WA LINK UP SERVICES
PERFORMANCE MANAGEMENT PROGRAM
SEPTEMBER 2004 CONTENTS Page
Introduction 1 Management of Performance 1 Purpose of performance reviews in a PMP 2 Management by Objectives method of PMP 2 Establishing Performance Standards 3 Appraisers of Performance – Different Models 4 360 ° Feedback Reviews 4 Rating Scales 4 Performance appraisal and the law 5 Why performance appraisal programs fail 5 Requirements for successful PMP 6 Checklist to establish the Performance Management Program 7 Common Goals of Link Up Services in WA 8 Quantifiable Corporate Measures for Link Up Services 9 Corporate Values to be followed by Caseworkers 10 Classification Levels and Pay Scales 11 Job Description Form 14 Individual Performance Measure Worksheet 19 Employee Performance Objectives Agreement 21 Quarterly Performance Appraisal Feedback Worksheet 22 Annual Performance Appraisal Worksheets 24 Introduction
This document is the suggested “Best Practice” Performance Management Program or “PMP” for use by Link Up Services throughout WA.
The PMP manages the setting up of Job Description Forms (“JDF’s”) for Link Up Caseworkers through the Management By Objective Model so that JDF’s are linked to the common Goals of all Link Up Services. The PMP also sets up fair and standardised Performance Management Reviews through the setting of Corporate and Individual Measures of Performance. Further, Classification Levels of Caseworkers are established along with standardised Pay Scales.
The advantage of this Best Practice system is that all Link Up Services in WA will be standardised in their human resources issues and Caseworkers will have much greater clarity as to their work requirements.
This document was completed during Performance Management and JDF Workshop conducted for the Pilbara and Kimberley Link Up Services in South Hedland on 23 and 24 September 2004.
Management of Performance
Research suggests that organisations using PMP’s perform better than those that do not. However, most organisations do not have a formal program and continue to rely on JDF’s alone.
A Performance Management Program benefits both the organisation and the workers whose performance is being appraised. For the organisation, employee appraisal is a management feedback system that provides input that can be used for the entire Human Resource activities.
For the individual, appraisal provides the feedback essential to good performance.
Purpose of performance reviews in a PMP
1. Evaluation of human strategic resources
1 2. Human resource planning 3. Performance based remuneration 4. Identification of future potential 5. Salary review 6. Training and development 7. Motivation in current job 8. Planning future work 9. Evaluation of current performance
Management by Objectives method of a PMP
Management by objectives is a philosophy of management first attributed to and used by Peter Drucker.
It seeks to judge the performance of employees based on their success in achieving the objectives they have established through consultation with their employers.
Performance improvement efforts under Management by Objectives focus on the goals to be achieved by employees rather than the activities or characters they display in connection with their assigned duties.
Management by Objectives is a strategic system involving a cycle that begins with setting the organisation’s common goals and objectives and ultimately returns to that step.
2 Establishing performance standards
Once a PMP is established using Management by Objectives, before any appraisal is conducted, the standards by which performance is to be evaluated should be clearly defined and communicated to the employee.
This document provides those standards or measures that are common to Link Up Services in WA.
Performance Measures will permit organisations to specify and communicate precise information to Caseworkers regarding quality and quantity of output. Therefore, when Performance Measures are written, they should be defined in quantifiable and measurable terms, which the ones in this document are.
Appraisers of performance – Different Models
3 Once the PMP is implemented by the organisation providing the Link Up Service, the model of appraisals of performance has to be established.
Managers and supervisors traditionally have served as appraisers of their workers’ performance.
A popular approach in Australia involves employees being asked to evaluate themselves on a self-appraisal form.
360 ° Feedback Reviews
This document recommends the 360 ° Feedback Review as Best Practice. In this model of appraisal, organisations will attempt to gather work performance data about an employee from as many sources as possible.
A 360 ° feedback review usually requires up to three levels of reviewers – reviewer(s) from the management level, reviewer(s) from a level below the Caseworker and two reviewer(s) from peers – to comment on the Caseworker’s performance over a range of pre-determined Performance Measures. This provides to the Caseworker a fuller picture of his performance as it affects all members of his team.
