Embedding the APS Values: Case studies and other supporting material

Please note: These documents are for reference purposes only and are no longer considered by the APS Commission to be current. They may contain good practice advice and/or advice on the transitional arrangements between the 1922 and 1999 Public Service Acts.

globe Useful references

Case study 7:
Insolvency and Trustee Service Australia:
Performance management arrangements and the generic capabilities

Background

The Insolvency and Trustee Service Australia's (ITSA's) performance management system, the Performance Feedback Scheme (PFS), was established in 1998 and implemented through the first ITSA Certified Agreement.

ITSA had previously identified that the introduction of performance management arrangements could help address two issues highlighted in a 1997 employee survey:

providing regular feedback
providing a clear definition of employees' roles.

The PFS was developed in consultation with employees. Since its inception it has been regularly reviewed, with each review resulting in enhancements designed to support its ongoing success.

Description

The main objectives of the PFS are to provide a clear definition of an employee's role within ITSA and regular feedback against the expectations of the role.

The PFS has a strong developmental focus. There is no performance pay attached to performance ratings, although the rating does form the basis for decisions on salary progression within a classification.

The PFS is designed around ITSA's five generic capabilities: think strategically, achieve results, develop productive working relationships, demonstrate personal drive and integrity, and communicate effectively. They are based on the APS Senior Executive Leadership Capability Framework, and provide indicators that describe the behaviour that would be expected at each classification level.

Indicators for the APS Values and Code of Conduct are included within one of the capabilities at each level. Use of the generic capabilities in performance management ensures that expectations regarding professional behaviour and conduct are clearly and consistently articulated throughout ITSA.

Some features of the PFS are:

Simple documentation-ITSA recognises that the most important part of the performance management process is the discussion between the employer and employee. Therefore, documentation is simple and the participants can choose how much detail is formally recorded. Documentation can be completed either electronically or in hard copy.
Links to organisational outcomes-The use of ITSA's business plan is an important component of the PFS, particularly for staff in ITSA's operational areas. Employees are encouraged to identify the key accountabilities of their role based on information in the business plan and other corporate documents. The business plan provides information on operational performance standards and measures and how they link to ITSA's outputs and outcomes.
Development focus-The PFS processes encourage employees to identify development needs related to both their current position and longer-term career goals. Individual development needs identified in the PFS are collated at a branch and national level to determine the trends in employee development requirements and to help identify training priorities. This information is also linked to other human resource processes such as workforce planning and succession planning.
Use of a reviewing officer-Each step of the process involving formal documentation is endorsed by a reviewing officer, generally a senior manager. Their role is to review the documentation and ensure that there is consistency between similar positions within the work area and that the objectives of the PFS are being addressed. There is no centralised recording of performance plans or reviews.
Reporting of ratings-In order to monitor and evaluate the operation of the PFS and as part of the overall accountability of the scheme, aggregate information on PFS ratings is reported nationally. Ratings information is provided against a number of criteria such as branch, business line, classification group and gender. However, individual ratings are not identified. The purpose of reporting is to identify and address any inconsistencies.

As well as meeting relevant legislative and policy requirements, ITSA's approach to performance management demonstrates most of the key elements of good practice in design, implementation and review of effective systems. These are summarised as alignment, credibility and integration in the Management Advisory Committee report Performance Management in the APS: A Strategic Framework.

Some key aspects of good practice are:

recognition of diversity within the workplace and adherence of the principles of equity and fairness in planning and review
establishment of a clear line of sight between corporate planning and goals and individual work expectations
assessment of both how work is done and what is achieved through five generic capabilities
recognition of the joint responsibility between manager and employee for performance feedback and development
a framework which rewards achievement and has effective procedures in place to deal with poor performance.

ITSA will continue to review the PFS regularly.

Key APS Values

The APS focuses on achieving results and managing performance. (s. 10(1)(k) of the PS Act)

The APS provides a workplace that is free from discrimination and recognises and ultilises the diversity of the Australian community it serves. (s. 10(1)(c) of the PS Act)

The APS promotes equity in employment. (s. 10(1)(l) of the PS Act)

For more information please contact:

SANDRA HAYHOE
PHONE 02 8233 7897
sandra.hayhoe@itsa.gov.au