Performance Development &

Assessment Program
A Guide for Managers

Human Resources
Table of Contents
1. Performance Development & Assessment ............................................................ 4
1.1 Why have a Performance Development & Assessment Program? .................................... 4
1.1.1 Advantages for Staff ......................................................................................................... 4
1.1.2 Benefits to RCH ................................................................................................................. 4
1.2 What We Do (KPIs) .................................................................................................................. 5
1.3 How do we do it? (Values and Behaviours) ........................................................................... 5
1.3.1 Our Values ......................................................................................................................... 5
1.3.2 Behaviours .........................................................................................................................6
1.4 The formal Performance Development & Assessment Process at RCH .............................7
Figure 1: Performance Development & Assessment Cycle ................................................... 7

2. Performance Development & Assessment Tools .................................................. 7

2.1 General Staff Template ........................................................................................................... 7

3. What do I need to do as a Manager? ....................................................................... 8

3.1Planning and Communicating Performance Expectations .................................................. 8
3.1.1 Setting Individual Goals ................................................................................................... 8
3.2 Coaching and Reinforcing ....................................................................................................... 9
3.2.1 Coaching What is it? .......................................................................................................9
3.2.2 Coaching What it does ...................................................................................................9
3.2.3 Coaching What it is not ............................................................................................... 10
3.2.4 Coaching What should I include in a coaching session? ......................................... 10
3.3 Tracking and Documenting ................................................................................................... 10
3.3.1 What information should I record and keep? ............................................................. 11
3.3.2 A note on poor performance ........................................................................................ 11
3.4 Conducting Performance Development Reviews ............................................................... 11
3.4.1 What will I discuss and document? .............................................................................. 11
3.4.2 Points to remember ....................................................................................................... 12
3.5 Succession planning and talent management ................................................................... 12

4. How does the PDAP form work? ........................................................................... 13

4.1 Section A .................................................................................................................................. 13
4.1.1 Section A Part 1. ..............................................................................................................13
4.1.2 Section A Part 2. ..............................................................................................................14
4.1.3 Overall Performance Assessment for the year ........................................................... 14
4.2 Section B .................................................................................................................................. 15
4.2.1 Section B, Part 1 Key Performance Indicators ............................................................ 15
4.2.2 Section B, Part 2 Development Plan .............................................................................16
4.2.3 Learning Styles ................................................................................................................ 16
Figure 2: Kolbs Experiential Learning Cycle ......................................................................... 17
4.3 Appendix 1: Indicative Leave Plan for coming year ........................................................... 18
4.4 Appendix 2: Training & Qualification Checklist .................................................................. 18
4.5 Appendix 3: Competencies Assessment .............................................................................. 18

5. Frequently Asked Questions ................................................................................. 18

As a Manager, when do I start the PDAP process with my staff? ......................................................18
Is it my responsibility as a Manager to set employee goals and tasks? ........................................... 18
As a Manager how do I set goals and tasks? ....................................................................................... 18
Can I get some hands on assistance in the PDAP process? ...............................................................19
Do I need to use the Competencies Appendix? It doesnt fit with the roles my staff ..................... 19

Bibliography ................................................................................................................ 19

Performance Development & Assessment Program: A Guide For Managers Page 2 of 15

1. Performance Development and Assessment

1.1 Why have a Performance Development & Assessment

Program?

To support the Royal Childrens Hospital (RCH) vision to be a GREAT Childrens Hospital. A large
part of achieving that vision is ensuring that we provide the best quality of care for children and
their families by employing appropriately trained and skilled staff. To ensure this happens it is
important that all staff are clear as to:

What is the purpose of their role

Why they are undertaking the role and;
How it assist RCH to provide Quality of Care and to meet the strategic goals

Performance assessment is based on two principles:

1. High performance depends on what we do (KPIs) AND how we do it (Values and
Behaviours)
2. High performance depends on managers/supervisors and their staff:
Working together to achieve desired outcomes
Communicating openly
Providing regular feedback to each other and
Formally reviewing individual performance at least twice per year.

