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Answering Leadership and management question.

Table of Contents

BSBMGT502

Manage people performance

Learner Workbook

Candidate Details

3

Assessment – BSBMGT502: Manage people performance

3

Competency Record to be completed by Assessor

4

Observation/Demonstration

5

Activities

6

Activity 1.1

6

Activity 1.2 – 1.6

8

Activity 2.1

11

Activity 2.2 – 2.4

14

Activity 3.1 – 3.5

16

Activity 4.1 – 4.6

20

Activity 4.7

23

Skills and Knowledge Activity

24

Major Activity

25

Appendices

26

Appendix One –Individual Work Plan

26

Appendix Two – Quantifiable Risk Analysis

27

Appendix Three Performance Management

28

Appendix Four Coaching plan

29

Appendix Five: HR Professional Consultation Template

30

Appendix Seven: Counselling Plan

31

Appendix Eight: Performance Plan

32

Candidate Details

Assessment – BSBMGT502: Manage people performance
Please complete the following activities and hand in to your trainer for marking. This forms part of your assessment for BSBMGT502: Manage people performance. Remember to always keep a copy of your assessment before submitting.
Name: _____________________________________________________________
Email: _____________________________________________________________
Employer: _____________________________________________________________

Declaration

I declare that no part of this assessment has been copied from another person’s work with the exception of where I have listed or referenced documents or work and that no part of this assessment has been written for me by another person.
Signed: ____________________________________________________________
Date: ____________________________________________________________

If activities have been completed as part of a small group or in pairs, details of the learners involved should be provided below:

This activity workbook has been completed by the following persons and we acknowledge that it was a fair team effort where everyone contributed equally to the work completed. We declare that no part of this assessment has been copied from another person’s work with the exception of where we have listed or referenced documents or work and that no part of this assessment has been written for us by another person.
Learner 1: ____________________________________________________________
Signed: ____________________________________________________________
Learner 2: ____________________________________________________________
Signed: ____________________________________________________________
Learner 3: ____________________________________________________________
Signed: ____________________________________________________________

Competency Record to be completed by Assessor
Learner Name: __________________________
Date of Submission: __________________________
Date of Assessment: __________________________
The learner has been assessed as competent in the elements and performance criteria and the evidence has been presented as:

Satisfactory (S)

Non-Satisfactory (NS)

Assessor Initials

Activities 1.1 – 4.7

Skills and Knowledge Questions

Major Project

Learner is deemed: COMPETENT NOT YET COMPETENT (Please Circle/Highlight)

1. Resubmission Date: ________________________

2. Resubmission Date: ________________________

3. Resubmission Date: ________________________

Comments from Trainer / Assessor:

________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Assessor Signature: ___________________________ Date: _______________________

Observation/Demonstration
Throughout this unit, you will be expected to show your competency of the elements through observations or demonstrations. Your instructor will have a list of demonstrations you must complete or tasks to be observed. The observations and demonstrations will be completed as well as the activities found in this workbook. An explanation of demonstrations and observations:
Demonstration is off-the-job
A demonstration will require:
Performing a skill or task that is asked of you
Undertaking a simulation exercise
Observation is on-the-job
The observation will usually require:
Performing a work based skill or task
Interaction with colleagues and/or customers
Your instructor will inform you of which one of the above they would like you to do. The demonstration/observation will cover one of the unit’s elements.
The observation/demonstration will take place either in the workplace or the training environment, depending on the task to be undertaken and whether it is an observation or demonstration. Your instructor will ensure you are provided with the correct equipment and/or materials to complete the task. They will also inform you of how long you have to complete the task.
The learners will need to demonstrate they can:
1. Allocate work
2. Assess performance
3. Provide feedback
4. 4. Manage follow up
You should also demonstrate the following skills:
Learning
Reading
Writing
Oral communication
Numeracy
Navigate the world of work
Interact with others
Get the work done

Activities

Activity 1.1

Estimated Time

45 Minutes

Objective

To provide you with an opportunity to consult relevant groups and individuals on work to be allocated and resources available.

Activity

There are three goals that impact on a manager’s decision-making process. List and briefly explain each in your own words.

——————Strategic Goals : ———————————————————————are articulations of what your association would like to attain over the another five to ten along time.

————–Tactical goals: ————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————

Activity 1.2 – 1.6

Estimated Time

1 Hour

Objective

To provide you with an opportunity to develop work plans in accordance with operational plans; allocate work in a way that is efficient, cost effective and outcome focussed; confirm performance standards, Code of Conduct and work outputs with relevant teams and individuals; develop and agree performance indicators with relevant staff prior to commencement of work; and conduct risk analysis in accordance with the organisational risk management plan and legal requirements.

Activity

Using your knowledge of your department and the nine steps of the allocation work plan, explain how your department allocates their resources.

In each step of this process, provide an example on how you believe the plan was researched, the stakeholders who were consulted and how work was allocated.

Do you believe that the plan that you organisation uses could be enhanced? Give examples of how you believe the system could be improved.

1. Providing clear instruction

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2. Identifying the consulting with key stakeholders

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3. To make sure that work is allocation in alignment with operational plans

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4. To allocate work as per the organisation’s policies and procedures and cost effectively – In this step you are to discuss what would happen if too many staff were off work sick and a large demand for an order needed to be processed. How would the resources be re-allocated?

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5. Communicating and collaborating plans with others. – What communication processes are in place? Are they sufficient for your needs? Give an example for your answer

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6. Confirming performance requirements

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7. Following performance indicators

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8. Developing individual work plans

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9. Undertaking risk analyses in accordance with the organisation’s risk management plans and legal requirements.

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Activity 2.1

Estimated Time

45 Minutes

Objective

To provide you with the chance to design performance management and review processes to ensure consistency with organisational objectives and policies.

Activity

What is a performance management system?

————————is a method used to measure the —————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————————-
Case study question – read the following:

Job Description

Purpose of the position

The Administrative Clerk is responsible for providing administrative and clerical services in order to ensure effective and efficient operations.

Scope

The Administrative Clerk reports to the Senior Administrative Officer and is responsible for providing administrative and clerical services. Providing these services in an effective and efficient manner will ensure that municipal operations are maintained in an effective and efficient manner.

Responsibilities

1) Provide administrative support to ensure that municipal operations are maintained in an effective, up to date and accurate manner

Main Activities:

· Type correspondence, reports and other documents
· Maintain office files
· Open and distribute the mail
· Take minutes at meetings
· Distribute minutes
· Coordinate repairs to office equipment

2) Provide support to Council to ensure that Council is provided with the resources to make effective decisions

Main Activities:

· Maintain confidential records and files
· Maintain records of decisions
· Arrange for payment of honorariums
· Research and assist with the preparation of motions, policies and procedures
· Review and edit reports to the Board
· Prepare correspondence for Board members
· Prepare documents and reports on the computer
· Schedule Board meetings
· Prepare agendas for Board meeting

Administrative Assistant

· Prepare packages for Board meetings
· Attend board meetings
· Record minutes and submit minutes for approval

3) Provide receptionist services

Main Activities:

· Greet and assist visitors
· Answer phones
· Direct calls and respond to inquiries

4) Perform other related duties as required
As a Manager, one of your responsibilities is to assist in the development of a management plan for members of your team. Sally has recently been employed in your organisation as an Administration Assistant.
Christine, a member of your HR team is unclear about what review procedures are sufficient for Sally. To assist Christine, you are to consult with your team and determine the Key Performance Indicators should be for this role as shown in the Job Description provided above.

Develop a Performance Management System for the position in the job description provided above.

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What skills did Sally need to demonstrate that she was the person for the job?

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Based on the skills in 3, briefly outline the performance requirements, standards and measures required. Consult and negotiate with the team.

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Develop an individual performance plan.

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How will you track the performance plan you completed in Appendix Eight? Should it be formal or informal? Why?

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Reflect on this performance management plan. What were you hoping to achieve by using the performance system?

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What should you do to make this system work?

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Activity 2.2 – 2.4

Estimated Time

30 Minutes

Objective

To provide you with an opportunity to train participants in the performance management and review process; conduct performance management in accordance with organisational protocols and time lines; and monitor and evaluate performance on a continuous basis.

Activity

Succession planning is the process of identifying people within an organisation who have the potential to fill future management and leadership positions.

Case study exercise:
You have been asked to choose a member of your team who can learn all aspects of your job (with succession planning in mind). With a person from your group acting as the identified person, discuss the skills that are required to perform your job and discuss their skills. Identify the variances in the skill level and determine what training is needed to bring their skills and knowledge to the level of manager within your organisation.

Training Plan for: Dept: Date:

No need to full all of them

What training is needed

Business need solved

Priority link to Business Strategic Plan

Time Needed

Planning Needed

Budget & Notes

Use the Performance Management Time line to determine how the succession planning arranged above can be planned, including reviews, training and how the team leader can measure their performance.

Performance Management Time line

General

Probationary staff

Special cases/interim reviews

Performance planning/review meetings

Documentation

What behaviours should the team leader demonstrate?

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Activity 3.1 – 3.5

Estimated Time

1 Hour

Objective

To provide you with an opportunity to provide feedback.

Activity

Feedback is important because it allows/provides management and staff information on areas where they can improve.

Using the information that you have developed in Activity 2.1-2.4, answer the following questions.

1. Why are you assessing this staff member?

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2. On what functions, skills, behaviours, or activities is this assessment based?

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3. On what standards is this assessment based?

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4. What are the facts of the situation?

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5. What do you plan to do with the results of your feedback?

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6. What methods will be used to give feedback to the team leader?

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7. Provide feedback to your appointed team leader to say that he/she is underperforming and requires more one-on-one training. The team leader is intimidated about the position. You need to build the team leader’s skills and knowledge to motivate the team leader and build his/her confidence.

8. Develop a coaching plan addressing these issues

Coaching Plan

Name: ____________________________________
Manager: __________________________________
Date of meeting: _____________________________

Areas where excellence in performance has been demonstrated

Performance areas needing improvement

Additional items (i.e. training and professional development needed)

Next steps

9. The informal feedback that the team leader has received does not seem to be working. With your team, develop a more structured feedback session that addresses the team leader’s needs and organisational policy.

