Module 1 – “Establish Performance Plan” for Academic Supervisors Performance, Development and...

Module 1 – “Establish Performance Plan” for Academic Supervisors

Performance, Development and Rewards Training

2© 2008 Ernst & Young Australia. Liability limited by a scheme approved under Professional Standards Legislation.

Module 1 Establish Performance Plan focuses on the course objectives outlined below

At the end of this session participants will be able to:

Describe the PDR process, including roles and responsibilities, the performance management cycle and the detailed performance process steps.

List the components of the Performance Plan.

Describe why setting individual objectives is beneficial and important.

List the attributes of a SMART objective and link performance objectives to the ‘Swinburne in 2015’ vision.

Applying the SMART criteria, identify good examples of performance objectives.

Relate and share any concerns staff are likely to have about the Performance Plan Process and agree how these should be addressed.

Assist Direct Reports to develop learning objectives to support achievement of professional performance objectives and career aspirations.


The Performance, Development and Rewards approach positions Swinburne as ‘the place to be’

Developing our talented people lies at the heart of our 2015 vision, which stands to position Swinburne University of Technology (SUT) as one of Australia’s leading research Universities.

To support our peoples’ efforts, we have developed a simple and transparent Performance, Development and Rewards (PDR) approach, which will be applied consistently across SUT.

The PDR approach is designed to ensure we best leverage the talent and experience of our people and in turn, position SUT as ‘the place to be’.

By developing clear, realistic performance objectives, seeking regular feedback and pursuing development opportunities, our people will be well positioned to achieve their potential and gain the recognition and reward they deserve.

Performance, Development and Rewards


Performance, Development and Rewards at SUT is an across the board process to define, guide, support and review contribution to our success

Its ultimate purpose is to ensure that, individually and collectively, we fulfil our potential and support achievement of the University’s goals and objectives.

An effective approach to performance management enables employees and teams to understand SUT’s goals and objectives.

This approach identifies the performance expectations for individuals and teams that are inherent aspects of their employment.

The performance planning process articulates the standards of work expected of employees and the values and behaviours employees are expected to uphold in meeting their job requirements, communicating and working with others.

Performance appraisal and feedback assist employees to understand what work they do well and how they can improve their performance.

Performance Development & Rewards


Our Performance, Development and Rewards (PDR) process is underpinned by a 12-month performance cycle in four steps

Moderations & Rewards

Establish Performance

Plan

Conduct Mid Cycle Review

Conduct End Cycle Review


This module will focus on the Develop Performance Plan step, highlighted in red

Draft Performance and Development Objectives

Agree Performance Plan – discussion

Supervisor Sign-off

Feb-Mar-Apr 09

Aug-Sept-Oct 09

Jan-Feb 10

Employee Performance Plan Review

Supervisor Performance Plan Review

Discussion and updates

Supervisor Sign-off

Employee Performance Review (and rating)

Supervisor Performance Review (and rating)

Performance Discussion

Performance Review Sign-off Faculty/Business Unit

Moderation Process Higher Ed and Corporate

Moderation Process Incentive Modelling Final Performance Rating

Sign-off

Conduct Moderation Process

Develop Performance Plan

Performance Bonus Payments

(Not included in Academic Trial)

Conduct End Cycle Review

Conduct Mid Cycle Review

Mar 10

PDR Process


Throughout the process, keep in mind the responsibilities of both parties in agreeing performance plans

Individuals’ Responsibilities Supervisor Responsibilities

Identify and realistically assess your skills, interests, goals and obstacles

Review your position description against business unit plans, 2015 vision and the University plan when setting performance objectives

Draft your performance objectives and development plans to support your short and long term career objectives.

Track your performance against your objectives. This includes collating evidence of your progress and achievements

Prepare for, and actively participate in, performance review meetings. This includes notifying your Supervisor of any obstacles you are facing or issues that might affect your performance

Provides a supportive reality check regarding your performance objectives, aspirations and expectations. Assists in identifying alternative objectives where necessary

Advises and agrees measures for each objective

Balances performance expectations against workload models

Ensures your personal objectives align with business unit and university plans

Regularly monitors performance informally during the performance year, not simply relying on mid and end cycle reviews to discuss performance

Provides timely and constructive feedback to you throughout the year

Objectively assesses your performance in direct dealings with you and in the Moderation process


The Performance Planning process involves using SuccessFactors to document objectives – the Planning Meeting is the key

Performance Planning Process in Detail

Draft objectives, actions and

measures/targets in collaboration with supervisor

Dir

ect

Rep

ort

Su

per

viso

r

Draft Development

Plan

Enter into SuccessFactors for Supervisor

review

Review Performance and Development

Plan

Enter comments in SuccessFactors and send to Direct Report

Conduct Performance

Planning Meeting with Direct Report

Update Performance Plan based on

meeting and send to Supervisor

Performance Plan

Approved?

