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Performance & Development Review Policy

Category Human Resources
Type Policy
Approved by Vice Chancellor’s Advisory Group, 2006
Date Policy Took Effect 1 January 2006
Last Approved Revision 24 June 2014
Sponsor Director of Human Resources
Responsible Officer HR Manager, Promotions & Remuneration
Review Date 30 June 2015

Purpose

“The calibre and dedication of the University’s staff, both academic and general, are central to its success. To achieve a staff profile with its mission and needs, the University supports the academic, professional and career development of all staff.”

University of Otago Charter (2003)

The University of Otago academic environment emphasises the value of investing in individual development, assessment, planning, goal setting and recognition of achievement. This is also the case for the General Staff Performance and Development Review (PDR). The PDR is the primary means for aligning the performance, skills, knowledge and career development of general staff with the goals and requirements of the University.

Organisational Scope

This policy applies to all general staff who meet the coverage requirements in Section 3.

Definitions

Accelerated Increase - Any increase of more than the standard increase. In the appointment range, the part of the increase that is more than the standard increase will need to be funded within the merit increase fund.

Appeal - Appeals will be heard by the Performance and Development Review Committee on the basis that the reviewer, Head or Divisional Head has not followed the process as described in the PDR policy.

Appointment Range - Bottom half of salary range for the level.

Appointment Increase - A standard increase remaining within the appointment range.

Appointment Increase Fund - The money allocated for standard increases within the appointment range.

Competency - How skills, knowledge and behaviour are applied to work.

Customers - Anyone receiving or benefiting from the work of a staff member. This may include students, clients, visitors, other staff or managers.

Description - Examples describing how staff members may be demonstrating their level of performance within the competency.

Divisional Heads (for the purpose of this process only) - Vice-Chancellor, Deputy Vice-Chancellors, Pro-Vice Chancellors, Deans in Health Sciences, Chief Operating Officer, and the Director of Financial Services, Accommodation Services, Student Services, Information Technology Services, Marketing and Communications, Property Services and the Human Resources Division.

Expected Outcome/Goal/Objective - What the staff member is expected to achieve.

Head - The manager with the delegated authority for performance and development review salary increases, normally a Head of Department or equivalent. To confirm the Head for your area, contact the Divisional Head’s office.

Level - The Level within the Scale 1 General Staff Salary Scale – Level 1 to Level 8.

Merit Increase - Merit increases include:

  • Any increase into or within the merit range.
  • An accelerated increase in the appointment range.
  • An increase smaller than the standard increase to allow a staff member to reach the top of the appointment range.

Merit Increase Fund - The money allocated to fund merit increases. The majority of this fund will be allocated to the Head (Department Merit Fund). A small proportion of this fund will be allocated to the Divisional Head (Divisional Merit Fund).

Merit Range - Top half of the salary range for the level.

Outcome - What the staff member has achieved.

PDR - Performance and Development Review. (Please note that prior to 2006, PDR was used as the acronym for the Professional Development Review).

Performance Level - The level of performance defined as ‘Outstanding ’, ‘Exceeds Expectations’, ‘Fully Competent’, ‘Working Satisfactorily towards Full Competence’ or ‘Requires Improvement’. The full definitions of each can be found in the policy.

Reviewer - The manager or supervisor who is doing the review.

Standard Increase - The standard increase is three steps in Levels 1-3 and four steps in Levels 4-8. An increase can only be less than standard if it is to allow the staff member to reach the top of the appointment or merit range.

Step - Salary point within the level (e.g. there are 14 steps in Level 1 and 33 steps in Level 6).

Teina - The tuakana–teina relationship, an integral part of traditional Māori society, provides a model for a type of buddy system. An older or more expert tuakana (brother, sister or cousin) helps and guides a younger or less expert teina (originally a younger sibling or cousin of the same gender). In a learning environment that recognises the value of ako (learning and teaching, dependant on the expertise of the individual at any given time), the tuakana–teina roles may be reversed at any time.

Te reo Māori - The Māori language.

Tuakana - The tuakana–teina relationship, an integral part of traditional Māori society, provides a model for a type of buddy system. An older or more expert tuakana (brother, sister or cousin) helps and guides a younger or less expert teina (originally a younger sibling or cousin of the same gender). In a learning environment that recognises the value of ako (learning and teaching, dependant on the expertise of the individual at any given time), the tuakana–teina roles may be reversed at any time.

Policy Content

1. Principles

The aims of the PDR process are to:

  1. Focus staff on appropriate development opportunities
  2. Produce agreed goals for staff and appropriate support to achieve them
  3. Encourage and effective working relationship between a staff member and their manager based on an honest and open exchange of views
  4. Provide the staff member with an opportunity for a salary review with someone who has first-hand knowledge of their work
  5. Align staff knowledge, skills and development with the strategic direction of the department and the University
  6. Ensure a regular review of job performance over the previous 12 months

2. Timeframe

The PDR year starts form the completion of the formal PDR review.