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10. Use the seven key elements of coaching by Larson and Richburg (2000) to analyse whether the plan that you have worked together to fulfil is effective. If you find a lacking in any area, may recommendations on how you may close the gap.

Context:

Clarity:

Commitment:

Course of Action:

Coachability:

Confidentiality:

Chemistry:

Activity 4.1 – 4.6

Estimated Time

1 Hour

Objective

To provide you with an opportunity to write and agree on performance improvement and development plans in accordance with organisational policies; seek assistance from human resources specialists where appropriate; reinforce excellence in performance through recognition and continuous feedback; monitor and coach individuals with poor performance; provide support services where necessary; and counsel individuals who continue to perform below expectations and implement the disciplinary process if necessary.

Activity

Case study exercise:
The new sales figures are in and they are not good. All feedback shows that the fault is not due to the product, as the customers have advised you that the product exceeds their expectations, not only in terms of quality performance but also in terms of price.
You personally visit your team and find that morale is very low. Several weeks ago, a member of their team was killed when a wall of parts fell on them when a shelf snapped. After WorkSafe closed down the factory for a week, it was re-opened. The company hired to supply the shelving and build it did not maintain its duty of care to provide safe equipment. Both the client and to a lesser degree the company was fined.
Staff had reported the shelving and the company had failed to take the correct action. Your first aim is to suggest ways in which to change this negative attitude. As this is outside your field of knowledge, identify what HR experts will be able to assist you in changing the negative morale of staff.

As a group exercise – choose a member of the group to act as your HR contact, a trainer, and a member of the work team and answer the following questions.

1. Consult with your HR contact on the above issue and discuss what you can do to help your team and their performance at work.
Make recommendations in regards of ways in which the team has more control of the environment. What training could you provide the team to give them the skills to take more control of their environment?
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2. What recognition do you believe that team members should be given to build confidence and morale?
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3. How can you determine whether the training, coaching or mentoring is successful?

Include feedback discussions with both the trainer and the team member to further investigate this.
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4. What support services should the team be supplied with?
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After three months, two members of your team are not making any effort to respond to the changes made internally and have not taken advantage of the opportunities to improve their skills. They are still negative and this is not having a good impact on the rest of the team.

5. Use your knowledge of counselling to develop a counselling session to address these issues.
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Activity 4.7 no need to do it

Estimated Time

45 Minutes

Objective

To provide you with an opportunity to terminate staff in accordance with legal and organisational requirements where serious misconduct occurs or ongoing poor-performance continues.

Activity

Your organisation does not have procedures on how to terminate an employee.
Access the FairWork Australia site URL Address: www.fwa.gov.au

1. Discuss what you will need to do to initiate and terminate a member of your team’s employment. If necessary, set the procedure out in a flow chart.
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Skills and Knowledge Activity

Estimated Time

1 Hour

Objective

To provide you with an opportunity to demonstrate your knowledge of the foundation skills, knowledge evidence and performance evidence.

Activity

Complete the following individually and attach your completed work to your workbook.

The answers to the following questions will enable you to demonstrate your knowledge of:
· Learning
· Reading
· Writing
· Oral communication
· Numeracy
· Navigate the world of work
· Interact with others
· Get the work done
· Outline relevant legislative and regulatory requirements
· Outline relevant awards and certified agreements
· Explain performance measurement systems utilised within the organisation
· Explain unlawful dismissal rules and due process
· Describe staff development options and information.

Answer each question in as much detail as possible, considering your organisational requirements for each one.

1. How would you communicate expected standards of performance, effective feedback and to coach staff who need development?

2. How would you use risk management skills to analyse, identify and develop mitigation strategies for identified risks?

3. How would you ensure a planned and objective approach to the performance management system?

4. Document your company’s policies, or an organisation that you can use as an example, on Work Health and Safety, environmental issues, equal opportunity, industrial relations and anti-discrimination.

5. Identify three relevant awards and certified agreements. What are the benefits of attaining them?

6. What performance measurement systems are utilised in your organisation, or another organisation that you can use as an example?

7. As in the question above, what options do staff have for development and where can they find this information?

Major Activity

Estimated Time

1 Hour

Objective

To provide you with an opportunity to demonstrate your knowledge of the entire unit.

Activity

This is a major activity – you should let the learner’s know whether they will complete it during class or in their own time.

You must individually, answer the following questions in full to show your competency of each element;

1. Allocate work
2. Assess performance
3. Provide feedback
4. Manage follow up

1. What do you have to consider when allocating work?

2. How would you assess performance?

3. What is the difference between formal and informal feedback?

4. What is involved when managing follow up? (Discuss using all of the criteria).

Appendices

Appendix One –Individual Work Plan

Goal:

Description for Year 1:

Measureable Objective for Year 1

Activities for Year 1

Impact for Year 1

Evaluation for Year 1

Appendix Two – Quantifiable Risk Analysis

Task description

Risks

Levels of risk

Appendix Three Performance Management

PERFORMANCE MANAGEMENT TIMELINE

General

Probationary staff

Special cases/interim reviews

Performance planning/review meetings

Documentation

Appendix Four Coaching plan
Name: _______________________________________________________________

Manager: _____________________________________________________________

Date of meeting: _______________________________________________________

Areas where excellence in performance has been demonstrated

Performance areas needing improvement

Additional items (i.e. training and professional development needed)

Next steps

Appendix Five: HR Professional Consultation Template

HR Professional Consulted:

Position: Date:

Feedback

Response

1.

2.

3.

Appendix Seven: Counselling Plan

Counselling Session Plan

1. Schedule a confidential meeting with the employee

2. Set and maintain a positive attitude

3. Be cooperative, professional and focused

4. Seek clarification

5. End on a positive note

6. Prepare a written summary

7. Follow up with the employee

Page | 2

MSA Training and Professional Development Phone: 03 9905 3180
Room 159, 21 Chancellors Walk Website: msatraining.edu.au
Monash University Clayton, Vic 3800
BSBMGT502 Manage people performance V3.2 22/07/2020

Appendix Eight: Performance Plan

Performance Plan

Key Result Area

Key Performance Indicator/Target

Activity

Targets/Measures/Milestones/Timing

Results/Comments

BSBMGT502

Manage people performance

Learner Guide

BSBMGT502

Manage people performance

Table of Contents

Unit of Competency

6

Performance Criteria

7

Foundation Skills

9

Assessment Requirements

10

Housekeeping Items

11

Objectives

11

1. Allocate work

12

1.1 – Consult relevant groups and individuals on work to be allocated and resources available

13

Strategic goals

13

Tactical goals

13

Operational goals

13

Activity 1.1

16

1.2 – Develop work plans in accordance with operational plans

17

1.3 – Allocate work in a way that is efficient, cost effective and outcome focussed

17

Methods of workplace communication

19

Communication Skills for Managers

20

1.4 – Confirm performance standards, Code of Conduct and work outputs with relevant teams and individuals

22

Performance standards

22

Developing performance standards

23

Code of conduct

23

1.5 – Develop and agree performance indicators with relevant staff prior to commencement of work

25

What are performance indicators?

25

How to develop key performance indicators

26

Developing Individual work plans

26

Work Plan Template

27

1.6 – Conduct risk analysis in accordance with the organisational risk management plan and legal requirements

29

Conduct risk analyses

29

Developing contingency plans

31

Activities 1.2 – 1.6

31

2. Assess performance

33

2.1 – Design performance management and review processes to ensure consistency with organisational objectives and policies

34

What is Performance Management?

34

Overview of performance assessment

34

The role of assessment in the performance process

35

What is a performance management system?

35

Essential elements of a performance management system

36

Follow your organisation’s policies and relevant legal requirements

40

What is a performance plan?

41

Developing individual performance plans

41

Activity 2.1

43

2.2 – Train participants in the performance management and review process

44

Adequate Training

44

2.3 – Conduct performance management in accordance with organisational protocols and time lines

46

2.4 – Monitor and evaluate performance on a continuous basis

47

Observational techniques to enhance performance

47

Activities 2.2 – 2.4

48

3. Provide feedback

49

3.1 – Provide informal feedback to staff on a regular basis

49

3.2 – Advise relevant people where there is poor performance and take necessary actions

52

3.3 – Provide on-the-job coaching when necessary to improve performance and to confirm

excellence in performance

53

Excellence in performance…

53

On-the-job coaching

53

Developing a coaching plan

53

3.4 – Document performance in accordance with the organisational performance management system

56

Sample coaching plan

56

3.5 – Conduct formal structured feedback sessions as necessary and in accordance with organisational policy

58

Activities 3.1 – 3.5

61

4. Manage follow up

61

4.1 – Write and agree on performance improvement and development plans in accordance with organisational policies

63

Performance management in action

63

4.2 – Seek assistance from human resources specialists where appropriate

65

4.3 – Reinforce excellence in performance through recognition and continuous feedback

66

4.4 – Monitor and coach individuals with poor performance

67

4.5 – Provide support services where necessary

68

4.6 – Counsel individuals who continue to perform below expectations and implement the disciplinary process if necessary

69

How to conduct a counselling session

69

Activities 4.1 – 4.6

70

4.7 – Terminate staff in accordance with legal and organisational requirements where serious misconduct occurs or ongoing poor-performance continues

70

What is underperformance?

72

Initiating and conducting terminations

73

Unfair dismissal

74

Unlawful termination

75

Discrimination & adverse action

75

Activity 4.7

77

Skills and Knowledge Activity

78

Major Activity – An opportunity to revise the unit

79

References

81

Unit of Competency

Application

This unit describes the skills and knowledge required to manage the performance of staff who report to them directly. Development of key result areas and key performance indicators and standards, coupled with regular and timely coaching and feedback, provide the basis for performance management.

It applies to individuals who manage people. It covers work allocation and the methods to review performance, reward excellence and provide feedback where there is a need for improvement.
The unit makes the link between performance management and performance development, and reinforces both functions as a key requirement for effective managers.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

Unit Sector

Management and Leadership – Management

Performance Criteria

Element
Elements describe the essential outcomes.

