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Monash University

59. Performance Management- Academic Staff

59.1 An integrated, comprehensive, University - wide performance management system applies to all continuing and fixed-term academic staff based on the compilation of an annual portfolio to be submitted by each staff member and approved by that staff member's supervisor.

As a best-practice system, it operates as an annual cycle with one formal performance review, supported, where possible, by regular informal feedback meetings.

59.2 The supervisor will advise the staff member in writing of planned time-lines for the submission of the components of the academic portfolio.

59.3 Details of the Performance Management Scheme are set out below.

The Annual Portfolio

59.4 A staff member's annual portfolio will comprise the following documents:

  • an engagement profile;
  • an achievement report;
  • a career development plan; and
  • any supporting documentation relating to other formal processes in the University such as tenure, promotion, OSP, probation, etc. (where applicable).

59.5 Details of the required contents of the documents in the annual portfolio will be as follows, in addition to pro forma materials developed to assist staff in the preparation of their annual portfolios under the policy on performance management for academic staff:

(a) The engagement profile

(i) The engagement profile will contain details of the staff member's planned workload, identifying the planned contribution to teaching, research (including his/her contribution to the University research quantum), scholarship, professional and community service and administration/management for the forthcoming year.

(ii) The engagement profile will reflect:

  • the aspirations of the staff member;
  • the requirements of the strategic plan of his/her Faculty/Department/work unit and the relevant Monash strategic plans updated annually; and
  • the position classification standards relevant to the classification of the position.

(b) The Achievement Report

The achievement report will contain:

  • details of achievements in the areas of teaching, research (including the staff member's contribution to the University Research quantum), scholarship, professional and community service and administration/management for the previous year; and
  • a comparative summary of achievement against the engagement profile established for the previous year.

(c) The Career Development Plan

The career development plan will indicate the professional developmental requirements of the staff member consistent with the requirements of the strategic plan of his/her faculty/department/work unit and the relevant Monash strategic plan as updated annually. The plan will include the staff member's suggestions in relation to his/her desired future career direction. This may involve, for example, increasing involvement in some areas, delegating tasks in others, or participating in or assuming responsibility for new assignments.

The Process

Submission and Review of Initial Portfolio

59.6 Staff members are required to submit a portfolio and meet with his/her supervisor within 12 months:

(a) for existing staff, following the Operative Date;

(b) for staff commencing with the University or moving to a new position (e.g. promotion or transfer) after the Operative Date, following the date of his/her commencement, promotion or transfer (as appropriate).

59.7 After submitting the portfolio to his/her supervisor, the supervisor will within a reasonable period (normally one month) meet with the staff member to review and approve the portfolio and discuss the staff member's submitted career development plan for the forthcoming year.

Ongoing Planning and Annual Review Cycle

59.8 The supervisor and staff member will then meet at least annually to review the portfolio and to update it to reflect the work unit's plans and priorities for the forthcoming year.

59.9 The timing of the review will be determined by the supervisor of the faculty/work unit, but would normally be in alignment with the planning and review schedule outlined in the relevant Monash strategic plan.

59.10 The review of the staff member's submitted annual portfolio will:

(a) establish the final content of the staff member's engagement profile for the forthcoming year;

(b) assess the performance of the staff member through evaluating the staff member's contribution and achievement as outlined in the staff member's submitted achievement report against the agreed (or approved by the Dean as appropriate) engagement profile established in the previous year;

(c) inform the staff member of the supervisor's recommendation concerning incremental progression or accelerated incremental progression;

(d) inform the staff member of the supervisor's recommendation in relation to (as appropriate):

  • review for tenure;
  • academic promotion; and/or
  • OSP.

(e) inform the staff member of the supervisor's assessment of progress where the staff member is on a probationary appointment; and

(f) assess progress of the career development plan for the staff member and indicate agreed general career developmental needs.

59.11 Following completion of the review the staff member will, within a reasonable time frame to be determined by the supervisor, submit a modified engagement profile for the forthcoming year to the supervisor as required.

59.12 If the modified engagement profile is accepted by the supervisor it will then be signed by the supervisor and staff member.

59.13 In the event of:

  • the staff member failing to submit the modified engagement profile within a reasonable time frame as determined by the supervisor, or failing to submit the portfolio or engagement profile; or
  • a modified engagement profile being submitted and following discussion between the supervisor and the staff member, the profile has not been accepted by the supervisor, the staff member will not be entitled to incremental progression until the annual initial or updated engagement profile has been submitted and accepted by his/her supervisor.

