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For Executive Managers Heads of Schools/Branch Heads Supervisors

Managing PerformanceA guide to managing unsatisfactory performance

Table of contents

Purpose of This Guide 1

An Overview of Unsatisfactory Performance 1

Flowchart of the Unsatisfactory Performance Process 2

The Key Steps to Managing Unsatisfactory Performance 3

The First Counselling Session 3

The Second Counselling Session 4

The Third Counselling Session 6

Recommendation to the Deputy Vice-Chancellor /Vice-President 9

Disciplinary Action 9

Appeal 9

Where Can I Get Help? 10

Appendix 1 – Definitions and Glossary of Terms 11

Appendix 2 - Pro-forma: Letter advising of performance counselling 12

Appendix 3 - Pro-forma: Performance counselling script 13

Appendix 4 – Pro-forma: Formal report to the Deputy Vice-Chancellor/Vice-President 15

FeedbackFeedback on the format of this booklet and questions regarding the process should be directed to a Human Resources or Workplace Relations Consultant.

Purpose of the Guide

This Guide aims to provide you (Executive Managers, Heads of School/Branch Heads, Supervisors)

with assistance to successfully managing performance, particularly so you can act appropriately in

circumstances where:

employees need support in order to achieve expected standards of work;

concerns about performance need to be brought to the attention of a staff member;

swift and informal resolution of difficulties is possible;

investigation of unsatisfactory performance is required;

formal disciplinary action is necessary.

The objective of dealing promptly with capability issues is, wherever possible, to raise work

performance to the required standard. In cases where this is not achievable, the aim is, where

possible, to reach agreement with the staff member concerned on a mutually acceptable way

forward, such as redeployment or work reorganisation. Where it is necessary to use formal

processes, including, as a last resort, dismissal, the objective is to do so fairly in accordance with the

University's established processes.

An Overview of Unsatisfactory Performance

Overall, managing performance is a tool to ensure that staff activities and outcomes are congruent

with the University’s and their respective area’s strategic objectives.

Left unattended unsatisfactory performance can result in an individual perceiving that their skill,

knowledge and/or behaviour is acceptable. This then has the potential to create two issues: 1. The

individual does not accept that there is a performance issue (as they are continuing to work as they

always have) and 2. The supervisor will have to dedicate considerably more of his/her or others

resources in to resolving the issue(s). Where there are issues with a staff member’s performance it is

recommended that:

Disciplining staff should be a last resort;

Every effort to resolve instances of unsatisfactory performance are made before escalating the

issue;

Issues are dealt with in an equitable manner;

Instances of possible unsatisfactory performance are dealt with through guidance, counselling,

staff development or appropriate work allocation.

The unsatisfactory performance process cannot be used:

for probationary staff members or casuals;

to deal with staff complaints;

to deal with issues of misconduct or serious misconduct.

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Flowchart of the Unsatisfactory Performance process

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The key steps to managing Unsatisfactory Performance

1. The first counselling session

What the Collective Agreement says . . .

What supervisors should know . . .

The First Counselling SessionThe First Counselling Session provides supervisors with the opportunity to support a staff member in their efforts to improve unsatisfactory performance. It is desirable that performance issues are dealt with promptly. At this stage counselling is normally between the staff member and their supervisor only.

The supervisor should attempt to establish that the staff member’s unsatisfactory performance is not caused by problems of a more personal or non-work related nature that may be better addressed through the Employee Assistance Program or other mechanisms.

The object of the discussion is to inform the staff member in a positive manner of the concerns with their performance. The discussion should provide specific details of the concerns with the staff member’s performance and must identify what they must do to correct the problem. Performance should be discussed with the staff member in the context of their duty statement (professional staff only), classification standard, and the various legislation, codes and policies that they are subject to.

Process requires that the staff member acknowledge their unsatisfactory performance and demonstrate a willingness to attempt to resolve it. If they neither acknowledge the problem nor indicate a willingness to attempt to improve, then the supervisor is not obliged to proceed to the second and third counselling sessions and thus may make a formal report to the Deputy Vice Chancellor/Vice-President (Ref: 45.5).

