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1 Man naging at Adellaide - Manag M e Perfo ormancee Plan nning, Deevelo opmeent & Rev view w: Objjecttive Settting g

2 These materials have been developed in collaboration with Human Capital International (HCI) and VLee HRM Consulting for use within University of Adelaide for the purpose of PDR Objective Setting workshops only. Apart from any use permitted under the Copyright Act 1968, no part may be reproduced by any process without the permission of HCI and/or VLee HRM Consulting. Human Capital International Pty Ltd (HCI) A 13 / 150 Chestnut St. Richmond VIC 3121 P E info@thinkhci.com.au W thinkhci.com.au VLee HRM Consulting A PO Box 67, Belair SA 5052 P E veronica@vleehrm.com.au W vleehrm.com.au The University of Adelaide Version 2014

3 Planning, Development & Review - Objective Setting 2 hour workshops for Supervisors Objectives: The objectives of the two-hour workshop are to: Enhance your understanding of the process, expectations and timelines of the PDR process and your role in that process Support you in setting performance objectives for yourself and your team that are aligned to the University s overall strategic goals and your Portfolio / Unit objectives and take into account the specific context in which you and your team work Develop an action plan for addressing challenges and optimising PDR practices in your work area Workshop Outline: Area Content Context: Vice Chancellor opening: context, key reasons for ramping up performance development Head of Portfolio/Unit understanding how the Beacon and other strategic objectives translate into portfolio/school/work unit priorities and performance targets PDR Process: Purpose and benefits of PDR, EA context, overview of PDR process as a part of overall performance management activities Responsibility as a supervisor and as a staff member Setting and monitoring objectives: Use of PDs, role statements, past PDRs, business plans for context, Specific, Measurable, Achievable, Relevant, Time-framed (SMART) principle, and sample objectives Exercise: Setting individual objectives and measures with some to be shared for discussion How will we review progress? Action planning: Identify enablers to PDR implementation and how they might be best used to optimise our success in PDR; identify barriers and how they might be addressed Action plan: build implementation plan for taking back into our work groups Questions and Answers 1

4 Notes: 2

5 Performance PDR Continuum PDR Objective Setting On-going Performance Conversations Set / Clarify Expectations Planning, Development & Review Process (PDR) PDR Stage 4: Final Review Measure achievements Complete Supervisor Summary Form Commence preparation for the next PDR cycle PDR Stage 1: PDR Preparation Schedule meeting Consider work objectives Align goals to University strategies PDR Stage 3: Mid Term Review Review progress (Mgr & staff) using PDR form Identify blockages/issues Provide coaching & guidance PDR Stage 2: Planning Establish & agree SMART work objectives & development needs Develop individual plan Schedule next meeting Corrective Coaching (informal) Seek advice from your manager & HR Informal improvement plans / conversations Coach, counsel Unsatisfactory Performance Improvement Process (formal) Seek assistance from your manager & HR First, second & third counselling session Includes Performance Improvement Plan, monitor and review Consider option for moving forward Performance Planning, Development & Review Keeping performance on track, supporting development, providing feedback Transition Zone When performance is needing improvement trying to get things back on track Formalised Process When working to get things back on track hasn t been successful Characterised by formal conversations which are fully documented; following policies & procedures. 3

6 Roles & Responsibilities in Planning, Development & Review (PDR) All individuals on continuing or fixed term contracts of greater than 12 months are expected to participate in the PDR process. Head of Portfolio / Unit Engage supervisors and individuals in the PDR process as an enabler to achieving the University s vision and strategy and in helping teams and individuals to fulfil their potential Communicate and translate the strategic goals of the University / Portfolio / Unit in own area and help teams to develop a clear line of sight between the overall goals and team / individual objectives Establish appropriate staff reporting relationships for the PDR process Engage in the PDR process with direct reports according to the annual PDR cycle Ensure supervisors in own area conduct performance Planning, Development and Review activities according to the agreed process, standards, cycle and accountability mechanisms Support teams and supervisors in identifying and overcoming barriers and constraints to successful PDR engagement and implementation Report on PDR process and resource / support requirements in own area as requested Supervisor Initiate, schedule and conduct PDR meetings to plan, support and review performance according to the annual PDR cycle Work with individuals to develop well defined performance objectives and measures that are appropriate to their work roles and aligned to the strategic priorities of the University / Portfolio / Unit Support individuals in identifying development objectives and opportunities Assist individuals in achieving their performance objectives by providing ongoing evidence based feedback Identify where aspects of performance may need improving and conduct conversations to plan for improvement of those aspects Keep a record of performance evidence, performance meetings and key decisions Recognise, reward and celebrate achievements and provide stretch opportunities for high performers Staff Member Actively prepare and participate in PDR meetings to plan, optimise and review your performance with your supervisor according to the annual PDR cycle Identify and agree with your supervisor well defined performance objectives and measures appropriate to your work role and aligned to the strategic priorities of the University / Portfolio / Unit Identify development objectives and engage in development opportunities in support of your work objectives and career goals Ask for feedback from your supervisor and others in support of your performance and development Provide feedback to your supervisor on ways they can assist you in achieving your performance and development objectives Continuously evaluate your own performance and keep a record of performance highlights and areas for improvement 4

