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Performance Development & Assessment Program A Guide for Managers Human Resources

Performance Development & Assessment Program

A Guide for Managers

Human Resources

Table of Contents

1. Performance Development & Assessment

4

1.1 Why have a Performance Development & Assessment Program?

4

 

1.1.1 Advantages for Staff

4

1.1.2 Benefits to RCH

4

1.2 What We Do (KPI’s)

5

1.3 How do we do it? (Values and Behaviours)

5

 

1.3.1 Our Values

5

1.3.2 Behaviours

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1.4 The formal Performance Development & Assessment Process at RCH

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Figure 1: Performance Development & Assessment Cycle

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2. Performance Development & Assessment Tools

7

2.1

General Staff Template

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3. What do I need to do as a Manager?

8

3.1Planning and Communicating Performance Expectations

8

3.1.1

Setting Individual Goals

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3.2 Coaching and Reinforcing

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3.2.1 Coaching – What is it?

9

3.2.2 Coaching – What it does

9

3.2.3 Coaching – What it is not

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3.2.4 Coaching – What should I include in a coaching session?

10

3.3 Tracking and Documenting

10

3.3.1 What information should I record and keep?

11

3.3.2 A note on poor performance

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3.4 Conducting Performance Development Reviews

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3.4.1 What will I discuss and document?

11

3.4.2 Points to remember

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3.5 Succession planning and talent management

12

4. How does the PDAP form work?

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4.1 Section A

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4.1.1

Section A Part

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4.1.2

Section A Part

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4.1.3

Overall Performance Assessment for the year

14

4.2 Section B

15

4.2.1

Section B, Part 1 Key Performance Indicators

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4.2.2

Section B, Part 2 Development Plan

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4.2.3

Learning Styles

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Figure 2: Kolb’s Experiential Learning Cycle

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4.3 Appendix 1: Indicative Leave Plan for coming year

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4.4 Appendix 2: Training & Qualification Checklist

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4.5 Appendix 3: Competencies Assessment

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5. Frequently Asked Questions

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As a Manager, when do I start the PDAP process with my staff?

18

Is it my responsibility as a Manager to set employee goals and tasks?

18

As a Manager how do I set goals and tasks?

18

Can I get some hands on assistance in the PDAP process?

19

Do I need to use the Competencies Appendix? It doesn’t fit with the roles my staff

19

Bibliography

19

1. Performance Development and Assessment

1.1 Why have a Performance Development & Assessment Program?

To support the Royal Children’s Hospital (RCH) vision to be a GREAT Children’s Hospital. A large part of achieving that vision is ensuring that we provide the best quality of care for children and their families by employing appropriately trained and skilled staff. To ensure this happens it is important that all staff are clear as to:

What is the purpose of their role

Why they are undertaking the role and;

How it assist RCH to provide Quality of Care and to meet the strategic goals

Performance assessment is based on two principles:

1. High performance depends on what we do (KPI’s) AND how we do it (Values and

Behaviours)

2. High performance depends on managers/supervisors and their staff:

Working together to achieve desired outcomes

Communicating openly

Providing regular feedback to each other and

Formally reviewing individual performance at least twice per year.

1.1.1 Advantages for Staff

Be clear on what is expected of them and what skills they need to meet those expectations

They have a greater understanding of the individual departments expectations and the hospital; its core strategies, RCH values and goals

Depersonalises issues. The focus is on behaviours and results rather than personalities

Opportunity to discuss career aspirations and skill enhancement

Opportunity to receive valuable informal and formal feedback from their manager

Improved communication via a two way non-threatening process.

1.1.2 Benefits to RCH

Staff are aware of department expectations and Hospital’s strategic goals and direction

Assists in workplace planning such as succession planning and talent management

Validates expectations. In today’s age of high expectations, particularly when the

Hospital is striving to transform itself in readiness for the future, having measureable results can verify whether grand visions are realistic or not.

Identifies, tracks and addresses development gaps within specific roles and staff members

Improved transparent communication between management and staff.

1.2 What We Do (KPI’s)

What we do is guided by the Royal Children’s Hospital (RCH) five Strategic Goals which are:

Excellence in healthcare

Leadership in research and education

Focus on quality and safety

Partners in paediatric care

Improve organizational environment

Department/Unit Goals must be aligned with the broader RCH Strategic Goals. Individual Goals must align with Department Goals.

1.3 How do we do it? (Values and Behaviours)

Our values are a useful framework to guide discussions with staff members on their behaviour. Referring to the organisations values as a reference point depersonalises this discussion i.e. it is not about your personal set of values, and therefore you are not making a value judgement but an assessment against an agreed set of organisation wide values.