Should the staff member’s performance improve as a result of the counselling and be maintained for a period of six (6) months the matter is considered closed. If however improvement is insufficient or not sustained the process will proceed to the Second Counselling Session.

Records ManagementThe supervisor should keep record of the discussion pending further action. The Record of First Counselling Session should be provided to the staff member and they should be invited to sign their acknowledgement of having sighted it. The supervisor should provide a copy to the staff member and securely store the record for possible future reference.

What tools and resources are available to assist the supervisor . . .

For specific advice contact a Consulting Services/Workplace Relations Consultant Pro-forma: Letter advising of performance counselling (Appendix 2) Pro-forma: Performance counselling script (Appendix 3) Pro-forma: Unsatisfactory Performance counselling session record, found at

http://www.adelaide.edu.au/hr/leading/unsat_perform.html

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45.1 Principles

45.1.1 A supervisor must take reasonable steps to resolve instances of unsatisfactory performance through guidance, counselling and appropriate staff development, or appropriate work allocation.

45.1.2 If performance improves to a satisfactory level at any stage as detailed in 45.2, 45.3 and 45.4, and is maintained for a period of 6 months then the matter will be considered closed.

45.1.3 All actions of the University in relation to unsatisfactory performance will be in accordance with this Agreement.

45.1.4 Staff have a right to be represented, if they so choose, at any stage during the process.

45.2 First Counselling Session 45.2.1 Where a supervisor is concerned about the performance of a staff member they should have a

discussion with the staff member to provide details of such concerns, the required improvements and the appropriate timeline for addressing the issues. This counselling session must be documented as a record of what was discussed and a copy given to the staff member.

45.2.2 If at this stage or any subsequent stage of the process for dealing with unsatisfactory performance the staff member does not acknowledge that there is a performance problem or is not willing to provide a commitment to improve their performance the supervisor is not obliged to follow 45.3 and



2. The second counselling session

What the Collective Agreement says . . .

What supervisors should know . . .

When the first counselling (Ref: 45.2 – First Counselling Session) of a staff member does not result in the required improvement, then the second counselling session must take place.

Procedural and Substantive Fairness - GeneralAll staff members have a right to procedural fairness in their dealings with the University. To minimise the risk of an allegation of harsh, unjust or unreasonable treatment supervisors should be guided by the following general principles:

There must be a substantial basis for an allegation of poor performance. Staff members should be personally advised of the time and reasons for any meeting to discuss

performance and formal written confirmation promptly provided. Supervisors should avoid acting in any way that may be perceived as officious or unfair. The counselling process must provide the staff member with fair and reasonable treatment. Counselling should take place in a private place and arrangements made to ensure there are no

interruptions. The staff member should be offered the opportunity to have a representative present, if they so

choose. The staff member must be advised that the performance counselling will be conducted in

accordance with the process for Unsatisfactory Performance (The University of Adelaide Collective Agreement 2006-2008 Clause 45).

Discussions should commence with clear statements of the nature of the issue(s). Generalisations must be avoided and any alleged unsatisfactory performance, conduct or behaviour must be clearly identified and be supported with evidence.

The supervisor should ensure that the counselling process allows reasonable discussion of the issue(s) without allowing it to degenerate into argument or debate. The pace should allow time for both parties to fully examine and discuss information, evidence and the facts presented.

Should facts emerge that require further investigation the supervisor may consider adjourning the meeting and reconvening later.

The staff member should be allowed the opportunity to fully respond to all allegations and proper consideration given to explanations provided.

The supervisor must inform the staff member of the reasons for any decision or course of action. The supervisor must ensure that a written record of the meeting is produced and the staff

member provided with a copy. The record will identify:o Those aspects of performance or conduct which must be improved;o The required improvement/remedial action, objectives and performance measures to be

used;o The timeframe for the improvement/remedial action and any formal reviews within that

timeframe;o That the staff member has been informed that the consequence of non-improvement will be

further disciplinary action (i.e. 45.4 – Third Counselling Session).