Performance Criteria
Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Allocate work

1.1 Consult relevant groups and individuals on work to be allocated and resources available.
1.2 Develop work plans in accordance with operational plans.
1.3 Allocate work in a way that is efficient, cost effective and outcome focused.
1.4 Confirm performance standards, Code of Conduct and work outputs with relevant teams and individuals.
1.5 Develop and agree performance indicators with relevant staff prior to commencement of work.
1.6 Conduct risk analysis in accordance with the organisational risk management plan and legal requirements

2. Assess performance

2.1 Design performance management and review processes to ensure consistency with organisational objectives and policies.
2.2 Train participants in the performance management and review process.
2.3 Conduct performance management in accordance with organisational protocols and time lines.
2.4 Monitor and evaluate performance on a continuous basis

3. Provide feedback

3.1 Provide informal feedback to staff on a regular basis.
3.2 Advise relevant people where there is poor performance and take necessary actions.
3.3 Provide on-the-job coaching when necessary to improve performance and to confirm excellence in performance.
3.4 Document performance in accordance with the organisational performance management system.
3.5 Conduct formal structured feedback sessions as necessary and in accordance with organisational policy.

4. Manage follow up

4.1 Write and agree on performance improvement and development plans in accordance with organisational policies.
4.2 Seek assistance from human resources specialists where appropriate.
4.3 Reinforce excellence in performance through recognition and continuous feedback.
4.4 Monitor and coach individuals with poor performance.
4.5 Provide support services where necessary.
4.6 Counsel individuals who continue to perform below expectations and implement the disciplinary process if necessary.
4.7 Terminate staff in accordance with legal and organisational requirements where serious misconduct occurs or ongoing poor-performance continues.

Foundation Skills
This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.

Skill

Performance
Criteria

Description

Learning

2.2, 3.3, 4.4

· Consolidates and improves own knowledge and skills by coaching, mentoring or training others

Reading

1.2, 1.6, 2.4

· Gathers, interprets and analyses texts in organisational documents to facilitate performance management

Writing

1.2, 1.4, 1.5, 1.6, 2.1, 2.3, 2.4, 3.4, 3.5, 4.1, 4.7

· Plans and prepares documents for allocating work and managing performance suitable for the target audience and in accordance with organisational requirements

Oral Communication

1.1, 1.4, 1.5, 2.2, 2.3, 3.1, 3.2, 3.3, 3.5, 4.2-4.7

· Uses language and structure appropriate to context and audience to explain expected standards of performance, provide feedback and coach staff

Numeracy

1.3, 1.4, 1.5, 1.6, 2.1, 2.4, 3.4, 4.1

· Extracts and evaluates mathematical information embedded in a range of tasks and text relating to performance standards and risk analysis

Navigate the world of work

1.2, 1.6, 2.1, 2.3, 3.4, 3.5, 4.1, 4.7

· Appreciates the implications of legal and regulatory responsibilities related to own work and the organisation as a whole
· Monitors adherence to organisational policies and procedures

Interacts with others

1.1, 1.3, 1.4, 1.5, 2.2, 3.1, 3.2, 3.3, 4.2-4.6

· Recognises and applies the protocols governing what to communicate to whom and how in a range of work contexts
· Collaborates with others to achieve joint outcomes, influencing direction and taking a leadership role on occasion

Get the work done

1.2, 1.3, 1.5, 1.6, 2.1, 2.4, 4.1, 4.2

· Sequences and schedules complex activities, monitors implementation and manages relevant communication
· Seeks advice, feedback and support as required to assist in the decision-making process
· Uses experiences to reflect on the ways in which variables impact on performance

Assessment Requirements

Performance Evidence

Evidence of the ability to:

· Consult with relevant stakeholders to identify work requirements, performance standards and agreed performance indicators
· Develop work plans and allocate work to achieve outcomes efficiently and within organisational and legal requirements
· Monitor, evaluate and provide feedback on performance and provide coaching or training, as needed
· Reinforce excellence in performance through recognition and continuous feedback
· Seek assistance from human resources specialists where appropriate
· Keep records and documentation in accordance with the organisational performance management system

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

· Outline relevant legislative and regulatory requirements
· Outline relevant awards and certified agreements
· Explain performance measurement systems utilised within the organisation
· Explain unlawful dismissal rules and due process
· Describe staff development options and information

Assessment Conditions

Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the management and leadership field of work and include access to:

· Relevant legislation
· Workplace documentation and resources
· Case studies and, where possible, real situations
· Interaction with others

Assessors must satisfy NVR/AQTF assessor requirements.

Links

Companion volumes available from the IBSA website: http://www.ibsa.org.au/companion_volumes

Housekeeping Items
Your trainer will inform you of the following:
· Where the toilets and fire exits are located, what the emergency procedures are and where the breakout and refreshment areas are.
· Any rules, for example asking that all mobile phones are set to silent and of any security issues they need to be aware of.
· What times the breaks will be held and what the smoking policy is.
· That this is an interactive course and you should ask questions.
· That to get the most out of this workshop, we must all work together, listen to each other, explore new ideas, and make mistakes. After all, that’s how we learn.
· Ground rules for participation:
· Smile
· Support and encourage other participants
· When someone is contributing everyone else is quiet
· Be patient with others who may not be grasping the ideas
· Be on time
· Focus discussion on the topic
· Speak to the trainer if you have any concerns

Objectives
·
Discover how to allocate work
·
Know
how to assess performance
·
Learn how to provide feedback
·
Understand
how to manage follow up
·
Gain
skills and knowledge required for this unit

1. Allocate work

1.1 Consult relevant groups and individuals on work to be allocated and resources available

1.2 Develop work plans in accordance with operational plans

1.3 Allocate work in a way that is efficient, cost effective and outcome focused

1.4 Confirm performance standards, Code of Conduct and work outputs with relevant teams and individuals

1.5 Develop and agree performance indicators with relevant staff prior to commencement of work

1.6 Conduct risk analysis in accordance with the organisational risk management plan and legal requirements

1.1 – Consult relevant groups and individuals on work to be allocated and resources available
One of the primary roles of a manager is to allocate work and delegate tasks to staff to make sure that the tactical objectives of the organisation are met. In turn, managers should also ensure that the organisation’s operational goals are met.
There are three main types of goals that organisations use as part of their planning process, they are:

Strategic goals

Strategic goals are statements of what your organisation would like to achieve over the next five to ten years. These goals are developed from the mission and vision statement and the SWOT analysis that you complete of the environment of the organisation. SWOT stands for an analysis of the Strengths and Weaknesses (i.e. strength – offer high level of customer service) internal to the organisation and Opportunities and Threats (i.e. market demand in your product has led to a larger share of the market) external to the organisation.

Tactical goals
Tactical goals and objectives must support the organisations strategic goals. They indicate what level of achievement is necessary in the departments of the organisation. For example, if the organisations strategic goal is to increase sales by 5% in the next year, then the sales staff in the sales department, for instance, may be trained in techniques used to enhance their customer service skills.

Operational goals
Operational goals are determined by the lowest level of the organisation and relate to specific teams within each department. They focus on the responsibilities of individual employees. Using the example where the tactical goal of the sales department is to receive training to increase sales by 5%, individual employees then apply their new skills to ensure that sales increases.
As a manager it is important to apply your work allocation plan so that people working for you have the best opportunity to meet the organisations performance standards. There are nine steps that you can follow to assist you in this task. The nine steps are:
1. Providing clear instruction
2. Identify and consult with key stakeholders
3. Making sure that work is allocated in alignment with operational plans
4. To allocate work as per the organisation’s policies and procedures and cost effectively
5. Communicating and collaborating plans with others
6. Confirming performance requirements
7. Following performance indicators
8. Developing individual work plans
9. Undertaking risk analyses in accordance with the organisation’s risk management plans and legal requirements.

These steps shall now be discussed in detail.

1. Clear instructions
A good manager is a manager who has an open door policy. Allow staff to approach and speak to you when they have a problem. Make sure that your staff are aware that there is a channel of communication that they should follow before they approach you. If they feel that this line is not helping them, then they should approach you.
For example, staff should be made aware of the reporting procedure for their department. For example, if they are a part of a team and they have a problem with another team member, they should first try to resolve the problem with them. If this does not work then they should discuss the problem with the team leader. If the team leader is unable to resolve the problem, then the supervisor should be approached. If the staff member feels that other avenues are closed to them, then they should discuss the problem with you.

To give clear instructions, is to

Be clear and concise when you give instructions to staff.
Make sure that they are informed of the task and how long the task should take to perform. If there are any special requirements to the work, inform them.
Give staff time to ask questions to ensure that they understand the instructions given.
This can save you time as it ensures that the staff member does not perform an incorrect task.
2. Identify and consult with stakeholder
A stakeholder is someone within the organisation that has a direct or indirect stake in the organisation who can be affected by the organisations actions, objectives and policies. Key stakeholders include:
External groups and individuals
External groups and individuals can include suppliers, external training companies and network providers. They are the people who you can consult with before you start a project.
Internal groups and individuals. Your team knows their job and their work area. Ask for their opinion and listen to them when they provide feedback.
Every decision you make as a manager will impact on how well everyone performs. The decision will also impact on the rest of the organisation at some level. If, for example, you asked the opinion of one of your team members and followed their recommendation, they will probably take ownership of the decision and work to the best of their capability.

Activity 1.1

1.2 – Develop work plans in accordance with operational plans
3. Allocate work according to operational plans
As a manager, it is important to be aware of the skills and knowledge each employee has. Work should be allocated to employees based on their ability to perform the task and according to the organisation’s operational plans. This ensures that your team completes their tasks correctly and that you work within the budget allocated to the task.
External parties should also be consulted with. Most organisations will have procedures that state the frequency in which the parties should be contacted. Continuous contact with suppliers for example will let you keep abreast of special deals, who the credible suppliers are and who to contact to service the supply of a resource for you.