1.3.1 Our Values

Unity We work together to achieve our goals

Integrity We act with transparency, honesty and fairness in all we do

Excellence We seek to provide high quality clinical care, research and education

Respect For everyone in our care, our partners and for each other.

1.3.2 Behaviours

Behaviours that represent each of the values will be many and varied. Examples may include but are not limited to the following:

Unity

We work together to achieve our goals:

Value the contribution of the people you work with, and work co-operatively Always pull your weight – do what you say you will do, when you say you will do it Encourage team work Help others Have and encourage open and transparent communication

Integrity

We act with transparency, honesty and fairness in all we do:

Make fair and transparent decisions Never use your position improperly to gain advantage in your private life Disclose any actual or apparent conflicts of interest which may impact on your work performance Report misconduct Have the courage to give contrary advice when required Don’t gossip, no matter how much you’re tempted

Excellence

We seek to provide high quality clinical care, research and education:

Demonstrating excellence in the way we work on a daily basis. Work to the best of your ability Work safely. Comply with OH&S instructions and report workplace health and safety problems Take pride in your work Staff conducting research activities should consult relevant research guidelines and professional ethical standards

Respect

For everyone in our care, our partners and for each other:

Treat people with respect, courtesy, honesty and fairness Respect different values, beliefs, cultures and religions Treat patient information with the strictest confidence Lead by example Never bully, intimidate harass, mistreat or discriminate against patients, patients families, carers, other staff or members of the public.

Never make nasty comments or behave in a way that undermines or causes stress to others

1.4 The formal Performance Development & Assessment Process at RCH

The formal process for Performance Development and Assessment Process at the RCH can be represented by the diagram in figure 1. below. Remember planning and development of staff is within the context of the Hospital’s strategic direction.

Figure 1: Performance Development & Assessment Cycle

1. Communicating performance expectations 5. Succession 2.  Recognise palnning and Coaching and talent
1.
Communicating
performance
expectations
5.
Succession
2.
Recognise
palnning and
Coaching and
talent
reinforcement
Engage
management
Develop
Empower
4.
Conducitng
3.
performance
Tracking and
development
documentation
review

2. Performance Development & Assessment Tools

Components of the Performance Development Program (PDAP) are as follows:

1. PDAP Templates: There are two basic templates that can be used:

General Staff Template (see Appendix A) which includes a Competencies Assessment as an appendix for Nursing Staff

Surgery and Medical staff template (see Appendix B for the Division of Surgery and Appendix C for the Division of Medicine) which is modeled on a template from the Department of Health that has been upgraded to reflect KPI’s from the Division of Surgery and the Division of Medicine

2.1 General Staff Template

The form is divided into two sections and has 3 appendices:

Section A: The first section allows the manager and staff member to record performance outcomes for the previous 12 month period.

Part 1 provides space to record achievement against agreed objectives

Part 2 provides space to record performance aligned with the RCH Values

Part 3 provides space for the staff member, manager, and Director/Executive

Director to summarise performance and then sign to complete the appraisal process.

Section B: The second section is where the manager and staff member record the agreed performance indicators for the next 12 months. It is also the section where the manager and staff member can record the agreed development actions for the next 12 months

Appendix 1: the Leave Planner to assist with planning and recording annual leave, study leave, long service leave or other planned leave for the staff member for the next 12 months

Appendix 2: the Training and Qualifications form should be completed to assist with the development discussion and ensure the staff member’s professional development record is updated

Appendix 3: the Competencies Assessment for the review period for Nursing staff to keep track of Mandatory competencies to ensure compliance with professional standards.

3. What do I need to do as a Manager?

3.1Planning and Communicating Performance Expectations

3.1.1 Setting Individual Goals

In setting goals for your staff there are a few key points to remember. Goals must be:

1. Aligned transparently to the department and Hospital’s goals

2. Specific. This is about what they have to do it and often it is useful to include a why.

3. Realistic. Can the individual do what you are asking them to do given their skills and the resources available to them

4. Achievable in the time frame provided. Make sure there is room for consultation/consideration should the environment or other factors arise

5. Measureable. If it can’t be measured it can’t be managed.

1. Communicating performance expectations for the first time (Fig. 1)

If this is the first time you have done a formal Performance Development & Assessment Program (PDAP) with your staff then you start by:

1. Planning what you expect of them and;

2. Meet with staff members individually and communicating those expectations, including development opportunities that are available or necessary to achieve agreed goals.

