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DOCUMENT 3
Improving Performance Procedure
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Table of Contents
Improving Performance Procedure ……………………………………………………………… 1
- Purpose …………………………………………………………………………………………………… 3
- Overview …………………………………………………………………………………………………………. 3
- Coverage …………………………………………………………………………………………………………. 4
- Who to contact for assistance and support …………………………………………………………… 4
- Key Elements - Performance Support Process ………………………………………………………… 5
- Introduction ……………………………………………………………………………………………………… 5
- When should the Performance Support Process be implemented? …………………………. 5
- How long is the Performance Support Process period? …………………………………………. 5
- Notification to employee ………………………………………………………………………….. 5
- Attendance at discussions ……………………………………………………………………………………………….. 6
- Performance Support strategies ……………………………………………………………………………………….. 6
- Performance Support measures ……………………………………………………………………………………….. 6
- Weekly reviews ………………………………………………………………………………………………………………. 6
- Final assessment and further action ……………………………………………………………………. 7
- Re-occurrence of performance issues within 12 months of previous Performance Support action ………………………………………………………………………………………………………………… 7
- Summary of the Performance Support Process – Stage 1 ……………………………………… 8
- Summary of the Performance Support Process – Stage 2 ……………………………………… 9
- Finalising Recommendations …………………………………………………………………. 12
- Performance Assessment Report ……………………………………………………………………… 12
- Role of the Delegate ……………………………………………………………………………………….. 12
- Who is the Delegate? ………………………………………………………………………………………. 12
- Advising the employee of the decision ……………………………………………………………….. 13
- Implementing the Delegate’s decision ……………………………………………………………….. 13
- Transfer of duties ……………………………………………………………………………………………. 13
- Reduction in pay point ……………………………………………………………………………………… 13
- Termination of employment ………………………………………………………………………………. 13
- Notice periods ………………………………………………………………………………………………… 14
- Lodging a Request for a Review of Action ………………………………………………………….. 14
- Employee against decision for termination …………………………………………………………. 14
- Review of Action request …………………………………………………………………………………. 14
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Purpose
The aim of the National Disability Insurance Agency (NDIA) Improving Performance Procedure and the Performance Support Process is to:
- provide a structured and supportive approach to assist employees whose performance is below an acceptable level, and
- to achieve and sustain optimum performance to deliver the Agency vision.
Important
- The manager is responsible for ensuring that the employee is clear about their role.
- The manager is responsible for confirming that the individual employee’s accessibility requirements are met.
- These procedures would only be used following a supportive informal process to assist an employee reach the required standards of performance. The manager must provide an employee with timely and relevant feedback as part of ongoing discussions, implement appropriate strategies for improvement and ensure the employee has a performance plan in place.
- It is very important that feedback, strategies and employee input through informal performance support is well documented.
- Informal support strategies can include additional training, increased quality monitoring, more regular coaching, mentoring and other learning.
Overview
This procedure forms part of the Performance Framework and supports the Improving Performance Policy. Through the performance cycle employees receive regular feedback in relation to their performance, values, behaviours and capabilities. The implementation of the formal process should not come as a surprise to the employee, and is a more formalised, structured approach to improving and sustaining effective performance.
The Performance Support Process is a two-staged approach put in place for eight weeks.
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Stage 1 – is conducted over an initial four week period to support the employee attain and sustain the required standard of performance, and
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Stage 2 – if required, is an additional four week period where the final determination may be:
o no further action,
o reassignment of duties,
o reduction in pay point/classification, or;
o termination of employment.
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Matters relating to inappropriate behaviour, as prescribed by the APS Code of Conduct, will be managed separately from the management of performance issues.
Coverage
This procedure applies to all employees covered by the NDIA Enterprise Agreement 2020-2023 including non-ongoing employees.
While the same principles will apply to non-ongoing employees, the processes and timelines may be reduced depending on the length and nature of the employee’s individual contract.
This procedure is not applicable to employees on probation.
Who to contact for assistance and support
It is important to contact your HR Business Partner in the first instance via the People and Culture Service Desk when considering the Performance Support Process.
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Key Elements - Performance Support Process
Introduction
The Performance Support Process involves managers:
- clarifying and discussing with the employee the area/s against which the employee is not meeting expectations,
- identifying the areas in which the employee is performing well,
- setting strategies and putting in place actions and supports to address the performance area/s that need improvement, and;
- providing feedback, reviewing and discussing at regular intervals on the employee’s progress.
