the matter back for further information, evidence or opportunity to improve reprimand or censure the staff member withhold an increment of salary, where applicable, for a period not exceeding twelve months; or subject to Point C below, terminate the employment. C) Before deciding to terminate the employment, the Director Human Resources may advise the staff member that termination is being considered and invite the staff member to make an appointment with the Director to discuss any matters prior to a final decision being made. The staff member may choose to have an employee representative in attendance at this meeting. D) If the Director Human Resources determines that disciplinary action is warranted, the staff member will be advised of the decision in writing and a copy placed on the staff member’s file as well as the central file on unsatisfactory performance.

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46 Guidelines for Alternative Placement or Transfer of Staff: General Staff

46.1 Alternate Position

Situations arise where it is desirable that staff be transferred to alternative positions. These situations include: where staff are physically incapable of performing work in their current position but are capable of performing other work where efforts are being made to place staff under the current redundancy provisions relating to redeployment as provided for in Redeployment, Redundancy and Retrenchment where the working environment has become unproductive as a result of personal idiosyncracies.

 

46.2 Suitable Vacancy

Whenever a situation occurs as outlined in paragraph 5.1 above and is not covered by Redeployment, Redundancy and Retrenchment the staff member shall be placed in the first suitable and mutually acceptable vacancy. A suitable vacancy is one which makes an appropriate match between the officer, the job and the work environment.

 

46.3 Consultation

After consultation with the employee concerned and with the supervisor of the position, the head of school and Dean where the placement is being sought, authority to transfer shall rest with the Vice-Chancellor on the recommendation of the Director, Human Resources.

 

46.4 Retaining Entitlements

The staff member retains existing entitlements including salary and classification.

 

46.5 Rehabilitation Programme

These placement guidelines will also be applied to staff who are undertaking a University organised, formal rehabilitation programme following a work-related injury as approved by the Director, Human Resources.

 

46.6 Application to Unsatisfactory Performance

These guidelines may also be applied to staff being transferred as an outcome of the application of the Procedures for Managing Unsatisfactory Performance and Misconduct.

 

46.7 Non Entitlement of Transfer

Nothing in these guidelines infers an entitlement to be transferred on the request of an employee.