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45.3 Second Counselling Session

45.3.1 If the performance of the staff member continues to be unsatisfactory following the first counselling session the supervisor will counsel the affected staff member on the improvement required and set a first formal period of review within which a reasonable improvement will be expected.

45.3.2 A record of the counsel will be kept and a copy given to the staff member including a proposed Performance Improvement Plan (PIP), which may provide for training and development and/or mentoring to assist the staff member in improving their performance. The PIP will include the establishment of specific objectives. The staff member will have 10-working days from the date of receipt of the counsel to respond to the supervisor and raise any mitigating circumstances.

45.3.3 On receipt of the response the supervisor will meet with the staff member to discuss the response and review and finalise the PIP. The record of the counsel, the staff member’s response and the final improvement plan will be placed on official record.

Performance CounsellingPerformance counselling can be difficult for all concerned and requires a calm and measured approach by supervisors. Counselling must provide the staff member with procedural fairness and a clear indication of how their performance is unsatisfactory and where improvement is needed. The counselling will be more effective if a positive sense of support for the staff member is conveyed through the process.Supervisors conducting performance counselling are encouraged to use a script to ensure that all elements of the process are properly covered in a logical sequence. The script will also provide formal evidence of the University’s approach to the counselling particularly in the event the issue is escalated for conciliation or arbitration in an external jurisdiction. The Performance Counselling Script template (at appendix 3) provides a logical approach to counselling and will assist in recording the meeting. Records of all meetings with the staff member must be kept and the staff member provided with a copy, whether they choose to acknowledge it or not. In the event that they do not acknowledge the issue(s) raised it is best practice to note this down on the record.

Staff Member Representation and Human Resources InvolvementA staff member has the right to representation, if they so choose, during counselling. It is important when informing a staff member of the requirement for them to attend performance counselling that they are advised of that right.

Counselling is an internal administrative process conducted in accordance with The University of Adelaide Collective Agreement 2006-2008. The role of any representative attending the meeting in support of the staff member allows them to observe the process and to offer support and advice. It is not intended that representatives advocate for the staff member as if in an external arbitration context.

Supervisors may seek advice on process at any stage from Human Resources Consulting and Workplace Relations and should consider requesting the attendance of an HR or Workplace Relations Consultant at any meeting that a representative has been requested to attend.

Performance Improvement PlanA principal outcome of performance counselling is the development of a Performance Improvement Plan (PIP) (refer to Unsatisfactory Performance Counselling Session Record Form) to formally record the specific details of the staff member’s unsatisfactory performance and the required response.

The PIP should be developed in consultation with the staff member and should identify the specific responses required to correct unsatisfactory performance. Required responses may include: performance objectives (e.g. complete all reconciliations according to schedule), training initiatives (e.g. attend customer service training), other arrangements (e.g. engage in a mentoring arrangement).

Training initiatives under the Performance Improvement Plan may be extensive and best identified separately in a Personal Development Plan. It is preferable that training identified in the Personal Development Plan is completed within the term of the Performance Improvement Plan. However, access to training through internal/external providers may be restricted and require completion after the period of the Performance Improvement Plan. Unless completion of specified training within the review period is stipulated in the Performance Improvement Plan, enrolment/attendance/satisfactory progress in a program may be deemed to satisfactorily demonstrate compliance. The Performance Improvement Plan provides a good opportunity to show support for a staff member who is attempting to correct unsatisfactory performance and to develop professionally. The supervisor’s prudent management of the process will assist the staff member to view the process in a more positive way.

Performance Review and Report Back MeetingThe period of the Performance Improvement Plan is termed the Performance Review Period. It is expected that from the review commencement date the staff member will attempt to meet the requirements of the Performance Improvement Plan and that the supervisor will provide progressive feedback. In circumstances where the staff member is either unable or unwilling to meet the requirements of the Plan then it may be brought to an early conclusion.