1.1.1 Advantages for Staff

Be clear on what is expected of them and what skills they need to meet those
expectations
They have a greater understanding of the individual departments expectations and
the hospital; its core strategies, RCH values and goals
Depersonalises issues. The focus is on behaviours and results rather than
personalities
Opportunity to discuss career aspirations and skill enhancement
Opportunity to receive valuable informal and formal feedback from their manager
Improved communication via a two way non-threatening process.

1.1.2 Benefits to RCH

Staff are aware of department expectations and Hospitals strategic goals and
direction
Assists in workplace planning such as succession planning and talent management
Validates expectations. In todays age of high expectations, particularly when the
Hospital is striving to transform itself in readiness for the future, having
measureable results can verify whether grand visions are realistic or not.
Identifies, tracks and addresses development gaps within specific roles and staff
members
Improved transparent communication between management and staff.

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1.2 What We Do (KPIs)

What we do is guided by the Royal Childrens Hospital (RCH) five Strategic Goals which are:
Excellence in healthcare
Leadership in research and education
Focus on quality and safety
Partners in paediatric care
Improve organizational environment

Department/Unit Goals must be aligned with the broader RCH Strategic Goals.
Individual Goals must align with Department Goals.

1.3 How do we do it? (Values and Behaviours)

Our values are a useful framework to guide discussions with staff members on their behaviour.
Referring to the organisations values as a reference point depersonalises this discussion i.e. it is
not about your personal set of values, and therefore you are not making a value judgement but
an assessment against an agreed set of organisation wide values.

1.3.1 Our Values

Unity We work together to achieve our goals

Integrity We act with transparency, honesty and fairness in all we do
Excellence We seek to provide high quality clinical care, research and education
Respect For everyone in our care, our partners and for each other.

1.3.2 Behaviours
Behaviours that represent each of the values will be many and varied. Examples may
include but are not limited to the following:

Unity
We work together to achieve our goals:
Value the contribution of the people you work with, and work co-operatively
Always pull your weight do what you say you will do, when you say you will do it
Encourage team work
Help others
Have and encourage open and transparent communication

Integrity
We act with transparency, honesty and fairness in all we do:
Make fair and transparent decisions
Never use your position improperly to gain advantage in your private life
Disclose any actual or apparent conflicts of interest which may impact on your work performance
Report misconduct
Have the courage to give contrary advice when required
Dont gossip, no matter how much youre tempted

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 Excellence
We seek to provide high quality clinical care, research and education:
Demonstrating excellence in the way we work on a daily basis.
Work to the best of your ability
Work safely. Comply with OH&S instructions and report workplace health and safety problems
Take pride in your work
Staff conducting research activities should consult relevant research guidelines and professional
ethical standards

Respect
For everyone in our care, our partners and for each other:
Treat people with respect, courtesy, honesty and fairness
Respect different values, beliefs, cultures and religions
Treat patient information with the strictest confidence
Lead by example
Never bully, intimidate harass, mistreat or discriminate against patients, patients
families, carers, other staff or members of the public.
Never make nasty comments or behave in a way that undermines or causes stress to others

1.4 The formal Performance Development & Assessment

Process at RCH

The formal process for Performance Development and Assessment Process at the RCH can be
represented by the diagram in figure 1. below. Remember planning and development of staff is
within the context of the Hospitals strategic direction.

