Manual of Policies and Procedures

B/9.3 Performance planning and review for senior staff

Contact Officer

Associate Director, Human Resources (Workplace Relations)

Approval Date

02/12/2014

Approval Authority

Council

Date of Next Review

01/12/2015

9.3.1 Application
9.3.2 Performance Planning and Review for senior staff (PPR-SS)
9.3.3 Objectives
9.3.4 Roles and responsibilities
9.3.5 The PPR-SS cycle
9.3.6 Performance planning
9.3.7 Annual performance review
9.3.8 Performance Pay Committee
9.3.9 Chancellor's Committe
9.3.10 Survey feedback on leadership performance
9.3.11 Renewal of fixed-term appointments
9.3.12 Performance agreement documentation
9.3.13 Resolution of disputes arising from performance planning and review discussions
9.3.14 Review of movement within a total remuneration range decisions
9.3.15 Social justice
9.3.16 Training for PPR-SS
Related Documents
Modification History

9.3.1 Application

Performance Planning and Review - Senior Staff (PPR-SS) applies to the following categories of staff:

  • all positions classified at senior staff group (SSG) levels SSGA-SSGE
  • Vice-Chancellor and President.

Top

9.3.2 Performance Planning and Review for Senior Staff (PPR-SS)

The Performance Planning and Review - Senior Staff (PPR-SS) cycle features a series of formal discussions between senior staff and their supervisors with the aim to plan and review performance on an annual basis. A performance pay scheme was incorporated into the PPR-SS scheme from 2000.

The formal PPR-SS discussions will involve the following:

  • performance agreements for each twelve-month period which are negotiated and agreed upon
  • development plans for each twelve-month period to assist in the achievement of work performance and career-related goals negotiated and agreed upon
  • a performance review where a senior staff member and supervisor confer on the degree to which agreed responsibilities and performance indicators in the performance agreement have been achieved
  • a recommendation by the supervisor on the senior staff member's overall level of performance during the PPR-SS cycle, and
  • a. a recommendation on the amount of movement if the senior staff member is within the total remuneration range for their classification level and the performance is deemed to be satisfactory or above (B/7.14.2(c))
    b. a recommendation on the percentage of performance bonus where performance is deemed to be above satisfactory

  • a recommendation, where appropriate, for the renewal of a fixed-term appointment.

Recommendations for movement that are higher than the total remuneration range must be approved by the Vice-Chancellor and President.

Top 

9.3.3 Objectives

(a) Performance objectives

The PPR-SS process has the following performance objectives:

  • to promote sound communication channels at upper management levels
  • to align senior staff member's performance expectations with University and unit level strategic and operational priorities
  • to provide regular forums for feedback and to provide opportunities for senior staff to identify career options and plans
  • to determine the development needs of the senior staff group and provide a mechanism for the continuous development of this group
  • to provide a mechanism to review performance in terms of mutually agreed expectations and to link the development of senior staff members to University-wide and faculty/divisional objectives and initiatives.

(b) Performance pay objectives

The PPR-SS process has the following performance pay objectives (B/7.14.3):

  • to provide the capacity to recognise and reward enhanced levels of achievement
  • to establish clear linkages between planning, performance agreements and remuneration outcomes
  • to promote greater supervisor involvement in the salary remuneration setting process
  • to support the development of a performance culture at QUT.

Top

9.3.4 Roles and responsibilities

(a) Senior staff member

The PPR-SS process is a participative process in which the senior staff member and supervisor share the responsibility for the development and the review of the performance agreement. This requires the senior staff member to participate actively in the planning and development of performance objectives and the criteria used for reviewing these objectives.

(b) Supervisor

The supervisor refers to the officer to whom the position reports. In addition to being responsible for initiating and maintaining the PPR-SS process, the supervisor is required to:

  • determine, together with the senior staff member, performance objectives and the criteria to be used in assessing these objectives
  • review the performance of the senior staff member in line with set criteria
  • make a recommendation to the authorising officer on movement for those senior staff (SSGA-SSGE) within a total remuneration range
  • make a recommendation to the authorising officer on performance bonus for senior staff
  • make a recommendation, where appropriate, to the authorising officer, on renewal of a fixed-term appointment.