Rating scales
The use of standardised Goals, JDF’s and Performance Measures that are being appraised along with a rating scale system will avoid, as far as possible, reviewer bias and individuals’ opinions on issues that do not affect the performance being sought.
With any rating method, certain types of errors can arise that should be considered, especially those that do not include carefully developed description of the employee behaviours being rated. Once again, the standardised Goals, Values and Measures avoid this.
Performance appraisal and the Law
Since performance appraisals are used as one basis for Human Resource Management actions, they must meet certain legal requirements.
4 1 Performance appraisals must be job related with performance standards developed through valid job analysis. 2 Employees must be given a copy of their job standards in advance of appraisals. 3 Managers who conduct the appraisal must be able to observe the behaviour they are rating. 4 Supervisors should be trained to use the appraisal form correctly. 5 Appraisals should be discussed openly with employees and counselling or corrective guidance offered to help poor performers improve their performance. 6 An appeals procedure should be established to enable employees to express disagreement with the appraisal.
Why performance appraisal programs fail
The primary culprits are lack of top management support, lack of job relatedness standards, rater bias, too many appraisal forms to complete on each individual and using the program for conflicting purposes. Organisational politics can introduce bias even in fairly administered employee appraisals.
An important principle of performance appraisal is that continuous feedback and employee coaching must be a positive daily activity. The annual or semi-annual performance review should simply be a logical extension of the day-to-day supervision process.
Requirements for successful PMP
If they are to succeed, PMP’s should meet several requirements.
1. Objectives set at each level of the organisation should be quantifiable and measurable for both the long and short term. 2. The expected results must be under the employee’s control and goals must be consistent for each level. 3. Managers and employees must establish specific times when goals are to be reviewed and evaluated.
5 4. Each employee goal statement must be accompanied by a description of how that goal will be accomplished.
6 Checklist to Establish the Performance Management Program
1 Provide existing Caseworkers with a package comprising: Common Goals of Link Up Services in WA Corporate Measures for Link Up Services Corporate Values to be followed by Caseworkers Job Description Form Individual Performance Measures Worksheet.
2 For new applicants provide the same package as above.
3 Discuss and agree the appropriate Classification Level and Pay Scale.
4 Obtain Agreement on JDF and Individual Performance Measures.
5 Sign Employment Agreement, as appropriately and legally drafted encompassing alignment to the Aboriginal Communities and Organisations Award and the State Public Service Classification Levels and Pay Scales.
6 Sign an Employee Performance Objectives Agreement.
7 Schedule Quarterly Feedback Reviews.
8 Schedule Annual Performance Appraisals.
7 Common Goals of Link Up Services in WA
1 To provide a family tracing and reunification service.
2 To provide community information, education and awareness for Aboriginal and Non Aboriginal people affected by the Stolen Generation, at least once a quarter to different geographical locations in the region.
3 To become the central point in the region to provide information about family tracing, reunification, and obtaining of family history documents.
4 To establish networks to channel clients – including inter-generational clients – into an appropriate service to assist in cultural assistance, mental health and other health problems associated with family separation.
5 To develop regional information packages that are appropriate to the region and to deliver understandable and appropriate information.
6 To develop networks of trained people who know how to assist in accessing family tracing services.
8 Quantifiable Corporate Measures for Link Up Services
Each of these Corporate Measures refers to each Common Goal of Link Up Services.
This is how we “know” whether Link Up has succeeded in achieving its Common Goals. + 1 Number of Contacts that may eventuate in a reunion.
2 Number of information sessions held – whether by radio, newspaper articles, public forum, community workshops etc – and the number of people attended or reached.
3 Number of enquiries assisted, divided into the following categories:- Forms collected from Link Up Number of cases where Link Up assisted in completing forms Number of clients helped by Linkup to review FIRB files Number of family histories traced Number of reunions
4 Number of referrals by Linkup to an appropriate service where Link Up has assisted to establish a physical meeting between the appropriate service and the client.
