Performance, Planning and Review (PPR) Procedures
1. Overview
1.1 Performance Planning and Review (PPR) is a three-stage, cyclical process.
Stage One: Preparation
Stage Two: PPR Discussion
Stage Three: Follow Up
1.2 All staff must undertake relevant training in PPR prior to participating in a PPR discussion.
1.3 PPR is to be implemented in accordance with the principles of fairness, equity and natural justice.
1.4 Link to probation
There is normally a probationary period for all new staff employed on an ongoing or fixed-term employment contract for 12 months or more. At the start of the probation period, the Cost Centre Manager or supervisor and the staff member discuss and develop a probation plan, including a statement outlining appropriate goals. This document, along with the position description, will be the initial documentation for PPR and form the beginning of the staff member’s portfolio.
1.5 Supervisor/adviser
The Dean is the supervisor for all Teaching and Research (T and R) staff in the faculty and retains all responsibility for making recommendations or decisions about employment. The Dean may delegate PPR supervision to other appropriate T and R staff. When this occurs, the person to whom the role is delegated is referred to as the PPR adviser.
For APT staff, the PPR supervisor is likely to be the person to whom the staff member reports in the organisational structure, and as such, has responsibility for the management of the staff member, including his/her performance and development.
Throughout these procedures and other documentation relating to PPR, the PPR supervisor is referred to as the PPR supervisor/adviser to make clear, but be inclusive of, the different emphases in the roles for T and R and APT staff.
2. Definitions
Feedback: is given in good faith to let someone know about their performance - their skills, behaviour, practices, ideas, contributions, achievements and results.
Mediation: is a process to resolve a disagreement. It involves the staff member and PPR supervisor/adviser, together with the assistance of a neutral third person/s, meeting together and systematically isolating the matter/s that cannot be agreed to develop options, consider alternatives and reach consensual settlement that aims to accommodate both parties’ needs.
A PPR Cycle: begins from when the staff member or PPR supervisor/adviser approaches the other to make a time to meet for a PPR discussion. PPR is three-stage process – preparation, PPR discussion and follow up – which normally proceeds throughout a year.
A portfolio: is a collection of basic performance planning and review documents maintained by the individual staff member. It is updated at least annually to reflect goal achievement and professional and career development. It is central to the PPR process, but can be used by the staff member for other purposes, eg. applying for promotion.
A portfolio aims to make it easier for the staff member to reflect systematically on his/her work and career. It is a simple summary and should normally be no more than ten pages in length. It comprises three sections:
- Work profile:- key documents that provide formal descriptions of the staff member’s work and achievements, including a curriculum vitae, a position description, and information about current work responsibilities and achievements;
- Self-evaluation:- a statement of no more than a page or two in which the staff member reflects on his/her performance and development. It includes an analysis of feedback that the staff member has sought from a range of sources and a self-evaluation of work performance.
- Goals:- a record of goals that the staff member and PPR supervisor/adviser agree in relation to performance and development for the next year.
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3. Nomination of PPR supervisors/advisers
3.1 The relevant Cost Centre Manager advises each staff member who has been nominated as his/her PPR supervisor/adviser.
3.2 For T and R staff
The Dean may delegate PPR supervision to other appropriate staff. Such delegation will be based on the Dean’s judgement that the nominated PPR adviser will be able to fulfil the role effectively.
It is important that PPR advisers are willing and confident to take on the role. If asked by his/her Dean, a T and R staff member is under no obligation to take on the role of PPR adviser.
3.2.1 Alternative PPR adviser
Within ten working days of receipt of advice from the Dean, a T and R staff member can request an alternative PPR adviser be nominated. When making such a request, the staff member should explain the reasons for seeking an alternative PPR adviser and can suggest who the alternative might be.
To decide whether a staff member’s request for an alternative PPR adviser can be approved, the Dean will consider whether the aims of PPR can reasonably be expected to be achieved with an alternative PPR adviser.
If the staff member requests that the Dean be nominated as their alternative adviser and the Dean declines, the Dean should explain the reasons for not agreeing. If the staff member is not satisfied with the reasons given, the staff member can refer the matter to the Deputy Vice-Chancellor.