In relation to the Vice-Chancellor and President, the Chancellor is responsible for undertaking the role of supervisor and making recommendations direct to Chancellor's Committee.

(c) Authorising Officer

The authorising officer is the head of an organisational area, usually the Executive Dean of Faculty/Institute Director/Head of Division or otherwise nominated officer.

The responsibilities of the authorising officer are to:

  • consider recommendations from the supervisor and determine the amount of movement within a total remuneration range for eligible senior staff
  • consider recommendations from the supervisor and determine the amount of performance bonus and forward recommendation to the Performance Pay Committee (SSGA-SSGE) or Chancellor's Committee (SSGE) as appropriate
  • oversee the supervisor's responsibilities with respect to the PPR-SS process
  • facilitate the early resolution of disputes regarding performance, planning and review discussions
  • facilitate the review of movement within a total remuneration range decisions when appropriate.

(d) Performance Pay Committee (for eligible senior staff SSGA-SSGE)

The central role of the Performance Pay Committee is to consider recommendations and make annual determinations on the level of performance bonuses for eligible senior staff (SSGA-SSGE, excluding the Vice-Chancellor and President's direct reports in the SSGE range). The Committee also has a role in reviewing decisions on movement within a total remuneration range for senior staff (SSGA-SSGE, excluding the Vice-Chancellor and President's direct reports in SSGE range) as and when required.

(e) Chancellor's Committee (for the Vice-Chancellor and President and the Vice-Chancellor and President's direct reports in SSGE range)

Chancellor's Committee considers recommendations and makes annual determinations on the level of performance bonuses for the Vice-Chancellor and President and the Vice-Chancellor and President's eligible senior staff direct reports in SSGE range.

Top

9.3.5 The PPR-SS cycle

The elements of the PPR-SS cycle comprise:

  1. Initiating the process
  2. Performance planning meeting
  3. Negotiating performance agreement
  4. Intermediate review (optional)
  5. Annual performance review
  6. Subsequent decision / actions

Regular intermediate reviews can occur if requested by the senior staff member being reviewed (for example, if the priorities or expectations were changing) or by the supervisor (for example, the reviewee is on probation, or if a problem regarding performance has been identified).

The PPR-SS cycle will apply uniformly to all participating in the scheme as follows:

Categories of Staff PPR-SS Stages Timing
  • Senior staff SSGA-SSGE
  • Vice-Chancellor and President
Performance planning includes negotiation of performance agreement January or February of each year
  • Senior staff SSGA-SSGE
  • Vice-Chancellor and President
Intermediate review (optional) March to December of each year
  • Senior staff SSGA-SSGE
  • Vice-Chancellor and President
Annual performance review meeting January to February of each year
  • Senior staff SSGA-SSGE only
Movement within a total remuneration range decision as part of annual review Decision within a month of annual Performance Review meeting
  • Senior staff SSGA-SSGE
  • Vice-Chancellor and President

Performance bonus process

Determination of performance bonus

March of each year

April of each year

Top

9.3.6 Performance planning

Performance planning initiates the PPR-SS cycle and involves senior staff and their supervisors negotiating and finalising a performance agreement for the PPR-SS cycle. It includes negotiating a development plan to help meet agreed objectives for the next twelve-month period.

Supervisors and senior staff need to determine a suitable process of meetings to develop and agree upon the performance agreement.

A suggested process for performance planning is available on the Human Resources website.

Top

9.3.7 Annual performance review

Progress towards performance plans will (at a minimum) be reviewed annually. More frequent performance reviews may be beneficial in some instances, especially where a senior staff member is in a new position or where priorities are changing rapidly.

The period of review for the purpose of the annual performance review and performance pay is the previous calendar year.