59.14 Failure to submit an engagement profile and its contents in accordance with a direction given by the Dean of the Faculty may attract disciplinary action.

Adjustments to Engagement Profile

59.15 If at any time it becomes apparent that a staff member's engagement profile requires adjustment, the Dean may, following discussion with the staff member and the supervisor, after taking into account matters required to be taken into account, modify the staff member's engagement profile with appropriate adjustments to teaching, research, scholarship, professional and community service and/or administration/management commitments. The matters required to be taken into account are as follows:

(a) The professional strengths of the academic staff member within the context of the strategic plan of the faculty/department/work unit, thereby allowing:

(i) leading researchers to be able to spend more of their time on research including supervision of research students; and

(ii) allowing a staff member who displays innovation and excellence in teaching a greater opportunity to pursue teaching commitments.

(b) The opportunity for the staff member to engage in teaching, research and associated professional work and which enables the department to organise teaching and research to accommodate changing demands and priorities.

(c) The need for staff effort in teaching and administration to be focused upon the programs and activities of the department.

(d) The balance of teaching, supervision and research required of each academic position and any approved research projects or tasks.

(e) The delivery of subjects and courses provided by the department at all levels (including award and non-award courses) taking into account different teaching modes and differences in the degree of difficulty in preparation and delivery, with special reference to flexible delivery.

(f) The need for adequate administrative and preparation time for the courses and subjects taught and the need to maintain a high level of research and scholarship in each discipline and subject area. (For the purposes of this statement of policy, administrative time refers to course planning and timetabling, service on University committees and decision making bodies and other functions related to the University).

(g) The professional and community liaison functions associated with the academic staff member's work.

(h) The number and pattern of teaching commitments, if any, at night, on weekends and during summer teaching periods.

(i) The time spent in necessary travel (above and beyond normal home-work-home commuting) for the performance of academic duties.

(j) The impact of resource commitments of the department as a result of a variation to the strategic plan of the work unit and/or the relevant Monash strategic plan.

A staff member may choose to be accompanied by a Representative, in any discussions with the Dean and/or the staff member's supervisor pursuant to this clause 59.15.

Incremental Advancement

59.16 A staff member's entitlement to incremental progression will be based on the staff member's performance being assessed as satisfactory by the staff member's supervisor based on the submitted annual portfolio. Assessment of performance will be consistent with:

  • whether the staff member has performed at an appropriate level for the staff member's appointment;
  • the Position Classification Standards relevant to the staff member;
  • the existence of non-traditional career paths;
  • equity and access policies of the University; and
  • enabling or mitigating circumstances.

59.17 Consideration will be given to granting additional increments within the relevant level in cases where it can be clearly demonstrated by the supervisor that the staff member has consistently exceeded the required performance level.

59.18 Where an increment is withheld the staff member may dispute the decision in accordance with the Employment Related Grievance Resolution Procedure starting the procedure at clause 56.9.

Documentation

59.19 A copy of the final engagement profile will be made available to the Head of the Academic Unit and other staff of the academic unit.

59.20 The achievement report prepared by the staff member and the documentation emanating from the review of the achievement report may be used in proceedings pursuant to clause 59.18 above and/or any disciplinary action which may be covered by this Agreement.

59.21 Information contained in the achievement report and documents emanating from the review of the achievement report (particularly teaching and research quanta) may be provided by the faculty/department to the University for the purposes of bench marking and quality assurance.

Supervisors

59.22 The nominated supervisor of an academic staff member will be the relevant immediate academic line manager unless the University nominates or the academic staff member requests the nomination of an alternative supervisor.

59.23 Wherever possible, the academic line manager will be competent in the staff member's field of expertise.

59.24 Notwithstanding clause 59.23 above, the Vice-Chancellor may delegate in writing another academic staff member classified at Level C or above to be supervisor of one or more academics or group of academics, provided such other academic staff member occupies a more senior position to the staff member being supervised.

59.25 The parties agree that training supervisors to effectively perform their roles is vital to the success of the performance management system.

59.26 The achievement report of a supervisor will contain an upward appraisal component. That is, in the lead up to the completion of the supervisor's annual portfolio, his/her supervisor will consult as appropriate with the supervisor's staff to provide feedback on their supervisor's performance as a supervisor.