Performance Rating Scale for Academic Staff

Title:

Performance Management Scheme: Performance Report Form for Academic Staff

Version 2.0

TRIM file number 06/246

Short description Report form for reviewing and planning staff performance.

Relevant to Academic staff who are continuing or on a fixed term contract of more than 12 months.

Approved by Executive Director, Human Resources

Responsible officer Executive Director, Human Resources

Responsible office Organisational Development, Division of Human Resources

Date introduced 18 August, 2006

Date(s) modified 15 September, 2006

Next scheduled review date July, 2007

Related University documentsRefer to the Administration Manual for these documents.

Applicable industrial instrument ( i.e. Enterprise Agreement, Australian Workplace Agreement or contract of employment)

Performance Management Scheme: Policy for Executive, Academic and General Staff

Performance Management Scheme: Procedure for Academic Staff

Performance Management Scheme: Guidelines for Performance Management Supervisors

Performance Management Scheme: Guidelines for Writing Performance Objectives

Performance Management Scheme: Guidelines for Writing Performance Standards

Performance Management Scheme: Progress Report Form for Academic Staff

Policy on Standards, Expectations and Qualifications of Academic Staff

Guidelines on Standards, Expectations and Qualifications of Academic Staff

Generic Responsibilities of CSU Staff

CSU’s Guidelines on the Management of Unsatisfactory Performance

http://www.csu.edu.au/adminman/hum/humanresources.htm

http://www.csu.edu.au/adminman/hum/humanresources.htm

Related legislationKey words performance management, report, performance plan,

professional development, performance review, academic staff

APPENDIX

1. Performance Rating Scale for Academic Staff

Table of amendments

Version number

Date Short description of amendment

2.0 15/9/2006 Discussion of self-rating and recommended rating added.

Discussion of performance standards added.

Moderation of stretch objectives added.

Performance Management Scheme:Checklist for the Annual/Biennial Meeting for Academic Staff

for the performance review period ending on 30 November, <insert year>

Employee

I submitted my draft Performance Report to the supervisor for adding his/her comments at least one week before the performance management meeting.

I have collected the following materials for the annual performance management meeting:

my current workload allocation;

my draft Performance Report;

my Performance Report and Progress Report (if applicable) for the previous reporting period; and

any supporting information (e.g. samples of work, feedback from students or staff, statistics, survey results, specific examples, curriculum vitae, academic portfolio).

Supervisor

I have added comments to the draft Performance Report.

I have collected the following materials for the annual performance management meeting:

the employee’s draft Performance Report with my added comments;

the employee’s Performance Report and Progress Report (if applicable) for the previous reporting period;

the operational plan for the School/Centre and/or Faculty;

the “Generic Responsibilities of CSU Staff”;

the “Policy on Standards, Expectations and Qualifications of Academic Staff”;

the “Guidelines on Standards, Expectations and Qualifications of Academic Staff” (optional);

the “Performance Rating Scale for Academic Staff”; and

any supporting information (e.g. samples of work, feedback from students or staff, statistics, survey results, specific examples).

Performance Management Scheme:Performance Report for Academic Staff

for the performance review period ending on 30 November, <insert year>

This form outlines the minimum requirements for an annual/biennial performance management meeting.

Employee: Please complete this form and then send it to your supervisor at least one week before the meeting for his/her comments.

Supervisor: Please add your comments for discussion with the employee at the performance management meeting.

Record agreement reached at the meeting. However, if agreement is unable to be reached after discussion, note this fact and make the final decision.

At the end of the meeting, the employee self-rates his/her performance, and then the supervisor discusses his/her recommended rating and associated actions.

The final version of the report is prepared and sent to the Dean for moderation and approval. If the recommended rating is not approved, the Dean will advise the employee in writing.

When signed, the report is to be stored by the Dean, performance management supervisor and employee within the work unit, in accordance with the Faculty’s protocols.

Name:

Staff number:

Position title:

Classification level and step:

School/Centre:

Faculty:

Position to which you report:

Positions which report to you:

Date of this annual / biennial meeting:

Estimated date for progress meeting (if applicable):

Estimated date for next annual /biennial meeting:

Performance Management Scheme: Performance Report for Academic Staff Page 1Version 1.0 – 14 September, 2006

PERFORMANCE REVIEW

Duties / Responsibilities / Performance Objectives

1. List the assigned duties/responsibilities and the agreed performance objectives from your previous performance review, and outline the progress or outcomes you have achieved in relation to each.

For each relevant academic activity area, please provide evidence of outcomes, including:

your current curriculum vitae (CV); a list of your publications and/or creative works for the review period – this may be included

in your CV; a list of professional and community activities relevant to your position – this may be

included in your CV; and an academic portfolio containing your philosophy, objectives and achievements – parts of

this may be included in your CV.