7 Planning, Development & Review Academic Staff Supervisor Responsibilities Information Sheet Summary The purpose of this information sheet is to provide advice on the responsibility for undertaking Planning, Development and Review (PDR) for Academic staff. Conducting PDR across the University We recognise that a range of different approaches are adopted across the University in conducting PDR for Academic staff and that the practical application of the PDR process will vary between different schools and branches, and will be influenced by a number of considerations. The Supervisor (normally the Head of School for Academic staff) is accountable for carrying out the PDR process but they may delegate this responsibility. Given the flat structures and large numbers of direct reports to Heads of School in some areas it may be necessary for this task to be delegated to ensure it is completed effectively. What does the University of Adelaide Enterprise Agreement (as amended) provide? Clause 5.2 of the University of Adelaide Enterprise Agreement (as amended) provides for the following guidance: 5.2 Planning, Development and Review (PDR) All staff (other than casuals) will participate in the PDR process PDR will have the following objectives: a) Enable a staff member and their supervisor to align individual short and longer-term work and development objectives with those of the University and the staff member s unit; b) Ensure role clarity and reach agreement on annual objectives of the position; c) Provide feedback to the staff member and their supervisor on a regular basis throughout the planning, development and review cycle; and d) Determine appropriate training and development in relation to the position held and for the staff member s career PDR will be: a) fair to the staff members and the University; b) positive, transparent and accountable; c) flexible in resolving problems and to respond to changing circumstances; d) evidence based; 5

8 e) focused on improving capabilities of staff and the University to meet their interdependent goals and targets; and f) documented to include development needs, and feedback against performance objectives PDR is not a punitive process. Clause 5.2 provides for staff to participate in PDR sessions with their supervisor, normally the Head of School for Academic staff. However the University of Adelaide Enterprise Agreement (as amended) does provide for Heads of School (or nominated supervisor) to delegate some supervisory functions to a Discipline or Unit Head as per Clause 2.7 below Academic Staff Supervision a) Each academic staff member will be advised in writing of the position of their nominated supervisor. b) The supervisor will normally be the Head of School in which the academic staff member is employed. While remaining accountable, a Head of School may delegate some supervisory functions to a Discipline/Unit Head. c) Wherever possible, supervisors will be competent in the broad areas of expertise of the academics for whom they are responsible. d) The supervisor will receive appropriate training in academic staff assessment techniques. e) Academic staff members may request the nomination of an alternative supervisor in circumstances where activity relating to the provisions in clause 8 has commenced. Whilst the accountability for ensuring PDR is conducted in a suitable and effective way remains with the Head of School (or supervisor), there is flexibility for this task to be delegated to a Discipline/Unit Head who is competent in the broad areas of expertise of the staff member and who is appropriately trained to conduct the PDR. It is entirely appropriate for a Head of School (or supervisor) to delegate this task, particularly where they have high numbers of direct reports. However, it is important to clarify in writing to the staff member the person who will be undertaking their PDR process. Further Guidance Further guidance is provided in Planning, Development and Review - A Guide for Supervisors and Staff. This includes a definition of supervisor for the purposes of PDR. For the purposes of the Performance Excellence Framework, supervisor refers to all levels of supervisor including senior academic and administrative managers. How supervisors are allocated to conduct the PDR discussion will vary across different areas but it is important that the process outlined in this guide is followed to maintain a consistent approach for all university staff. 6