1.3 – Allocate work in a way that is efficient, cost effective and outcome focussed

4. Allocate work as per the organisation’s policies and procedures and cost effectively
For example, your organisation uses a Printing Company to print their reports. An external supplier has been chosen because it was determined that the printing company could meet all of their needs better than an internal staff member. They were more experienced in the quality required to meet their customers’ needs.
Your organisation decided at the last minute to enter a Trade Show. This meant that demand for the printing services increased exponentially within a tight time frame. When you contacted your regular supplier, you found that they were unable to supply the printing material on time. Instead, they referred you to another larger organisation that was running a special.
As a manager it is important not only to ensure that the person or team allocated to perform a task have not only got the correct skills and knowledge, but also the capability of meeting the needs of the operational plan. When making decisions about the allocation of work and being cost effective, it is important to make sure that you are aware of the resources you have available and any time constraints
When making decisions about the allocation of work and being cost effective, you need to be aware of your resources and any time restraints. Trusting work to an employee is good for morale, however if you are on a tight schedule it is important that you ensure that your productivity is not affected.
5. Communicating your plans and collaborating with others
The way in which you communicate with others will vary according to their needs and the organisation’s policies and procedures. For example; as a full time manager you may prefer that staff send you an email so you can peruse them at your leisure. However, if an emergency arises, they may have no choice but to call you via telephone. In a globalised world, you will need to be familiar with all forms of communication which include:
Faxes
Meetings
Conference calls
Memos
Intranet

By developing your own communication skills, and setting up a basic communication plan, you will help to minimise confusing situations and unexpected obstacles from impeding the success of your plans.

Methods of workplace communication
The method of communication you use will vary according to your needs. Ted, for instance is a manager of a Linen Factory. During the busy season, he invariably finds it hard to contact all of his staff. This is difficult because staff in the warehouse work three separate shifts with some of the staff working shorter hours due to family constraints. Group meetings will allow him to reach most of the staff during and between shifts.
However, Ted still cannot reach the staff who work varying hours. To ensure that he reaches these staff, Ted always sends out a memo that must be signed by staff to demonstrate that they have read the memo and are aware of changes to procedures.
Instead of arranging individual meetings, it is more cost effective to book in group meetings. Group meetings are good for sounding out ideas and minimising confusion. Memos and e-mails may be more appropriate when dealing with staff that are on different time schedules.
Individual meetings usually occur when management needs to discuss things pertinent to that staff member. These meetings may be about an individual’s inability to meet schedules or performance with other staff.

The different methods of communication can include:

Group meetings
Individual meetings
Informal meetings
Intranet and bulletin board
Memo
Group briefings
Scheduled conference calls
E-mail

Using constructive communication techniques in the workplace

For communication to be effective, it needs to be two way.
When communication is one way, in which A speaks to B, there is no opportunity for B to ask questions to confirm or clarify instructions.

When communication is two way, A speaks to B and B is given an opportunity to confirm their instructions through questioning and clarifying the instructions they have received.
As a manager you need to give your staff members a chance to ask questions. It is very important that the manager responds and clarifies any questions with clear and concise answers.

Communication Skills for Managers

Attentiveness: Listening to others and being receptive to their needs.

Diplomacy: The skill to tactfully handle a delicate issue or situation.

Discretion: The ability to make wise decisions about topics which are suitable for discussion and dissemination and those which are not.

Empathy: Showing interest in others and sensitivity toward how they might be feeling.

Enthusiasm: A positive outlook and friendly attitude.

Flexibility: The ability to compromise when necessary to achieve the organisation’s goals.

Judgement: Being able to make thoughtful and appropriate decisions.

When you make decisions about work allocation and the deployment of your resources always remember that you should make sure that you:

· Communicate and consult with staff members, managers and any external stakeholders

· Allocate work to people with the experience, skills and knowledge

· Use your knowledge of job descriptions to delegate tasks effectively

· Know what your staff are doing, including increases and decreases to their jobs.

Communicating and collaborating plans with others to develop deadlines

Check to make sure that all of your work processes and outputs for each department are met. Make sure that the team is responsible for the operations of workflow and follow your organisations procedures to ensure that these details are communicated with them.
For example, one of the objectives in your operational plan might be to attract and maintain interest in the organisations new product line. Successfully marketing these activities to internal and external customers is a key result area for your section. The role then of you and your staff is to organise the company’s resources (money, capital and equipment) and develop action plans aimed at realising that goal.
To develop an action plan, it is important to clarify all of the roles of your staff with each person. Both you and your staff member should be in agreement with deadlines. Once deadlines have been negotiated, then the action plan can be performed. This will allow you to know what is going on at all times and allows you to make sure that all deadlines are met.

1.4 – Confirm performance standards, Code of Conduct and work outputs with relevant teams and individuals
6. Confirming performance requirements
Performance requirements include:
Performance standards means the level of performance sought from an individual or group which may be expressed either quantitatively or qualitatively.
Code of Conduct means the agreed (or decreed) set of rules relating to employee behaviour/conduct with other employees or an agreed (or decreed) set of rules relating to employee behaviour/conduct with other employees or customers
Performance indicators are the measures against which performance outcomes are gauged.

These performance requirements shall now be discussed in more detail.

Performance standards
Performance standards will give you a list of each team member’s job down to:
The tasks that they have to perform
The dates in which these tasks need to be completed; and
The standards of performance that they must acquire.
Always pay more attention to the important jobs first. When deciding what the performance standards will be for a particular task, you should always determine which actions will be a minimum standard of acceptable performance for the task.

In most cases, you should assess your performance standards against the following criteria:

1. Cost/budgets
2. Customer satisfaction
3. Quality
4. Quantity
5. Revenue/profit

Developing performance standards
To create a performance standard you need to know what the task is that needs to be performed and the minimum standard to complete the task.

Example 1

Description of task:
Market seminars

Performance standard:
Create, produce and distribute marketing materials for seminars as required.

Example 2

Description of task:
Use Computer

Performance standard:
Turn on program, enter log on password and username and open the correct program you will need to complete a specific task.

Checklist

The Performance Standards used in my organisation are:

Achievable Clear Realistic
Agreed to Specific Time-framed
Measurable Understood

Code of conduct
A code of conduct (sometimes referred to as a code of ethics) is a set of rules outlining the responsibilities or proper practices for an individual or organisation. In most cases, the code of conduct should reflect the organisation’s mission statement.
A code of conduct is a document of overriding principles which govern the way employees of an organisation deal with customers, clients and each other. Ideally the code of conduct should be tied in to the mission statement.
A code of conduct includes:
A benchmark which is something that can be measured and judged
Acceptable levels of conduct to assist the organisation in assessing performance.
A code of conduct responsive to the demands of the market today
Acceptable behaviours in the workplace of all staff, including presentation, legislative

Examples of codes of conduct include:

Competitiveness;
Excellence in customer service;
Honesty in all dealings with customers and each other;

Quality of work performed; and
Open and honest communication.

1.5 – Develop and agree performance indicators with relevant staff prior to commencement of work
7. Following performance indicators

What are performance indicators?
Performance indicators or Key Performance Indicators (KPIs) is industry jargon for a measure of performance. KPIs are commonly used by organisations to evaluate its success or the success of a particular activity that the organisation is engaged in. They will differ from organisation to organisation.

Performance indicators must

Reflect the organisation’s goals
Must be quantifiable
Can be financial and/or non-financial

Non-financial indicators should include a range of elements, depending on the particular requirements and objectives of the organisation. Some common examples include:

Environmental performance
Innovation
Quality
Social performance

An organisation can break these down into specific performance indicators for each employee, for example

Profit per employee
Revenue per employee
Customer satisfaction standards met per employer
Quality standards attained per employee
In this way, the performance indicators for individuals are derived from the goals and objectives of the section or department, which in turn support the mission and goals of the organisation.

For example

Key result area

Performance Indicator

To achieve a high level of customer satisfaction.

More than 90% of customers surveyed are very satisfied.

How to develop key performance indicators
Identify each step of the process and what needs to be achieved.

You need to first identify each particular step in the work process, what must be achieved at each step in the process as well as how it is to be achieved. For instance, the client must recognise the need for further education in order to provide work opportunities.
Performance indicators need to be developed for each stage. Be aware that some stages will overlap. For example, what indicators need to be available to identify the need for education?
The same process must be undertaken when developing key performance indicators for developing individuals. Once a list of key performance indicators for a particular individual has been agreed to, these should be added into that person’s performance plan.

Developing Individual work plans
Action plans must be broken down into a set of tasks and allocated to various individuals and groups in order to achieve the required goals. The main benefit of undertaking this kind of detailed work planning is to subdivide what began as a large mass of organisational work into a set of clearly defined and manageable units. By allocating work in this way, you will ensure that the work of both individuals and your section or department as a whole are focused on the achievement of the organisation’s strategic goals.
The purpose of a work plan is to organise several projects into one plan in order to make recommendations. It should include the project objective, list of staff required, list of equipment and facilities that are required, a breakdown of the project into tasks and assignment, along with a budget and a relevant schedule.
Goal: A broad statement that captures the overarching purpose of the intervention – not measurable. The work plan can have more than one goal.
Measurable Objectives: Realistic and tangible targets for the intervention – objectives should relate to the activities column of your work plan and set specific numbers/types of activities to be completed by a certain date. The objectives should be for the first and second year of the intervention.
Activities: Events or actions that take place as part of an intervention. Activities are what is actually done to bring about the desired effects or changes of the intervention and are supportive of the objectives. The activities should be for the first and second year of the intervention.
Impact: The intended effects or changes that directly result from the intervention. The impact should represent the results of the first year of the intervention.
Evaluation: How the activities and impact are measured. Includes both process and outcome evaluation for activities and impacts in the first and second year of the intervention. Each objective does not need both process and outcome evaluation; however, the entire work plan should include both process and outcome evaluation.

Work Plan Template

Goal:

Description for Year 1:

Measureable Objective for Year 1

Activities for Year 1

Impact for Year 1

Evaluation for Year 1

1.6 – Conduct risk analysis in accordance with the organisational risk management plan and legal requirements

Conduct risk analyses
A
Risk analysis
is the determination of the likelihood of a negative event preventing the organisation meeting its objectives and the likely consequences of such an event on organisational performance.
No matter, how much you plan, there is always risks associated with all work plans and projects. It is important to take these risks in performance into consideration allowing for all vulnerabilities (that can then be quantified) to be worked into a suitable risk management plan. ‘Quantification’ is the process of determining the degree of risk in each of the identified areas. Risks are usually graded as high, medium or low.

Consider the following example for how risk is quantified.