Please note:

  1. Regular progress reviews are required throughout the year.
  2. A formal PDR meeting happens once a year between 1 August and 31 October.
  3. All PDR forms are completed and signed by the parties by 31 October (see section 5i).
  4. Salary review outcomes are decided for all staff and, when relevant, letters are sent out to staff by 1 December.

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3. Coverage

The PDR Policy applies to those staff who:

  1. Are employed on either the General Staff Collective/Individual Employment Agreements or the Management Band Individual Employment Agreement and have been employed on their current employment agreement in their current position since 31 July of that year.
  2. Are employed on fixed term agreements if they have worked longer than 11 weeks. If the fixed term agreement ends before 1 February and it is unclear whether the position will be funded on 1 February, a salary review should still be completed. This shall not however bind the University to provide employment beyond the terms of the current agreement.

Staff are not eligible for salary reviews if they have worked less than 11 weeks or, they have left the organisation or, they will not be continuing employment within the University on 1 February of the following year.

The PDR process may also be a useful development tool for staff not included in the above, e.g. casual employees. However these staff will not be eligible for salary review through this process.

4. PDR and Job Evaluation

If a staff member’s position has changed and the subsequent job evaluation affects a staff member’s salary level during the timeframe of the PDR process, the Head must decide whether salary progression is appropriate in the new level. As a general rule, if the effective date of the re-evaluation of the staff member’s position occurred before 1 August, and the staff member’s performance is reviewed against the changed position description, the PDR and revised objectives, then a salary increase should be considered in the new level. If the effective date of the re-evaluation of the staff member’s position occurred after 1 August, the staff member’s performance is reviewed against the old position description and therefore a salary increase should be considered in the old level. For advice please contact hr.pdr@otago.ac.nz or job.evaluation@otago.ac.nz.

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5. Assessment

Outcomes and Competencies are the key tools for assessment of performance and defining areas for development.

(a) Outcomes

An outcome is what has been achieved as assessed against a predetermined set of tasks, functions or responsibilities. They may be sourced from a range of areas including job descriptions, the PDR meetings or policies or practices. Expected outcomes are what staff are expected to achieve.

(b) Competencies

The competencies focus on the way or manner in which the outcomes can be achieved. The University has eight generic competencies:

  1. Knowledge and Skills
  2. Team Work and Co-operation
  3. Organisation, Planning and Self Management
  4. Problem Solving/Decision Making
  5. Service to Customers
  6. Initiative and Innovation
  7. Leadership and People Management
  8. Ngā Taonga Tuku Iho/Language and Culture

Each competency is made up of a series of descriptions of performance or behaviour. These are described in detail in Appendix 1 – Competencies. For the purposes of the PDR it is expected that:

  1. The majority of these competencies would be used when describing the level of staff performance.
  2. Not all the competency descriptions would apply to each position or to a particular outcome.

(c) Performance Levels within Competencies

Within each competency there are five performance levels:

  1. Outstanding
  2. Exceeds Expectations
  3. Fully Competent
  4. Working Satisfactorily towards Full Competence
  5. Requires Improvement

(d) Definitions of Performance Levels

Performance Level Definition
Outstanding Consistently achieves all their outcomes as described in the ‘outstanding’ performance descriptions. The Key outcomes are recognised as exceeding the normal expectations for the role.
Exceeds Expectations Achieves some outcomes that are recognised to be beyond the requirements of the role as described in the ‘outstanding’ performance descriptions for key competencies, and balanced with outcomes achieved at the ‘fully competent’ level for other competencies.
Fully Competent Achieves all expected outcomes to a high standard as described in the ‘fully competent’ performance descriptions. Performance assessed at this level is considered as meeting normal expectations for the role.
Working Satisfactorily toward Full Competence Achieves some expected outcomes and demonstrates full competence in some areas as described in the ‘working satisfactorily towards full competence’ performance descriptions. Development is required in some areas of the role but progress towards ‘fully competent’ is evident.
Requires Improvement Does not achieve some expected outcomes; performance is as described in the ‘requires improvement’ performance descriptions. Development is required in some key areas of the role but improvement is not evident

(e) Exceeds Expectations Description

Unlike the other levels, ‘Exceeds Expectations’ does not have a set of descriptions of the performance level (refer Appendix 1) as this is met by demonstrating all the relevant descriptions in the ‘Fully Competent’ performance level and some of the relevant descriptions in the ‘Outstanding’ performance level. The proportion of outstanding outcomes will increase as the staff member progresses up the scale.