Second Iteration If you have already undertaken some form of performance review system then it is recommended that you complete a formal review of the previous 12 months, prior to starting a discussion about the impending period. This discussion can guide your discussion for the coming 12 months.

3.2 Coaching and Reinforcing

3.2.1 Coaching – What is it?

Coaching is the process of equipping your people with the tools, knowledge, and opportunities they need to fully develop and be effective in their commitment to themselves, the RCH and their work. Coaching should be an “ego-less” process in which “coach-able moments” are created to draw out distinctions and promote shifts in thinking and behaviour.

Coaching is a specific skill set which enhances performance, action, creativity, momentum and transformation. Coaching can occur within team meetings, one-on-one formal and informal meetings or as a follow up to training sessions.

3.2.2 Coaching – What it does

Coaching:

Improves employee and organisational resilience and effectiveness in change.

Deals with employee growth, development and achievement by removing roadblocks to performance and enhancing creativity

Provides information to support those they coach in developing their own skills and knowledge

2. Coaching and Reinforcing. There should be no secrets! (Fig. 1)

Coaching and reinforcing is on-going throughout the year in between formal performance and development meetings. In this period, on a daily basis you will be reinforcing good performance and behaviour and coaching the staff member when their performance slips or when they are developing themselves and learning new skills. This ensures there are no secrets at the formal PDAP meeting.

3.2.3 Coaching – What it is not

Coaching is not:

Management skills re-packaged (supervision, evaluation and meeting objectives) although coaching draws on certain management skills and competencies

Therapy or counselling (therapy deals with resolution and healing of the past) should a coaching session move more into a therapy session then you should refer the staff member to our Employee Assistance Program which is a confidential and professional service ph: 1300 360 364

Mentoring or consulting, although you may use your experience to diagnose

situations and give opinions or advice at times; or

Training.

3.2.4 Coaching – What should I include in a coaching session?

It is important to remember to coach and follow through on the goals and development

plans that were agreed. If the goals and performance plans are used as a reference

guide of a “living” document, the process is more likely to be meaningful, not just a “once

a year” meeting which in turn highlights your commitment and dedication to staff.

When reinforcing or praising the specific skills and/or actions of your staff members, it is important to remember:

Be specific in your praise, merely saying “well done” does not tell the staff member what they have done that is so deserving of praise. It also ensures that you are praising performance you want repeated.

Provide evidence if you need to give corrective coaching. If you don’t provide evidence you will find it difficult to give direction for correction.

Be sincere and genuine; if you don’t mean it don’t say it.

Be timely in your feedback, praise or correction (preferably within 24 hours). There is minimal impact if you praise a staff member a week after the event, when it is likely you have both forgotten what the praise was for.

3.3 Tracking and Documenting

It is your responsibility to track their performance and behaviours, document achievements and shortcomings and measure these against the goals set at the initial planning meeting. This will provide you with accurate information when coaching the staff member and conduction the review meeting. Remember that you are collecting personal information as defined under the Information Privacy Act and as such will need to follow the Hospital’s privacy guidelines for personal information

3. Tracking and documentation (Fig. 1)

3.3.1 What information should I record and keep?

When documenting a staff member’s performance as part of your scheduled and

frequent one-on-ones it is important to include valid and specific points such as:

The date

What you observed

Other people’s feedback (if applicable) and

The impact the performance or behaviour had on the department and/or hospital

If you have little direct contact with a staff member, particularly in shift work locations,

you may consider delegating the PDAP meetings to someone with more consistent contact. In conjunction with this you can ask for feedback from other managers.

3.3.2

A note on poor performance

If a staff member is not performing to the expectations of the role, and they are not responding to effective coaching, then contact your HR Partner for further guidance.

Counselling a staff member on their continued poor performance is not to be done in the review meeting as it undermines the intended purpose.

3.4 Conducting Performance Development Reviews

3.4.1 What will I discuss and document?

In the first part of the session you will discuss and document:

Personal and professional development

Achievement of their goals

This is the stage where you formally meet individually with your staff members to discuss achievements of the preceding 12 months. At this meeting you are confirming the discussions you have had with the staff member throughout the year.

4. Conducting Performance development reviews (Fig. 1)

The behaviours required of them and their position

Agreed overall performance assessment

Remember there should not be any surprises and you should not be raising new issues at this meeting regarding performance.

This should be a relatively short part of the meeting that confirms previous discussions. In confirming previous discussions you are really setting the scene for the next step which is about starting the process again (setting goals for the coming year etc). It is time to have a discussion about what worked well and didn’t work so well in the past 12 months.