Teaching or the scholarship of teaching (This category does not apply to research-only staff.)

Research or professional activities or creative works

Academic administration (Level A only)

Academic management and/or leadership in the scholarship of teaching and/or research or professional activities or creative works (Levels B-E only)

2. What factors (if any) prevented you from satisfactorily performing your assigned duties/ responsibilities and agreed performance objectives?

Generic Responsibilities of CSU Staff

3. Are there any unresolved issues in relation to the “Generic Responsibilities of CSU Staff”?(Double click on the most appropriate box below and select “checked”. This will place an “X” in the box you selected.)

Yes No

4. If “yes”, what issues remain unresolved and what action will be undertaken to address them?

Professional Development

5. What professional development did you undertake in the past year? (Check your performance plan for the previous reporting period.)

6. How did the professional development help you?


Performance Rating

The employee discusses his/her self-rating with the supervisor.The supervisor discusses his/her recommended performance rating and associated actions with the supervisor.

PERFORMANCE PLAN

Performance

7. What are your performance objectives for the next reporting period?

Set objectives based on a rating of “meets performance requirements” in each relevant academic activity area.

If your performance is rated as meeting or exceeding performance requirements and you wish to strive for a performance bonus, you may also set “stretch” objectives based on a rating of “outstanding performance” in any or all of the relevant academic activity areas.

Teaching or the scholarship of teaching (This category does not apply to research-only staff.)

Research or professional activities or creative works

Academic administration of teaching (Level A only)

Academic management and/or leadership in the scholarship of teaching and/or research or professional activities or creative works (Levels B-E )

NOTE: The supervisor and employee should also discuss performance standards for each objective set.

Professional Development (for a rating of “outstanding performance”, “exceeds performance requirements” or “meets performance requirements”)

8. What professional development would you like to undertake in the next reporting period to help you achieve your performance objectives, enhance your current performance and/or prepare for a future position?

Resources and Support

9. What resources and support will you need to help you achieve your performance objectives and/or professional development?


Performance Improvement PlanThis form is to be completed by the supervisor during the performance management meeting when the recommended rating is “below performance requirements”.

What are your needs in relation to performance

improvement and/or professional

development?

What standard of performance is expected for each element in need

of improvement? (Record criteria for

satisfactory performance)

What strategies and/or professional

development activities will help

improve/enhance your performance?

What is the estimated timeframe for each

strategy or professional development activity?

What support and/or resources will be needed to facilitate performance

improvement and/or professional

development?


AGREEMENT

Supervisor

1. What overall performance rating do you recommend?(Refer to Appendix 1: “ Performance Rating Scale” . Then double click on the most appropriate box below and select “checked”. This will place an “X” in the box you selected.)

Outstanding performanceExceeds performance requirementsMeets performance requirementsBelow performance requirements (support required)Unsatisfactory performance

2. Comment to support your recommended performance rating of the employee:

3. In accordance with this rating, what action(s) do you recommend? Complete only section (a) or (b).

(a) This section applies only to staff who have NOT reached the top step of their employment classification level. (Select one box only.)

Salary progression plus a performance bonus of 5% of the employee’s current salarySalary progression plus a performance bonus of 2.5% of the employee’s current salary Salary progressionPerformance improvement plan and withholding of salary progressionManagement of unsatisfactory performance

(b) This section applies only to staff who have reached the top step of their employment classification level. (Select one box only.)

Performance bonus of 5% of the employee’s current salaryPerformance bonus of 2.5% of the employee’s current salary No actionPerformance improvement planManagement of unsatisfactory performance

NOTE: The recommended rating may change after moderation by the Dean. If this occurs, the Dean will inform the supervisor and employee in writing.


4. How does the employee wish to receive this payment?

Cash payment (taxable and non-superable)Internal funds transfer to a nominated School/Centre account

Signature: Date:

Printed name:

Employee

I have read this Performance Report and the supervisor’s comment.

Comment:

Signature: Date:

Printed name:

Dean

Do you endorse the recommended stretch objectives? Yes No(Double click on the relevant box and select “checked”.)

If “no”, what are the approved stretch objectives?

Do you endorse the recommended performance rating? Yes No(Double click on the relevant box and select “checked”.)

If “no”, what is the approved rating and associated action?


Comment:

Signature: Date:

Printed name:


Administrative Checklist for the Dean

Double click on the relevant box and select “checked” when the item has been actioned. This will place an “X” in the box you selected.

The employee’s performance management data have been entered onto your Faculty’s database for the purpose of collecting statistics for your Faculty and the Division of Human Resources.