(f) Attaining the level of Fully Competent

The expectation is that all staff will attain the level of Fully Competent by progressing through the appointment steps within the appointment range. The number of appointment steps will vary depending on the level of appointment and initial placement within that range.

(g) Achievement of the level of ‘Fully Competent’

Once the level of Fully Competent is achieved it is expected that this will become the minimum standard of performance. Due to a range of reasons it may not be possible to sustain an assessment at the higher levels of Exceeds Expectations and Outstanding over the time in a role. Therefore there may be movement within the levels of Fully Competent, Exceeds Expectations and Outstanding over time. E.g. someone assessed as Outstanding one year may be assessed as Exceeds Expectations or Fully Competent the following year.

(h) Service to the University Community and/or Service to the Wider Community

Service to the University and wider community is not a requirement of general staff, but a significant number of general staff are involved in activities which benefit the University, and this kind of contribution needs to be acknowledged and valued. It is an additional positive factor which should be taken into consideration when assessing the level of performance. Please note that a lack of relevant community service cannot be used as a negative factor, because it is essentially a voluntary activity, and not everyone has the opportunity to contribute in this way.

Community service can cover a very wide range of areas and includes all activities which are voluntary and not part of the job description. The activities must result in benefits to the University, and should not detract from the staff member’s ability to do their job.

Listed below are examples of the types of activities that could be considered as community service:

  1. Fostering positive links and better understanding between the University and groups such as local papatipu rūnanga, Te Rūnanga o Ngāi Tahu and ngā Iwi Māori;
  2. Membership of University committees such as the Operational Health and Safety Committee, or divisional and departmental committees;
  3. Taking on extra work in support of a professional association or staff grouping e.g. the Technicians’ Forum, Staff Women’s Caucus etc;
  4. Acting as a contact person under the Ethical Behaviour Policy.

(i) Parties involved in the PDR

  1. The person who manages the staff member’s work directly will normally be the main reviewer.
  2. Where possible, the PDR Committee would encourage the main reviewer be solely responsible for a manageable number of reviewees; for example, with any more than 10 reviewees, consideration should be given to delegating or alternative ways for completing the PDR.
  3. It may be appropriate for the reviewer to be supported by a more senior manager in completing the PDR.
  4. In some situations it may be appropriate to invite someone with additional knowledge about the performance to participate in or contribute to the review. This should be discussed in advance of a review meeting

(j) Support People in the PDR Review

  1. Either party have the opportunity to bring a support person to the review meeting. This could be, for example, a colleague, whānau support or a union representative. There may be a variety of reasons why a staff member would like a support person.
  2. If a support person is to be involved, the parties participating in the review should discuss and clarify in advance what their role in the meeting will be. For example, a support person might provide support but not speak during the session, or they may provide prompts to help provide information.

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6. The Formal PDR Meeting

The formal PDR must be completed before 31 October. The requirements for the review meeting are:

(a) The reviewer will give the reviewee at least one week’s notice of the review meeting, offer the opportunity to bring a support person and ensure adequate opportunity to prepare.

(b) The reviewer should arrange a suitable place for the PDR meeting.

(c) In the review meeting, the parties will discuss the staff member’s performance in terms of expected outcomes and competencies.

(d) The parties will discuss the overall assessment of the staff member’s performance. The reviewer will consider all the information discussed at the meeting before finalising the decision about the overall assessment of performance.

(e) If the reviewer believes that more information is needed before a decision can be reached, a second meeting should be arranged and plans made to obtain the necessary information.

(f) A work and development plan will be discussed for the next year.

(g) Dates will be agreed for the parties to meet and review progress towards achieving outcomes and meeting commitments (e.g. development or courses) over the next 12 months.

(h) The salary review process will also be discussed during the meeting.

(i) The reviewer will write up Section A, B and C of the PDR form.

(j) The Head, if not the reviewer, will complete the salary review (Section D) of the PDR Form.

(k) The Head, if not the reviewer, and the staff member have an opportunity to make additional comments in Section E of the PDR Form.

(l) The completed form will then be signed by all parties and copied to the reviewer, the staff member and the departmental personnel file. This should be completed by 31 October.

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7. Salary Review

(a) Standard Increase

The standard increase is three salary steps within Scale 1 Levels 1-3, four salary steps within Levels 4-8 and one step within Scale 6. This applies to both the appointment and merit ranges.

(b) Appointment Range Increase

(i) The salary at the top of the appointment range is normally seen as an appropriate salary for a staff member who:

  • has worked in that position or a similar one, for the number of years equivalent to the number of appointment steps for the level of that position, and,
  • is achieving at the expected level of performance in the position (i.e., meeting the appropriate objectives and performing at the level described by the ‘Fully Competent’ performance level.)

