Performance and Development Guidelines – Executive Officers

Last updated 24 August 2017

CONTENTSIntroduction................................................................................................................................................................... 2

Context and Rationale................................................................................................................................................. 2

Who is this policy for?..................................................................................................................................................2

EO Performance and Development process...............................................................................................................2

Executive Officer development....................................................................................................................................2

EO Performance and Development and DET Values.................................................................................................3

Executive Development Plan.......................................................................................................................................4

EO Performance and Development Cycle...................................................................................................................5

Overview...................................................................................................................................................................... 5

Overall Summary: Developing an EO Performance and Development Plan (PDP)....................................................5

Performance mid cycle reviews...................................................................................................................................5

Performance Assessment - end of cycle review..........................................................................................................6

Underperformance....................................................................................................................................................... 6

Managing underperformance......................................................................................................................................6

Governance framework: Responsibilities and delegations......................................................................................7

Secretary/Executive Board..........................................................................................................................................7

Deputy Secretaries......................................................................................................................................................7

Managers (Deputy Secretaries and Executive Directors)............................................................................................7

Executive Officers........................................................................................................................................................7

Deputy Secretary People and Executive Services Group (PESG)..............................................................................7

Governance structure.................................................................................................................................................. 8

Further Assistance........................................................................................................................................................8

References..................................................................................................................................................................... 8

Performance and Development Guidelines – Executive Officers 1

IntroductionThe following guidelines outline the Department of Education and Training’s (DET) performance and development arrangements for Executive Officers (EO). These arrangements are implemented as the Executive Officer (EO) Performance and Development Process.

CONTEXT AND RATIONALE

The EO Performance and Development Process is designed to align leadership and performance management and development across all sections of the Department, ensuring consistency in approach across DET. It focuses performance and development on key departmental priorities, as well as supporting individual achievements.

The role of the Department’s leadership is to deliver on strategy as well as build organisational and employee capability and productivity. The EO Performance and Development Process connects individual performance with expectations for leaders as performance coaches for their teams, and incorporates a renewed focus on learning and development. It promotes and measures the leadership practice required to achieve results, build capability and enable structured career planning at the executive level.

WHO IS THIS POLICY FOR?

These guidelines apply to DET’s Executive Officers. The conditions of Executive Officer employment including performance management principles are specified in Executive Contracts and the Victorian Public Service Executive Employment Handbook, in Departmental circulars and in policies relating to performance management.

All EOs are required to participate in the EO Performance and Development Process.

EO PERFORMANCE AND DEVELOPMENT PROCESS

Effective performance and development provides a continuous process of planning, acting, reviewing and improving individual and organisational performance to ensure the delivery of strategic priorities.

The EO Performance and Development Process links individual goals and achievements with the Department’s strategic priorities. The process enables effective completion of the Department’s strategy through:

clarifying business strategies to ensure a consistent understanding of priorities aligning accountabilities through the organisation confirming the capabilities required to deliver successful outcomes establishing an effective performance review process, utilising consistent measurements providing continuous improvement and learning to take place

EXECUTIVE OFFICER DEVELOPMENT

DET’s Executive Officer Development program is aligned to the DET Leadership Charter and the DET Leadership Capability Framework. Together these provide the foundation for leadership in the Department.

The Executive Development Plan contained in the process is based on the Leadership Capability Framework. This enables EOs to focus their development on the specific Capabilities and behaviours needed to lead and deliver on the Department’s strategy and build a more effective and capable leadership group.

The EO Development Plan is supported through a “Continuous Professional Development” (CPD) system which focuses leadership development on goals and activities that are relevant the Leadership capability Framework.

The CPD system is the accrual of points for undertaking development activities based on the Experience (70%) Exposure (20%) Education (10%) model. It ensures EOs have development plans in place that are current, focused on expected leadership capabilities and incorporate relevant development activities. All EOs are encouraged to accrue 25 points per performance year.

The benefits of the CPD system are: stronger engagement in ongoing development to support career goals structured and focused development planning a broader focus on experiential development activities to enable you to hone your leadership practice.

Performance and Development Guidelines – Executive Officers 2

EO PERFORMANCE AND DEVELOPMENT AND DET VALUES

The EO Performance and Development Process is designed to enable an evaluation of the balance between what is achieved and how it is achieved (see Figure 2). As a result, it is a key lever in delivering DET’s aspirational performance culture through providing feedback on how well each EO demonstrates the DET Values, and in holding them accountable for embedding these in their business areas.

Figure 2: The role the EO Performance and Development Process plays in driving the ‘what’ and the ‘how’ of strategy execution (Rogers, 2004).