Annual performance reviews address the following issues:

  • discuss progress towards agreed achievements or outcomes
  • review and update performance agreements to account for changing work priorities or changes in resources
  • review and update development plans
  • provide opportunity for structured feedback
  • inform recommendations on movement for those senior staff (SSGA-SSGE) at a remuneration point within a total remuneration range (B/7.14.2(c))
  • inform recommendations on the percentage of performance bonus for senior staff (SSGA-SSGE) and Vice-Chancellor and President (B/7.14.3(b))
  • inform recommendations to the relevant authorising officer, where appropriate, on renewal of fixed-term appointments.

Items to be discussed in any annual performance review meeting between the senior staff member and their supervisor will typically include the following:

  • the senior staff member's specific performance achievements as a senior staff member to date
  • the senior staff member's and the University's priorities for the next twelve-month period and the indicators by which the achievement of these priorities will be assessed
  • the senior staff member's tentative plans for the future (for example, long service leave, a further appointment, new role, retirement, return to substantive position)
  • discussion and identification of any development priorities for the senior staff member in line with the above demands.

Following the completion of the annual performance review the supervisor and senior staff member should sign the completed document.

Where performance is assessed by the supervisor as less than satisfactory, the supervisor will indicate this on the PPR-SS Action form and pursue with the staff member the recommended strategies as outlined in the Managing Unsatisfactory Performance policy (B/9.5).

Top

9.3.8 Performance Pay Committee

The Performance Pay Committee comprises the Vice-Chancellor and President, the Provost, and the Vice-President (Administration) and Registrar.

The Performance Pay Committee's role is to:

  • consider recommendations from the authorising officers on performance bonus for senior staff (SSGA-SSGE, excluding the Vice-Chancellor and President's direct reports in SSGE range)
  • decide on the performance bonus available to eligible senior staff members
  • consider the awarding of performance bonus in exceptional circumstances under B/7.14.3(c), and
  • review decisions from the authorising officers on movement within a total remuneration range for senior staff (SSGA-SSGE, excluding the Vice-Chancellor and President's direct reports in SSGE range) as necessary.

The Committee will consider all recommendations on performance bonus for the senior staff group in light of individual achievement, corporate achievements for the preceding twelve month period, affordability, parity across the senior staff group, as well as any other relevant information such as reclassification of a position.

Top

9.3.9 Chancellor's Committee

The Chancellor's Committee (A/3.4) role is to:

  • consider recommendations and make annual determinations on the level of performance bonuses for the Vice-Chancellor and President, and the Vice-Chancellor and President's direct reports in SSGE range, and
  • consider the awarding of performance bonus in exceptional circumstances to eligible senior staff (SSGE) under B/7.14.3(c).

The Committee will advise supervisors of its decision. There will be no further review of the supervisor's recommendation to the Committee.

Top

9.3.10 Survey feedback on leadership performance

Senior staff members with supervisory responsibility are required to undertake a Quality Leadership Profile (QLP) as part of PPR-SS. The QLP should be utilised twice in a five-year period (e.g. in the case of fixed-term staff, two years into a contract and in the fourth year prior to review). The QLP helps inform performance planning and review discussions at the appropriate times. The Human Resources Department coordinates the QLP process. Senior staff members should contact the Manager, Organisational Development for further information on QLP.

Top

9.3.11 Renewal of fixed-term appointments

A senior staff member may or may not be appointed for an additional term of office in the senior staff position when their fixed-term appointment expires.

At least six months prior to expiration of a fixed-term appointment (or three months for fixed-term contracts of three years or less), the Director, Human Resources will write to the senior staff member seeking advice as to whether the senior staff member is seeking a renewal of their contract. The senior staff member will provide this written advice to the Director, Human Resources within three weeks.

Where a senior staff member seeks a further appointment, the Executive Director, Human Resources will request from the supervisor a recommendation to the authorising officer regarding the offer of a further appointment. The recommendation will be based upon the needs of the University and the on-going performance achievements of the senior staff member during the fixed-term appointment, with specific reference to documentation arising from the annual performance review meeting conducted with the staff member. Where necessary, the supervisor may need to meet with the senior staff member to gather additional information in support of the final recommendation.

In some instances the timing of the fixed-term appointment renewal process may not coincide with the PPR-SS cycle. In such cases the supervisor should be aware ahead of time, of the fixed-term appointment end date and take this into consideration when completing the PPR-SS process.