(ii) All staff should perform at a level to enable them to reach the top of the appointment range within the number of years equivalent to the allocated number of appointment steps for that level. Staff within the appointment range will receive a standard salary increase as long as:

  • Their performance level has not been assessed as ‘Requires Improvement’ and
  • A standard salary increase (three steps for Levels 1-3, four steps for Levels 4-8) means that their new salary step remains within the appointment range.

(iii) If a staff member’s performance is assessed as ‘Requires Improvement,’ appropriate support and a development plan will be put in place to assist with an improvement in performance.

(iv) If a staff member’s salary step is close to the top of the appointment range, and a standard salary increase would take them into the merit range, they will not receive an automatic salary increase. A salary increase will be considered as a merit increase (see 7bi). The Head may, as an exception, award an increase that is smaller than the standard increase to take the salary to the top of the appointment range if assessed as Fully Competent (this increase is considered as a merit increase within the merit increase fund).

(c) Merit Range Increase

  1. Staff in the merit range are being paid beyond what the university expects to pay for that position in recognition for their performance. The performance expectations increase as staff progress up the merit range.
  2. Staff within the merit range will be considered for a salary increase if their overall performance is assessed as ‘Outstanding’ or ‘Exceeds Expectations’ (subject to 7(b)(ii).)
  3. Staff near the top of the merit range who want to be considered for a salary increase, will need to demonstrate:
  • That they continually achieve a high standard of outcomes; and
  • That they consistently demonstrate outstanding performance across a broad range of competencies.
  1. When a staff member is less than a standard salary increase from the top of the merit range, the Head may, as an exception, award an increase that is smaller than the standard increase to take the salary to the top of the merit range.

(d) Accelerated Salary Increases

An accelerated increase is any number of steps more than the standard increase and may be considered in either range when a performance level of ‘Exceeds Expectations’ or ‘Outstanding’ is given. For exceptional circumstances, please contact Human Resources.

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8. Fiscal Control

(a) A fiscal control is set on salary increases for general staff positions. This limits the total salary increase for staff to 1.5% of general staff salaries across the University. The fiscal control is managed through a ‘three fund’ model as follows:

  1. The fund for appointment range increases – (Option 1 Section D of the PDR Form).
  2. The Head’s fund for merit increases (Option 2 Section D of the PDR Form). If necessary, salary increases will be prioritised by comparing staff members’ performance and their position (step) in the merit range. If there are a number of reviewers in your Department, the Head will discuss staff members’ performance with the reviewers before making a decision.
  3. The Divisional fund for merit increases (Option 3 Section D of the PDR Form). If the manager has awarded increases up to the limit of their ‘merit increase fund’ and believes that the performance of other staff members justifies an increase, they will apply for additional funding from their Divisional Head (Dean in Health Sciences).

The Divisional Head will prioritise salary increases by comparing staff members’ performance and their position (step) in the merit range through discussions with the Heads who have applied for additional funding.
If no increase is awarded in either range, Option 4 Section D of the PDR Form is selected

(b) Prioritising Salary Increases

  1. If necessary, the Head will prioritise salary increases. If there are a number of reviewers in the Department, the Head will discuss staff members’ performance with the reviewers before making a decision. The Head may seek assistance with the decision making process.
  2. The performance expectation of staff at the top end of the merit range is higher than those on the lower steps. The Head will make a judgement on the performance level of each staff member. If there are multiple reviewers, this judgement will be based on the discussion with the reviewer and the evidence available. The principles are that:
  • Salary increases for staff with higher levels of performance are normally a higher priority.
  • Consideration should be given to staff that are ‘Fully Competent’ but sit on a step just short of the top of the appointment range.
  • If the level of performance is similar, the staff member whose position (step) in the merit range is lower is a higher priority.

Example: Two staff members in the same job are assessed as having a similar level of performance (e.g., Exceeds Expectations). The funding only allows for one increase. One staff member is at the bottom of the merit range and the other staff member is in the middle of the merit range. The staff member at the bottom of the merit range should receive the increase.

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9. Support during the PDR Process

In order for the review to be successful, it is critical that the parties are able to maintain a respectful and constructive working relationship. Support available ranges from providing advice on staff development opportunities or skills based training, to working with HR to put specific plans and objectives in place.

Support is available at any time during the 12 month period of the PDR process. Working on the principle that there should be ‘no surprises’ during the formal PDR, it is better that the support options are called on when the need is first identified – this is more likely to be during one of the progress meetings prior to the formal PDR.

  1. People available to provide advice and support at any stage include, but are not limited to, colleagues, senior staff in your Division, the Divisional HR Managers, the HR Promotions & Remuneration team, the Manager, Recruitment, Development & Equity, Union Representatives and the University Mediator. These staff may be able to help directly or suggest other people or options. These resources are available to all campuses.