Task description

Risks

Levels of risk

Primary tasks

Meet deadlines
Achieving sales targets

Increasing brand
Awareness

Project management

Overload/overlap of tasks
Unidentified tasks
Unforseen meetings
Fixing mistakes
Dispute resolution
Equipment issues

M

M

M

M

L

L

Secondary tasks

Technical improvement

Quality improvements

Project improvements

Team meetings

External meetings

Participating in
Organisational training

Overlap/overload of tasks

Unidentified tasks

Unforseen meetings

Fixing mistakes

Equipment issues

Dispute resolution

Change management

M

M

M

L

L

L

H

Other

Holidays
No project time

Professional
Development training
Travel

Sickness
Absence

Staff turnover/ learning curve

M

L

M

Once risks have been identified and quantified, there are a number of mitigation strategies you can implement to manage the risk:

Avoidance:

If the risk is too great, you may need to consider whether it is worth continuing on with a particular project or initiative.

Acceptance:
If the likelihood of risk is too small, you should document the risk, but consider continuing with the project or initiative.

Control:
For medium level risks, you should continually monitor the risk, and develop a contingency plan.

Deflection:
If unsure about the level of risk you might consider deflecting or transferring it over to a third party (i.e. outsourcing a particular function).

Developing contingency plans
Contingency plans (otherwise known as a backup plan) is a secondary or alternative course of action that can be implemented if the primary plan goes wrong. This will allow businesses to quickly adapt to change and remain in operation, sometime with very little inconvenience or loss of revenue.
Contingency plans are similar to operational plans in that they cover the short term and outline specific actions to be taken. However, the level of detail should be kept to a minimum to ensure there is enough flexibility to change the plan as required.
It is important that contingency plans are realistic and capable of meeting the program and project requirements. It is also important to ensure that any contingency plans you develop are in line your organizations’ risk management plan and any specific legal requirements that may be relevant to your organisation. Familiarise yourself with these and use them as a guide when undertaking contingency planning.

Activities 1.2 – 1.6

2. Assess performance

2.1 Design performance management and review processes to ensure consistency with organisational objectives and policies

2.2 Train participants in the performance management and review process

2.3 Conduct performance management in accordance with organisational protocols and time lines

2.4 Monitor and evaluate performance on a continuous basis

2.1 – Design performance management and review processes to ensure consistency with organisational objectives and policies

What is Performance Management?
Performance management is a method used to measure and improve the effectiveness of people in the workplace (Luecke and Hall, 2005, p.xi). Performance Management starts with goal setting. As a manager, you need to not only look at individual goals, but at the group as a whole so that you can develop and manage and develop in a way in which you can increase the probability that you will be able to ensure that both long and short term goals are met.
The key is ensuring that the individuals and their teams obtain a clear and concise shared understanding of what they are trying to achieve.

Overview of performance assessment
Now that you have established work processes, performance standards and indicators and codes of conduct have been established and agreed to, you need to think about how you plan to assess and manage performance.
To remain competitive, it is essential to make sure that your human assets are effective. Measuring performance allows you to measure your team members’ ability to apply their skills and knowledge, to work effectively together and to use service excellence to meet and surpass the customer’s needs.
Assessing performance is important to all organisations in terms of promoting employee performance. It is not good for any organisation to establish outcomes and performance requirements unless they are supported by a functional system of assessment. As a manager you need to manage your staff members’ performance to see how well or badly individual staff and teams are performing.

The role of assessment in the performance process
The management and assessment of performance is integral to the development and success of an organisation. It makes sure that the employees are aware of what they are doing.

For example

Fred is employed in your organisation’s administration office. His job involves answering customer enquiries, processing new customers and handling complaints. To be effective in his job, he has to answer the phone within three rings and handle complaints while, processing all new customer information and entering it into organisations’ database within 24 hours of the customer’s initial call.

You have recently been appointed as a manager and schedule a meeting with him to see how he is performing in the job. He tells you that he is doing well and everything is fine. You would like to verify this by looking at some relevant data, but you discover that:

Your organisation has no system for tracking the number of the calls he receives and that he processes all of the required information into the database.
You database software states exactly where information has been entered and by who. You can see that every new customer has spoken with has been entered into the database, but you have no way of knowing whether this was done within 24 hours of the initial call.
Notes you have found from Fred’s previous supervisor indicate that he passed on very few customer complaints; however there is no way of knowing whether the amount of complaints passed on exceeded 25%.

This example illustrates why performance cannot be managed unless an organisation puts in place a framework and set of specific procedures for assessing performance.

What is a performance management system?
A performance management system provides management with the key elements for the recruitment, assessment, appraisal, and follow up of performance. It relies on documents and procedures that guide management and employees through performance and review process supplying feedback in regards to performance issue.
For performance management to succeed, it is essential that there is an ongoing communication process shared by the employee and the supervisor that establishes a clear understanding of what each party’s expectations are including:
What the employees’ essential job functions are?

How employees’ can contribute to the goals of the organisation.
Having a clear and concise understanding what “doing the job well means”.
How performance can be improved.
Identifying barriers and removing them.
Ensuring that all parties are aware of how performance will be measured.

Essential elements of a performance management system
The actual documents and procedures used as part of a performance management system will vary from workplace and consist of:
1. Clear job descriptions are created
When a new employee is employed; they are usually supplied with a job description that is an essential part of a performance management system. Job Descriptions clearly state the nature of the role, the expectations of the job, will have shown applicants to decide if they are initially interested and will assist the organisation to select the right applicant.

Conversely, as a manager you are supplied with the skills, knowledge and experience the applicant requires in meeting the goals of the job. The closest match is usually considered for the job.
2. Recruitment and selection processes are implemented
The right person for the right job is an essential requirement if the performance management process is going to succeed. Managers and HR officers usually have the responsibility to make sure that the selection process is closely matched between an applicant’s skills, knowledge and experience and the organisations’ job description.
3. Performance requirements, standards and measures are negotiated and implemented
Performance standards and codes of conduct, along with performance indicators, measures and processes are agreed to from the start.

4. Individual performance plans are created
Both the manager and employee should jointly work out and agree to a performance plan for a set period of time (generally 12 months). This plan should incorporate individual goal setting which is linked to section and departmental goals, and a development plan for that employee.

5. Performance is tracked and formal or informal assessments are made
Formal and informal methods can be regularly used to measure performance. Periodical meetings should be set up throughout the year with each employee to enable the employee and their manager to make assessments about performance, discuss any problems, and work out strategies to improve performance in the short term.

6. End of year performance reviews are conducted
Structured, formal meetings are booked with employees either annually or bi-annually to review their performance called a Performance review. It will be the manager’s responsibility to formally appraise their team member’s performance based on either specific goals and/or competencies. People with jobs that are not goal-based should be assessed on competencies, or standards of performance.
Give your team members the opportunity to prepare for the review. This means that they should be advised ahead of time about when the performance review will occur.
7. Action is taken by management where necessary
If any employees fail to meet their objectives, you should counsel them. Identify areas that require further development. Employees who refuse to perform to the required standard or undertake counselling or development should be disciplined or terminated according to the facts in each case.

In the case that poor performance is identified, you should:

1. Identify the problem

Make sure that you understand the cause of the problem. Be specific and give clear reasons what area/s that the underperformance is occurring.
2. Assess and Analyse the problem

How long has the problem been a problem and identify the size of the problem by performing a gap analysis. Always let the employee know the purpose of the meeting and ask if they would like to bring someone with them to the meeting.
3. Meet with the employee and discuss the area of underperformance

Meet in a comfortable place free from distractions and interruptions. Discuss outcomes, positive items and their strengths. Let them know what is going on and work together to resolve in a relaxed atmosphere.
4. Consult and get both parties agree to a solution

A clear understanding should be obtained, stay focused and positive and consider offering a mentoring program. Reinforce the value of the role they perform and how you should work together to fix misunderstandings.
5. Monitor the problem

Monitor employee’s progress and provide ongoing positive feedback.

6. A performance plan is developed

Key data and information is taken from the original performance plan and new goals and development objectives are added and agreed upon to create a new, updated plan.

Keeping performance management and review processes in line with your organisation’s objectives

To be successful, integrate the performance management system into the organisation’s overall planning cycle. As a manager you play a key role in implementing the system. It needs to correlate with the organisation’s strategic and operational objectives.
The ultimate goal of performance management is to help achieve the company vision and mission. For this to happen; you will need to answer the following questions:
1. What does your organisation hope to achieve by using a performance management system?

Some of the expected answers should include:

To identify any inefficient systems or internal processes which adversely affect performance?
To identify areas for organisational learning and development.
To identify areas where capital expenditure is required.
To identify problem employees or employees demonstrating exceptional performance.
To improve the organisation’s overall performance.
To objectively measure performance.
To provide essential operational and performance feedback to management.
2. What particular steps and procedures are necessary to make the system work?
For this question, you need to have the ability to explain why it is essential for your organisation to manage and measure performance. Once you understand this; then you can implement steps and procedures to make your performance management system work. This means that you can then implement the practical steps and procedures to make it functional. If you do not do this, then you will be wasting time and resources.

Follow your organisation’s policies and relevant legal requirements
Policies and procedures are written to ensure that you perform your tasks legally by adhering to employment law and industrial relations. Policies and procedures will also ensure that you are consistent.
Failure to meet performance standards can cost individuals their job. People who exceed the performance standards may obtain a pay raise.
Copies of all organisational policies and procedures guiding working conditions and relationships can be obtained by your Human Resource Manager. Be familiar with all policies and procedures pertaining to performance issues.

The types of policies you may receive from the HR Manager include:

Annual leave policies
Carers leave/ special purposes leave
Conditions of employment
Grievance procedures
Recruitment policies and procedures
Termination policies and procedures
Wage conditions and bonus requirement

Job descriptions and the recruitment process

Get it right from the start. To do this, match the applicant’s skills, knowledge and experience in their resumes with the job description. Ensure that individuals understand what is required of them including the conditions of their jobs and the goals of their jobs.

A job description should provide the following information about:

All specific job functions and tasks to be performed in the position.
Any special requirements of the position.
Conditions of employment.
Details as to management or reporting lines (i.e. who the employee will report to).
Estimate of time spent performing each function or task.
Level of skill, training, and ability needed to successfully perform the job.
The strategic or operational objectives of the position.
If your organisation can find an applicant who is a good ‘fit’ for a particular position then there is a greater chance they will be able to perform to the organisation’s expectations.

What is a performance plan?
A performance plan can be utilised to assist you in the employee’s performance appraisal. It is a comprehensive written report that sets out all the outcomes and performance requirements on which that individual is to be assessed. Essentially, the performance plan is an agreement between managers or teams or individuals determining what needs to be achieved within the required time frame. Performance plans can help provide staff members with an understanding of their roles and responsibilities and their link to the team and the organisation’s objectives.