Performance and Development Guidelines – Executive Officers 3

EXECUTIVE DEVELOPMENT PLAN

The Executive Development Plan contains agreed development objectives, actions and outcomes reflecting the capabilities required to deliver on PDP outcomes. It provides a structured approach to ensuring development activities are current, based on the DET Leadership capability Framework and Leadership Charter, and contain relevant activities.

There should be a maximum of four development objectives at any one time to ensure the Executive Development Plan is maneageble. Objectives may be updated over the Performance and Development cycle as they are acihieved (see Figure 3).

Figure 3: Executive Development Plan and Development Process

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Executive Officer PDP

Executive Development

Executive Officer coaching as required

Formal leadership development programs

as required

Continuous evaluation of progress (formal and /or

informal mechanisms)

EO Performance and Development Cycle OVERVIEW EO’s and their managers complete the annual Performance and Development Process through five stages, as

shown in Figure 4: developing, agreeing and signing off the annual Performance plan aligned to the Department’s strategy and the Group’s annual business plan

developing and agreeing the annual Executive Development Plan including the support required for undertaking development activities

conducting the mid cycle EO Performance and Development Review

Figure 4: The EO Performance and Development Cycle

OVERALL SUMMARY: DEVELOPING AN EO PERFORMANCE AND DEVELOPMENT PLAN (PDP) At the start of the performance cycle, each Manager and EO Plan and agree the EO’s PDP. Clear criteria for

success are also agreed to ensure the EO has clarity of, and commitment to, performance expectations. The Executive Development Plan should have a maximum of four development objectives. Objectives may be

updated over the PDP cycle as they are achieved Once finalised and agreed, the EO cascades their PDP to the management level below or direct reports. This

ensures accountabilities are set at the appropriate level, and enables the EO’s direct reports to set work plans for their teams which are connected to the EO’s PDP.

The PDP is reviewed regularly during the cycle to ensure continued relevance, and any necessary updates made. During formal performance reviews, the Manager and the EO discuss the evidence for the achievement of agreed performance outcomes, as well as the outcomes of the EO’s Development Plan.

PERFORMANCE MID CYCLE REVIEWS

The EO Performance and Development arrangements provide for two formal review meetings to be held between EOs and their managers during the cycle. One of these meetings is held mid cycle to allow for performance to be reviewed against the agreed PDP and where necessary, adjustments to be made to assist the EO toward a more effective attainment of goals and objectives, professional development and/or revision of the Plan. The Performance and Development Process provides for written comments at the mid cycle and end of cycle stages against the achievement of the objectives in each of the four leadership domains.

The mid-cycle review is an opportunity to:

review the currency of the PDP review the progress made to date in the PDP

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Group Business PlanningAugust -

September

EO PDP Developed and

AgreedAugust -

September

EO PDPImplemented

Mid-cyclePerformance

ReviewDecember -

January

End of CyclePerformance

ReviewJune - July

consider any issues arising from the PDP’s implementation review the implementation of the EO Development Plan.

A mid-cycle review provides an opportunity for a constructive discussion and for the Manager to provide feedback on performance and any suggestions for performance improvement if required.

The reasons for the mid-cycle assessment outcomes are discussed with the EO and constructive feedback provided to clarify the behaviours. The outcomes of this discussion are recorded in the EO’s review as indicative until moderated by Executive Board.

PERFORMANCE ASSESSMENT- END OF CYCLE REVIEW

The EO Performance and Development Process is designed to give helpful feedback to the EO and encourages the Manager to give constructive coaching and feedback throughout the performance cycle. EOs are encouraged to ask for feedback on their performance and development from direct reports, peers, and stakeholders to bring as evidence to the end-of-cycle performance review discussion.

Note: The process for rating EO performance is yet to be determined and will be made available to mangers and EO’s prior to the end-of-cycle review.

UNDERPERFORMANCE

Underperformance occurs where an EO does not meet the required standards of performance as set out in their position description and the PDP to the minimum level. Underperformance and unsatisfactory performance may refer to similar poor work performance. However, unsatisfactory performance refers to sustained poor work performance and/or practices which have not been able to be corrected through performance management strategies and which fall below the minimum standards of performance required of the role.

MANAGING UNDERPERFORMANCE

Where an EO’s performance has been unsatisfactory rather than merely underperformance, the use of the Underperformance Policy may not be adequate. The Victorian Public Service Executive Employment Handbook provides the conditions for which an EO’s contract may be terminated for unsatisfactory performance at Section 9.1.2. This includes if the executive has significantly failed to fulfil the required duties and obligations of the role as outlined in their employment contract; or for reasons of serious misconduct.