(b) What to do if a disagreement should arise.

  1. If a disagreement should arise between the parties during the review, they will be encouraged to resolve it themselves using the options outlined above as this allows them to keep control of how they manage their working relationship.
  2. If, at the end of the process, there is a significant ongoing disagreement that is likely to take a medium to long term period to resolve, it is recommended that staff invite an appropriate third party to facilitate a constructive discussion to help both parties reach an agreement. This could be any person that both parties believe has the knowledge and personal skills to help resolve the disagreement and who is willing to assist in this way. Support and facilitation mechanisms available include your manager, Divisional HR Managers/Advisers, the University Mediator, the Manager, Recruitment, Development & Equity and Union Representatives.

10. Appeal

(a) The outcome of the PDR assessment or salary review may be appealed on the grounds that the PDR process has not been followed. An appeal to the PDR Committee may be lodged by either the staff member or their reviewer.

  1. The deadline for appeals will be the University’s last working day of the calendar year.
  2. Staff should be informed of the outcome of their PDR salary review by 1 December. If there is any delay in informing staff of the outcome of their PDR salary review, either party may apply for the appeal deadline to be extended.
  3. The PDR Committee will decide on how the appeal will be investigated.
  4. If the appeal is upheld, the PDR Committee will advise all parties of the outcome and instruct them both of the actions that need to be taken. This may require that the process is repeated with appropriate mentoring and supervision. If there are delays in the process which may have led to the reviewee being disadvantaged, the appeal to the Committee may be asked to consider redress.

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11. Further Information Available

All the documents named in this policy and other useful documents on the Performance Development Review and the Salary Review are available on the HR website or from your Departmental Administrator.

Appendix 1 Competency Tables

The University of Otago is committed to and will recognise bicultural competencies. This may mean staff demonstrate across some/all of the competencies:

  1. An appreciation/understanding of Te Ao Māori and its expression in the University’s Māori Strategic Framework
  2. A commitment to and knowledge of the Treaty of Waitangi (and how it applies to your job/position)
  3. An understanding of Māori values (and iwi aspirations) and how they can be applied in the workplace
  4. A demonstrable commitment to the principles of the Māori Strategic Framework

1. Competency: Knowledge and Skills

Nāu te rourou, nāku te rourou, ka ora ai te iwi
(With your basket (of knowledge) and my basket, the people will prosper)

(Skills and knowledge relevant to the job including those defined in the job description. This may include technical skills, professional skills, trade skills, equipment knowledge, computer skills etc.)

Departments have the scope to adapt these descriptions to fit their particular situation by defining specific technical or professional skills and knowledge for their area, or by reference to relevant professional standards.

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Has not delivered key outcomes to required standard.

Has a partial knowledge of requirements which leads them to make ill-informed or wrong decisions.

Reduces the level of team effectiveness through contributions that are technically below the required standard.

Has been given support and training but is not progressing at the speed required.

Demonstrates full competence in some areas, but is still developing in others.

Is developing skills and knowledge through practice, learning from colleagues, asking questions, mentoring, reading or training courses as appropriate.

Recognises skills and knowledge gaps and asks for support or advice to deliver outcomes and utilises networks (eg: their manager, a mentor or their tuakana/more experienced colleagues) to enhance abilities.

Is improving their ability to deliver key outcomes.

Is making sustained and satisfactory progress towards full competence.

Has mastered all skills and knowledge required and applies these to deliver outcomes to a high standard.

Works hard at maintaining and developing the knowledge and skills relevant to their profession and position.

Is able to identify any gaps in their knowledge and remedy them.

Actively seeks development opportunities and presents well researched and practical proposals to their manager.

Has acquired a sound knowledge of the way the department and the University works, and uses that knowledge and experience for the benefit of the department and University.

Is a resource for others (ie: takes on a tuakana role for teina/less experienced colleagues).

Has a high level of expertise in all the knowledge and skills required and applies these to deliver key outcomes to a consistently high standard.

Skills and knowledge are recognised beyond the department.

Introduces relevant new techniques, knowledge or technology to others.

Introduces relevant bicultural knowledge and worldview concepts to ensure the department exceeds the expectations of the Māori Strategic Framework implementation.

Shares knowledge and expertise outside their team through training others, writing papers or making presentations. Has become an invaluable source of departmental and or institutional knowledge and experience for others (tuakana or leadership role).

Is actively involved in relevant professional associations.

2. Competency: Team Work and Co‐operation

Ehara taku toa i te toa takatahi; engari, he toa takatini
(Success is not the work of one, but the work of many)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Contributes little to the team, and may be having a negative impact on the well being and productivity of other members of the team.