Approved Performance

plan

Willing to

update plan?

Resolution Process

NO

YES

NO

YES

Update Performance Plan & send to Supervisor


A Performance Plan documents challenging yet realistic performance objectives with clearly defined measures

Performance Plans incorporate performance Objectives, Actions and Measures and a Development Plan, including short and long term career goals, and key development activities to be undertaken during the performance cycle.

•Performance Objectives •Strategic Theme •Weight

•Measures

Contribute to the overall increase in the performance of the faculty with regard to the student experience and student outcomes.

Learning and Teaching 10% GDS/CEQ Standard Teaching Metric* relevant to faculty and Broad Program Familyat or above national average* (Meets Expectations)above national average plus at least 1 percentage point increase on previous year (Exceeds Expectations)at least a quarter of a standard deviation above national average plus at least 1 percentage point increase on previous year (Outstanding)

Exhibit a high standard in teaching performance across all units taught

Learning and Teaching 10% Personal SFT “overall mean satisfaction” on 1 to 6 Likert Scale4.2 or above (Meets expectations)5.2 or above (Exceeds expectations)5.5 or above (Outstanding)

Lead the renewal of teaching program structures, learning objectives and outcomes during professional accreditation of teaching program

Leadership and Engagement 10% Professional accreditation proposal prepared, submitted and approved by professional accrediting body ( Meets expectations) Program accreditation prepared, submitted and approved by professional accrediting body (= Meets expectations),► As above, plus discipline staff review all learning objectives and outcomes for all components of program Majors ( = Exceeds expectations)►As above, plus high proportion of commendations compared to recommendations received from professional accrediting body (= Outstanding)

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© 2008 Ernst & Young Australia. Liability limited by a scheme approved under Professional Standards Legislation.

A Performance Plan documents challenging yet realistic performance objectives with clearly defined measures (cont’d)

•Performance Objectives •Strategic Theme •Weight •Measures

Research Activity Research 30% •Annualised Research Active Index as based on the SUT definition of Research Active•1.0 (Meets Expectation)•1.5 (Exceeds Expectation)•2.0 (Outstanding)

Research training Research 30% •Assessment based on:•Performance relative to typical profile of RHD Load, Completions, and Timely Candidatures.

Achieve all performance objectives listed above while exhibiting SUT behaviours:Teamwork & collaborationPersonal integrityLeading & innovating

Swinburne Behaviours

10% •Assessment based on:•Observed contribution to teamwork and innovations within the discipline and Academic Group, assessed by HoAG and DD. Active participation in faculty and University-wide activities

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Rating scale for performance objectives

Rating Definition

•5 OutstandingPerformance consistently exceeds expected standards and objectives. Outputs are of a quality and level significantly above that which is expected of the grade and experience. Demonstrates performance of an exceptional quality in comparison with an equivalent role within the group. Outputs have had a significant impact on the achievement of broader faculty objectives as defined by the faculty plan.

•4 Exceeds ExpectationsPerformance meets expected standards and objectives and in many cases exceeds expected standards and objectives. Demonstrates performance of a very high quality in comparison with an equivalent role with the group and outputs have had a considerable impact on the achievement of broader faculty objectives as defined by the faculty plan.

•3 Meets ExpectationsPerformance consistently meets expected standards and objectives. Demonstrates performance of a high quality consistent with an equivalent role with the group and outputs have a positive impact on faculty plan

•2 Needs ImprovementPerformance meets some expected standards and objectives. Demonstrates performance of a level that requires improvement in comparison with an equivalent role with the group.

•1 UnsatisfactoryPerformance generally fails to meet expected standards and objectives in all areas. Demonstrates performance of a level that requires significant and immediate improvement in comparison with an equivalent role with the group.

