Performance Management Policy
COR 14.0

Relevant State/Federal Govt. Legislation / State Service Act 2000
State Service Regulations 2000
State Service Amendment (Performance) Act 2011
Employment Direction No.26 – Managing Performance in the State Service
Commencement Date / Sep 2014
Review Date / Sep 2019

POLICY STATEMENT

1Intent

The purpose of the Performance Management Policy and supporting Performance Management Manual is to develop and sustain the management of, and accountability for, performance and continuance improvement within the Tasmanian Audit Office (the Office).

The intent is that this policy will provide a transparent, fair and open process for managing performance in the Office. It will operate on a regular time cycle and stimulate improved performance and a cooperative team oriented workplace culture.

2Scope

Applicable to all employees of the Tasmanian Audit Office

3Objective(s)

The objectives of the policy are:

  • To promote a culture of shared responsibility for positive workforce behaviours and encourage performance that will improve delivery and quality of service for the Office
  • To ensure that employees know what is required and how they are expected to contribute to the Office’s operational goals
  • To ensure employees understand the linkage between their performance and the Office’s strategic and business planning
  • To promote an open communication environment that provides ongoing, constructive feedback and support to employees and managers
  • To support a work environment that encourages career development, continual learning
  • To recognise and reward employee performance and behaviour that goes beyond what is expected
  • To identify, manage and resolve poor performance issues.

4Definitions and Acronyms

High Achiever / An employee who achieves Exceeding Expectations (EE) ratings in their performance reviews, take ownership of their work, show initiative and voluntarily go beyond what is expected are identified as High Achievers
Individual Development Plan / Refers to a plan of learning and development activities identified by both the employee and their manager during the performance review process to increase employees capabilities and knowledge
Performance Cycle / Refers to the 12 month performance cycle from the development of the performance plan to the formal 12 month review
Performance Development / Refers to the process that enables the manager/supervisor and the employee to identify and confirm business and person goals that are most significant to business unit success
Performance Management Process / This is the process that provides information about employees’ capabilities and expected key performance outcomes and results. It also provides direction on how to review performance, acknowledge high performing employees and manage poor performance
Performance Rating / A rating given to employees at their performance reviews which reflects their performance against specified outcomes outlined in their performance plans. These ratings are: Exceeding Expectations (EE), Meeting Expectations (ME), Almost Meeting Expectations (AM) and Not Meeting Expectations (NM)
Performance Plan / Identifies the performance outcomes and specific requirements for an individual employee according to the duties, responsibilities and behaviours required by their role and the Office
Poor Performance / Arises when an employee is not meeting the specific performance requirements identified in their Performance Plan, or the general standards of the performance and behaviour expected of an employee, despite having received reasonable support, development and training to enable them to perform effectively
Reward and Recognise / To provide positive affirmation of an employee’s effort and contribution. It also reinforces positive and effective employee behaviours and actions
The Office or Tasmanian Audit Office (TAO) / Refers to the entire Tasmanian Audit Office: Business Units – Financial Audit (both Hobart and Launceston offices), Performance Audit, Office of the Auditor General (OAG) and Corporate Support Services (CSS).

5Policy Maker

Executive Management Group (EMG)

6Policy Provisions

  • All employees must have a current performance plan on file. All managers must develop a performance plan with new employees within the first four weeks of that employee commencing work.
  • Performance plans and subsequent reviews are to follow the template in Appendix 1. Further information is available in the Performance Management Manual.
  • As part of their performance plan, employees must also complete an individual development plan and actively pursue the identified learning opportunities during the performance review cycle (12 months).
  • Feedback and monitoring of plans should be an ongoing activity.
  • Only the ratings outlined in the Performance Management Manual are to be used when reviewing an employees’ performance.
  • Formal 12 monthly reviews must take place for all employees in Performance Audit Services and Corporate Support Services (CSS) during June and July. All reviews must be finalised by the end of July.
  • Formal 12 monthly reviews must take place for all employees in Financial Audit Services and Office of the Auditor General (OAG) during November and December. All reviews must be finalised by the end of December.
  • Atfter the 12 mMonthly review, the need for a documented 6 monthly reviews will be determinedoccur based on the following:

On request of the manager

If the employee receives an overall performance rating below ME

On request of the employee

On request of the Remuneration Committee (RC)EMG after a moderation process.

  • RCEMG will perform a moderation activity during the months of January and February on all performance reviews conducted in the Office.
  • Employees must have a current performance plan on file to be eligible for salary progression.
  • Salary progression will be dependent on employees receiving positive performance ratings and are not granted on a ‘time served’ basis.
  • Good performance should be rewarded and recognised as per the processes in the Performance Management Manual.
  • Any poor performance issues must be dealt with in accordance to the processes in the Performance Management Manual.

Refer to the Performance Management Manual for further information on the performance management process.

7Responsibilities/Delegations

The Office is accountable for developing and implementing effective performance management arrangements in the workplace consistent with Employment Direction (No.26).

Individual and collective accountability is the core of the performance management process and underpins this policy. It is also a specific requirement of the Employment Direction (No.26) relating to Performance Management in the State Service.