3.4.2 Points to remember

1. This is not a disciplinary meeting. Raise performance issues in a separate forum.

2. You can reinforce issues you have coached the staff member on during the preceding 12 months to illustrate your point. For example “A behavior we had stressed was being a team player. We did have that incident a few months ago where you refused to work effectively with a peer, however we have resolved that issue and I am pleased with the improvement you have made in that area.”

3. All sections of the PDAP template should be completed.

3.5 Succession planning and talent management

5. Succession planning and talent management Workforce Planning (Fig. 1)

This process is currently done via our workforce planning framework

4. How does the PDAP form work?

The form is in two sections. In brief Section A is a retrospective wrap up of the previous year that confirms discussions held throughout the year. Section B is the area to set up for the coming year. It is also the section where the manager and staff member can record the agreed development actions for the next 12 months. There are also three appendices. One is the Leave Planner, the second the Training and Qualifications form and the third is a Competencies Assessment Form for Nursing.

4.1 Section A

In many ways this should be an ‘easy’ discussion.

4.1.1 Section A Part 1.

Once you have covered off the “what” it is time to talk about the “how”. How has the staff member demonstrated the RCH values?

1. Agreed Key Performance Indicators Met or Not Met Results/Comments

e.g. Quality and Safety

e.g. Workforce

e.g. Finance/budget KPI’s here are those agreed to in the previous year

Get the staff member to self assess themselves first. Do they think they have met these goals – if so what are the results. If not, why?

A self assessment is a good reflection tool. It also demonstrates to you their ‘reality’ and does it match up with yours. If there is a gap this can be discussed. Remember that at this point you are looking for evidence. And remember there should be no surprises.

4.1.2 Section A Part 2

2. VALUES AND BEHAVIOURS; Unity, Integrity, Respect and Excellence

Unity:

Examples of desired behaviours may include:

Participation in team decision making.

Seeks opportunity for team development.

Contributes positively to team discussions and initiatives.

Self Assessment:

Never Infrequently Sometimes Frequently Always

Comments:

Reviewers Feedback:

Never Infrequently Sometimes Frequently Always

Comments:

The final step is sign off of the previous year.

4.1.3 Overall Performance Assessment for the year

This section provides the staff member an opportunity to self evaluate their overall performance for the year based on the discussions and feedback that has been given/received throughout the year from yourself, peers and is an own analysis of their performance.

You also have an opportunity to provide a summary of the year’s work/performance. There is finally a section that may be completed by your Manager (if applicable) in final sign off. Again get the staff member to self assess first. Do they think they have demonstrated these behaviours? If so how? For example If they say they have frequently done something Get them to comment on what behaviours they think they are doing to demonstrate this value.

You can do the same. Comment on what specific behaviours you have observed.

Remember you don’t have to ‘copy’ their assessment of themselves

them, don’t agree with them. Talk to them about that though. Give them an example of when they could have done something differently. You may agree with them but perhaps you would like to see them do a particular behaviour in another setting or more often in the same

setting.

If you don’t agree with

4.2 Section B

We now move on to the coming year. This should also be a relatively easy discussion. Most staff members will have similar goals and/or key performance indicators as they did last year, This section should be completed by you and your staff member.

4.2.1 Section B, Part 1 Key Performance Indicators

Key Performance Indicators Performance Measure and Target

Target Completion Date

e.g. People e.g. ensure all staff have PDAP completed

e.g. November 2010

Remember to link the KPI’s with the position description as well as the

RCH Strategic plan, Divisional Plan and Department Plans

4.2.2 Section B, Part 2 Development Plan

Refer to previous sections and the position description for areas where further development is required. Appendix 2 should be completed to assist in understanding development and already completed and opportunities for further study. You can contact your HR Partner to provide advice.

4.2.3 Learning Styles

Learning styles specifically deal with characteristic styles of learning. Kolb (1984) proposes a theory of experiential learning that involves four principal stages. Kolb’s theory is that for any real or sustainable change to occur from a training or development experience a learner should move through the cycle as many times as necessary. As a manager you can assist in your staff moving through these stages:

The four stages of the Experiential Learning Cycle can be seen in figure 2.