Is isolated from the team. Does not contribute productively to discussion, decision making and team activities.

Unwilling to attend PDR.

Does the minimum required and frequently puts their own needs before those of the team.

Shows little understanding of cultural diversity and has the tendency to stifle inclusive or different ways of doing things.
Causes unhelpful conflict in the team. Does not consider the impact of their
work or actions on others.

Takes a negative approach to the job content, the team, the work environment or to customers.

Has been given support and training but is not progressing at the speed required.

Demonstrates full competence in some areas, but is still developing in other areas.

Demonstrates full competence in some areas, but is still developing in other areas.

Is learning how their role and approach impacts on others.

Is improving their contribution to the team. Offers appropriate suggestions and participates in meetings.

Shows respect for diversity and the needs of different cultures and is developing greater understanding through training, reading, or discussions as appropriate.

Communication with team members is respectful and helpful.

Actively contributes to the success and well being of the team, and is valued and respected by their colleagues.

Is fully engaged with the activities of the team and willingly collaborates with others to achieve a high level of productivity. Happy to help others when required even though it may not be “their job”.

Constructively influences team decisions, then supports team decisions for the collective good
of the whole team whether they personally agree with them or not.

Shows respect for and understanding of diversity and acknowledges the different cultural needs of others.

Actively promotes harmony within the team by recognising and respecting the strengths of others, and resolving any conflict of opinion they may have with others promptly and effectively.

Does their best to ensure that the team is working in a constructive and productive manner.

Supplies a vital dynamic in the team, energises and empowers others and lifts the team’s performance.

Anticipates what is required and, without being asked, takes on additional work or responsibility in order to help the team achieve its goals.

Is highly skilled in resolving interpersonal conflict within the team to everyone's benefit.

Keeps everyone going and bolsters team morale and commitment when times are tough. Inspires commitment in others through demonstrable leadership.

Prompts and supports others to play an active role on the team. Acts as a coach or mentor for less experienced team members (ie: takes on a
tuakana role for teina/less experienced colleagues).

Values and actively promotes diversity and strengths in the team and works hard to promote an inclusive culture.

Continuously seeks ways to improve the team environment and promote safe and healthy working practices.

Brings together collective knowledge for the benefit and growth of the whole team and subsequently, the University.

3. Competency: Organisation, Planning and Self-Management

Naia te toa a Tarewai, kei a ia tāna patu
(Here is Tarewai in his true strength, he has his patu back)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Needs close management before tasks are completed. Regularly misses deadlines.

Is slow to find relevant information or equipment on request.
Does not recognise true priorities. Struggles to balance competing
demands of multiple tasks and/or
customers.

Relies on others to organise and prioritise their work.

Does not identify when work demands become unrealistic or when barriers or obstacles prevent progress and does not discuss this with their manager. This may be represented by poor time management.

Is easily distracted and sidetracked, spending time on non-relevant activities.

Delivers the minimum quality and productivity, doing ‘just enough’.

Demonstrates full competence in some areas, but is still developing in other areas.

Is trying new approaches to become more organised. Seeks advice and assistance to help plan work. Productivity and quality are improving.

Is learning to recognise priorities.

Identifies workload issues and discusses them with their manager.

Is focused on goals, working effectively and collectively for the benefit of the team and the University. Completes work efficiently, meeting deadlines and quality requirements.

Plans realistically and reviews plans regularly (prioritises and completes tasks appropriate to the complexity of the role). Adapts to changing situations and re-organises work accordingly.

Organises work to enable others to easily locate information. Always has information at hand.

Balances competing demands of multiple tasks or projects or customers, separating the important from the urgent. Effectively negotiates realistic deadlines. Anticipates and takes action without being prompted. Monitors performance by requesting feedback from customers, peers or their manager or through appropriate measurement systems.

Displays a solution focussed attitude to issues and problems.

Manages work effectively.

Demonstrates a healthy work life balance.

Has a deserved reputation for being highly efficient and organised, the person people go to to get things done and make things happen. Effectively manages demands through utilising resources and negotiating appropriate timeframes.

Discovers and effectively utilises resources beyond the scope of the role to improve capacity to meet deadlines and customer expectations.

Introduces new methods of organising work tasks which significantly improve efficiency or results.

Is the person others will approach to learn techniques and processes to help them become more organised (ie: takes on a tuakana role for less experienced colleagues).

Anticipates changing situations and factors these into workplace plans, priorities, goals and outcomes.

Demonstrates a healthy work life balance and encourages this for all staff.

4. Competency: Problem Solving/Decision Making

E wai e taea te kupenga whīwhiwhi?
(How does one tend a tangled net?)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Does not recognise the impact of decisions they make.