At the conclusion of the Performance Review Period the supervisor should meet with the staff member and advise whether their performance is now satisfactory. In the event that the staff member’s performance is still not satisfactory the supervisor may consider extending the current period of review or alternatively may advance the process to the next stage of formal performance counselling when other strategies may be discussed (Ref: 45.2 – Second Counselling Session).

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Records ManagementAll documentation (letters, interview scripts, records of interview, performance improvement plans, etc) related to a staff member’s disciplinary action must be maintained on an RMO disciplinary file. Copies of all documentation should be forwarded to Human Resources for inclusion in the file. Two (2) years after the resolution of the performance issue the records will be removed from the staff member’s disciplinary file.

What tools and resources are available to assist the supervisor . . . . . For specific advice contact a Consulting Services/Workplace Relations Consultant Pro-forma: Letter advising of performance counseling (Appendix 2) Pro-forma: Performance counselling script (Appendix 3) Pro-forma: Unsatisfactory Performance counselling session record, found at



3. The third counselling session

What the Collective Agreement says . . . . .

What supervisors should know . . . . .

GeneralIf there is still no improvement following the Second Counselling session (Ref. 45.3), the supervisor should meet with the staff member to further discuss performance issues. The staff member has the option of having a representative present if requested.

Alternatives to the Continuation of Formal CounsellingThe Collective Agreement process for Unsatisfactory Performance allows without prejudice discussion with a staff member about alternatives to the continuation of formal counselling where the supervisor believes that despite best efforts the staff member is unable to meet the performance standard required of them (Ref. 45.4.2). Alternatives for discussion may include:

Transfer or Redeployment to a Position at the Same or Lower ClassificationTransfer or redeployment to a position at the same or lower classification may be discussed with the staff member where it may provide them with the opportunity to perform at a satisfactory level in a less challenging position. This option does not imply management acceptance of a lesser standard of performance, only that a staff member may find satisfactory performance in a lower classified position better fits within their capability.

Any other strategy mutually agreedHuman Resources should be involved in the negotiation of any other strategies to ensure that a staff member’s basic terms and conditions of employment are not compromised.

Discussions of the above with the staff member implies acknowledgement of the parties that despite the staff member’s best efforts they are not capable of sustaining satisfactory performance in their current position.

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45.4 Third Counselling Session

45.4.1 If there is no improvement after the review period, established in accordance with 45.3, the supervisor will meet with the staff member to discuss the performance issues.

45.4.2 If the supervisor believes the staff member is unlikely to meet the performance standards they may discuss alternative strategies. These may include, but are not limited to, the transfer or redeployment of the staff member to a position at the same or lower classification. Any strategy must be mutually agreed.

45.4.3 If the staff member does not agree with the alternative strategies, the supervisor will counsel the staff member on the improvement required and set a second formal review period within which a reasonable improvement will be expected. Normally, the second period of review will be of similar duration as that set out in 45.3. Regular feedback on performance should occur during this period.

45.4.4 A record of the counsel will be kept and a copy given to the staff member. The staff member will have 10-working days from the date of receipt of the counsel to respond to the supervisor and raise any mitigating circumstances. The record of counsel and the staff member’s response will be placed on official record.


Where it is believed that the staff member’s continuing unsatisfactory performance is an outcome of unsatisfactory effort rather than ability it is appropriate to dispense with discussions on the above alternatives and to continue with disciplinary action.

If the discussions on the above options fail to satisfactorily address the staff member’s unsatisfactory performance, then disciplinary action will resume and a second review period established.

Procedural and Substantive Fairness - GeneralAll staff members have a right to substantive and procedural fairness in their dealings with the University. To minimise the risk of an allegation of “harsh, unjust or unreasonable treatment” supervisors should be guided by the following:

There must be a substantial basis for an allegation of poor performance. Staff members should be personally advised of the time and reasons for any meeting to

discuss performance and written confirmation promptly provided. Supervisors should avoid acting in any way that may be perceived as officious or unfair.