Managers should try to ascertain why an EO is not performing to the expectations in the PDP and should discuss the matter with the EO to try to resolve the performance concerns. It is recommended that a summary and outcomes from the discussion be documented in the EOs PDP.

There may be various reasons why an EO underperforms including:

an EO doesn’t know what is expected of them because performance standards are not clear (or have not been set)

there is an inconsistency between the EO’s capabilities and their job, or the EO may not have the knowledge or skills to do the job expected of them

an EO does not know how they are doing because there is no feedback on their performance a lack of personal motivation, low morale in the workplace or poor work environment personal issues such as stress, physical or mental health problems or problems with drugs or alcohol.

The following questions may assist managers and EOs in resolving underperformance issues:

what are the specific instances of underperformance? is the underperformance in terms of quantity, quality or timeliness? does the EO fully understand what he/she was expected to achieve and were the expectations realistic? was the EO aware that his/her performance was not up to standard? does the EO require development or training in order to meet the performance standards satisfactorily? have appropriate training and development opportunities, coaching or counselling been explored fully to manage

the underperformance?

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Where the EO is underperforming both the EO and their manager are responsible to:

identify and discuss the specific areas in the EO’s PDP that are assessed to be as underperformance, and where possible ascertain any contributing or mitigating cause(s)

design an improvement plan with specific and measurable performance measures and agreed outcomes; both the EO and their manager should agree to this plan

monitor improvement – the monitoring period should be between one and three months.

Governance framework: Responsibilities and delegationsSECRETARY/EXECUTIVE BOARD

The Department’s EO Performance and Development arrangements are consistent with the requirements specified by the Department of Premier and Cabinet (DPC) and in the EO Handbook.

The Secretary, together with the Executive Board has the overall responsibility for setting the Department’s strategic objectives, and for the quality assurance of the EO Performance and Development arrangements.

DEPUTY SECRETARIES

Deputy Secretaries are responsible for the implementation of Performance and Development processes for the EOs in their Group including:

overseeing the implementation of the EO PDP for their EOs, ensuring compliance with the requirements of the Performance and Development Process policy and practices

ensuring all EOs have a completed EO PDP monitoring the overall progress and outcomes of the EO Development Plan, ensuring sufficient resources to

implement agreed plans induction in the EO Performance and Development Process for newly appointed EOs in their Group endorsement of the Executive Development Plan for each EO in their Group quality assurance of the indicative EO Performance and Development Process outcome assessments in their

Group moderating the EO Performance and Development Process outcome assessments for their Group.

MANAGERS (DEPUTY SECRETARIES AND EXECUTIVE DIRECTORS)

Managers are responsible for the implementation of the EO Performance and Development Process. This includes:

implementation of the EO Performance and Development Process in the Group, ensuring an agreed PDP is in place for each EO at the commencement of the cycle, and it is reviewed regularly throughout the performance year

providing continuing performance coaching and support to EOs providing valid and reliable outcome assessments for their direct reports ensuring the implementation of each EO’s Executive Development Plan.

EXECUTIVE OFFICERS

All EOs are responsible for the implementation of their Performance and Development Process, including:

participating in the Performance and Development Process consistent with this policy and the associated conditions of employment outlined in employment contracts and the VPS Executive Employment Handbook)

demonstrating and being accountable for their performance as specified in their PDP participating in ongoing Performance and Development reviews and formal performance assessment meetings engaging in agreed professional development as outlined in their PDP.

DEPUTY SECRETARY PEOPLE AND EXECUTIVE SERVICES GROUP (PESG)

In addition to Group accountabilities for performance management, the Deputy Secretary PESG is responsible for providing expert advice, policy recommendations, performance reporting, and EO Performance and Development support to the Secretary.

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The Deputy Secretary PESG is also responsible for supporting EO Performance and Development activities across the Department, ensuring appropriate training and support is provided to enable effective implementation.

GOVERNANCE STRUCTURE The Secretary/Executive Board is the business owner for the Department’s EO Performance and Development

Process. PESG, and specifically the People Division, provides the Secretary/Executive Board with policy advice, reporting,

and proposals for further procedural enhancements. The People Division ensures that the Department’s leadership development initiatives and activities are

effectively linked to leadership development requirements specified in the EO PDPs, and that each Group across the Department receives appropriate business support to effectively implement these.

Further AssistanceFurther information, advice or assistance on any matters related to Executive performance and development is available by:

accessing the A-Z topic list on HRWeb,

using the related topics list; or

contacting Corporate   People   Services

ReferencesRogers, R.W. (2004): Realizing the promise of performance management. DDI Press; Pittsburgh, Penn.

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