9 Planning, Development & Review Professional Staff Supervisor Responsibilities Information Sheet Summary The purpose of this information sheet is to provide advice on the responsibility for undertaking Planning, Development and Review (PDR) for Professional Staff. Conducting PDR across the University The responsibility for carrying out the PDR process for Professional Staff is the accountability of their Supervisor. What does the University of Adelaide Enterprise Agreement (as amended) provide? Clause 5.2 of the University of Adelaide Enterprise Agreement (as amended) provides for the following guidance: 5.2 Planning, Development and Review (PDR) All staff members (other than casuals) will participate in the PDR process PDR will have the following objectives: a) Enable a staff member and their supervisor to align individual short and longer-term work and development objectives with those of the University and the staff member s unit; b) Ensure role clarity and reach agreement on annual objectives of the position; c) Provide feedback to the staff member and their supervisor on a regular basis throughout the planning, development and review cycle; and d) Determine appropriate training and development in relation to the position held and for the staff member s career PDR will be: a) fair to staff members and the University; b) positive, transparent and accountable; c) flexible in resolving problems and to respond to changing circumstances; d) evidence based; e) focused on improving capabilities of staff and the University to meet their interdependent goals and targets; and f) documented to include development needs, and feedback against performance objectives PDR is not a punitive process. 7

10 Further Guidance Further guidance is provided in Planning, Development and Review - A Guide for Supervisors and Staff. This includes a definition of supervisor for the purposes of PDR. For the purposes of the Performance Excellence Framework, supervisor refers to all levels of supervisor including senior academic and administrative managers. How supervisors are allocated to conduct the PDR discussion will vary across different areas but it is important that the process outlined in this guide is followed to maintain a consistent approach for all university staff. 8

11 Setting Objectives Why set objectives? Setting work objectives is central to the Planning, Development and Review process. The objective setting aspect of PDR sets the framework for review and feedback. Clearly formulated objectives describe what you are aiming to achieve during the year and how you will measure the outcome of each objective. Clearly formulated objectives: Enable achievement of the strategic and School/Unit priorities. Increase focus and commitment toward reaching targets and goals. Provide a benchmark against which the individual s progress and achievements can be discussed and reviewed. Assist staff in gaining experience and achievements that are continually developing their knowledge and capabilities and support career progression. Ensure that staff members are working towards a balanced portfolio of activities appropriate to their role and the stage of their career. Useful questions to ask when setting objectives To be effective, an objective must be meaningful and achievable; there is little point in setting objectives that are so large or unclear they cannot be achieved. So, when setting objectives with staff members it is useful to ask the following: How does the individual s role support the strategic priorities and School/Unit key objectives? What objectives are appropriate for the role of the individual? How do they fit with the workload allocation model/workload expectations? What are the resource requirements? How do they impact on the objectives of others? How can the objectives be measured? What sources of evidence, data, and feedback are available to enable on-going review? What challenges are anticipated in seeking to achieve these objectives? What assistance might be needed to enable achievement? If required, how might the objectives be prioritised? If very large, how can the objective be broken down into smaller, clear and attainable chunks? 9

12 Applying the SMART principle Keeping the principle of SMART front of mind when setting objectives ensures that they are: Specific Measurable Achievable Relevant - Time- framed Specific: Measurable: Achievable: Relevant: Time-framed: Is the objective clearly defined? Work objectives should state specifically what needs to be achieved; they need to clearly specify the intended outcomes. Vague objectives lead to vague attempts to achieve them! Express the desired action and result using active verbs such as: increase, develop, implement, publish, decrease, set up, negotiate, etc. (see useful verbs for describing objectives listed below). Is it clear what success is and how one would know when it is achieved? This means that it is possible to monitor progress and outcomes and determine the extent to which objectives are achieved. Consider both qualitative and quantitative indicators of success. It should be possible to evaluate the progress based on evidence. Therefore, objectives need to include a way of verifying whether the objective is being progressed, has been achieved and to what standard. Measures may be qualitative (quality of work, satisfaction) or quantitative (numbers achieved, costs incurred, revenue achieved). Generally there are four ways to measure; quality, quantity, costs (or revenue) or time. Is the objective realistic, yet challenging? While objectives should provide challenge, they must also be achievable there is no point setting yourself and staff up for failure! Consider the requirements and level of the role as well as the availability of resources. Is the objective important; does it add value? To be meaningful and worthwhile, the objectives must be relevant to the level and priorities of the individual s role, as well as aligned with and contributing to University and School/Unit goals. When setting work objectives, identify the key priorities for the University / Portfolio/ Unit that relate to the staff member s position and identify how the individual can add value or contribute to achieving these priorities. What are the timeframes in which the objective should be achieved? Clear target dates should be set for achieving work objectives and completing interim steps. Timeframes which can include miles stones - are useful for enabling individuals to monitor progress toward the objectives as well as to allow for interim adjustments that may be required due to changing priorities. Although the Planning, Development and Review process is annual, objectives can be set for longer timeframes. This may be particularly appropriate for research based objectives, with the ability to set milestones for the annual review cycle. 10