Figure 1: Performance Development & Assessment Cycle

1.
Communicating
performance
expectations

5.
Succession 2.
palnning and Recognise Coaching and
talent reinforcement
management Engage
Develop
Empower

4.
Conducitng 3.
performance Tracking and
development documentation
review

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2. Performance Development & Assessment Tools
Components of the Performance Development Program (PDAP) are as follows:
1. PDAP Templates: There are two basic templates that can be used:
General Staff Template (see Appendix A) which includes a Competencies Assessment as
an appendix for Nursing Staff
Surgery and Medical staff template (see Appendix B for the Division of Surgery and
Appendix C for the Division of Medicine) which is modeled on a template from the
Department of Health that has been upgraded to reflect KPIs from the Division of
Surgery and the Division of Medicine

2.1 General Staff Template

The form is divided into two sections and has 3 appendices:

Section A: The first section allows the manager and staff member to record performance
outcomes for the previous 12 month period.
Part 1 provides space to record achievement against agreed objectives
Part 2 provides space to record performance aligned with the RCH Values
Part 3 provides space for the staff member, manager, and Director/Executive

Director to summarise performance and then sign to complete the appraisal process.

Section B: The second section is where the manager and staff member record the agreed
performance indicators for the next 12 months. It is also the section where the manager and
staff member can record the agreed development actions for the next 12 months

Appendix 1: the Leave Planner to assist with planning and recording annual leave, study leave,
long service leave or other planned leave for the staff member for the next 12 months

Appendix 2: the Training and Qualifications form should be completed to assist with the
development discussion and ensure the staff members professional development record is
updated

Appendix 3: the Competencies Assessment for the review period for Nursing staff to keep track
of Mandatory competencies to ensure compliance with professional standards.

3. What do I need to do as a Manager?

3.1Planning and Communicating Performance Expectations

3.1.1 Setting Individual Goals

In setting goals for your staff there are a few key points to remember. Goals must be:
1. Aligned transparently to the department and Hospitals goals
2. Specific. This is about what they have to do it and often it is useful to include a
why.
3. Realistic. Can the individual do what you are asking them to do given their skills
and the resources available to them
4. Achievable in the time frame provided. Make sure there is room for
consultation/consideration should the environment or other factors arise

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 5. Measureable. If it cant be measured it cant be managed.

1. Communicating performance expectations for the first time (Fig. 1)

If this is the first time you have done a formal Performance Development & Assessment
Program (PDAP) with your staff then you start by:
1. Planning what you expect of them and;
2. Meet with staff members individually and communicating those expectations,
including development opportunities that are available or necessary to achieve
agreed goals.

Second Iteration
If you have already undertaken some form of performance review system then it is
recommended that you complete a formal review of the previous 12 months, prior to
starting a discussion about the impending period. This discussion can guide your
discussion for the coming 12 months.

3.2 Coaching and Reinforcing

3.2.1 Coaching What is it?

Coaching is the process of equipping your people with the tools, knowledge, and
opportunities they need to fully develop and be effective in their commitment to
themselves, the RCH and their work. Coaching should be an ego-less process in which
coach-able moments are created to draw out distinctions and promote shifts in
thinking and behaviour.

Coaching is a specific skill set which enhances performance, action, creativity,

momentum and transformation. Coaching can occur within team meetings, one-on-one
formal and informal meetings or as a follow up to training sessions.

3.2.2 Coaching What it does

Coaching:
Improves employee and organisational resilience and effectiveness in change.
Deals with employee growth, development and achievement by removing
roadblocks to performance and enhancing creativity
Provides information to support those they coach in developing their own skills
and knowledge

2. Coaching and Reinforcing. There should be no secrets! (Fig. 1)

Coaching and reinforcing is on-going throughout the year in between formal

performance and development meetings. In this period, on a daily basis you will be
reinforcing good performance and behaviour and coaching the staff member when their
performance slips or when they are developing themselves and learning new skills. This
ensures there are no secrets at the formal PDAP meeting.

3.2.3 Coaching What it is not

Coaching is not:

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 Management skills re-packaged (supervision, evaluation and meeting objectives)
although coaching draws on certain management skills and competencies
Therapy or counselling (therapy deals with resolution and healing of the past)
should a coaching session move more into a therapy session then you should
refer the staff member to our Employee Assistance Program which is a
confidential and professional service ph: 1300 360 364
Mentoring or consulting, although you may use your experience to diagnose
situations and give opinions or advice at times; or
Training.