The Deputy Vice-Chancellor will consider the reasons given by the staff member for seeking the Dean as their PPR adviser, and the reasons given by the Dean for not agreeing to be the staff member’s PPR adviser, to determine how the matter can best be resolved to reasonably fulfil the aims of PPR. The Deputy Vice-Chancellor’s decision will be final.
3.3 For APT staff
For APT staff, the PPR supervisor is normally the person to whom the staff member reports in the organisational structure.
3.4 A PPR supervisor/adviser must have participated in PPR supervisor/adviser training before undertaking a PPR discussion with a staff member for whom s/he has been nominated as PPR supervisor/adviser.
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4. Feedback
4.1 Staff are encouraged to seek regular feedback about their performance from a comprehensive and balanced range of sources, including students, clients, colleagues in the University, relevant peers from other institutions and their PPR supervisor/adviser.
4.2 For T and R staff
The University’s Student Feedback on Teaching (SFT) instrument is a convenient and secure system which is available to assist staff to gather student feedback. SFT is to be used for gathering student feedback on teaching unless staff gain the prior approval of the Learning and Teaching Management Committee to use appropriate alternative instruments and processes.
SFT data relating to individual teaching performance is provided confidentially to the staff member initiating the evaluation. It is not provided to PPR advisers, Deans, the Deputy Vice-Chancellor, the Vice-Chancellor or any other party without the staff member’s approval.
4.3 Feedback is used to inform the preparation of the self-evaluation statement and the development of goals in the staff member’s portfolio. The self-evaluation statement will emerge from reflection on feedback, including feedback from students. In turn, the staff member’s self-evaluation statement will be discussed during the PPR discussion and inform the development of performance and development goals for the next PPR cycle.
4.4 PPR supervisors/advisers are encouraged to give ongoing, informed and balanced feedback throughout the PPR cycle.
5. Stage one – Preparation
5.1 Either the PPR supervisor/adviser or the staff member can initiate a PPR cycle by contacting the other to make a time to meet for the PPR discussion. Time needs to be allowed to prepare for the PPR discussion, so at least two weeks notice would normally be given.
5.2 To prepare for the PPR discussion, a staff member reviews and updates his/her portfolio.
A copy of the self-evaluation statement is given by the staff member to the PPR supervisor/adviser before the PPR discussion.
5.3 To prepare for the PPR discussion, the PPR supervisor/adviser:
- ensures s/he has an understanding of the staff member’s performance and development and is able to give constructive feedback
- reads the staff member’s self-evaluation statement and, after the first cycle, reviews the portfolio from the last PPR discussion, and
- arranges the venue, date and time to meet with the staff member
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6. Stage two – PPR discussion
6.1 Any review of performance is based on the position description and the achievement of agreed performance and development goals.
6.2 Each staff member and his/her PPR supervisor/adviser meet formally to develop and reach agreement on performance and development goals. They:
- review achievement of the performance and development goals in the portfolio from the last PPR discussion
- discuss feedback received, the staff member’s self-evaluation statement and the staff member’s work
- ensure the objectives, duties and responsibilities stated in the position description are up-to-date, clear and accurate
- reach agreement on performance goals and priorities for the forthcoming PPR cycle
- reach agreement on training and/or development goals, and
- discuss and determine the support required to implement the agreed goals
6.3 At the completion of the PPR discussion, there should be a clear understanding between the staff member and the PPR supervisor/adviser about the performance and development goals to be achieved and the actions to be initiated by both to achieve the goals.
6.4 Performance and development goals are documented by the staff member and signed off by both parties. A form is available.
6.5 An outcome of the PPR discussion is a revised portfolio. For example, a new set of performance and development goals will be developed and the position description and/or curriculum vitae might need updating.
The staff member and his/her PPR supervisor/adviser both keep a copy.
6.6. If the Cost Centre Manager is not the PPR supervisor/adviser, a copy of the portfolio is forwarded to the Cost Centre Manager for endorsement and communication purposes.