When should the Performance Support Process be implemented?
The Performance Support Process should follow a period of informal feedback and support where the manager and employee have worked together to address performance issues. It is important that these interactions are documented.
Where an employee is not performing to a satisfactory standard, managers should initiate Performance Support action immediately after informal support and not wait for the next performance plan review.
If an employee does not have a current performance plan in place this process may still be implemented. Managers need to clearly define in writing what is expected of the employee and use the Performance Support Plan to outline where the employee is not meeting those standards. It should only be in exceptional circumstances that an employee does not have a performance plan in place.
How long is the Performance Support Process period?
Stages one and two of the Performance Support Process are in place for four weeks each, adding up to an overall process of eight weeks. The eight week period may be extended where exceptional individual circumstances impact the ability for an appropriate assessment to be undertaken.
Notification to employee
Written notification must be issued (using the manager’s email template provided) which informs the employee that formal discussions in relation to their performance will take place.
The email must:
= identify the areas where the employee has failed to meet the required standards,
= specify the date, place and time that the meeting will take place (at least 24 hours notice should be given), and;
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= invite the employee to bring a support person to the meeting if they so choose.
Attendance at discussions
In addition to the manager and employee, other people may be present during the discussions to support either the employee or manager, including:
- the manager once removed,
- a HR representative as an independent advisor on process, and/or;
- a support person nominated by the employee. The employee is invited to bring along a support person. This person is present to support the employee but not act as an advocate nor representative, and/or;
- a union representative, who can be a spokesperson.
It is an expectation that the employee will actively participate in the process.
Performance Support strategies
Strategies to assist the employee’s performance improvement may include, but not be limited to:
= arrangements for appropriate supervision,
- regular monitoring of work performance;
= on the job assistance, and;
= coaching and training.
Strategies may be initiated by either the manager or the employee and it is important that the employee is strongly supported to reach the desired performance standards. Documented strategies need to be delivered within the stated timeframes. These strategies may need to be reviewed throughout the Performance Support Process.
Performance Support measures
The employee must know how the performance support goals will be measured so they can be supported to reach the required standard. The measures need to be practical, reasonable and well understood by the employee.
Weekly reviews
The employee and manager will have a review meeting each week, as a minimum, which will be recorded in the Performance Support Plan and the discussion must focus on:
- the employee’s progress against the agreed goals,
- areas where improvements have occurred,
- clear identification of the areas where performance still needs to improve, and;
- any adjustments to the strategies or review processes that may be required.
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The employee will be invited to have input and provide comments which need to be noted in the plan. If an employee refuses to sign the plan they can put their objections and any supporting comments in writing but the process continues.
Final assessment and further action
At the end of either stage of the Performance Support period, the Manager will make a decision on whether the employee is performing satisfactorily against the key goals. The conclusions and supporting reasons (with examples where appropriate) need to be provided to the employee.
Once again the employee should be given the opportunity to respond to any comments and the manager must consider and may modify their decision, where sufficient cause is provided by the employee.
Re-occurrence of performance issues within 12 months of previous Performance Support action
If an employee is assessed as performing unsatisfactorily within 12 months of the previous Performance Support Process being finalised, the Manager may initiate Performance Support action again. The performance issue may be against the same or similar key outcomes that were addressed under the previous Performance Support Process. The employee must be performing the same or similar duties.
In this circumstance there will not be a two staged approach to the Performance Support Process, but there will be a stage 2 Performance Support Plan with an assessment period of four weeks.
Managers should seek advice from their HRBP in the first instance via the People and Culture Service Desk in these circumstances.
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Summary of the Performance Support Process – Stage 1
The table below provides a summary of the Performance Support Process.