The following details have been recorded on the database:

a list of all the employees who are eligible to participate in the Performance Management Scheme;

the date of each employee’s formal review; the approved rating; the approved action; and a summary of the employee’s agreed professional development activities.

In addition, there should be provision in the database to record the following details relating to a progress meeting:

the date of the progress meeting for employees who were rated as “below performance requirements”;

the adjusted rating or “no change”; and the adjusted action or “no change”.

The Staff Participation Report (to be developed) has been completed, based on statistics recorded in the database, and mailed to the Office of the Director, Organisational Development by 31 January.

The Performance Management Authority Form (see attached) has been completed and mailed to the campus Human Resources Office by 31 January.

The Performance Management Funds Transfer Request (see attached) has been completed and mailed to the Office of the Director, Organisational Development by 31 January. Organisational Development will email this form to [email protected] or mail it to the Ledgers Clerk, Division of Financial Services, Wagga Wagga.

The original, signed Performance Report has been filed in a secure place by the Dean. NOTE: It is to be retained for 3 years from the date of the performance review for general and academic staff, and until 7 years after the end of employment for senior and executive managers.

A copy of the Performance Report has been forwarded to the employee and performance management supervisor for filing in the workplace.

Performance Management Scheme: Administrative Checklist after the Performance Review Page 1Version 1.0 – 15 September, 2006

mailto:[email protected]

Performance Management Authority Form

Employee’s name:

Staff number:

Position:

Faculty/Division:

Campus:

The employee completed his/her performance management meeting on <insert date>.

1. What is the approved rating?(Double click on the most appropriate box below and select “checked”. This will place an “X” in the box you selected.)

Outstanding performanceExceeds performance requirementsMeets performance requirementsBelow performance requirements (support required)Unsatisfactory performance

2. What is the approved action?

Complete only section (a) or (b).

(a) This section applies only to staff who have NOT reached the top step of their employment classification level. (Select one box only.)

Salary progression plus a performance bonus of 5% of the employee’s current salarySalary progression plus a performance bonus of 2.5% of the employee’s current salarySalary progressionPerformance improvement plan and withholding of salary progressionManagement of unsatisfactory performance

(b) This section applies only to staff who have reached the top step of their employment classification level. (Select one box only.)

Performance bonus of 5% of the employee’s current salaryPerformance bonus of 2.5% of the employee’s current salaryNo actionPerformance improvement planManagement of unsatisfactory performance

Performance Management Authority Form Page 1Version 1.0 – 15 September, 2006

3. How is the performance bonus to be paid? (Select one box only.)

Cash payment to the employeeInternal funds transfer to a nominated Divisional/School/Centre account

4. If the employee’s performance rating is “below performance requirements”:

(a) From what date will salary progression be withheld? (NOTE: This will be the date of the performance management meeting) – <insert date here>; and

(b) When will salary progression be reviewed? (NOTE: This will be the date of the progress meeting) – <insert date here>.

5. If the employee’s performance rating is “unsatisfactory performance”:

(a) From what date will salary progression be withheld? (NOTE: This will be the date of the performance management meeting) – <insert date here>; and

(b) When is performance management expected to recommence? – <insert date here>.

Signature of Dean / Executive Director (or equivalent):

Printed name:

Date:

Please send this form to the Office of the Director, Organisational Development promptly so that appropriate administrative action may commence.

Note to Campus Human Resources Office

This Authority Form is to be retained on the employee’s personal file for 3 years from the date of the performance review for general and academic staff, and until 7 years after the end of employment for senior and executive managers.

Performance Management Authority Form Page 2Version 1.0 – 15 September, 2006

PERFORMANCE MANAGEMENT – FUNDS TRANSFER REQUEST

1. INSTRUCTIONS Form to be used to request: Transfers of funds between Central Performance Management Fund and Divisional/School/Centre account Form to be authorised by: Dean / Executive Director (or equivalent) Completed form to be forwarded to: Ledgers Clerk, Division of Financial Services – Wagga Wagga campus (email [email protected])

2. DETAILS * Exceeds performance standards = 2.5% of current salary Outstanding performance = 5% of current salaryTRANSFER FUNDS OR TRANSACTION

FROM TO AMOUNT * FUNDS/Fund Org Acct Prog Fund Org Acct Prog $ INC/EXP TRANSACTION DESCRIPTION

Central Fund (code to be confirmed) - copy down for each transaction

Code of Faculty/School/Centre or Division/Section

Individual amount

Individual allocated performance bonus and rating category, eg. Joe Bloggs, Staff Number, Exceeds

Brief reason for transfer (attach any appropriate documentation or authority). Performance bonus funds transfer

3. AUTHORITIES Finance Department Use OnlyPrinted Name of Originator Date

Dean /Executive Director Printed Name of Signatory Date Authorised under section 13 of the Public Finance & Audit Act, 1983.