Developing individual performance plans

Individual performance plans must link the following elements:

An individual’s key result areas.
The various tasks an individual must perform.

The key performance indicators for each task (note: meeting performance standards should also be a key performance indicator.
Time-frames, deadlines.
Development plan.

To develop an individual performance plan, you must:

1. Review organisational goals associated with results in term of performance, its quantity, quality, cost and timeliness. Turn your goals into smart goals; goals that are:
2. Specify the results that you require. Consult with both your internal and external customer.
3. Ensure that the desired results from your goals will contribute to the organisations results.
4. Prioritise the goals in the form of ranking, percentages, time spent. For example, 80 % of the employees’ role is customer service, 10 % is training and 10% is developing knowledge.
5. Outline the measures used to evaluate if and how well the desired results are achieved. Without measures, you are unable to evaluate the results. Measures include timeliness, cost, quality and quantity. For example, to measure whether the customer service representative consistently met its 150 calls a day average.
6. Identify more specific measures for the first-level measures if needed from the measures in point 5. For example, if the customer service representative consistently received calls, were they processed in two minutes? If so, what percentage was processed in this time period?
7. Identify standards for evaluating how well the results were achieved. For example, did the customer service representative meet expectations?
8. Document the performance plan. You must include the desired results, measures and standards.

http://www.managementhelp.org/perf_mng/prf_plan.html

Goal:

Conducting performance planning meetings

When you meet with staff members, the initial planning begins. Make sure that performance objectives are discussed, clarified and agreed upon. This makes sure that management and employees know what they and the rest of their team are doing. All changes to performance plans need to be documented and agreed upon.

Activity 2.1

2.2 – Train participants in the performance management and review process

Adequate Training
All staff must be trained in the management and review of performance. They must clearly understand their role in the process. Provide staff with ongoing feedback through meetings so that they can be updated on what is going on.
Take care when you consider who should be involved in the performance management and review process. Organisations must be clear on why each party is involved. This process usually takes place in meetings that are conducted with a mixture of:You

Line managers
HR officers
Union representatives (as necessary)

Training should include how participants should conduct themselves and on what questioning techniques should be used. If the person being assessed reports directly to you makes sure they are briefed on:
The specific job functions, jobs, goals and key competencies of the individual being assessed.
What you intend to measure and how.
The criteria by which decisions about discipline, redundancy or reward must be made.
Training and development opportunities available.
The specific documentation in use by the organisation for writing performance plans, providing feedback and performance appraisals.
Employment contracts, performance standards and organisational policies.

Make sure that the managers, employees and other people involved in the performance management and review process know how to analyse results effectively in order to make informed decisions.

2.3 – Conduct performance management in accordance with organisational protocols and time lines
It is essential to follow all steps within the performance management process. It should be monitored, assessed and reviewed on a regular basis.

Consider the following example:

Performance Management Timeline

Revenue Finders Pty Ltd

General

All staff, except for those in probationary appointments, will participate in a performance review and receive a written evaluation of their performance at least once a year, normally December or January.

Probationary staff

Probationary staff will receive a formal, written evaluation of their performance at least once during the probationary period. A second performance evaluation must be completed prior to confirming permanent status for an employee.

Special cases/interim reviews

A manager or evaluator may conduct an evaluation of an employee’s performance at any time where a special case can be made to either recognise unusually outstanding performance or prevent unsatisfactory performance. An employee may also request an evaluation of his/her performance at any time if she/he believes it would be beneficial.

Performance planning/review meetings

An employee is entitled to a meeting with the evaluators to discuss their performance over the 12 month period. After receiving a written performance evaluation, an employee must request a follow-up meeting with the evaluator to discuss the performance evaluation. This meeting will take place within 14 days of the request unless there are exceptional circumstances.

Documentation

Written performance evaluations are to be kept in the employee’s personnel file after the employee is provided with a copy.
If you do not follow your organisation’s performance management system, you will not be able to keep track of your employee’s performance. If problems in performance are not found, then poor performance will remain unchecked and this can cause serious problems for the organisation.

2.4 – Monitor and evaluate performance on a continuous basis
To manage performance successfully, you need to create a performance plan, yearly review and continuously process which staff you need to monitor. You also need to be able to give the staff feedback, provide coaching and develop them on an ongoing basis.
You should see staff sometimes to discuss their development. Most organisation’s see staff on the quarterly basis and on a 12 month cycle for the performance review. These reviews can be productive and provide managers and staff with the opportunity to openly discuss performance issues in an informal way. The reviews can be used to highlight problems and identify goals and challenges for the team member.
In some instances, employees may take control of their own performance plans, accessing them online and allowing them to review and update them. These types of performance plans are ‘live’ documents which change over time and as the demands of a particular job change.

Observational techniques to enhance performance
When observing the performance of your staff members, it is important to focus on both their activities and the behaviours they display in the workplace.

The types of activities you need to identify and monitor include:

Level of output generated by the employee
Revenues generated by the employee
Accuracy or quality of work
Impact of their work on others
Special projects or achievements

Behaviours which you need to observe on a regular basis include:

Friendliness/ professionalism in the workplace
Enthusiasm and commitment levels
Initiative
Punctuality
Teamwork
Observation is not a sufficient way to provide information to assess performance. You must communicate with staff and detect unproductive behaviour and activity as it occurs.

Activities 2.2 – 2.4

3. Provide feedback

3.1 Provide informal feedback to staff on a regular basis

3.2 Advise relevant people where there is poor performance and take necessary actions

3.3 Provide on-the-job coaching when necessary to improve performance and to confirm excellence in performance

3.4 Document performance in accordance with the organisational performance management system

3.5 Conduct formal structured feedback sessions as necessary and in accordance with organisational policy

3.1 – Provide informal feedback to staff on a regular basis
Feedback is important because it provides management and staff information on areas where they can improve. There should be a system of ongoing feedback on issues of performance which creates an open dialogue with staff about concerns and allows them to make recommendations on how they can improve their performance.
Feedback is a two way process. Employee’s need to be encouraged to seek out feedback; to ensure that they are performing to the expectations of the organisation. Feedback should be a positive learning experience, thus it should be given in a professional and tactful way.

Before giving feedback ask yourself the following questions:

1. Why are you assessing this staff member?
2. On what functions, skills, behaviours, or activities is this assessment based?
3. On what standards is this assessment based?
4. What are the facts of the situation?
5. What do you plan to do with the results of your feedback?
If you can answer all these questions satisfactorily, you can be sure that the need to provide feedback is appropriate in the situation, and you are doing it for all the right reasons.
Employees should also be given informal feedback. They become motivated and respond correctly when you are tactful and professional. The types of processes you might consider implementing include:
Regular written reports outlining a staff member’s progress.
Regular short meetings to discuss general performance issues and identify areas for improvement.
Periodic evaluation of your staff member’s output eg: products or tasks they are responsible for.
Informal peer assessment
Spot checking for quality
Using these types of procedures will provide you with an up-to-date and accurate picture of just how well any of your employees are performing at any given time, and will ensure that any feedback you give is relevant and based on fact rather than speculation.
Timely feedback provides you and your team member with an opportunity of remedying the behaviours or activities which have led to the poor performance- before it creates any major problems for the organisation. Poor performance will be much more difficult to rectify if it is not identified until a formal performance appraisal has been conducted.
Checklist
The feedback I provide to members is:

Clear

Provable

Factual

Specific

Fair

Timely

Non-judgemental

Understood

3.2 – Advise relevant people where there is poor performance and take necessary actions
If a manager is to manage a decline in performance, then performance must be clearly defined. Without performance standards you will not be able to measure a decline in performance. All employees will have a slight deviation in work performance over time. You should watch for when there is a significant drop from the performance standards.
Poor performance is not always deliberate. Some employees have not been correctly briefed or are operating under a misunderstanding. Personal issues may also give rise to poor performance. Discussing your observations and trying to rectify the problem, helps you uncover the reason for the poor performance.

Your observational skills will assist you in identifying whether you need to intervene. It is important that you make sure that two conditions are satisfied and they are that:

The problem must be affecting work performance.
The employee must agree to accept the assistance offered.
Make sure that your focus stays firmly on work performance. Do not become involved in private issues. They are none of your concern, even if they affect performance. Only concern yourself with work performance.

Care should be taken when providing feedback for poor performance. You should

Language – both verbal and body – plays a crucial part in the way you are perceived by others, so try to avoid coming across as being too critical. Be aware that using language which is overly harsh and disapproving will be very counter-productive as the person concerned will immediately become upset or defensive, and this may well result in a lessening of their overall commitment to the job, or respect for you as their manager.
When giving someone feedback on performance issues, you must ensure any statements you make are delivered in a non-judgemental fashion in order for the feedback process to be effective. You also need to avoid making assumptions or generalisations about a situation if you wish to discover the real reason behind the poor performance.
· Do not become emotional and focus on facts, clearly explaining your observations and how they can rectify their poor performance.
If an event remains unresolved then refer the matter to your HR officer or your manager. Your organisation will have procedures for addressing resolving disputes. You should be familiar with them.

3.3 – Provide on-the-job coaching when necessary to improve performance and to confirm excellence in performance

Excellence in performance…
Means regularly and consistently exceeding the performance targets established while meeting the organisation’s performance standards.

www.ntis.gov.au

Business Services Package – BSBMGT502A

To maximise the performance of employees while maintaining high levels of morale and retention, is the key to an organisation obtaining a competitive edge. Coaching is the process that assists employees to deepen their learning and improve their performance.

On-the-job coaching
Giving feedback on performance issues is part of coaching. You need to be consistent when providing information on the strengths and weaknesses of your staff performance. Individuals that perform well are coached into developing their skills further. However, those performing below acceptable standards are given advice and coached or counselled to help improve their performance.
Coaching is a learning process that is aimed at bringing out the best in a person. It can assist in long and short term goals that in turn assist in career development. Coaching helps individuals improve their general skills as well as helping in areas that need improvement. For this reason, it is a valuable tool for increasing an organisation’s overall productivity as well as increasing morale.