13 Useful verbs for writing objectives Use action verbs to describe what needs to be achieved. Here are some options: achieve comply draft improve obtain revise acquire conceive edit increase organise save act as consult eliminate initiate originate select adopt contribute engage instigate participate in serve analyse control ensure introduce perform set up answer coordinate establish investigate plan solve arrange correct evaluate launch prepare source assist create exceed learn present streamline attain decrease extend lead produce submit audit define facilitate liaise publish supervise avert demonstrate formulate maintain recommend support award design gain manage rectify test build develop generate maximise represent train carry out direct guide monitor research turn around coach deliver handle motivate restructure visit communicate devise identify negotiate review win write 11

14 Key Result Areas Academic 12

15 Example Objectives - Academic Staff KRA: Teaching Coordinate Arts and Engagement Level 1 course in Semester One. Deliver Contract Law Level 2 course in Semester Two. Pre-course visit to Africa for AusAID/GRM on 2014 trade policy and negotiate courses under Australia Award for Africa (AAA) Short Course awards. Contribute to events and course content for Semester One (Group 1) in Australia AAA trade policy and negotiation Foundation Course. Review status of IIT post-graduate courses (MITD/PCIT) for Semester Two. Deliver in-africa Module 3, AAA Short Course, Cape Town by June 30. KRA: Research Publish at least two articles in high quality journals (e.g. ERA A* or A journals) and publish at least two articles in books or B ranked journals by November Publish at least 2 commissioned reports by 30 September Ensure doctoral staff participate and attract HDR students, with the aim of 4 per year. Prepare annual research development report for the Institute by December Prepare and submit category 1 and category 2 and 3 applications, including at least one ARC linkage grant in Present final AusAID-funded Research Study for Palau on implications of PACER Plus by May 28. KRA: Financial Prepare and update 2014 annual budget and ensure that revenue exceeds expenses over the year, including meeting obligations for investing in staff and infrastructure. Work with the School and Faculty to develop collaborative research links with external bodies to contribute to research income growth in line with University targets and the Faculty s plan. Report to Board on 2014 activities, finances and planning upcoming activities and other agenda items by 30 June Contribute to improvement in research income on a full cost recovery basis, including compliance with the Compliance Neutrality Levy requirement. Annual results to demonstrate income exceeds expenditure on a cash basis. 13

16 KRA: People Complete PDR planning and review conversations with all direct reports within set deadlines. Ensure that all academic appointments to the Centre achieve the Faculty research threshold for research-focused staff. Provide regular supervision (at least one session per month) for research and administrative staff involved in the Institute s research programs, in conjunction with the School. Introduce a workload model that considers the variety of tasks and outcomes expected of academic staff, by 30 June KRA: Other Finalise IIT Strategy Paper, for submission to Board intersessionally. Represent the Institute throughout 2014 at meetings within the University and externally, including committees, boards and advisory groups. Develop Africa Networks as Conference Commentator / Session Chair for Society of International Economic Law Biennial Conference, Singapore by June Manage IT Finances, Staffing and Resources for delivery of contract commitments, and according to plans, in Prepare draft IIT Medium-to-Long Term Strategy Paper (3-5 years) in consultation with Chair of Board of Governors and Executive Dean of Faculty of Professions by 30 September In collaboration with the Executive Dean and Faculty Finance Manager, develop academic, human resources and finance and infrastructure planning and monitoring processes by the end of

