Briefing Session

1. Briefing Session Managing Unsatisfactory Performance Senior Staff Bill Ryan, QUT Jane Bourke C&H Business Solutions C&H Business Solutions JB

2. Agenda Introduction Background to Unsatisfactory Performance policy Principles Linkages with other policies Using the policy - the practicalities The process Key issues in using the policy – discussion Performance pay arrangements – any issues / clarification?

3. Managing unsatisfactory performance of Senior Staff • Will the policy be used? • One of the hardest issues in managing • The “peer” issue • Out of practice • Line of least resistance

4. Managing unsatisfactory performance – Senior Staff • Factors impacting on effective use of procedures • Use it to solve problems • Get in early – don’t let it become a problem • Know the procedures, and explain the procedures - so people know what to expect next • Keep good records throughout the process • Minimise rumours/maintain confidentiality

5. Managing Unsatisfactory Performance • Originated in CASS • Applies to senior staff members levels SSG1 – SSG7, except those on probation or casual • To be used where a senior staff member’s performance becomes unsatisfactory BR

6. Managing Unsatisfactory Performance • Purpose of the policy is to: • Assist the supervisor in providing opportunities for senior staff, to regain and maintain a satisfactory level of performance • If necessary, implement disciplinary action, including dismissal or non-renewal of contract.

7. Principles • Senior staff: • Perform their work at satisfactory (at least) level • Know clearly the expectations of their performance • Receive feedback and advice regarding their performance, and • Make reasonable efforts to improve any unsatisfactory performance • Supervisors: • Make their expectations of senior staff explicit • Provide advice and support to enhance the senior staff member’s performance, and; • Make reasonable adjustments to accommodate individual circumstances

8. Principles continued • Where rights and responsibilities observed, it is reasonable for the University to take disciplinary action, including termination of employment • Fair procedures and observe natural justice • Inherent linkage to PPR-SS • Timeliness • Procedures should be conducted expeditiously, but allow sufficient time for improvement in senior staff performance, assisted by supervisor • Document the process throughout

9. Related policies • Performance Planning & Review – Senior Staff • Contract Renewal • Termination of employment on medical grounds • Probation • Misconduct / Serious Misconduct

10. Related policies • Performance Planning and Review – Senior Staff: • Provides clarification of supervisor’s expectations • The mechanism which assists to trigger concerns re unsatisfactory performance at any time. • Relevant documentation from PPR-SS available to USP • As well, if, at conclusion of PPR-SS cycle (Jan / Feb), performance is judged to be unsatisfactory, Unsatisfactory Performance procedures to be entered.

11. 3 months Authorising Officer makes final decision regarding any offer of a further fixed-term appointment HR advises staff member of intention to renew or not renew HR Director seeks advice as to whether senior staff member is seeking contract renewal Yes Staff member provides written advice Contract expiry date No 6 months Related policies – continuedContract Renewal Supervisor makes recommendation to Authorising Officer on renewal / non renewal Renewal / non renewal decision will have regard to University needs & the staff member’s performance as demonstrated in the PPR-SS

12. Contract Renewal cont’d • Should any unsatisfactory performance procedures be in train at a date 6 months prior to contract expiry date, those procedures will cease and the contract renewal process will proceed. • That is, unsatisfactory performance as a reason for non-renewal must be broached more than 6 months prior to contract renewal date

13. Termination of employment on Medical Grounds (CASS Cl. 20) • Process outlined in CASS • VC may require any person whose capacity to perform his / her duties is in doubt, to undergo a medical examination.

14. Probation (CASS – Clause 17) • Only applies in case of ongoing employment • Probation period is usually 12 months • Termination or confirmation of appointment may occur: • At any time during probationary period • At the final review • Final decision on probation review will be made by VC

15. Misconduct / serious misconduct • Conduct relates to behaviour and attitude, performance is about capacity • Misconduct means conduct that is unsatisfactory but which is not so serious as to justify the termination of the staff member • Serious misconduct is misconduct of a serious and willful nature, and is usually conduct of a type that would make it unreasonable to continue employment of the staff member concerned • A Working Party has recently been formed to develop a draft policy

16. The Unsatisfactory Performance Process Three phases: • Identification of unsatisfactory performance and counseling • Intensive counseling and formal review • Decision on unsatisfactory performance & disciplinary action JB

17. Supervisor satisfied with improvement mechanisms in place Supervisor notices that performance of a senior staff member is showing signs of being less than satisfactory Discuss with senior staff member as part of performance review discussion Supervisor not satisfied with improvement mechanisms Managing Unsatisfactory Performance procedures Supervisor observes unsatisfactory performance Medical reason for poor performance identified Medical reason for poor performance identified Medical procedures initiated Medical procedures initiated. Forming a view about unsatisfactory performance Ongoing performance monitoring & discussions using PPR-SS