5 Establishment of regional information packages, number distributed, and number of times package was reviewed.
6 Number of support people or organisations in the region who have trained knowledge of how to assist in accessing family tracing services.
9 Corporate Values to be followed by Caseworkers
The following are Link Up Services’ Corporate Values, which must be taken up by Caseworkers.
A copy of these Values is to be attached to the JDF and shown to applicants as they apply for Caseworker positions.
Client Focus – improving service to clients Proactive in interaction with client Quality time with client to develop relationships Provide accurate information and feedback to clients Culturally appropriate protocols Follow up action within acceptable timeframes Unbiased, fair and transparent
Basic employee traits of honesty and integrity Behave honestly and with integrity Act with due care and diligence Treat everyone with respect and courtesy without harassment Comply with all Australian laws Comply with lawful and reasonable direction given by someone in the organisation who has authority to give directions Maintain appropriate confidentiality about casework and the employer organisation Avoid or disclose conflicts of interest
Reflecting local cultural values Learn about, understand and respect local cultural values Respect individuals in accordance with their local custom and traditions
10 Classification Levels and Pay Scales
Employment Conditions
As a result of various factors including the uncertainty of funding beyond 2006, applicability within WA, and other factors, recommended Best Practice is to align employment conditions to the Aboriginal Communities and Organisations Award but use the State Public Service Award 2004 – 2005 General Agreement Salaries.
Pay Scales
Considering the expected responsibilities of a Caseworker the recommended Best Practice in regard to the Pay Scales was to follow the 2004 – 2005 General Agreement Salaries for Level 1 and Specified Callings Level 2 – 4. These are shown below.
Level Annual Salary as at 1 Annual Salary 3.8% Annual Salary 3.6% January 2003 ($ per pay increase from first pay increase from first annum) pay period pay period commencing on or commencing on or after 26 February after 26 February 2004 ($ pa) 2005 ($ pa) Level 1 1.1 27,805 28,862 29,901 1.2 28,661 29,750 30,821 1.3 29,516 30,638 31,741 1.4 30,366 31,520 32,655 1.5 31,222 32,408 33,575 1.6 32,077 33,296 34,495 1.7 33,061 34,317 35,552 1.8 33,741 35,023 36,284 1.9 34,748 36,068 37,366 Level 2-4 1st Year 35,952 37,318 38,661 2nd Year 37,847 39,285 40,699 3rd Year 39,946 41,464 42,957 4th Year 42,571 44,189 45,780 5th Year 46,641 48,413 50,156 6th Year 49,293 51,166 53,008
Travel Allowance
11 Recommended Best Practice for Travel Allowance is also modelled after the State Public Service.
It is expected that the Caseworker be provided with accommodation and travel expenses or reimbursed the cost of reasonable accommodation and travel expenses upon the provision of receipts.
Travel Allowance will be provided for meals on the following rates: -
Travel Allowance for meals Daily Rate WA – South of 26 South Latitude Breakfast 13.30 Lunch 13.30 Dinner 35.80 WA – North of 26 South Latitude Breakfast 14.50 Lunch 23.75 Dinner 33.40 Interstate Breakfast 14.50 Lunch 23.75 Dinner 33.40
To calculate reimbursement for meals for a part of a day, the following should apply: - (a) If departure from headquarters is: Before 8.00 am – 100% of the daily rate 8.00 am or later but prior to 1.00 pm – 90% of daily rate 1.00 pm or later but prior to 6.00 pm – 75% of daily rate 6.00 pm or later – 50% of daily rate. (b) If arrival back at headquarters is: 8.00 am or later but prior to 1.00 pm – 10% of daily rate 1.00 pm or later but prior to 6.00 pm – 25% of daily rate 6.00 pm or later but prior to 11.00 pm – 50% of daily rate 11.00 pm or later – 100% of daily rate.
District Allowance
Recommended Best Practice to be adopted for District Allowance is also based on the state Public Service Award rates.
12 Job Description Form
The recommended Best Practice Job Description Form (JDF) follows on the next page.
The intention is that the JDF describes the work of all Caseworkers whatever their Classification Level. It is their Classification Level that will dictate the level of responsibility they will have in each of their duties.
