Staff Development Procedure – Managing Unsatisfactory Performance: Academic Staff

Parent policy

Staff Development Policy

Preamble

The University is concerned to support staff members in their performance and development by providing the tools and support that will enable staff to reach and maintain expected performance standards within a given period of time. However, the University will take appropriate disciplinary actions where a staff member's performance does not accord with expected standards.

This procedure covers the management of staff where a supervisor is of the view that the staff member's performance is unsatisfactory. In this situation, the supervisor may counsel the staff member in accordance with the requirements of this procedure, including identifying the nature of the improvement required and the time within which reasonable improvement can be expected.  (Supervisors with concerns about the conduct of staff, as opposed to their performance, should refer to Conduct and Compliance Policy and related procedures).

This procedure is based on the principles of procedural fairness and natural justice as set out under clause 50 of the Monash University Enterprise Agreement (Academic and General Staff) 2005 (the “Enterprise Agreement”) and operates in conjunction with the provisions of clauses 51 and 56 of the Enterprise Agreement.

This procedure applies to all continuing and fixed term academic staff employed at Monash University's Australian campuses.

Definitions

Academic performance development plan: a planning template for academic staff to record three-year career and performance plans, strategies, annual achievement indicators and achievements. The template is available on the Human Resources Division web pages.

Counselling: a process in which the supervisor may advise the staff member about aspects of his/her performance that are giving rise to concern. The counselling process is concerned to identify what the issues under advisement are, to examine options for change and to point to ways in which the staff member may improve their performance. The counselling process also provides an opportunity for the staff member to furnish to the supervisor information about aspects of their performance, or about the context or contributing factors that are impacting on their behaviours. Counselling may occur in the context of or arising from the disciplinary process described at clause 51 of the Enterprise Agreement or the performance management process described at clause 56 of the Enterprise Agreement, in accordance with the applicable clause and with relevant University policy and procedures.

Disciplinary actions: actions by the University to discipline a member of academic staff including unsatisfactory performance, misconduct or serious misconduct, and may entail the following measures: formal censure or counseling; demotion by one or more classification level or increments; withholding of an increment; suspension with or without pay; and/or termination of employment as defined by clause 51.2 of the Enterprise Agreement.

Performance standard: a standard established by the supervisor with the staff member which has clear and defined criteria for performance that are measurable, and which may be either qualitative or quantitative or a mixture of both.

Representative: a person chosen by the staff member, to assist them during a disciplinary process and who is not a practicing barrister or solicitor as defined under clause 3.6 of the Enterprise Agreement.

Unsatisfactory performance report: a report issued by the supervisor and prepared after counselling and after, in the opinion of the supervisor, performance has not improved to a satisfactory level. An unsatisfactory performance report is provided to the relevant dean and the Vice-Chancellor and must state clearly the aspects of performance or conduct seen as unsatisfactory and record any attempts to remedy the issues. In preparing the report the supervisor should have referenced and as appropriate incorporated relevant excerpts from performance development reports.

Unsatisfactory Performance Review Committee: a committee formed when a staff member requests a review of the Vice-Chancellor's decision to take disciplinary action. The committee is composed of a staff representative, a representative of the University's management and an independent ‘chair' nominated by the Vice-Chancellor, as defined under clauses 51.14-51.16 and 12 of the Enterprise Agreement.

1. Planning for performance improvement

Where, in the opinion of the supervisor, a staff member's performance is regarded as unsatisfactory the supervisor will arrange for a counselling discussion with the staff member.

The focus of the discussion will concern how the staff member is to achieve the standard expected and by when and what resources may be available to assist the individual to meet the standards.  The counselling will also confirm that the staff member may be subject to further disciplinary action where the staff member does not meet the required performance standard.

The supervisor may direct the staff member to appropriate professional development to assist with improving performance.

The staff member is able to ask questions of the supervisor, provide information about his/her performance, including mitigating factors and to be able to request assistance in meeting standards where such assistance is available and suitable for the purpose.

At the end of the counselling discussion the staff member should have a clear understanding of:

• her/his performance (as assessed by his/her supervisor);
• how it is failing to reach the required standard;
• what is required of him/her to meet the standard; and
• the set period of time in which their performance must improve. 

The supervisor will keep a record of the counselling given and provide a copy to the staff member. In addition, the supervisor will ensure that relevant goals, strategies and achievement indicators are reflected in the staff member's performance development plan.

2. Reviewing progress

Following the counselling discussions the supervisor will monitor the staff member's performance and will keep the staff member informed about how they are progressing in meeting the required standard.  The supervisor may inform the staff member that he/she is meeting the required standard and maintaining it, or is making progress toward meeting the required standard after an agreed period and then maintaining it.

The supervisor will provide feedback to the staff member when he or she has met and continues to meet the required standard.