3.2.4 Coaching What should I include in a coaching session?

It is important to remember to coach and follow through on the goals and development
plans that were agreed. If the goals and performance plans are used as a reference
guide of a living document, the process is more likely to be meaningful, not just a once
a year meeting which in turn highlights your commitment and dedication to staff.

When reinforcing or praising the specific skills and/or actions of your staff members, it is
important to remember:
Be specific in your praise, merely saying well done does not tell the staff
member what they have done that is so deserving of praise. It also ensures that
you are praising performance you want repeated.
Provide evidence if you need to give corrective coaching. If you dont provide
evidence you will find it difficult to give direction for correction.
Be sincere and genuine; if you dont mean it dont say it.
Be timely in your feedback, praise or correction (preferably within 24 hours).
There is minimal impact if you praise a staff member a week after the event,
when it is likely you have both forgotten what the praise was for.

3.3 Tracking and Documenting

It is your responsibility to track their performance and behaviours, document achievements and
shortcomings and measure these against the goals set at the initial planning meeting. This will
provide you with accurate information when coaching the staff member and conduction the
review meeting. Remember that you are collecting personal information as defined under the
Information Privacy Act and as such will need to follow the Hospitals privacy guidelines for
personal information

3. Tracking and documentation (Fig. 1)

3.3.1 What information should I record and keep?

When documenting a staff members performance as part of your scheduled and
frequent one-on-ones it is important to include valid and specific points such as:
The date
What you observed
Other peoples feedback (if applicable) and
The impact the performance or behaviour had on the department and/or
hospital

If you have little direct contact with a staff member, particularly in shift work locations,
you may consider delegating the PDAP meetings to someone with more consistent
contact. In conjunction with this you can ask for feedback from other managers.

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 3.3.2 A note on poor performance
If a staff member is not performing to the expectations of the role, and they are not
responding to effective coaching, then contact your HR Partner for further guidance.

Counselling a staff member on their continued poor performance is not to be done

in the review meeting as it undermines the intended purpose.

3.4 Conducting Performance Development Reviews

3.4.1 What will I discuss and document?

In the first part of the session you will discuss and document:
Personal and professional development
Achievement of their goals

This is the stage where you formally meet individually with your staff members to
discuss achievements of the preceding 12 months. At this meeting you are confirming
the discussions you have had with the staff member throughout the year.

4. Conducting Performance development reviews (Fig. 1)

The behaviours required of them and their position

Agreed overall performance assessment

Remember there should not be any surprises and you should not be raising new issues
at this meeting regarding performance.

This should be a relatively short part of the meeting that confirms previous discussions.
In confirming previous discussions you are really setting the scene for the next step
which is about starting the process again (setting goals for the coming year etc). It is time
to have a discussion about what worked well and didnt work so well in the past 12
months.

3.4.2 Points to remember

1. This is not a disciplinary meeting. Raise performance issues in a separate forum.

2. You can reinforce issues you have coached the staff member on during the
preceding 12 months to illustrate your point. For example A behavior we had
stressed was being a team player. We did have that incident a few months ago
where you refused to work effectively with a peer, however we have resolved that
issue and I am pleased with the improvement you have made in that area.
3. All sections of the PDAP template should be completed.

3.5 Succession planning and talent management

5. Succession planning and talent management Workforce Planning (Fig. 1)

This process is currently done via our workforce planning framework

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4. How does the PDAP form work?
The form is in two sections. In brief Section A is a retrospective wrap up of the previous year
that confirms discussions held throughout the year. Section B is the area to set up for the
coming year. It is also the section where the manager and staff member can record the agreed
development actions for the next 12 months. There are also three appendices. One is the Leave
Planner, the second the Training and Qualifications form and the third is a Competencies
Assessment Form for Nursing.

4.1 Section A

In many ways this should be an easy discussion.

4.1.1 Section A Part 1.

Once you have covered off the what it is time to talk about the how. How has the
staff member demonstrated the RCH values?