The counselling procedure must provide the staff member with fair and reasonable treatment. Counselling should take place in a private venue and arrangements made to ensure there are no

interruptions. The staff member should be offered the opportunity to have a representative present during

the counselling. The staff member must be advised that the performance counselling will be conducted in

accordance with the Unsatisfactory Performance Process set out in the Collective Agreement. Discussions should commence with a clear statement of the nature of the issue. Vague

generalisations must be avoided and any alleged unsatisfactory performance, conduct or behaviour must be clearly identified and capable of being supported with evidence.

The supervisor should ensure that the counselling process allows reasonable discussion of the issues without it degenerating into a debate. The pace should allow time for both parties to fully examine and discuss information, evidence and the facts presented.

Should facts emerge which require further investigation the supervisor may consider adjourning the meeting and reconvening later.

The staff member should be allowed the opportunity to fully respond to all allegations and proper consideration given to explanations provided. The supervisor may consider it necessary to adjourned the meeting to a later time to properly investigate or consider the facts.

The supervisor must inform the member of staff of the reasons for any decision or course of action.

The supervisor will ensure that a written record of the meeting is produced and the member of staff provided with a copy. The record will identify:o Those aspects of performance or conduct, which must be improved;o The required improvement/remedial action, objectives and metrics;o The timeframe for the improvement / remedial action and any formal reviews within that timeframe;o That the consequence of non improvement will be further disciplinary action.

The Third Counselling SessionCounselling and the commencement of a Second Review should be with regard to substantially the same performance issues dealt with during the preceding counselling and First Review.

As with the First Review Performance Improvement Plan, a written record must be produced and a copy provided to the staff member detailing again: those aspects of performance or conduct which must be improved; the required improvement/remedial action, objectives and performance measures; the timeframe for the improvement/remedial action and any formal reviews within this

timeframe; the consequence of non improvement i.e. further disciplinary action.

Staff Member Representation and Human Resource InvolvementA staff member has the right to a representative, if they so choose, during formal counselling. It is important when informing a staff member of the requirement for them to attend counselling that they are advised of that right.

Counselling is an internal administrative process conducted in accordance with the Collective Agreement. The role of any representative attending the meeting in support of the staff member allows them to observe the process and to offer support and advice. It is not intended that representatives advocate for the staff member as if subject to formal arbitration.

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Supervisors may seek advice on process at any stage from Human Resources and should request the attendance of an HR or Workplace Relations Consultant at any meeting that a staff member has requested a representative attend.

Performance Improvement PlanA principal outcome of this stage is the development of a second Performance Improvement Plan to formally record the specific details of the staff member’s unsatisfactory performance and the required response. In most cases the Second Review Performance Improvement Plan will be a reissue of the First Review Performance Improvement Plan.

The Improvement Plan should again be confirmed with the staff member and will identify the specific responses required to correct unsatisfactory performance. Required responses may include: performance objectives e.g. complete all reconciliations according to schedule; training initiatives e.g. attend customer service training; other arrangements e.g. engage in a mentoring arrangement.

Training initiatives under the Performance Improvement Plan may be extensive and best identified separately in a Personal Development Plan. It is preferable that training identified in the Personal Development Plan is completed within the term of the Performance Improvement Plan. However, access to training through internal/external providers may be restricted and require completion after the period of the Performance Improvement Plan. Unless completion of specified training within the review period is stipulated in the Performance Improvement Plan, enrolment/attendance/satisfactory progress in a program may be deemed to satisfactorily demonstrate compliance.

Supervisors may consider and discuss with a member of staff involved in a Performance Improvement Plan the benefits of appointing a mutually acceptable mentor. Mentoring arrangements are intended to provide broad support for the staff member and may extend beyond the period of the Performance Improvement Plan.

The Performance Improvement Plan provides a good opportunity to show support for a staff member who is attempting to correct unsatisfactory performance and to develop professionally. The supervisor’s supportive management during the process will assist the staff member to view the process in a more positive way and increase the chance of success.

Second Performance ReviewThe Second Performance Review should be for a similar period to the first and the supervisor will provide the staff member with regular feedback on their progress. At the conclusion of the review the supervisor should meet with the staff member and advise whether their performance is now satisfactory. In the event that the staff member’s performance is still not satisfactory the supervisor may consider extending the Second Review period or alternatively may advance the process to the next stage.