Date

FF19.0501

Appendix 1: Performance Rating Scale for Academic Staff of CSU Back to Performance Report

The purpose of this performance rating scale is to enable the performance management supervisor to rate an employee’s overall performance in relation to assigned duties/responsibilities (workload allocation), agreed performance objectives (based on the “Standards, Expectations and Qualifications of Academic Staff”, the University Strategy, School plans, School-aggregated performance-based funding targets, and the employee’s classification level) and the “Generic Responsibilities of CSU Staff”, and then determine appropriate actions (see the table below).

It is therefore important for the supervisor to: discuss and record agreed performance objectives and professional development objectives at the beginning of a review period; and provide regular feedback about the employee’s performance and progress throughout the review period.

The performance rating categories are described below.

RATING DESCRIPTION ACTIONS5. Outstanding performance

This rating indicates that:

(a) the employee satisfactorily performed all of the assigned duties / responsibilities (workload allocation) and achieved all of the performance objectives set for rating category 3 and rating category 5; and

(b) there are no unresolved performance issues in relation to the “Generic Responsibilities of CSU Staff”.

Salary progression (if the top step hasn’t been reached) plus a one-off performance bonus of 5% of the employee’s current annual salary.

Eligible for participation in CSU’s professional development schemes (e.g. Special Studies Program).

Eligible for attendance at external conferences/seminars.

Professional development activities should aim to enhance performance.

4. Exceeds performance requirements


(a) the employee satisfactorily performed all of the assigned duties/responsibilities (workload allocation), and achieved all of the performance objectives set for rating category 3 as well as made significant progress towards achieving the performance objectives set for rating category 5; and


Salary progression (if the top step hasn’t been reached) plus a one-off performance bonus of 2.5% of the employee’s current annual salary.




Performance Rating Scale for Academic Staff Page 1Version 2.0 – 18 August, 2006

RATING DESCRIPTION ACTIONS3. Meets performance requirements


(a) the employee satisfactorily performed all of the assigned duties/responsibilities (workload allocation) and satisfactorily accounted for all of the performance objectives set for rating category 3; and


NOTE: The employee will not be disadvantaged if significant extenuating circumstances affected his/her performance during the review period.

Salary progression (if the top step hasn’t been reached).




2. Below performance requirements

(Support required)


(a) the employee satisfactorily performed some of the assigned duties / responsibilities (workload allocation) and/or satisfactorily accounted for some of the performance objectives set for rating category 3; and

(b) there are no unresolved performance issues in relation to the “Generic Responsibilities of CSU Staff” or they are in the process of being resolved.

Develop and implement a performance improvement plan to address performance areas that are below requirements. The plan should include performance standards, professional development activities (such as coaching and training), a timeframe, support and/or resources to help the employee meet performance requirements. It may also include professional development activities that aim to enhance performance in areas that currently meet or exceed requirements.

Progress meeting to review performance that is “below requirements” must be held no later than 6 months after the formal review.

Salary progression will be withheld. NOTE: Salary progression will recommence if performance improves to a rating of “meets requirements” at the progress review.

Eligible for attendance at external conferences/seminars that are appropriate to the performance improvement plan.

Not eligible for participation in CSU’s professional development schemes (e.g. Special Studies Program).

Not eligible to apply for promotion.


RATING DESCRIPTION ACTIONS1. Unsatisfactory performance


(a) the employee did not satisfactorily perform the assigned duties/responsibilities (workload allocation) and/or achieve the performance objectives set for rating category 3 to a significant extent; and/or

(b) there are one or more significant unresolved performance issues in relation to the “Generic Responsibilities of CSU Staff”; and/or

(d) the employee did not make significant progress in relation to the performance improvement plan that was developed at the previous performance management meeting.

Consult the Division of Human Resources for advice on implementing the “Guidelines on the Management of Unsatisfactory Performance”.

Eligible to undertake professional development activities (such as coaching and training) that are appropriate to the management of unsatisfactory performance.

Not eligible to apply for promotion.

Not eligible for:

participation in CSU’s Performance Management Scheme; participation in CSU’s professional development schemes (e.g.

Special Studies Program); salary progression; or external conferences/seminars (unless specified in the

performance improvement document).

If the performance problems are not resolved within the specified timeframe, then disciplinary action will be taken, e.g. counselling, formal censure, withholding of a salary step, demotion by one or more salary steps, demotion by one or more classification levels, or termination of employment.

When the specified performance problems have been resolved or appropriate disciplinary action (excluding termination of employment) has been taken, the employee may participate afresh in the Performance Management Scheme.


Performance Rating Scale for Academic Staff

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