17 Key Result Areas Professional 15

18 Example Objectives - Professional Staff KRA: Service Achieve and maintain an average customer service rating of at least 4.0 (out of a possible 5.0) on annual survey by December Create the unit s 2014 strategic plan, discuss with the division and obtain final approval from executive leadership by June For the work unit s X Improvement project, develop a set of recommendations for improvement strategies based on relevant research and work unit feedback. By the end of the first quarter, provide a written report to all relevant stakeholders which includes a set of realistic recommendations (in terms of time and money required for implementation), as determined by the communication project goals. Promote and implement University policies and procedures in relation to occupational health and safety, and ensure there is adequate accountability for the implementation of all aspects of hazard management, design of work, training, workplace inspection and reporting within the division, according to University timeframes. By 30 June 2014, deliver three briefings to key stakeholders regarding the new security initiative within the University, and write a detailed report on the feedback received. For each project received during the year, solicit at least one individual from outside of your work unit to provide input at the planning stage. Incorporate the individual s input into your final report. Process and approve/decline all travel requests for the X office. Deliver 90% of approval notices within 10 business days of receipt. Facilitate informational training sessions on how to use the University s internal online tools for new employees who request training. Achieve a 90% satisfaction rate from employee training feedback surveys over the course of the evaluation period. Draft policy guidance for X topic and coordinate this draft through the appropriate channels to obtain concurrence from all relevant parties. Submit completed policy guidance for final signature by the appropriate signature authority by 30 June KRA: Change By the end of 2014, present two acquisition plans to supervisor for new computer systems based on a thorough analysis of customer needs, capabilities, and cost/benefits. Revise the division s X Instructions and/or guidance so that associated policies, processes, roles, and responsibilities are up-to-date, thorough, and clear, as determined by supervisor review, within set timeframes. By the end of the October 2014, evaluate the computer security system training, assessing the extent to which the training is easy to use and if it covers the learning objectives sufficiently. Develop and recommend one feasible alternative process or long-term solution to recurring X problem by the end of September Draft a report with at least two thoroughly detailed and realistic options for changes to the strategy that may mitigate the current problem. The recommendations must meet relevant laws and regulations. 16

19 KRA: Financial Produce at least 95% accurately correct financial management reports to supervisor by the 28th day of every month throughout Deliver salary management project by 31st June 2014 to the agreed success criteria, including on time delivery, all project deliverables completed, and above average survey feedback from stakeholders in Post Implementation Review. Manage tracking and closure of all incoming inquiries relating to the 5 year plan implementation. Achieve closure within 10 business days of inquiry receipt, with 95% of responses satisfying request without need for follow-up. KRA: People Performance objectives & development plans are in place for every direct report by 30 June 2014 with evidence of poor or mediocre performance being actively managed. Conduct quarterly coaching sessions with each team member to discuss performance, achievement and development through Complete PDR mid-year and end of year review conversations with all direct reports within set deadlines. Each direct report to meet at least 3 work objectives by 31 December KRA: Other Distribute agenda papers to Chairperson and committee members 5 working days before the date of the committee meetings, and submit a draft of the minutes to the Chairperson within three days of the meeting having taken place. More effectively manage the service into the X Office by ensuring a 75% reduction in student telephone enquiries received about the they have sent; a clear roster for managing s on a daily basis established by 1 June Implement new regulations in the safe storage of chemicals by June 2014, and ensure all staff handling chemicals are trained in the new procedures by the implementation date. All staff using safe chemical storage procedures to be monitored via monthly on spot checks after the implementation date. Number of accidents involving chemicals to be reduced by 50% during the 6 months after the implementation date. 17

20 How will I be supported? Executive Dean / Divisional Head Faculty/Division Plan and Balanced Scorecard clearly articulate objectives, resources & expectations Faculty HR Business Partners can provide advice on: Organisational Design Productivity & Performance Reward & Recognition Coaching, Development & Support Promotion & Remuneration Head of School / Branch / Unit HR Branch Provides the following support: Managing at Adelaide Program - training & resources incl. Managing for Improved Performance workshops Information & advice for individual supervisors Workplace Relations team to support complex unsatisfactory performance cases Performance Management System to record dates of meetings & agreed outcomes HR website: 18

21 Notes: 19

22 Information about Planning Development and Review (PDR) at the University of Adelaide can be found at: or by contacting the Development team within the Human Resources Branch

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