In circumstances where it is apparent that the staff member is either unable or unwilling to meet the requirements of the Plan it may be brought to an earlier conclusion.

Records ManagementDocumentation related to disciplinary action should not be included in a staff member’s personal file. All documentation (letters, interview scripts, records of interview, performance improvement plans, etc) related to a staff member’s disciplinary action must be maintained on an RMO disciplinary file. Copies of all documentation should be forwarded to Human Resources for inclusion in the file. Two (2) years after the resolution of the performance issue the records will be removed from the staff members disciplinary file.

What tools and resources are available to assist the supervisor . . . . .

For specific advice contact a Consulting Services/Workplace Relations Consultant Pro-forma: Letter advising of performance counseling (Appendix 2) Pro-forma: Performance counselling script (Appendix 3) Pro-forma: Unsatisfactory Performance counselling session record, found at


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4. Recommendation to the Deputy Vice-Chancellor/Vice-President


What tools and resources are available to assist the supervisor. . . . .

For specific advice contact a Consulting Services/Workplace Relations Consultant. Pro-forma: Formal report to the Deputy Vice-Chancellor/Vice-President (Appendix 4)

5. Disciplinary action


What tools and resources are available to assist the supervisor. . . . .

For specific advice contact a Consulting Services/Workplace Relations Consultant.

6. AppealWhat the Collective Agreement says . . . . .

What tools and resources are available to assist the supervisor. . . . . For specific advice contact a Consulting Services/Workplace Relations Consultant.

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45.5 Recommendation to the Deputy Vice-Chancellor/Vice-President

45.5.1 Where a supervisor believes that counselling has not produced the desired improvement in performance, the supervisor will make a written report through the Executive Manager to the Deputy Vice-Chancellor/Vice-President that the performance of a staff member is unsatisfactory. Such a report will state clearly the aspects of performance seen as unsatisfactory, the attempts to remedy the problem, any mitigating circumstances, the recommended disciplinary action (as defined) and provide any supporting material.

45.5.2 The supervisor will provide the staff member with a copy of the report and supporting material at the time it is submitted. The staff member is entitled to 10-working days from the date of receipt of the report to respond in writing to the Deputy Vice-Chancellor/Vice-President.

45.6 Disciplinary Action

45.6.1 Upon receipt of the supervisor’s report and any written response from the staff member, the Deputy Vice-Chancellor/Vice-President must be satisfied of the following:(a) Appropriate steps have been taken to bring the unsatisfactory nature of performance to the staff

member's attention;(b) An adequate opportunity to respond was given;(c) Any response was taken into account; and(d) A reasonable opportunity was afforded to remedy the performance problem.

45.6.2 The Deputy Vice-Chancellor/Vice-President will then advise the staff member in writing of what action they will be taking. It may mean one of the following, but is not limited to:(a) Take no further action and advise the staff member in writing;(b) Refer the matter back to the supervisor to ensure that 45.3 and 45.4 above are complied with in

substance and in a manner appropriate to the circumstances; or(c) Take disciplinary action.

45.6.3 For all disciplinary action other than termination of employment, the Deputy Vice-Chancellor/Vice-President will advise the staff member in writing of the determination that they have made. If no appeal is made within 10-working days from the date of receipt of the written advice, the disciplinary action will take effect as advised.

45.6.4 For termination of employment, the Deputy Vice-Chancellor/ Vice-President will advise the staff member in writing of their proposed recommendation that they will be making to the Vice-Chancellor. If no appeal is made within 10-working days from the date of receipt of the written notice, the Vice-Chancellor will write to the staff member advising their employment will be terminated.

45.6.5 Further to 45.6.4 the staff member will be given written notice by the Vice-Chancellor, as specified in their contract of employment or as set out in Clause 16 (whichever is the greater), that their employment

45.7 Appeal

A staff member may within 10-working days from the date of receipt of the advice in 45.6.3 or 45.6.4, seek a review by a Review Committee in accordance with Clause 47. They must submit a written request outlining their reasons for appeal and any relevant supporting documentation to the Deputy Vice-Chancellor/ Vice-President. No appeal will be accepted outside this period.