Does not seek all information before making decisions or seeks too much information, delaying decisions.

Relies on others to solve problems. Refers decisions which should be within the scope of the role or does not refer decisions or seek a second opinion when appropriate.

Does not effectively assess information and relevant factors.

Does not identify recurring problems.

Demonstrates full competence in some areas, but is still developing in other areas.

Is developing decision making abilities.

Is learning when to and when not to refer decisions.

Attempts to resolve problems and seeks assistance when appropriate.

Collects and evaluates information to identify recurring and emerging problems and makes objective, well-reasoned decisions relevant to the complexity of the work.

Identifies and implements improvements in work practices, systems and processes.

Overcomes barriers and obstacles to achieve results.

Sees connections between different processes and applies this understanding to decisions.

Foresees the consequences of decisions, recognising impacts on stakeholders.

Backs up statements with supportive reasons and explanations.

Demonstrates the ability to clarify issues and focus on key points.

Develops a range of options from which to select the solution.

Produces effective and lasting solutions.

Makes decisions based on calculated risks using effective analysis of the situation.

Is the person others go to for help in evaluating information and making difficult decisions.

Researches and applies concepts, techniques and principles to benefit work activities, explaining these to others effectively.

Is able to deal effectively with conflicting and ambiguous information.

Foresees the future consequences and flow on effects of decisions over the long term.

Identifies potential problems and opportunities, investigates, analyses information and finds solutions.

Shows clear understanding of the wider (University/national/international) context in decision making and makes decisions in line with the University’s Strategic Documents (including the Māori Strategic Framework).

5. Competency: Service to Customers

Ka tika a muri, ka tika a mua
(If everything is running smoothly at the back (kitchen & dining area) all will be well out the front (for visitors))

(Customers are anyone receiving or benefiting from your work. This may include students, clients, other staff or managers.)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Is the focus of customer complaints.

Is perceived as being unhelpful or discourteous by customers.

Fails to treat customers’ requests and needs as first priority, slow to deliver service.

Fails to communicate clearly with the customer or to keep the customer informed.

Takes an unnecessarily bureaucratic or officious approach to customers.

Puts the blame for complaints back on the customer, or on other team members.

Shows little or no awareness of the needs of customers who are from a different culture, or who may have a disability.

Demonstrates full competence in some areas, but is still developing in other areas.

Is developing customer service skills.

Starting to understand customer needs and how to meet them.

Shows respect for diversity and different cultural needs and is developing understanding through training, reading, or discussions as appropriate.

Is dedicated to providing excellent service however difficult the situation.

Displays a positive, helpful attitude no matter how demanding or inconvenient customer requests might be or how difficult the situation.

Treats customers’ needs and requests as a top priority, and responds promptly to changing needs.

Applies excellent communication to clarify what customers want, and conveys information clearly and tactfully.

Seeks feedback from customers in order to improve their service delivery.

Acknowledges all problems and complaints, and resolves them as soon as possible.

Is able to mentor and train new staff in customer service.

Has an appropriate level of understanding of the needs of customers from different cultures and customers who may have a disability, and responds appropriately and efficiently to their needs.

Is the first person that customers think of calling; an acknowledged expert in their field who can deliver service in a way that both transforms and exceeds customers’ expectations.

Handles even the most difficult customers effectively.

Introduces new ideas and ways of doing things that can revolutionise the way service is delivered.

Combines institutional knowledge and sound judgement in a way that enables them to be flexible and creative in meeting the customer’s needs, but also preserves the best interests of the University.

Is always a good choice for mentoring and training other staff in customer service.

Has an expert knowledge of diversity and is a role model for other staff in delivering service that is inclusive and culturally appropriate.

6. Competency: Initiative and Innovation

He pū auaha, he toa kōkiri
(Where innovation prompts initiative)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Resists change. Is not prepared to try new ideas.

Makes inappropriate changes which have a negative impact on performance, quality, safety, customer satisfaction etc.

Persists with out dated methods.

Is quick to criticise new ideas and slow to acknowledge their benefits.

Is critical of ideas without offering alternative options.

Would benefit from learning new workplace skills in order to contribute more fully.

Demonstrates full competence in some areas, but is still developing in other areas.

Supports and adopts changes whether they personally agree with them or not.

Makes appropriate suggestions.

Enjoys challenges and actively seeks new approaches.

Recognises and implements opportunities to improve work methods e.g. changes procedures or own work methods to improve performance, quality, safety, customer satisfaction, morale, revenues etc.

Contributes new ideas and approaches to their own work and the work of the team.

Develops new insights into situations and applies solutions that are creative and innovative.

Is resourceful when challenged by obstacles.

Anticipates a need or identifies a problem before others do, and comes up with solutions that are both creative and successful.