Development Areas Action Outcome

I (Employee) agree to achieve the stated KPIs and development above – (signature):

I (Manager) agree to support the employee achieve the stated KPIs and development –(signature):

When setting development goals remember to make sure you provide the right environment for your staff member to achieve these goals. See the section below on Learning Styles

Figure 2: Kolb’s Experiential Learning Cycle

Adapted from Kolb (1984)

Experiential Learning Cycle Adapted from Kolb (1984) Concrete Experience (doing / having an experience) Concrete

Concrete

Experience

(doing / having an experience)

(1984) Concrete Experience (doing / having an experience) Concrete Experience (doing / having an experience)

Concrete

Experience

(doing / having an experience)

Reflective

Observation

(reviewing / reflecting on the experience)

Observation (reviewing / reflecting on the experience) Reflective Observation (reviewing / reflecting on the

Reflective

Observation

(reviewing / reflecting on the experience)

Observation (reviewing / reflecting on the experience) 1. Concrete Experiences: are about actually doing or

1. Concrete Experiences: are about actually doing or having an experience. It is this concrete experience where the rest of the cycle stems from. This is normally a work based learning experience. Even if your staff member is receiving training from an external source make sure they have the ability to explore the use of the knowledge gained within their workplace environment.

2. Reflect on it: It is best to have a structured process for reflection. A learning journal may be useful but this also involves reporting to a mentor to discuss the learning journey. This may be difficult to implement so other methods may include regular

discussions with your staff member to discuss their what they have learnt and it maybe as simple as getting them to present their key learning’s to your work group.

3. Refer to theory: In this phase, as a manager you have little influence on your staff member. They will actively seek to relate their experience in innovatory practice to all other knowledge and past experience. This includes testing out your experience against knowledge systems you value; for example nursing theory, philosophy or notions of fairness or workplace relations. Insights developed in this phase can be then fed back into a new phase of active experimentation.

4. Modify and re-plan activity: Here your staff member will carry out a needs analysis in order for them to decide what competencies they now have and what are needed. If necessary they will need to start the process again. This is a fresh conversation you may have them theoretically as part of the next PDAP cycle, or if necessary mid cycle.

4.3 Appendix 1: Indicative Leave Plan for coming year

You need to update this appendix needs to make sure it reflects current public holidays for the period in question. Note that leave still needs to be submitted via the online leave form.

4.4 Appendix 2: Training & Qualification Checklist

This checklist is simply a record of your previous training. All levels are captured including High School, VET, Higher Education and Post-Graduate. It also captures current and future study plans.

4.5 Appendix 3: Competencies Assessment

This appendix has been completed for Nursing Staff by way of example. This appendix should be tailored as necessary for each employee so that all mandatory competencies and additional competencies to be completed during the year are clearly stated.

5. Frequently asked questions?

As a Manager, when do I start the PDAP process with my staff?

You should start the PDAP as soon as possible. The sooner you get all of your staff onto the program, the sooner you can focus on their tasks and associated development needs.

Is it my responsibility as a Manager to set employee goals and tasks?

Goals and tasks are set in accordance with your departmental objectives which align to the Hospital’s objectives and goals. However, the specific goals and tasks for individual employees are set in consultation with that employee.

As a Manager how do I set goals and tasks?

If this is the first time you have sat down with your staff member to begin the process, then set a time for an initial meeting with your employee and discuss the PDAP. Prior to the meeting turn to Section B of the PDAP form, this is the section that sets up for the coming year. A good place to start for goals and tasks is the person’s position description.

Review the Key Performance Indicators then select the four or five most important key performance indicators in the person’s position description and write them in the first column under the heading Key Performance Indicators.

This may also be the ideal time to review the position description, because if the tasks listed in the position description are not important to your department, re-think the position description. Contact your HR advisor prior for assistance with this.

Think about how your employee will demonstrate that these goals have been achieved write them in the second column and so on. You can do all of this with your staff member.

Once the initial meeting has taken place and expectations have been set, ongoing and frequent one-on-one meetings with the staff member are recommended to track and measure the goals and actions that have been agreed upon.

Can I get some hands on assistance in the PDAP process?

Yes you can. Please contact your HR partner or People & Culture

Do I need to use the Competencies Appendix? It doesn’t fit with the roles my staff

The Competencies Appendix is designed for Nursing Staff; No other staff are required to complete this appendix.

Bibliography

Kolb, D.A. (1984) Experiential Learning: Experience as the Source of Learning and Development. Englewood Cliffs; London: Prentice-Hall

Mailick, S. & Stumpf, S.A. (1998) Learning Theory in the practice of Management

Development: Evolution and Applications Westport; Quorum Books

Megginson, D & Clutterbuck D (2005) Techniques for Coaching and Mentoring. Oxford;

Elsevier Butterworth-Heinemann,

Patterson, K., Grenny, J. McMillan, R., & Switzler, A. (2002) Crucial Conversations: Tools for talking when stakes are high. New York; McGraw-Hill