•NR Not Rated New joiner so unable to provide a Performance Rating (For example: up to six months only).

•Performance is rated from 1-5 at the end-cycle review and moderation meeting

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What do you think SMART stands for?

S

M

A

R

T

pecific When your objective is specific, it leaves no room for doubt about what has to be achieved. A general objective would be “take an active part in faculty Learning and Teaching events", whereas a specific objective would state, “Participate regularly and present a seminar or workshop within the faculty"

ime-bound When will it be achieved? What are the milestones along the way? An objective won’t motivate you unless it’s got a deadline.

Developing SMART Objectives

elevant Is your objective relevant to your role? Is it something toward which you are willing and able to work? It’s important that your performance objectives stretch you, but also that they within your capability to achieve.

chievable Do you have the skills and resources to do this? With a reasonable amount of effort and stretch, can this be completed?Objectives are most achievable when you plan your steps, get the right advice and support, and set a realistic time frame.

easurable How much? By when? How will you know when you’ve succeeded? Using the example above, you must have clear targets in terms of what constitutes regular participation and who will be assessing performance. Consider what sources of information are required to evidence achievement for your remaining performance objectives.

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There are three key elements to focus on when developing Performance Objectives

Performance Objective – Key Elements

Objectives Actions Measures

A desired output or result. It should be a single sentence that contains an action verb and clear end result.

Series of tasks and activities that need to be completed during the performance cycle that will progress you towards achieving your performance objective. You actions, act as a progress ‘checklist’ for your reference during the performance cycle.

Define precisely what is to be achieved. They should be stretching but achievable and should reflect the expectations of the role. Measures may be a qualitative or quantitative and objectives may have several different targets to be met.

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Which of the sample objectives below are SMART?

Examples

Role Objective Actions Measures and Targets

Lecturer Deliver effective courses Turn up on time

Answer questions

SFT score: 3

Not specific enough. Which courses? What does effective mean?

These are not enough “stretch” and are too easy to achieve

Role Objective Actions Measures and Targets

Teaching only academic Contribute to the advancement of teaching scholarship in the faculty

Present a seminar in the faculty based on personal innovation or scholarship

Assessment of seminar outcome conducted by EDC and DD (including exit survey of participants)

SMART objectives, actions and measures!

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Summary of Standard measures and objectives for academic staff

►All academic staff have a set of Standard measures and objectives.

►Standard measures and objectives will depend on your academic portfolio.

(See Appendix C of Academic Guidelines “Summary of Standard measures”)

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A menu of performance objectives and measures exist for academic staff

These can be accessed via the objectives library in the on-line PDR application

The menu of measures contains sample measures for most academic roles

You may find many objectives and measures relevant to your role and career interests, however you are able to develop additional objectives and measures and/or modify the existing menu objectives and measures in consultation with your Supervisor

Appendix A of your guidelines contain sample plans for various academic positions.

Menu of Performance Objectives and Measures

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When reviewing your Direct Report’s performance objectives, ask yourself a few questions – these also help with crafting your own objectives

Spend time thinking about your Direct Report’s role in the coming year: What are the challenges it faces? What are the faculty’s plans?

Refer to the relevant documents including the faculty plan and the 2015 vision.

Spend time thinking about the individual. What are their strengths? What feedback have you provided previously? What are they doing that could be improved?

Think about how their objectives align to those of the faculty.

Are their objectives providing them with sufficient stretch and development going forward?

Reviewing draft Performance Objectives

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A menu of performance objectives and measures exist for academic staff

These can be accessed via the objectives library in the on-line PDR application

The menu of measures contains sample measures for most academic roles

You may find many objectives and measures relevant to your role and career interests, however you are able to develop additional objectives and measures and/or modify the existing menu objectives and measures in consultation with your Supervisor

Appendix A of your guidelines contain sample plans for various academic positions.