Developing a coaching plan
To ensure the coaching process is effective you should:
Make an assessment on how quickly you think the individual can be coached to an appropriate performance level.
Identify and brief the person or persons who will be conducting the coaching.
Set clearly defined performance targets and deadlines in conjunction with the employee which are agreed to in writing.
Identify and follow up any particular training needs for that individual.
If the individual is able to meet these specific goals or targets within the timeframe given then you can be sure that the coaching program has been a success.

Larson and Richburg (2000) write that there are Seven Key Elements of Coaching. They are:

3.4 – Document performance in accordance with the organisational performance management system
As a part of any continuous improvement, it is important to leave a paper trail. A coaching plan is a document that outlines the gaps in an employee’s skills that need to be closed. A sample coaching plan is shown below.

Sample coaching plan
Name: _______________________________________________________________

Manager: _____________________________________________________________

Date of meeting: _______________________________________________________

Areas where excellence in performance has been demonstrated

Performance areas needing improvement

Additional items (i.e. training and professional development needed)

Next steps

3.5 – Conduct formal structured feedback sessions as necessary and in accordance with organisational policy
Feedback should not only be ongoing, there should be times when it should be formal. For ongoing, informal feedback to be effective, it should be:

Timely – Provide feedback as soon as you can to when it occurred. If you wait until the annual performance appraisal to address poor performance, your staff will resent that you did not give them a chance to correct the problem.

Specific – Be specific and address the behaviour in a performance in terms of measureable outcomes. Staff will be less likely to dispute any perceived problem if they are involved in the goal setting process.

“Owned’ by the giver – Use “I” and “my” when giving feedback so that you can take responsibility for your own thoughts and actions.

Understood by the receiver – Ask your employee to rephrase the feedback to ensure that they understood it. Offer them access to any resources or tools that are available that can assist them in fulfilling these expectations.

Delivered in a supportive environment – Provide support. Make it clear that the purpose of the feedback is to assist the employee in achieving success. Give the employee an opportunity to explain why their performance is lower than normal and discuss ways in which they can be motivated.

Followed-up with an action plan – Work with the employee to find ways to improve his or her performance or reinforce the positive behaviour that they have demonstrated. Agree to deadlines and goals and schedule any follow up meetings if they are required.

Given with no surprises – Do not put any surprises in the feedback session. If a problem is not discussed in feedback then it should not be discussed in the performance appraisal.

Formal reviews are an essential part of the performance management process for many organisations. Even though, managers offer ongoing feedback, when it comes to the formal review, there is a negative stigma to it. As managers, you need to make the formal review process a positive experience. This can be done by:
Focusing on the positive.
Be objective; however discuss the positive feedback as it will lift performance considerably. Emphasise specific outcomes of the review such as rewards such as promotions, raises or bonuses.
Emphasise the future.
Communicate their long-term potential within the organisation as staff are tending to stay longer in workplaces.
Discuss weaknesses without emphasising them.
Move away from just giving negative feedback. Accompany negative feedback with suggestions on how they can perform their job better.
Do not emphasis the two extremes of the negatives and the positives. Find a balance and use it.

As a manager, when you give feedback in formal reviews, make sure that:

Staff are given an opportunity to prepare for the review.
Make sure that you have the experience to give the feedback constructively. Avoid being blunt, not discussing a subject because it might cause conflict and be clear and concise with the feedback you give.
Make sure that the review process is two ways. Let the employee also give you feedback.
Don’t just concentrate on the last year; let the employee know what lies in their future.
Follow up. You will lose credibility if you don’t follow up on the actions that you say you are going to make then you will have a long fight in regaining the integrity of the review process.

Activities 3.1 – 3.5

4. Manage follow up

4.1 Write and agree on performance improvement and development plans in accordance with organisational policies

4.2 Seek assistance from human resources specialists where appropriate

4.3 Reinforce excellence in performance through recognition and continuous feedback

4.4 Monitor and coach individuals with poor performance

4.5 Provide support services where necessary

4.6 Counsel individuals who continue to perform below expectations and implement the disciplinary process if necessary

4.7 Terminate staff in accordance with legal and organisational requirements where serious misconduct occurs or ongoing poor-performance continues

4.1 – Write and agree on performance improvement and development plans in accordance with organisational policies
Once the performance appraisal for the previous year is complete, it is up to you as a manager to thoroughly discuss specific development goals with individual staff members and work on creating a realistic plan for achieving these goals.
A Performance Improvement Plan is a document that is designed for a member of the team who is not performing up to expectations in their current role. Helping the develop employees is an essential part of the continuous cycle of learning and growth for both the employee and the organisation as a whole. Utilising this type of ongoing assessment, appraisal, and development system allows an organisation to manage performance issues by focusing on developmental plans and opportunities for each employee, which in turn increases organisational effectiveness.

Performance management in action

The types of activities you may wish to consider when discussing and identifying development opportunities with an employee include:

Attending courses with external providers
Attending internal development classes
Attending seminars or conferences
Career counselling
Coaching
On-the-job training
Online training programs
Participation or membership in professional organisations
Participating in job rotation
Participating in special projects
University or certificate programs
Working with a mentor
As a manager it is important that you help employees develop their careers. This means making recommendations on development. You should make sure that any recommendations you make take into consideration not only the interests of the organisation, but the staff member’s interests. Any training and development should be pursued immediately.
Before finalising any development plans ensure that you get the necessary approval from senior management and check that there are sufficient resources available to allocate to the development activities. Carefully consider what impact the development plan will have on other employees. This is especially important if the employee is going to be training for an extended period. You may need to find staff to replace them on the floor.
Once the specific development activities for an individual employee have been identified, they must be agreed to in writing and added to that person’s performance plan.

4.2 – Seek assistance from human resources specialists where appropriate
Human resource specialists are specifically trained in all aspects of employee relations and industrial relations, so a HR expert is the best person to turn to if you are unsure about how to tackle a particular performance issue.

Employee relations
refer to the nature and quality of relationships between individuals and groups in the workplace, whereas
industrial relations
are concerned more specifically with the rules governing the relationships between parties to an industrial arrangement or contract.
Industrial relations issues can arise when an employee believes their employer has breached one or more of their conditions of employment, or has acted in a manner which is contrary to employment law. Employees in this situation may seek assistance from a union, staff association or industrial tribunal in order to achieve redress from the organisation.
Staff grievances and performance problems, whether they fall under the category of employee relations or industrial relations, must be managed and resolved if the working relationship is to continue.

Organisations that employ HR officer often encourage staff to contact the HR officer with queries that issues like personnel policies, terms and conditions of employment or leave entitlements directly. In these situations, the HR officer is also generally available to provide confidential counselling to staff on request.

4.3 – Reinforce excellence in performance through recognition and continuous feedback

Staff that have proven that they are a valuable asset to your organisation should receive positive feedback. The areas of performance you should consider providing special recognition for include:
Sales performance
Productivity
Teamwork
Initiative
Quality of service
Quality of communication
Participation in special projects

Once you have identified specific examples of excellence, you need to determine what type of recognition will be most appropriate. For example

Personal recognition
Verbal praise (one-to-one, or in a group situation)
Written praise
A letter of commendation
A thank-you card
A small gift
Personalised certificate of achievement

4.4 – Monitor and coach individuals with poor performance
Any employee who is not meeting their performance expectations should be given coaching and retraining. To determine whether the coaching or training program was successful you should:
Obtain feedback from the coach or trainer
Speak to the employee to find out whether they feel the coaching or training program has been a success.
Observe the employee’s performance to detect improvements in performance.
Evaluate the employee’s achievements in light of agreed performance targets.
Conduct a review meeting with the employee at the conclusion of the coaching or training program.

If the poor performance continues, you need to consider what action needs to be taken.

In certain cases, i.e. where the poor performance can be linked to personal problems or learning difficulties, it may be appropriate to provide further, specialised support to that person. However, in cases of persistent and deliberate poor performance you may need to consider terminating the person’s employment with the organisation.

4.5 – Provide support services where necessary
Support services should be made available to provide staff with access and counselling by external professionals. This is usually paid by the employer. It is called the Employee Assistance Programs (EAP). If your organisation does not have access to an EAP, it may engage external professionals. It will still be feasible to engage an outside professional to assist employees in overcoming their performance problems.
Counselling, or workplace mediation are the main support services provided to employees who are experiencing difficulties.

Counselling is an appropriate option in cases where the employee is going through personal problems such as:

Family breakdowns

deaths
Divorce
Depression
Counselling may also be helpful for specific work related difficulties such as:
Lack of confidence
Feeling undervalued
Career crisis
Workplace stress
In cases where the performance problem is a direct result of workplace bullying, personality clashes or other interpersonal difficulties, you should strongly consider engaging a professional counsellor to conduct structured mediation sessions in your workplace.
These types of sessions are very effective in that they involve the whole team or group in identifying those behaviours or activities which have caused the problem, and working toward achieving outcomes that are acceptable for both the group and the wider organisation.

4.6 – Counsel individuals who continue to perform below expectations and implement the disciplinary process if necessary
Counselling can be conducted by managers, HR officers or external professionals. The employee has the right to have a representative, such as a union or workplace representative, in attendance at any counselling sessions. If outside professionals are used, the employee needs to attend. You should monitor the employee’s performance to make sure the counselling sessions are working.
Make sure you are prepared before attending a counselling session.
You should only conduct counselling sessions yourself it you have been trained in the counselling process. Prior to conducting and counselling sessions with an employee, you must ensure you are adequately prepared. Use operating manuals, guides and other tools to improve the employee’s performance.

How to conduct a counselling session
1. Schedule a confidential meeting with the employee – Provide the employee with sufficient notice and remind them that they may choose to bring along a representative if they wish. It is important that you do not schedule a meeting straight after this one, as you do not want to have to rush off in the middle of a counselling session. Allow enough time for the employee to ask questions and give feedback and make sure that you take notes.
2. Set and maintain a positive attitude – While you are primarily there to discuss the reasons for the poor performance and to help the employee to identify ways to overcome it, you should always focus your discussions on issues of good performance and why it is important for both the individual and the organisation.
3. Be cooperative, professional and focused – You must be objective and calm at all times. Do not let your personal opinions or feelings enter the discussion. Give the employee an opportunity to respond to your comments and listen, don’t lecture.
4. Seek clarification – Ask pertinent questions and stop now and again to get confirmation from the employee that he or she understands the performance problems and your expectations.
5. End on a positive note – At the conclusion of the meeting, emphasise the positives that have come out of the discussion, reinforce the fact that the employee is valued by the organisation, and stress that improving the employee’s performance is a mutually beneficial goal.
6. Prepare a written summary – Having a written summary of the discussion is beneficial. Keep a copy yourself and give one to the employee. This must be kept confidential from other staff.
7. Follow up with the employee – Schedule a follow-up session to check on the employee’s progress.