| Step | Action |
|---|---|
| 1 | Following informal strategies a manager assesses that the employee needs support to improve their performance. The manager makes contact with the HRBP in the first instance via the People and Culture Service Desk for advice and support. |
| 2 | The manager will send an email invitation to the employee to have a formal discussion in relation to their performance using the meeting invitation template. |
| 3 | The manager completes first page of the Performance Support Plan, including the performance support goals and arranges a time to have a discussion with the employee who may have a support person. The employee must be advised in writing of the intention to commence the Performance Support Process. The current performance plan is suspended. |
| 4 | As part of the initial Performance Support discussion the manager will: * provide feedback to the employee on the specific areas of concern, * provide the employee with an opportunity to respond to the assessment, * discuss any learning/development needs relevant to performing their role, * in consultation with the employee, determine a strategy to support improvement, * provide the employee with a copy of the Improving Performance Procedure and discuss the process including potential consequences; and * advise the employee of how long the Performance Support period will take including the relevant review dates. |
| 4 | The manager must clearly document the strategies and measures for each goal in separate pages in the plan. One dedicated page per goal. The employee must receive a copy of the plan. |
| 5 | The manager and employee add comments as required and sign and date the initial discussion section of the plan and agree to review dates. If an employee refuses to sign they can put their objections and any supporting comments in writing but the process continues. |
| 6 | The manager implements strategy and conducts regular reviews. |
| 7 | The manager provides, at a minimum, weekly feedback on the employee’s progress at the review stages and gives the employee the opportunity to comment. Comments must be recorded under each Performance Support goal. |
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| Step | Action |
|---|---|
| 8 | At the end of the initial four week Performance Support period, the manager makes a decision on whether the employee: * has attained and sustained satisfactory performance against all the Performance Support goals, or * has not attained and sustained satisfactory performance against all the Performance Support goals. The manager should discuss proposed action with the HRBP in the first instance and their Branch Manager. |
| 9 | The manager completes assessment against each goal in the Final Performance Support Assessment section of the plan. The manager provides feedback to employee and gives them the opportunity to respond to the final assessment. Manager must consider the employee comments, if any, and advise the employee of their recommendation for future action. The employee is entitled to provide written comments and these must be attached to the Performance Support Plan. |
| 10 | The manager and employee comments are added to the final Performance Assessment in stage 1 and both sign the plan. If performance is satisfactory then the process ends and the performance plan resumes. If unsatisfactory the manager will discuss stage 2 of the Performance Support Process with the HRBP in the first instance via the People and Culture Service Desk. The HRBP must contact People & Culture to inform them of the escalation of the Performance Support Process. The employee must be provided with a copy of the Performance Support Plan including the final assessment. |
Summary of the Performance Support Process – Stage 2
At the conclusion of stage 1 of the Performance Support Process the manager determines that the employee’s performance remains at an unsatisfactory standard and stage 2 of the Process commences.
Or
An employee is assessed as performing unsatisfactorily within 12 months of a previous Performance Support action being finalised and the manager determines that the recurring performance issues will be managed under stage 2.
The table below provides a summary of the second stage of the Performance Support Process.
| Step | Action |
|---|---|
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| 1 | The manager must discuss the situation with People and Culture for agreement that action under stage 2 of the Performance Support Process is appropriate. |
|---|---|
| 2 | The manager notifies the employee, in writing, that their performance continues to remain below the standard required and further discussions in relation to the unsatisfactory performance are to take place. (The PSP stage two letter template is provided by the People and Culture Service Desk). |
| 3 | The manager documents the strategies and measures for each goal in separate pages in the plan. One dedicated page per goal. |
| 4 | The manager and the employee discuss the performance issues and determine strategies to assist the employee to reach a satisfactory standard of performance during the period of assessment – having regard to Performance Support action already undertaken. The manager completes the first page of the Performance Support Plan, including the Performance Support goals. Manager and employee complete and sign the Initial Discussion section of the plan, adding relevant comments. The current performance plan is completed and marked as ‘Improvement Needed’. |
| 6 | The manager implements strategy and conducts weekly reviews at a minimum. |
| 7 | The manager provides regular feedback on the employee’s progress at the review stages and gives the employee opportunity to comment. Comments and evidence are captured under each Performance Support goal. |
| 8 | At the end of the assessment period the manager makes a decision on whether the employee has: * attained a satisfactory standard of performance and the assessment process is complete, or [Note: The process will cease at this point and the employee will be notified in writing including advice that the formal process can be recommenced if further performance issues arise. A new performance plan will commence.] * not attained a satisfactory standard of performance and a recommendation will be made to the Delegate (refer to page 12 for definition of delegate) that the: * employee’s employment be terminated, or * employee be transferred to other duties at the same/lower classification, or * employee’s pay point will be reduced. The manager must discuss proposed action with their Branch Manager and with People and Culture Service Desk. |
| 9 | The manager completes assessment against each goal in the Final Performance Assessment stage 2 of the plan. The manager provides feedback to the |
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employee and gives them opportunity to respond to the final assessment. The manager considers employee comments, if any, and advises the employee of their final recommendation for future action.