Menu of Performance Objectives and Measures

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Swinburne Values and Behaviours measure ‘how’ performance objectives are achieved, not ‘what’ is achieved

Values and Behaviours are a benchmark of acceptable practices and expectations and provide a framework against which our people make decisions and take actions which ultimately affect the performance of SUT. The values and behaviours are:

Teamwork & Collaboration Support, respect and have regard for the safety and well being of self and

others Put people first and consider the impact on others before you act Be open and receptive to the ideas and opinions others Share information, knowledge and expertise with colleagues Encourage the resolution of conflict

Personal Integrity Inspire trust by being open, honest and transparent in dealing with others Treat people fairly, ensuring freedom from discrimination, harassment and

bullying Operate in a manner that is consistent with Swinburne’s Code of Conduct Be accountable for one’s own behaviour and actions Maintain confidentiality of student, staff and departmental information

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Swinburne Values and Behaviours (continued)

Leading & Innovating

Generate enthusiasm and commitment for the Swinburne vision

Support, empower and encourage others to achieve excellence

Seize opportunities and act upon them with initiative and creativity

Actively promote and drive change

Lead by example to inspire others

Every employee will incorporate a values and behaviours objective into their performance plan. The objective will include measures that assesses how you achieved your performance objectives to balance what you achieved during the performance cycle.

The weighting of the values and behaviours objective must be between 10% (minimum) and 20% (maximum).

NB - Staff normally need to achieve at least satisfactory performance on the mandatory Swinburne Behaviours objective and carry out their development objectives, to be eligible for Rewards

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Performance objectives must be weighted to reflect the relative value of one objective to another

Why do you think performance objectives are weighted?

Sometimes one objective is extremely important compared to another and needs to be made a focus.

As a general guide, objectives should be weighted based on the amount of effort and time spent producing the outcome.

For example, if you spend two days per week managing a specific project, the maximum weighting you should apply to an objective relating to this project is 40%.

Final weightings will need to be agreed between Supervisor and Direct Report, however it is important that weightings are not unfairly applied to unfairly distort performance rating outcomes (i.e. weighting a performance objective as 60% when 10% of your time is spent on that specific task).

Weightings are broadly consistent with the workloads model.

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Establishing a Personal Development Plan

A Personal Development Plan (PDP) consists of:

- short and long term career aspirations, and

- development objectives and learning activities to focus efforts and track progress towards your career aspirations and performance objectives

For example, an employee may identify the need to improve their leadership skills in order to successfully achieve the specific performance objective:

“Lead the renewal of teaching program structures, learning objectives and outcomes during professional accreditation”

The development objective is “To improve leadership skills”

There are a number of learning activities that could be undertaken to achieve this development objective…… let’s look at these now

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There are many development activities employees can undertake to enhance their skills and knowledge

What professional learning activities can you identify that may be suitable for Direct Reports to undertake?

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The setting of objectives is a change for our people, and we may find people have differing reactions to the process

As a leader within the university, discuss what you are going to do to ensure that your team get the most out of

the PDR process?

How can we as leaders help our people through any concerns?

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A few things to reiterate before you we give you a final quiz on this module

Ensure Performance Objectives are aligned to the faculty's objectives.

Ensure objectives and measures are SMART.

Do not have too many objectives. Individuals should aim to have between 5and 7 performance objectives with robust measures.

Keep your direct report’s list of objectives ‘live’ – review and revise with your direct report throughout the year and at mid-cycle review and provide guidance to help individual’s achieve their goals.

The Development Plan is to support outcomes in the process.

What are your key learnings from today?

Summary

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In pairs, write down the answers to the following quiz on the answer sheets provided without referring to your notes

Question 1:What does SMART stand for?

Question 2:When drafting objectives, what types of things help clarify the objective?

Question 3:What happens if the individual does not agree with their objectives?

Question 4:Who drafts performance objectives?

Question 5:How many performance objectives should a person have?

Question 6:List four learning activities

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Let’s review our course objectives to see if we have covered off all required topics

You should now be able to: Describe the PDR process, including roles and responsibilities, the performance

management cycle and the detailed performance process steps.

List the components of the Performance Plan.

Describe why setting individual objectives is beneficial and important.

List the attributes of a SMART objective and link performance objectives to SUT’s strategic themes.

Applying the SMART criteria, identify good examples of performance objectives.

Identify situations where team objectives are necessary.

Relate and share any concerns staff are likely to have about the Performance Plan Process and agree how these should be addressed.

Assist Direct Report’s to develop learning objectives to support achievement of performance objectives and career aspirations.

Course Objectives - Review

Module 1 – “Establish Performance Plan” for Academic Supervisors Performance, Development and...

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