Where can I get help?

For Advice on Queries Related to:

Unsatisfactory performance issues

Preparing counselling records

Preparing performance improvement plans

Preparing development plans

Preparing a formal report to the DVC/Vice-

President

Clause 45 – Unsatisfactory Performance

The University of Adelaide Collective Agreement

Contact the following Human Resources Consultants

Contact No.

Rachael Linton

Greg Nankervis

Dennis Picton

Michelle Radford

Neal Shead

Kathy Cleggett

Lib Morris

38302

35708

38237

35255

34640

38384

38300

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Appendix 1 Definitions and glossary of terms

Agreement The University of Adelaide Collective Agreement 2006-2008.

Area A school, faculty, branch, unit or division.

Casual Employment

Employment on an hourly basis for which a loading is paid in addition to the hourly remuneration rate appropriate to the classification of the work undertaken.

Deputy Vice-Chancellor/ Vice-President

Is the Manager who the staff member is responsible to and who directly reports to the Vice-Chancellor or a person acting in the position. Where the Manager is the Deputy Vice-Chancellor, they will handover the written report to their Deputy Vice-Chancellor counterpart to determine any disciplinary action or recommendation.

Disciplinary Action

Action taken by the University to a member of staff for unsatisfactory performance, misconduct or serious misconduct may include:

(a) formal censure or counselling;

(b) demotion by one or more classification levels or increments;

(c) withholding of an increment;

(d) suspension with or without pay; or

(e) termination of employment (excluding misconduct).

Executive Manager

Deputy Vice-Chancellors, Pro Vice-Chancellors, Executive Directors, Executive Deans, or a person acting in these positions.

Misconduct Conduct that is not serious but nonetheless unsatisfactory.

Redeployment The transfer by the University of a staff member, whose position has been declared redundant, into a suitable position.

Representative A person who assists or speaks on behalf of a staff member or a person, who assists or speaks on behalf of the University, and in either case, excludes a person who is a practising solicitor or barrister.

Review Committee

Will mean the Review Committee as set out in the Review Committee Clause.

Serious Misconduct

May include:

(a) serious misbehaviour of a kind (e.g. assault, bullying, fraud, harassment, theft) which constitutes a serious impediment to the carrying out of a staff member’s duties or to a colleague’s carrying out their duties;

(b) serious dereliction of the duties required of the position; or

(c) conviction by a court of an offence, which constitutes a serious impediment of the kind referred to in (a).

Staff Member A person employed by The University of Adelaide.

Termination of Employment

All decisions by the University to terminate employment must be in accordance with this Agreement.

Vice-Chancellor The Vice-Chancellor of the University, a person acting in his/her position, or his/her nominee.

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Appendix 2 Pro-forma: Letter advising of performance counselling

The supervisor should personally inform the staff member of their intention to undertake a formal counselling session during a brief meeting and use this letter only to confirm the details.

(Compliant with the University of Adelaide Collective Agreement 2006-2008 Clause 45, Unsatisfactory Performance)

Dear ,

Ref: Formal Counselling Session and Establishment of Performance Improvement Plan

Further to our recent meeting(s) (xx/xx/200x, etc.) regarding concerns over your performance I wish to confirm the current status of the matter and advise you of the next steps in accordance with the Collective Agreement 2006 – 2008 (Clause 45 – Unsatisfactory Performance).

The abovementioned meetings allowed identification of the specific concerns held over your performance and for discussion around the nature of the improvements sought. In summary the principal concerns discussed with you were:

Insert specific examples of where performance is regarded as unsatisfactory

I refer you to the record of each meeting that took place (attached).

Despite our discussions I remain concerned over your performance and will now advance the process so we can meet to discuss the issue and agree to an appropriate performance improvement plan. A meeting is scheduled for xx am/pm, xx/xx/200x and in addition to ourselves will involve (enter the name of any other attendees) and a representative from the Human Resources. I remind you that you may choose to have a support person attend with you.