3. Further disciplinary action

The supervisor will discuss the possible requirement for further disciplinary action with the head of department/school if the supervisor considers that no substantial improvement has occurred and that the required standard of performance has still not been achieved following any further advice that they have given to the staff member.

Where the supervisor is the head of department/school, the supervisor will discuss the matter with the dean, or appointed deputy dean/associate dean.

Where the supervisor believes that counselling has not produced the desired improvements in performance, the supervisor and the head of department/school will prepare a formal unsatisfactory performance report that will be submitted, circulated and considered in accordance with clauses 51.6, 51.7 and 51.9 of the Enterprise Agreement.

The staff member will be provided with a copy of the report and be given 10 working days to provide a written response to the report to the dean and to the Vice-Chancellor.

Upon receipt of an unsatisfactory performance report and any written response from the staff member, the Vice-Chancellor will satisfy himself/herself that appropriate steps have been taken by the supervisor and may make such further enquiries as the Vice-Chancellor considers reasonable and appropriate to determine if disciplinary action should be imposed.

Any decision regarding further disciplinary action will be in accordance with clauses 51.12 and 51.13 of the Enterprise Agreement.

4. Unsatisfactory Performance Review Committee

If the Vice-Chancellor decides to take disciplinary action, a staff member may, within five working days from the date of the Vice-Chancellor's written advice, make a written request for a review of the Vice-Chancellor's decision by an Unsatisfactory Performance Review Committee.

The Unsatisfactory Performance Review Committee must be convened forthwith and is required to report to the Vice-Chancellor and the staff member on whether the required process has been followed.

If the Unsatisfactory Performance Review Committee concludes that the required process was not properly followed, the Vice-Chancellor will reconsider his/her decision but may first take such steps to remedy the perceived unfairness as may seem reasonable to him/her.

If the Vice-Chancellor, upon reconsidering his/her position is of the view that:

• there has been no unsatisfactory performance, he/she will advise the staff member in writing and rescind the disciplinary action; and
• there has been unsatisfactory performance, he/she will forthwith advise the staff member in writing confirming the disciplinary action.

Refer to clauses 51.14-51.17 of the Enterprise Agreement.

Responsibilities

Staff member

Staff members have a responsibility to perform their work to a standard that is acceptable to their supervisors and which conforms with the accepted work performance policies, objectives, and accountabilities of the work units in which they are engaged.

Where staff members are deemed to not be performing to the accepted standard they have a responsibility to:

• use their best endeavours to quickly reach and maintain the standard;
• appraise their supervisor of any matters that are affecting their ability to perform to an acceptable level; and
• participate fully in any remedial measures that the University considers are suitable in assisting the staff member to attain and maintain acceptable work performance standards. 

Supervisor

The supervisor is accountable to the University for:

• the performance and conduct of those whom they supervise; and
• ensuring that the staff member understands the standards of performance that apply to the work that they are given.

Where a staff member's performance is not to the standards that have been set the supervisor has a responsibility to:

• inform the staff member of this as soon as it is practicable to do so and to discuss with the staff member in a counselling session why performance is not to standard;
• work with the staff member to determine what the issues are and the remedial actions required to quickly improve performance to the acceptable level within a specified timeframe; and
• ensure that the resources and remedial measures that have been identified as being a part of the improvement program are accessible to the staff member in a timely fashion.

Where the staff member persists in not meeting the standards of performance expected by the University, or is not moving satisfactorily towards meeting those standards, the supervisor has a responsibility for advising the staff member about the possible sanctions that may apply if the staff member does not meet expected standards.

If, following counseling, the staff member's performance is not meeting expected standards, or is not moving satisfactorily towards meeting those standards, the supervisor has a responsibility to provide information to the head of the department/school about the failure of the staff member to meet the standards and to provide whatever contextual information that the head of department/school requires to examine the matter and issues involved.

The supervisor also has a responsibility to advise the head of department immediately when he/she considers that serious misconduct has arisen.

The head of department/school

The head of department/school is responsible for:

• reviewing the issues and facts after an allegation of failure to meet performance standards has been made by the supervisor;
• ensuring that the supervisor has followed procedures, including counselling;
• ensuring that any report for the Vice-Chancellor examines the facts and provides information and recommendations about what actions are appropriate; and
• providing a copy of the report to the staff member who is the subject of the report.

The Vice-Chancellor

The Vice-Chancellor is responsible for the discharge of his/her obligations under clause 51 of the Enterprise Agreement.

Related procedures

Staff Development Procedure – Performance Development Process: Academic Staff

Related Enterprise Agreement Clauses

Monash University Enterprise Agreement (Academic and General Staff) 2005, clauses 3.6, 12, 50, 51, 55 and 56

Related Documents

Conduct and Compliance Policy

Related Forms

Academic Staff Performance Development Plan