The responsibilities of the Chief Operating Officer (COO), EMG, Managers and Employees are outlined in the Performance Management Manual

8Grievances and reviews

Any grievances or disputes that arise during the performance review cycle will be dealt with under the Office’s internal grievance process

If the decision is taken that the employee’s employment is terminated, any dispute will be dealt with by the appropriate industrial tribunal

Other than termination of employment, the employee has rights of review under Section 50 (1) (b) of the State Service Award 2000.

9Sanctions

Any performance issues that result in the recommendation to terminate employment must be dealt with in accordance to the termination procedures outlined in section 8 of Employment Direction No.26 and with reference to the Performance Management Manual.

10Supporting/Related Documents

  • State Service Act 2000
  • State Service Amendment (Performance) Act 2011
  • Employment Direction No. 26 – Managing Performance in the State Service
  • Managing Performance Guidelines for the Tasmanian State Service (SSMO 2012)

11Key Words

  • Performance
  • Performance Review
  • High Achiever
  • Reward and Recognition
  • Poor Performance

12Supporting Procedures/ Guidelines

  • Tasmanian Audit Office Performance Management Manual

RESPONSIBILITIES

Implementation / Executive Management Group
Compliance / All TAO employees
Monitoring and Evaluation / Executive Management Group
Development and/or Review / Executive Management Group
Interpretation and Advice / Executive Management Group

WHO NEEDS TO KNOW THIS POLICY?

All TAO staff

EFFECTIVENESS OF THIS POLICY

Outcomes:

  • Improved employee (including manager) performance and improved quality of service delivery
  • An increase in employee satisfaction with performance management processes
  • An increase in the productivity, outcomes and capabilities of all employees
  • An increase in targeted learning and development of employees
  • An improved ability to manage the performance of employee
  • Compliance with all applicable legislation.

POLICY HISTORY

Policy No. / AAA No X (v.Y)
Approved / Rescinded / Approved
Date / 3/10/2014
Executive Management Team / Signed by Ric DeSanti on behalf of EMG
Signature /
Date of Review / 3rd Oct 2017
Amendment Required / Yes/No
Name of Policy Maker
Title
Signature

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Performance Management Policy
COR 14.0

Appendix 1

/ ANNUAL PERFORMANCE PLAN
DETAILS
Name:
Position:
Period:
Manager:
Date:
Current SOD available for discussion purposes and is attached – Yes/No
PERFORMANCE PLAN
Task and Indicators (linking to business unit plan)
No. / Task / Due Date / Measure / Additional Comments
1.
2.
3.
4.
5.
6.
7.
8. / Demonstrates behaviours in line with Office Values^ / Ongoing / 100%
9. / Meets all competencies as set out in Statement of Duties^ / Ongoing / 100%
10. / Complies with all Office policies and procedures^ / Ongoing / 100%
6 Monthly Review to take place on request of: / Manager Employee
6 MONTHLY REVIEW OF PLAN (optional)
No. / Task / Due Date / Measure / Interim Rating* / Supporting Comments for Rating and Areas for Improvement
1.
2.
3.
4.
5.
6.
7.
8. / Demonstrates behaviours in line with Office Values^ / Ongoing / 100%
9. / Meets all competencies as set out in Statement of Duties^ / Ongoing / 100%
10. / Complies with all Office policies and procedures^ / Ongoing / 100%
FORMAL 12 MONTHLY PERFORMANCE REVIEW
No. / Task / Due Date / Measure / Final Rating* / Supporting Comments for Rating and Identified Areas of Improvement for Next Year’s Performance Plan
1.
2.
3.
4.
5.
6.
7.
8. / Demonstrates behaviours in line with Office Values^ / Ongoing / 100%
9. / Meets all competencies as set out in Statement of Duties^ / Ongoing / 100%
10. / Complies with all Office policies and procedures^ / Ongoing / 100%
*Rating – EE (Exceeding Expectations), ME (Meeting Expectations), AM (Almost Meeting Expectations, NM (Not Meeting Expectations)
^ Items 1-3 are standard performance tasks that are common to all performance plans
COMPETENCIES AND ADVANCED ASSESSMENT
Is the staff member meeting all competencies in relation to the statement of duties? Are there any that require additional effort? Is an advanced assessment point coming up in the next 12 months? If so, discussion around meeting advanced assessment point to occur.
ADDITIONAL DISCUSSIONS BY BOTH MANAGER AND EMPLOYEE (including overall assessment):
SIGNATURES:
Employee Name: / Manager Name:
Initial Plan / 6 Monthly Review / Final 12 Month Review / Initial Plan / 6 Monthly Review / Final 12 Month Review
Signature: / Signature:
Date: / Date:
NON SIGNATURE BY EMPLOYEE (reasons why not)

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Performance Management Policy
COR 14.0

Appendix 1

/ ANNUAL PERFORMANCE PLAN – LEARNING AND DEVELOPMENT
DETAILS
Name: / Position:
Manager: / Date:
LEARNING OR DEVELOPMENT REQUIRED TO MEET PERFORMANCE PLAN - On the Job Training and External Training (Professional and Personal Development)
No. / Type of activity and need to be addressed / Date / Priority
1
2
3
4
5
6
7
8
9
10
APPROVALS:
Employee Name: / Manager Name:
Signature: / Signature:
Date: / Date:
NON APPROVAL BY EMPLOYEE (reasons why not)

** Please ensure that a copy of this form is provided to CSS for recording on the relevant files.

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