Renewal of fixed-term appointments are approved as follows (Appendix 3 Schedule of Authorities and Delegations):

  • SSGA-SSGB - Executive Deans of Faculty/Institute Directors/Heads of Division
  • SSGC-SSGE - Vice-Chancellor and President (with Head of School appointments via the Provost to the Vice-Chancellor and President)
  • Vice-Chancellor and President - QUT Council

Top

9.3.12 Performance agreement documentation

At the completion of a PPR-SS cycle, the Performance Agreement and PPR-SS Action form will be filed on the appropriate file in the Human Resources Department.

Aggregated development data sourced from personal development plans may be made available upon request to organisers of the QUT Senior Management Development Program within the Human Resources Department.

Top

9.3.13 Resolution of disputes arising from performance planning and review discussions

In the situation where a negotiated performance agreement is not forthcoming in discussions between the supervisor and senior staff member, either party may seek the assistance of the supervisor's manager to help reach a mutually acceptable performance agreement. The supervisor's manager may meet with either or both parties to clarify and resolve the issues. QUT Council acts as the final board of review for disputes arising from the PPR-SS scheme.

Top

9.3.14 Review of movement within a total remuneration range decisions

Where a staff member has concerns regarding the process undertaken by the supervisor to assess performance and/or perceives bias in the decision on movement within a total remuneration range, the following process will apply.

Step 1: The senior staff member will notify their supervisor of their concerns and an attempt will be made to resolve the matter.

Step 2: If an attempt to resolve the matter at the local level has already been made and a resolution has not been achieved, the matter will be referred to the supervisor's manager as appropriate.

Step 3: If the issue remains unresolved the matter will be referred to the relevant Committee (B/9.3.8 and B/9.3.9). The senior staff member will indicate in writing to the Committee the grounds for the decision to be reviewed. The Committee will advise its decision, in writing, to all parties involved. Where a member of the Committee has been involved in the process outlined in Steps 1 and 2 above, the Committee member will be absented from the Committee. The Committee's decision will be final.

Top

9.3.15 Social justice

All aspects of PPR-SS shall be consistent with QUT's social justice policies (A/8).

Top

9.3.16 Training for PPR-SS

The University will provide to supervisors and senior staff members training or briefings relevant to all aspects of PPR-SS.

Top

Related Documents

MOPP A/3.4 Chancellor's Committee charter

MOPP A/8 Social justice

MOPP B/7.14 Remuneration for senior staff

MOPP B/9.5 Managing unsatisfactory performance - senior staff

Appendix 3 Schedule of Authorities and Delegations

Top

Modification History

Date Sections Source Details
02.12.14 All Vice-Chancellor Revised policy to reflect changes to the SSG levels, remove the PPR process to the HR website, and move section B/9.3.7 Performance pay to new policy B/7.14 Remuneration for senior staff

17.05.06

B/9.3.10

Human Resources Department

Updated policy consistent with Schedule of Authorities and Delegations (approval and confirmation of appointments at SSG levels)

06.07.05 B/9.3.7, B/9.3.8 Vice-Chancellor Revised to reflect provisions of the Certified Agreement Senior Staff (2005 - 2008)
04.03.05 B/9.3.7 Vice-Chancellor Minor editorial amendment relating to reporting on performance of organisational units
02.06.04 B/9.3.1, B/9.3.3, B/9.3.4, B/9.3.6, B/9.3.7, B/9.3.8, B/9.3.10 Council Revised policy to include new process for bonus pay for senior staff (endorsed by Chancellor's Committee 21.04.04)
24.06.03 B/9.3.1, B/9.3.4 Vice-Chancellor Revised in accordance with new policy regarding faculty research centre director appointments (SSG1-SSG6)
29.11.02 B/9.3.7, B/9.3.8 Vice-Chancellor Revised policy (endorsed by Chancellor's Committee)
14.02.02 All Vice-Chancellor Revised policy in accordance with Certified Agreement for Senior Staff 2002-2004 (Clause 11)
08.12.99 All Council Updated

Top