The employee is entitled to then provide written comments and these will be attached to the Performance Support Plan.
| 10 | The manager and employee comments are added to the Final Performance Support Assessment and both sign the plan. The employee will be provided with a copy of the plan. |
|---|---|
| 11 | Where termination, transfer or reduction in classification or pay point is to be pursued, the Manager must notify People and Culture of the recommendation. The Manager forwards a Performance Assessment Report containing a recommendation and supporting information to the Delegate. (The Performance Assessment Report will be provided by People and Culture Service Desk) Recommendations must be sent to People and Culture - through the Branch Managers. A copy of the assessment is provided to the employee. |
| 12 | The Delegate considers the recommendation and all other relevant information and may: * proceed with recommended action, or * undertake another action. |
| 13 | The Delegate will advise the employee of their intended decision and give the employee 72 hours to provide any relevant additional information that has not already been provided to their manager. |
| 14 | The Delegate considers the employee’s response, if submitted, and makes a final decision on what action should be taken. |
| 15 | The Delegate notifies the employee of the decision and their right to seek a review. |
| 16 | The Delegate implements the decision. |
Note: An employee may be terminated, with their consent following resignation, at any time after the written notice in Step 2 has been issued. Where this occurs the employee will be entitled to payment of a lump sum for the balance of the assessment period. The normal periods of notice do apply but will be deemed to run concurrently with the balance of the assessment period.
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Finalising Recommendations
Performance Assessment Report
At the end of the stage 2 assessment process the manager will complete the final overall assessment in the stage 2 Performance Support Plan. The manager will also prepare a stage 2 Performance Support Report/Manager’s Checklist (template to be provided by People and Culture Service Desk) to be forwarded to the Delegate. A copy of the report will also be provided to the employee. The report will include:
- the manager’s conclusions about why the employee has not met the expected standard of performance as outlined in the notification to the employee and reinforced through discussions and feedback sessions, and;
- the recommended action.
Note: if an employee has attained and sustained satisfactory performance as a result of the process a Performance Assessment Report is still required. The employee will be advised in writing that the Performance Support Process has successfully ended, but if they have a recurrence of similar issues within 12 months the process may recommence at stage 2.
Role of the Delegate
The Delegate considers the Performance Assessment Report, recommendation of the manager and the employee’s comments and may:
- proceed with recommended action, or;
- undertake another action.
Who is the Delegate?
For the purpose of the Improving Performance Procedures the ‘Delegate’ is as follows:
| Action | Delegate |
|---|---|
| Transfer to other duties at the same or lower classification. | * General Manager, People & Culture * Branch Manager, People & Culture * Deputy Chief Executive Officers |
| Reduction in pay point. | Note: General Managers and SES Band 2 may determine at level duties and location where duties are to be performed, for employees within their line of control. |
| Termination of employment. | * General Manager, People & Culture * Branch Manager, People & Culture * Deputy Chief Executive Officers |
Disclaimer: The delegations are consistent with the HR delegations matrix.
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Advising the employee of the decision
The Delegate advises the employee, in writing, of their decision.
The advice to the employee must include:
= a statement that the employee has failed to attain satisfactory performance,
- the relevant sanction that the Delegate is going to apply – where applicable,
- reasons for the decision, and;
= a statement that the employee has 72 hours in which to respond and demonstrate that they have met the required standards or there was a serious defect in the process.
The Delegate will consider the employee response before making a final decision.
A proforma letter is available by contacting the People and Culture Service Desk
Implementing the Delegate’s decision
Transfer of duties
If the Delegate decides to transfer an employee or reduce their classification at the same or lower level, it must be to a specified job which the employee:
- is qualified to perform, and;
- would be able to perform effectively within a reasonable period.
Reduction in pay point
If the Delegate decides to reduce an employee’s pay point they will specify in writing the pay point to which it is reduced and any limitations that are to be imposed as a result of the reduction (e.g. employee may or may not be entitled to their next salary advancement).
Termination of employment
Where the Delegate determines that the employee’s employment is to be terminated, they issue a letter of termination to the employee.
The date of termination will be:
- the end of the period of notice as set out in the Workplace Relations Act 1996 (refer below), or;
= where the Delegate directs or the employee requests an earlier termination date within the period of notice, that earlier date.
Note: Where the required period of notice is not given, the employee is entitled to compensation instead of notice for the unexpired portion of the notice period.