The JDF also has a column to indicate the percentage of time the position is expected to work on the various duties. In this way, although the JDF is the same for all Caseworkers, the Classification Levels and the percentage of time expected to be spent on each task will differentiate senior Caseworkers from Administrative Assistants, for example.
13 JOB DESCRIPTION FORM
1. POSITION DETAILS
Title:
Holder:
Start Date:
2. KEY RELATIONSHIPS/COMMUNICATIONS
Supervisor:
Positions directly Supervised by Position:
Internal customers:
External customers:
External suppliers:
3. PRIMARY PURPOSE OF THE POSITION
Work within and following the Corporate Values to re-unite families from the Stolen Generation
14 4. SPECIFIC RESPONSIBILITIES % Time The Link Up Caseworker is required to: - Assist Aboriginal people affected by past policies to identify and locate family members. This will involve: Research and investigate from various sources as required. Establish relationships with government, non-government, church and other organisations with relevant records relating to clients. Establish and maintain good relationships with fellow service providers within the region, state and nation.
Assist people directly and indirectly affected by past policies to understand and overcome issues relating to stolen generation people and will include: Identification and referral of clients to appropriate mental health Counsellors or other service providers when necessary. Explain and work through documents that may have unpleasant reports written about family members,
Facilitating reunions for people that have been separated and will include: Finding funds to enable reunions to occur. Arranging travel and accommodation for family reunions. Accompanying people on reunions.
Administration Use of computers and relevant software. Prepare written reports as required, Ensure secure management of all program materials.
Education Run education programs on the effects of past policies at schools and other forums to ensure a broad understanding of the stolen generation. Plan and participate in public forums and education sessions to promote the Link Up Program.
General Travel inter and intra state for work purposes as required (including training, forums and seminars). Attend training as required. Undertake other duties as directed or authorised by the Management Committee, that relates to Link Up issues.
15 5. POSITION REQUIREMENTS Essential 1 Aboriginal is a genuine occupational qualification (Section 50D). 2 Must have a sound knowledge of the removal/separation of Aboriginal people from families. 3 Research and investigation skills. 4 Ability to work without supervision. 5 Ability to maintain a high level of sensitivity and confidentiality 6 Good report-writing ability. 7 An ability to work as an effective member of a team. 8 Advanced communication skills. 9 Availability to travel on work purposes as required. 10 Demonstrated understanding and appreciation of regional Aboriginal people’s language and culture. 11 An unrestricted “A” Class Motor Vehicle Driver’s License. 12 Basic knowledge of operational maintenance of vehicle (checking fluid levels etc) and of local driving conditions (4WD if necessary). Desirable 1 Mid-level computer and internet skills. 2 An understanding of the Equal Opportunities Act and Occupational Health and Safety Principles. 3 Police Clearance – final discretion will be applied by the Management Committee.
6. EQUIPMENT USED (Please complete individually)
7. TRAINING REQUIRED (Please complete individually)
8. AUTHORISATION
16 PREPARED BY:
SIGNATURE:
EMPLOYEE:
SIGNATURE:
DATE:
17 INDIVIDUAL PERFORMANCE MEASURE WORKSHEET
This worksheet is to assist the employee and employer agree on specific Objectives of the position and on the Performance Measures to be used in evaluation.
Objective: 1. To provide family tracing and reunification assistance to clients of the Link Up Service.
Output Performance Measures Mid-term Annual Rating Rating Maintain Contact Files. Complete management of secure files. Generate referrals into the Number of forms filled in. Link Up service, interview of clients
Investigation of the cases Establishment of a network of through contacts Field visits Client contacts Number of field/home visits Identification and undertaken during investigation location of contacts phase. Obtaining agreement between parties Provide client briefing about reunion Organising reunion Number of reunions Funding sourced Organise Number of potential reunions Implement aborted by the parties. Accompany
Debriefing clients post Number of timely/effective reunion debriefs and follow ups conducted. Referral to counselling Number of timely/appropriate referrals to other services.