18. Forming a view • What are the factors in determining unsatisfactory vs. satisfactory? • Consistency • Ease of “fixing it” by the person • Clarity of expectations/definable • Extent of the poor performance • Changing circumstances • Consequences of inaction/significance • Evidence is available

19. Within 10 days • Supervisor advises the senior staff member of: • Areas of unsatisfactory performance • Nature of the improvement required and timeframes • Suggested ways to improve performance Unsatisfactory performance procedures Phase 2 Supervisor reviews senior staff member’s performance & makes judgment about whether necessary improvement made No Senior staff member prepares a written response if desired Supervisor & senior staff member discuss response if necessary yes Return to normal PPR-SS Record made of counsel given and copy provided to senior staff member - Record of counsel amended as agreed - file note discussion outcomes Record made of action determined Phase 1 Performance improvement period

20. Discussion points from Phase 1 • Broaching the subject • Managing the rumours • Evidence for your opinion • Dispute resolution • Record keeping • What justifies a move to phase 2?

21. The “golden rules” of record keeping • Ensure relevance • Rely on facts and examples • Be objective and balanced • Observe natural justice • Avoid gratuitous remarks

22. Supervisor advises senior staff member in writing: • The specific areas of performance that are considered unsatisfactory, • The nature of the improvement required, • The time within which such improvement must occur, • The date proposed for a review of the specific areas of performance, • The availability of professional development and other resources to assist the senior staff member in improving, and • Withholding of salary movement / performance pay bonus Within 10 days Supervisor advises HR Director that Phase 2 Unsatisfactory performance procedures are in progress • Supervisor will: • Confirm the advice of unsatisfactory performance and required action, or • Modify any or all of the particulars continued in the previous advice, or • Write to the senior staff member withdrawing the previous advice Senior staff member prepares a written response if desired (may be assisted by a representative) Record amended to reflect supervisor action Record made of counsel given and copy provided to senior staff member Phase 2

23. Advise in writing Process ends Supervisor reviews performance and believes that some improvement has been made but gap still exists Implement a further review period consistent with Phase 2 Supervisor reviews performance and believes that the performance of the senior staff member continues to be unsatisfactory. Phase 3 Phase 2 continued Supervisor reviews performance at set date and is satisfied that the required improvements have been made Period established for improvement elapses Record made of supervisor action

24. Discussion points in Phase 2 • Being specific about areas of underperformance • Setting a timeframe for improvement • Deciding what constitutes performance improvement • Judging performance improvement • What justifies a move to Phase 3?

25. Within 10 days Senior staff member requests that the matter be referred to an Unsatisfactory Performance Committee • Supervisor makes formal report to the VC (or delegate) stating: • Aspects of unsatisfactory performance • Record of attempts to remedy • Recommended disciplinary action Senior staff member prepares a written response if desired (may be assisted by a representative) Senior staff member makes no request for referral to Committee Copy of report provided to senior staff member Phase 3

26. Unsatisfactory performance committee Comprises: • A chairperson who shall be external to the University, appointed by the VC • A staff member from within the University chosen by the senior staff member • A staff member chosen by the VC

27. VC may: • Take no further action • Refer the matter back to the supervisor • Take disciplinary action If VC is of view that no unsatisfactory performance occurred, VC may, by agreement with the senior staff member, publish the advice Unsatisfactory Performance Committee gathers evidence and considers the matter Provide VC with a written report detailing its findings VC advises senior staff member of any disciplinary action Phase 3 continued Unsatisfactory Performance Committee

28. “Disciplinary Action” • Action by the University including: • Formal censure or counseling • Confirm Supervisor’s withholding of salary movement / pay bonus • Demotion • Suspension with or without pay • Reallocation of duties • Termination of employment

29. VC may: • Take no further action • Refer the matter back to the supervisor • Take disciplinary action If VC is of view that no unsatisfactory performance occurred, VC may, by agreement with the senior staff member, publish the advice VC advises senior staff member of any disciplinary action Phase 3 continued Didn’t choose to go to Unsatisfactory Performance Committee

30. Key issues in phase 3 What is the individual’s recourse following disciplinary action? • Civil action (breach of contract) • Human Rights Commission (dismissal on prohibited ground) • Access to AIRC is limited for senior salaried positions

31. Performance pay arrangements • Policy issues • Establishing performance agreements • Setting indicators / targets • ….. • ….. • …..

32. Thank-you