1. Agreed Key Performance Indicators

Met or Not Met Results/Comments
e.g. Quality and Safety
e.g. Workforce
e.g. Finance/budget KPIs here are those agreed to in the previous year

Get the staff member to self assess themselves first. Do they think they have met
these goals if so what are the results. If not, why?

A self assessment is a good reflection tool. It also demonstrates to you their reality
and does it match up with yours. If there is a gap this can be discussed. Remember
that at this point you are looking for evidence. And remember there should be no
surprises.

4.1.2 Section A Part 2

2. VALUES AND BEHAVIOURS; Unity, Integrity, Respect and

Excellence

Unity:
Examples of desired behaviours may include:
Participation in team decision making.
Seeks opportunity for team development.
Contributes positively to team discussions and initiatives.

Self Assessment:
Never Infrequently Sometimes Frequently Always
Comments:

Reviewers Feedback:
Performance Development & Assessment Program: A Guide For Managers Page 10 of 15
 Never Infrequently Sometimes Frequently Always
Comments:
The final step is sign off of the previous year.

4.1.3 Overall Performance Assessment for the year

This section provides the staff member an opportunity to self evaluate their overall
performance for the year based on the discussions and feedback that has been
given/received throughout the year from yourself, peers and is an own analysis of their
performance.

You also have an opportunity to provide a summary of the years work/performance.

There is finally a section that may be completed by your Manager (if applicable) in final
sign off. Again get the staff member to self assess first. Do they think they have demonstrated
these behaviours? If so how? For example If they say they have frequently done something..
Get them to comment on what behaviours they think they are doing to demonstrate this
value.

You can do the same. Comment on what specific behaviours you have observed.
Remember you dont have to copy their assessment of themselves.. If you dont agree with
them, dont agree with them. Talk to them about that though. Give them an example of when
they could have done something differently. You may agree with them but perhaps you would
like to see them do a particular behaviour in another setting or more often in the same
setting.

4.2 Section B

We now move on to the coming year. This should also be a relatively easy discussion. Most staff
members will have similar goals and/or key performance indicators as they did last year,
This section should be completed by you and your staff member.

4.2.1 Section B, Part 1 Key Performance Indicators

Key Performance Indicators Performance Measure and Target

Target Completion Date

e.g. People e.g. ensure all staff have PDAP completed

e.g. November 2010
Remember to link the KPIs with the position description as well as the
RCH Strategic plan, Divisional Plan and Department Plans

4.2.2 Section B, Part 2 Development Plan

Refer to previous sections and the position description for areas where further
development is required. Appendix 2 should be completed to assist in understanding
development and already completed and opportunities for further study. You can
contact your HR Partner to provide advice.

4.2.3 Learning Styles

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 Learning styles specifically deal with characteristic styles of learning. Kolb (1984)
proposes a theory of experiential learning that involves four principal stages. Kolbs
theory is that for any real or sustainable change to occur from a training or development
experience a learner should move through the cycle as many times as necessary. As a
manager you can assist in your staff moving through these stages:

The four stages of the Experiential Learning Cycle can be seen in figure 2.

Development Areas Action Outcome

I (Employee) agree to achieve the stated KPIs and development above

(signature):
I (Manager) agree to support the employee achieve the stated KPIs and
development (signature):

When setting development goals remember to make sure you provide the right
environment for your staff member to achieve these goals. See the section below on
Learning Styles

Figure 2: Kolbs Experiential Learning Cycle

Adapted from Kolb (1984)

Concrete
Experience
(doing / having an
experience)

Concrete Reflective
Experience Observation
(doing / having an (reviewing / reflecting
experience) on the experience)

Reflective
Observation
(reviewing / reflecting
on the experience)

1. Concrete Experiences: are about actually doing or having an experience. It is this

concrete experience where the rest of the cycle stems from. This is normally a work
based learning experience. Even if your staff member is receiving training from an
external source make sure they have the ability to explore the use of the knowledge
gained within their workplace environment.