18 INDIVIDUAL PERFORMANCE MEASURE WORKSHEET
This worksheet is to assist the employee and employer agree on specific Objectives of the position and on the Performance Measures to be used in evaluation.
Objective: 2. To provide community information, education and awareness for Aboriginal and Non Aboriginal people affected by the Stolen Generation, at least once a quarter to different geographical locations in the region.
Output Performance Measures Mid-term Annual Rating Rating Minimum 4 field visits per Number of field visits and diversity annum for education and of their locations. awareness purposes
Develop local regional Packages completed and number information packages of reviews of the packages undertaken.
Number of packages distributed
Organise forums for a range Number of forums organised and of audiences participated in.
Use of media to send out Appearance on radio or in a news the message and broaden article minimum once a month. awareness (radio, newspaper etc)
19 Employee Performance Objectives Agreement
The Individual Performance Measure Worksheets, as negotiated and agreed by both employer and employee are to be attached to this.
The employer agrees to support the employee in obtaining the attached Objectives, Outcomes, and Performance Measures by providing required training, administrative support and other assistance as required/requested.
The employee agrees to work towards achieving the attached Objectives, Outcomes and Performance Measures and in the performance appraisal to be appraised by the attached Performance Measures.
AGREEMENT
EMPLOYER:
SIGNATURE:
EMPLOYEE:
SIGNATURE:
DATE:
20 QUARTERLY PERFORMANCE APPRAISAL FEEDBACK WORKSHEET
This worksheet is used in conjunction with the Annual Performance Appraisal document. The aim is to discuss progress on objectives and performance measures. It may also facilitate an alteration of the job description or performance measures due to change, shift in duties, or program plans.
Job holder: ______
Person Conducting Review ______
Period of Review From / / To / /
1. JOB DESCRIPTION Brief comments on any important changes: ______
2. ANNUAL PERFORMANCE OBJECTIVES After discussion and agreement, note progress on objectives and performance measures and any change (addition / deletion etc.) that may be required. General Comments : ______
ANY CHANGE TO OBJECTIVES NEW OR CHANGED PERFORMANCE PROGRESS RESULT / COMMENTS OBJECTIVES/MEASURES
21 3. COMMENTS ON AREAS OF GENERAL JOB PERFORMANCE (Note specific achievements, special efforts or areas where improvement may be required as a consequence of poor performance). AREA COMMENTS
Service To Clients
General Management of Job Area
Business / Administrative Skills
People Management Skills
Interpersonal Skills
Other Skill Areas
4. CAREER DEVELOPMENT (Note progress towards career plan / training goals and objectives or where objectives may have changed because of new circumstances). COMMENTS:
______
______
______
______a) Career Plan
______
______b) Specific Objectives i)______ii)______
5. SUMMARY ______
22 ______
______
Appraisee ……………………..….….. Appraiser ……………………………… / / This form is to be retained by the Appraising Officer for reference during the Annual Appraisal.
23 ANNUAL PERSONAL PERFORMANCE APPRAISAL PREPARATION WORKSHEET
This worksheet is intended to assist you to prepare for the annual appraisal interview. Completion will help the processes of review of the year past and planning for the future.
Your Appraiser: ______Appraisal Date: ______Date This Worksheet Received ______Appraisal Time ______
JOB DESCRIPTION What major changes have occurred during the past year to the way in which your job is carried out (eg. Responsibilities, equipment, etc)? ______
ANNUAL PERFORMANCE OBJECTIVES Make brief notes on your own assessment of achievement of your Annual Performance Objectives and Measures of the past year. (Give examples and statistics to support your assessment). ______
What are your ideas for your Performance Objectives and Measures for next year? ______
24 ANNUAL PERSONAL PERFORMANCE APPRAISAL PREPARATION WORKSHEET PAGE 2
SELF ASSESSMENT OF GENERAL JOB PERFORMANCE AREAS How do you rate your General Job Performance? Provide examples to support your ratings. (Refer to the Annual Appraisal Document for Appraisal areas). ______
SIGNIFICANT CONTRIBUTIONS Are there any significant contributions you have made to the organisation during the past year (eg. client service, programmes, educational forums)? ______
CAREER PLANNING What steps have you taken during the past year to help you achieve your career plans (short and long term)? ______
Make notes on your ideas for career plan changes and steps to be taken (eg. training, job description expansion) during the coming year. ______
25 ANNUAL PERSONAL PERFORMANCE APPRAISAL – COVER SHEET
It is important to appreciate that Performance Appraisal is a process with two major goals: A. To provide the environment and opportunities for every staff member to develop and achieve their career goals. B. To improve organisational performance and profitability by setting goals and measuring achievements to provide a positive reward system for all staff.