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Notice periods
The following table sets out the minimum notice periods in the Fair Work Act 2009 for the purposes of determining the termination date. The periods of notice in the table should be increased by one week if the employee is:
- over 45 years old, and;
- has completed at least two years of continuous service.
| Employee’s period of continuous service | Period of notice |
|---|---|
| One year or less | At least one week |
| More than one year but not more than three years | At least two weeks |
| More than three years but not more than five years | At least three weeks |
| More than five years | At least four weeks |
Lodging an appeal or a request for a Review of Action
Employee against decision for termination
If the Delegate determines that the employee should be terminated from the NDIA, the employee has no internal appeal rights, however, they may lodge an application to the Fair Work Commission on the grounds that the termination was harsh, unjust or unreasonable. The application must be lodged within 21 days of the employee receiving the notice of termination.
Review of Action request
An employee may lodge a Review of Action request in relation to the action taken under the Performance Support Procedures, except where:
- the employee is terminated, or;
- the topic of the Review of Action request is excluded within the NDIA Review Rights Policy.
The request for a review of action does not put a stay on proceedings.
Time limits apply. Please refer to the APSC website.
Version change control
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| Version | Action | Description of Changes | Date |
|---|---|---|---|
| V 1.0 | Approved – BM P&C | Draft Updated | 17 January 2018 |
| V 1.1 | Updated in accordance with new EA | 23 April 2020 | |
| V 1.2 | Updated hyperlinks | Review Rights Policy hyperlink replaced | 24 March 2021 |
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DOCUMENT 4
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……entering into an Early Intervention initial conversation (information gathering)
……with a Manager or Team Leader
- Have you engaged with Workplace Supports previously? What was your experience?
- Our role, broadly is…..
- We can tailor create an appropriate support plan with the help of our providers……
- Thank you for the background story, what is happening today that is concerning you?
- Is there a history or pattern that may help us to better understand what is happening now?
- Do you know if the employee has external medical support (GP, psychologist, physio)?
- Do you have any gut feelings, intuitions about this situation and where it might go from here?
- Where do you think we need to provide support first, what is the support priority?
- Are you ok? How are you taking care of yourself in this situation? We can also provide support if required….
- Is the person we are talking about today aware you are in touch with us? If not yet, let’s talk about when might be an appropriate time to obtain consent to do so.
- It’s important for you to understand that we are here to support you also. We follow a balanced approach to all our cases. We have the best interest of employees and the Agency at the forefront of our next steps and support considerations within our guidelines and our EA.
……with an employee
- Have you engaged with Workplace Supports previously? What was your experience?
- Our role, broadly is…..
- How are you? Tell me what’s been happening for you recently.
- What does workplace support look like to you? What are your workplace support needs?
- Are there any other issues or concerns that may be impacting you at the moment, or may be impacting you in the future?
- Thank you for the background story, what is happening today that is concerning you?
- Do you have an external medical support network (GP, psychologist, physio)?
- What is the relationship with your manager and colleagues like? What does it feel like coming into work every day?
- We can tailor create an appropriate support plan with the help of our providers with your consent……
- Your privacy and confidentiality is important to us. Information you provide will only be needed to assist us better understand how we best support you in the workplace. Help us to help you (and your manager/TL also).
- Do you have any concerns or questions about our chat today? I will follow this up with a conversation summary email to ensure what I have heard today is correct and we are on the same page moving forward.
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……successful initial information gathering conversations will allow you to create next steps, build an initial support strategy.
I know…..
- there is a history of Workplace Supports (WHS, PST, S&R, DLO) or not.
- I have provided Workplace Supports services information about our role and what to expect working with us (manage expectations).
- the behaviour/issue a pattern or ongoing.
- the manager does or does not have consent to engage WPS at this stage.
- what the presenting and past (possibly future) concerns are (health, behaviour, performance, attendance).
- the employee is at work/not at work/RTW date or disengaged.
- the employee is safe.
- the employee knows where to go to get immediate and appropriate supports.
- the employee has sufficient/no support already in externally.
- the employee has/has not got leave balances.
- the employee has or intends to provide consent for me to commence support services (if required).
- the employee has a good/distant rapport with their manager/TL/Team and/or a preferred support person.
- how the manager/TL is feeling about the situation, and if needed, they have a support network/system in place for themselves. If not, they know where to go.
- I have sufficient information to form next support steps.
- I can inform all parties of the next steps (including any agreements made and individual expectations) and timeframes.
- I am confident I have a considered, factual and thorough information base to form an initial support strategy and explore possible risk factors (and mitigations) which may occur along the journey.