2. Reflect on it: It is best to have a structured process for reflection. A learning journal
may be useful but this also involves reporting to a mentor to discuss the learning
journey. This may be difficult to implement so other methods may include regular

Performance Development & Assessment Program: A Guide For Managers Page 12 of 15

 discussions with your staff member to discuss their what they have learnt and it
maybe as simple as getting them to present their key learnings to your work group.

3. Refer to theory: In this phase, as a manager you have little influence on your staff
member. They will actively seek to relate their experience in innovatory practice to
all other knowledge and past experience. This includes testing out your experience
against knowledge systems you value; for example nursing theory, philosophy or
notions of fairness or workplace relations. Insights developed in this phase can be
then fed back into a new phase of active experimentation.

4. Modify and re-plan activity: Here your staff member will carry out a needs analysis
in order for them to decide what competencies they now have and what are needed.
If necessary they will need to start the process again. This is a fresh conversation you
may have them theoretically as part of the next PDAP cycle, or if necessary mid
cycle.

4.3 Appendix 1: Indicative Leave Plan for coming year

You need to update this appendix needs to make sure it reflects current public holidays for the
period in question. Note that leave still needs to be submitted via the online leave form.

4.4 Appendix 2: Training & Qualification Checklist

This checklist is simply a record of your previous training. All levels are captured including High
School, VET, Higher Education and Post-Graduate. It also captures current and future study
plans.

4.5 Appendix 3: Competencies Assessment

This appendix has been completed for Nursing Staff by way of example. This appendix should
be tailored as necessary for each employee so that all mandatory competencies and additional
competencies to be completed during the year are clearly stated.

5. Frequently asked questions?

As a Manager, when do I start the PDAP process with my staff?

You should start the PDAP as soon as possible. The sooner you get all of your staff onto the
program, the sooner you can focus on their tasks and associated development needs.

Is it my responsibility as a Manager to set employee goals and tasks?

Goals and tasks are set in accordance with your departmental objectives which align to the
Hospitals objectives and goals. However, the specific goals and tasks for individual employees
are set in consultation with that employee.

As a Manager how do I set goals and tasks?

If this is the first time you have sat down with your staff member to begin the process, then set
a time for an initial meeting with your employee and discuss the PDAP. Prior to the meeting turn
to Section B of the PDAP form, this is the section that sets up for the coming year. A good place
to start for goals and tasks is the persons position description.

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Review the Key Performance Indicators then select the four or five most important key
performance indicators in the persons position description and write them in the first column
under the heading Key Performance Indicators.

This may also be the ideal time to review the position description, because if the tasks listed in
the position description are not important to your department, re-think the position description.
Contact your HR advisor prior for assistance with this.

Think about how your employee will demonstrate that these goals have been achieved write
them in the second column and so on. You can do all of this with your staff member.

Once the initial meeting has taken place and expectations have been set, ongoing and frequent
one-on-one meetings with the staff member are recommended to track and measure the goals
and actions that have been agreed upon.

Can I get some hands on assistance in the PDAP process?

Yes you can. Please contact your HR partner or People & Culture

Do I need to use the Competencies Appendix? It doesnt fit with the

roles my staff
The Competencies Appendix is designed for Nursing Staff; No other staff are required to
complete this appendix.

Performance Development & Assessment Program: A Guide For Managers Page 14 of 15

Bibliography
Kolb, D.A. (1984) Experiential Learning: Experience as the Source of Learning and
Development. Englewood Cliffs; London: Prentice-Hall
Mailick, S. & Stumpf, S.A. (1998) Learning Theory in the practice of Management
Development: Evolution and Applications Westport; Quorum Books
Megginson, D & Clutterbuck D (2005) Techniques for Coaching and Mentoring. Oxford;
Elsevier Butterworth-Heinemann,
Patterson, K., Grenny, J. McMillan, R., & Switzler, A. (2002) Crucial Conversations: Tools for
talking when stakes are high. New York; McGraw-Hill

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