Person being appraised ______
(Job Title) ______
Company ______
Person conducting appraisal ______
(Job Title) ______
Date of appraisal ______
26 ANNUAL PERSONAL PERFORMANCE APPRAISAL
1. JOB DESCRIPTION REVIEW Are there any aspects of the job that have significantly changed in the past year? Make changes to the job description as required. ______Please forward your amended Job Description to Administration.
2. ANNUAL PERFORMANCE OBJECTIVES After discussion, list the agreed performance measures for the coming year. Remember, objectives and measures are specific, measurable, achievable, relevant and time-bounded. ANNUAL PERFORMANCE COMMENTS – Indicate if objectives *RATING MEASURES met exceeded or not met (List in order of importance)
*RATINGS A: Exceeded Objective B: Met Objective C: Did Not Meet Objective
As a result, total achievement is rated A, B or C. A = Exceeded Goals B = Met Goals C = Goals Not Met
27 3. GENERAL JOB PERFORMANCE Assessment of overall job performance as appropriate to the skills and duties as outlines in the Job Description. ASSESSMENT AREAS COMMENTS – Strengths, *RATING weaknesses and suggestions for development i) SERVICE TO CLIENTS The ability to provide excellent service to clients and where appropriate generate further referrals. ii) GENERAL JOB MANAGEMENT The ability to make the general job area function well eg. Deal with problems, few missed deadlines or budget overruns. iii) ADMINISTRATIVE SKILLS The ability to plan, organise, make decisions and schedule staff and/or work duties. iv) PEOPLE MANAGEMENT SKILLS Abilities for team involvement either through team leadership or team commitment skills. v) INTERPERSONAL SKILLS The ability to communicate to all in both verbal and written form. vi) OTHER (Please specify):
*A = Exceeding Job Requirement B = Meeting Job Requirement C = Less than Job Expectation
OVERALL ASSESSMENT: After discussion, the agreed rating of overall job performance (including achievement of performance objectives, general job performance and career development objectives) is: Continually exceeded job requirements = A Usually met job requirements = B Often not meeting job requirements = C
28 4. CAREER DEVELOPMENT a) As a result of discussions, career steps for you within the organisation are: The next step ______Longer term: ______b) This may require some specific development objectives eg. Gaining qualifications, short training courses or placement. Therefore your training objectives for the next 12 months are: i) ______ii) ______iii) ______
5. SUMMARY Summary by Appraiser: (Highlight strengths and weaknesses) ______
Summary by Appraisee: ______
Appraisee …………………….….. Appraiser ……………………………… / /
29 As a result of the Annual Personal Performance Appraisal conducted for ………………………………………………………………………. on / / the following details should be noted for development action:
ANNUAL JOB PERFORMANCE OBJECTIVES RATING:
GENERAL JOB PERFORMANCE RATING:
OVERALL ASSESSMENT RATING:
HAS THERE BEEN ANY CHANGE TO THE JOB DESCRIPTION? Please indicate Yes or No:
REQUESTED NEXT CAREER STEP ______
TRAINING & DEVELOPMENT REQUESTS i)______ii)______iii)______iv)______
OTHER COMMENTS
______
______
______
Appraisee ……………………..….….. Appraiser ……………………………… / /
Filed by Administration: ………………………………………….. / /
THIS DOCUMENT IS CONFIDENTIAL AND
30 SHOULD BE DELIVERED TO THE PERSONNEL MANAGER AFTER APPRAISAL
31