Activities 4.1 – 4.6

4.7 – Terminate staff in accordance with legal and organisational requirements where serious misconduct occurs or ongoing poor-performance continues
Page | 2

Termination
means the cessation of the contract of employment between an employer and an employee, at the initiative of the employer within relevant industrial agreements
MSA Training and Professional Development Phone: 03 9905 3180
Room 159, 21 Chancellors Walk Website: msatraining.edu.au
Monash University Clayton, Vic 3800
BSBMGT502 V3 24.01.19

For more information on Termination and your rights, please refer to the Offices in your State.
If you have been dismissed or unfairly treated at work because you’re being discriminated against you can complain to the Fair Work Ombudsman or to:
Fairwork Australia at www.fwa.gov.au

Australian Human Rights Commission at www.hreoc.gov.au

There are also state laws that protect you against discrimination. If you want to lodge either a harassment or discrimination complaint that relates to a state law, complain to:

State

Office

URL Address

ACT

Human Rights Commission

Home

NSW

Anti-Discrimination Board

http://www.lawlink.nsw.gov.au/adb

NT

Anti-Discrimination Commission

http://www.nt.gov.au/justice/adc/index.htm

QLD

Anti-Discrimination Commission

http://www.adcq.qld.gov.au/

SA

Equal Opportunity Commission

http://www.eoc.sa.gov.au/

TAS

Office of the
Anti-Discrimination Commissioner

http://www.antidiscrimination.tas.gov.au/

VIC

Equal Opportunity and Human Rights Commission

http://www.humanrightscommission.vic.gov.au/

WA

Equal Opportunity Commission

http://www.eoc.wa.gov.au/Index.aspx

More information can be found at:

National Anti-discrimination Information Gateway 
If your matter relates to general bullying or harassment, you can contact your relevant state or territory OH&S body:

State

Office

URL Address:

ACT

WorkSafe

http://www.ors.act.gov.au/workcover/index.html

NSW

WorkCover

http://www.workcover.nsw.gov.au/pages/default.aspx

NT

WorkSafe

http://www.worksafe.nt.gov.au/

QLD

WorkCover

http://www.workcoverqld.com.au/

SA

WorkSafe

http://www.safework.sa.gov.au/

TAS

WorkCover

http://www.workcover.tas.gov.au/

VIC

WorkSafe

http://www.worksafe.vic.gov.au/wps/wcm/connect/wsinternet/WorkSafe

WA

WorkCover

http://www.workcover.wa.gov.au/Default.htm

Consistently discipline poor performers

What is underperformance?

Underperformance or poor-performance can be demonstrated in the following ways:

Inability to perform the duties of their position or at the standard required
Not following organisational policies and procedures
Behaviour that is not acceptable in the workplace
By displaying behaviour that is negative and disrupts co-workers
Discipline is not the same as punishment. Disciplining staff is an effective tool to rectify poor staff performance. Avoid disciplining staff if their skills are not up to scratch. They may require further coaching or training first. No matter how good your planning and performance management procedures are, there will be occasions where you will need to discipline staff on undesirable behaviour.
Make sure that discipline occurs as fast as possible while it is still in the employee’s mind and rectify it before it goes too far. Always give the party a chance to bring someone with them to the counselling session. If you do not do this, then the problem could become worse for the whole organisation.

Underperformance arises for many reasons including:

The organisations workplace policies and procedures are not clear and the employee does not understand what the consequences are.
Interpersonal differences and cultural misunderstandings.
Workplace bullying.
Negative experiences or workplace leading to low morale and lack of personal motivation.
Personal issues such as family stress.
No positive reinforcement so they do not know if they are performing their duties correctly.

Initiating and conducting terminations
Terminating a staff member’s employment is a serious act and should never be undertaken lightly. If you do decide to initiate a termination process, you must make sure that it is done in accordance with your organisation’s policies and any overriding legal requirements.
By law, an organisation can terminate the employment of an employee for serious misconduct, or ongoing poor performance. The rules and requirements are very different in each of these categories.
For the rest of this unit, we shall refer to you as a Manager acting as a representative for your employer, thus when we write employer, we are referring to you. As a manager, acting for your employer under law it is illegal to dismiss or make redundant any staff if the actions were considered harsh, unjust or unreasonable or if the dismissal is consistent with the Small Business Fair Dismissal Code.

When Fair Work Australia considers whether a dismissal is harsh, unjust or unreasonable, they take into account a range of factors including:

If there’s a valid reason for the dismissal relating to the employee’s conduct or capacity
If the employee is notified of the reason and given an opportunity to respond
If the dismissal relates to unsatisfactory performance, then whether the employee is warned about it before the dismissal.

From 1 January, 2010, The National Employment Standards (NES) replaced the non-pay rate provisions of the Australian Fair Pay and Conditions Standard (the Standard). Under the NES the rules relating to redundancy and redundancy pay have been modified. The NES also requires a cover notice when an employee is dismissed.

Under law, a dismissal is harsh, unjust or unreasonable if:

There is a valid reason why the employee acted the way in which they did.
The employee is advised of the dismissal and is given a chance to respond.

If the employee does not perform at a specific level and they were warned about it before they were dismissed.

Unfair dismissal

Unfair dismissal arises when an employee:

Cannot give a valid reason for underperforming; are advised of said underperformance and makes no effort to address the issue
Does not take the chance to respond when they are notified of the dismissal
Is not given an opportunity to have a support person present during dismissal discussions; and
Any other factors that fair work Australia considers relevant.
It’s not an unfair dismissal if the employer is a small business employer and they follow the Small Business Fair Dismissal Code. Note from 1 January 2011, a small business will be determined by a headcount of each employee, irrespective of hours worked. The headcount includes casuals employed on a regular and systematic basis, employees of associated entities, and the employee/s being dismissed.

There are special arrangements for small business including:

1. Small businesses are recognised as not having sufficient resources, time and can’t find employee’s for specific positions.
2. An easy to understand fair dismissal code to make sure that the employers are not unfair.
3. Specialist service from the office of the fair work ombudsman.
4. The time for unfair dismissal has been extended to 12 months from the original 6 months.

There are special unfair dismissal arrangements that apply to small businesses.
When FWA considers whether a dismissal is harsh, unjust or unreasonable, they take into account a range of factors including:
If there’s a valid reason for the dismissal relating to the employee’s conduct or capacity.
If the employee is notified of the reason and given an opportunity to respond.
Any unreasonable refusal by the employer to allow the employee to have a support person present at any discussions relating to dismissal.
If the dismissal relates to unsatisfactory performance, whether the employee is warned about this unsatisfactory performance before the dismissal.
The impact of the size of the employer’s enterprise on the dismissal process, including the absence of dedicated human resource management specialists or expertise.
Any other factors FWA considers relevant.

http://www.fairwork.gov.au/termination/unfair-dismissal/pages/small-business-fair-dismissal-code.aspx

Unlawful termination
Unlawful termination is where an employee’s employment is terminated for a discriminatory reason, or otherwise against the law.
There are protections for employees who have been unlawfully terminated.

Discrimination & adverse action
There are laws to protect employees and prospective employees from job-related discrimination.
It is essential that as a representative for your employers that you are aware of this issue and provide discrimination-free workplace.

What is discrimination?

Under Commonwealth workplace law, an employer must not take ‘adverse action’ (as set out below) against any employee or prospective employee because of the following attributes:
Race
Colour
Sex
Sexual preference
Age
Physical or mental disability
Marital status
Family or carer’s responsibilities
Pregnancy
Religion
Political opinion
National extraction
Social origin

What is adverse action?

The following are all examples of adverse action when taken because of any of the above attributes:
Dismissing an employee.
Damaging an employee’s ability to do their job.
Changing an employee’s job to their disadvantage.
Treating one employee differently from other employees.
Refusing to employ a potential employee.
Not offering a potential employee all the terms and conditions normally in a job.

Exceptions

There are also certain exceptions, where an action may not be considered discrimination.

The Fair Work Ombudsman cannot investigate discrimination claims, if the alleged discrimination:
Is not illegal under any Australian anti-discrimination law where the action is taken.
Is based on the inherent requirements of the job.
Is taken against a staff member of an institution conducted in accordance with religious beliefs in good faith and to avoid injury to the organisation’s religious beliefs

Is it really discrimination?

General bullying, harassment or workplace conflict is not the same as unlawful discrimination, and such matters should be directed to your state or territory OH&S body.

Treating someone differently may not necessarily be a case of unlawful discrimination.

Unlawful discrimination only occurs when someone is treated differently because of their race, colour, sex or one of the other attributes outlined above.

Activity 4.7

Skills and Knowledge Activity

Nearly there…

Major Activity – An opportunity to revise the unit
At the end of your Learner Workbook, you will find an activity titled ‘Major Activity’. This is an opportunity to revise the entire unit and allows your trainer to check your knowledge and understanding of what you have covered. It should take between 1-2 hours to complete and your trainer will let you know whether they wish for you to complete it in your own time or during session. Once this is completed, you will have finished this unit and be ready to move onto the next, well done!

Congratulations!

You have now finished the unit ‘Manage people performance’

References
Bacal, R (1999), Performance Management McGraw Hill

FairWork Ombudsman, 09-Best Practice Guide – Managing Underperformance
URL Address: www.fwa.gov.au ,Date: 02.02.2011

Larson, P.S & Richburg, M, (2000) Leadership Management URL Address: http://www.khup.com/download/15_keyword-on-the-job-coaching/leadership-coaching.pdf

Access Date: 1.01.2011

Luecke, R. & Hall, B.J () Performance Management: Measure and improve the effectiveness of your employees.

Performance Management: Performance Plan
URL Address: http://www.managementhelp.org/perf_mng/prf_plan.htm, Access Date: 16.01.2011

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