Please confirm your attendance at the meeting by xx/xx/200x.

Yours sincerely,

NAME (Insert name)POSITION (Insert Title of Position)

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Appendix 3 Pro-forma: Performance counselling script

The following template, will provide a sound approach to performance counselling and ensure that procedural fairness and process compliance can be demonstrated.

Please use in conjunction with the Unsatisfactory Performance Counselling Session Record template, found at http://www.adelaide.edu.au/hr/leading/unsat_perform.html

(Compliant with the University of Adelaide Collective Agreement 2006-2008 clause 45, Unsatisfactory Performance)

Performance Counselling Script

Staff Member:Insert

Counselling Stage: First Counselling Session/Second Counselling Session/Third Counselling Session

Date of Counselling: Insert

In Attendance: Insert

INTRODUCTION

Introduce the personnel attending the meeting to each other and confirm their roles.

(If appropriate, acknowledge the representative person accompanying the staff member).

State the purpose of the meeting.

State the terms under which the counselling will proceed (i.e. Collective Agreement clause 45).

Inform the staff member that a record of meeting will be produced and that they will be provided with a copy.

IDENTIFICATION OF UNSATISFACTORY PERFORMANCE

Report on the investigation of the staff member’s unsatisfactory performance.

Inquire if there are circumstances that have contributed to the staff member’s unsatisfactory performance that the supervisor may not be aware of.

Identify specific instances of the staff member’s unsatisfactory performance.

IDENTIFICATION OF PERFORMANCE IMPROVEMENT REQUIRED

Identify and discuss the performance improvement required of the staff member.

Seek agreement from the staff member that their unsatisfactory performance has been fairly represented during the counselling session.

Advise the staff member that a Counselling Session Record will be issued and of the requirement for him/her to respond within 10 working days of its receipt. Also advise that the response should include an indication of whether the staff member acknowledges their own unsatisfactory performance and if they are prepared to attempt to improve it in the areas indicated to them.

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Advise that subject to the above acknowledgements, a subsequent meeting may be held to further develop the Performance Improvement Plan.

SUMMARY

Briefly summarise the meeting informing that:

The counselling process is in accordance with the Collective Agreement process (Clause 45)

The staff member’s acknowledgement of record of meeting is required.

The purpose of the next meeting will be to discuss the Performance Improvement Plan.

Ask the staff member if they have any further comments.

MEETING CLOSED

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Appendix 4 Pro-forma: Formal report to the Deputy Vice-Chancellor/Vice-President

To: DEPUTY VICE-CHANCELLOR/VICE-PRESIDENT

Ref: Unsatisfactory Performance – (Staff Member name & title)

From: (Manager/supervisor name & title)

1. Introduction

(Insert name & title) who is a member of University Professional/Academic staff, employed in (insert faculty/school/division/branch) has been counselled for unsatisfactory performance in accordance with the University of Adelaide Collective Agreement 2006-2008, Clause 45 as follows:

First Counselling Session (45.2) xx/xx/200xSecond Counselling Session (45.3) xx/xx/200xThird Counselling Session (45.4) xx/xx/200x

The unsatisfactory performance issues discussed with (insert name & title) during the meetings were:

List the nature of the issues.

2. Discussion

Despite the counselling provided to (insert name & title) successive performance reviews indicate that his/her performance remains unsatisfactory. The attached documents:

First Counselling Session - Unsatisfactory Performance Counselling Session Record, including Performance Improvement Plans

Second Counselling Session - Unsatisfactory Performance Counselling Session Record, including Performance Improvement Plans

Third Counselling Session - Unsatisfactory Performance Counselling Session Record, including Performance Improvement Plans

Detail the process and outcome to date of the unsatisfactory performance counselling

3. Summary

Counselling has not produced the desired improvement in (insert name & title) performance and the matter is now referred to you in accordance with the Collective Agreement 2006 – 2008, Clause 45.5 for determination. A copy of this report has been provided to (insert name & title)

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