6.7. All PPR documentation is to be held by the Cost Centre Manager in accordance with the University’s records policies.
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7. Stage three – Follow up
7.1 PPR is a cyclical process that does not end with the PPR discussion. The PPR supervisor/adviser and the staff member continue to work together to implement and evaluate achievement of performance and development goals and meet informally as often as needed throughout the PPR cycle to discuss progress.
From time to time, it may be appropriate to adjust goals, if, for example, resources are not available, projects do not eventuate or priorities change.
7.2 PPR is a confidential process. Only the staff member, the PPR supervisor/adviser and the Cost Centre Manager have access to a staff member’s portfolio. Within the work area, PPR portfolios must be stored securely by the PPR supervisor/adviser and the Cost Centre Manager.
There is no provision for storage of portfolios in staff files in Human Resources. However, if there are changes to the position description, a copy of the revised position description should be sent to Human Resources to maintain currency of position records and be put on the staff member’s file.
7.3 The Cost Centre Manager can use a staff member’s portfolio to assist making decisions and recommendations about employment matters such as probation, incremental progression, promotion, contract renewal/conversion, Professional Development Program (PDP) and staff development.
It is expected that the Cost Centre Manager would normally discuss decisions and recommendations about such employment matters with the staff member at the time they are made.
7.4 One of the aims of PPR is to provide a means to identify and address staff development and training needs. To enable appropriate staff development and training programs to be provided within and across the University, information about the development and training needs of staff and PPR supervisors/advisers can be forwarded by anyone at any time, to appropriate officers within the University, eg Senior Human Resource Officer (Staff and Organisational Development), Director, Teaching and Research Services. From time to time, these officers are likely to seek this information.
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8. Disagreement
8.1 Although these procedures assume and encourage agreement and cooperation, there could be instances when a staff member and his/her PPR supervisor/adviser cannot reach agreement on goals to be achieved or the support that is required or can be provided to achieve goals.
8.2 An immediate consequence of such disagreement is that it is unlikely that the staff member and/or his/her PPR supervisor/adviser are able to sign off on performance and development goals for the forthcoming PPR cycle.
8.3 When a staff member and his/her PPR supervisor/adviser acknowledge that there is a disagreement on goals to be achieved or the support that is required or can be provided to achieve goals, the matter can be referred to an independent third person to facilitate resolution through mediation. The staff member and/or the PPR supervisor/adviser can refer the matter to:
- the Cost Centre Manager, or
- the Director, Human Resources, or
- the Senior Human Resources Officer (Staff and Organisational Development).
If the disagreement is between a staff member and his/her Cost Centre Manager, the disagreement should be referred to the Director, Human Resources.
8.4 The person to whom the matter is referred will convene a meeting with the staff member and the PPR supervisor/adviser within five working days and seek to facilitate resolution of the disagreement through mediation.
8.5 If the matter is referred to the Cost Centre Manager or Human Resources and cannot be resolved through mediation, the matter can be referred to the Deputy Vice-Chancellor for resolution.
The Deputy Vice-Chancellor will consider the matter/s that cannot be agreed to determine how they can best be resolved to reasonably fulfil the aims of PPR and as far as possible, meet the needs of the staff member and his/her PPR supervisor/adviser. Within ten working days of the matter being referred, the Deputy Vice-Chancellor will advise the staff member, his/her PPR supervisor/adviser and the relevant Cost Centre Manager of his resolution.
8.5.1 If the matter has still not been resolved to the satisfaction of the staff member, the staff member can raise a dispute under the third level of the Grievance Procedures (Clause 1.11 Certified Agreement).
8.6 Once the disagreement has been settled, the staff member and his/her PPR supervisor/adviser will finalise performance and development goals and revision of the staff member’s portfolio then proceed through the PPR cycle.
9. Monitoring and review
9.1 Staff in Human Resources will regularly monitor and seek feedback on the implementation and outcomes of PPR.
9.2 A comprehensive review of the Policy and Procedures will be undertaken after two full years of implementation.
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