Creates and achieves own measures of excellence, beyond targets set by management. Sets personal objectives that are truly challenging, yet realistic and attainable.

Does things that are unique or innovative, and introduces new approaches and ways of doing things to the University or department.

Recognises cultural paradigms around different ways of communicating and presenting ideas, and supports others to encourage their participation and contribution as appropriate.

7. Competency: Leadership and People Management

He aha te mea nui o te ao? He tangata, he tangata, he tangata
(What is the most important thing in the world? It is people, it is people, it is people)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Staff are unclear about their roles, priorities or performance expectations.

Staff do not receive timely, honest and constructive feedback.

Does not delegate effectively. Does not encourage staff.
Avoids handling performance issues.

Does not involve staff in the process of decision making.

Does not coach and mentor others effectively.

Does not apply HR policies and processes or lacks understanding of relevant HR processes.

Does not ensure that all staff have regular formal performance reviews.

Does not identify or deal effectively with Health and Safety issues.

Shows little understanding of cultural diversity and may act in a way that is offensive to staff from other cultures.

Is working with staff to clarify their roles, priorities and performance expectations.

Is developing people management skills.

Is learning about how to handle performance issues and seeks advice if/when appropriate.

Shows respect for diversity and different cultural needs and is developing understanding through training, reading, or discussions as appropriate.

Is aware of Health and Safety responsibilities and is actively working towards a full understanding.

Is learning about HR policies and processes and when to apply them.

Demonstrates full competence in some areas, but is still developing in other areas.

Manages the recruitment, development and performance of staff to ensure an appropriate level and spread of skills and expertise while supporting and encouraging team members to perform and develop to their full potential.

Communicates and negotiates clear performance expectations with staff which are regularly reviewed. Celebrates successes and affirms good performance, whilst constructively managing any performance gaps or disciplinary issues.

Provides employees with timely, honest and constructive feedback based on agreed accountabilities.

Leads by example, modelling appropriate and effective behaviours. Coaches and mentors others effectively.

Encourages trust through openness and honesty.

Delegates work to staff with consideration for their workload, skills, level of authority and development potential. Manages team resources effectively.

Adapts leadership approaches and communication styles appropriate for different situations and for the cultural diversity of the staff.

Encourages staff to participate in decision making, particularly when staff are directly affected and/or involved in implementing the decision.

The team is consistently meeting expectations. Implements effective systems to ensure team deadlines are met and work is of high quality.

Fosters a stimulating and challenging work climate for staff, encouraging a positive approach to tasks and learning opportunities.

Ensures appropriate University policies and processes are implemented and understood.
Ensures that all staff have a safe and healthy working environment. Manages the work flow to ensure a reasonable work load and encourages staff to maintain a healthy work/life balance

Inspires staff to demonstrate commitment to the goals of the team,department and University.

Flexible in using different interpersonal styles and communication techniques to affirm, encourage, and persuade others.

Empowers and enables staff to act. Leads a highly motivated team. Deals with difficult people management issues in a sensitive and effective manner.

Is able to positively influence decisions that affect their area within the broader University.

Is a highly effective change manager, creates an environment for positive change and manages change safely (for people, policies, processes).

Creates a positive workplace – reflected in the team’s principles and standards, and how staff treat each other and deal with their work.

The team is consistently delivering above expectations.

Values and actively promotes diversity in the team, and creates an inclusive team culture.

8. Competency: Ngā Taonga Tuku Iho/Language and Culture

Hutia te rito o te harakeke, kei hea te korimako e kō? Ka rere ki uta, ka rere ki tai. Kī mai koe ki au, he aha te mea nui o te ao? Māku e kī atu, He tangata! He tangata! He tangata!
(If you pluck out the flax shoot, where will the bellbird sing? It will fly inland, it will fly seawards. If you ask me, what is the most important thing in the world? I will reply, People! People! People!)

E aro nui ana ki ngā Mātāpono o Te Tiriti o Waitangi me te Anga Mahere Māori o Otago
(Has a commitment to the Articles and Principles of Te Tiriti O Waitangi/The Treaty of Waitangi and to the University of Otago Māori Strategic Framework)

Requires Improvement Working Towards Full Competence Fully Competent Outstanding

Has a limited understanding of te reo Māori.

Has no knowledge of Māori customs, values and beliefs.

Has little or no knowledge or awareness of Te Tiriti o Waitangi/Treaty of Waitangi.

Has no knowledge or awareness of the University of Otago’s Māori Strategic Framework.

Demonstrates an interest in te reo Māori and endeavours to pronounce Māori words correctly.

Has completed the Introduction to te reo Māori course offered through HEDC/HR or equivalent.

Has some awareness of Māori customs, values and beliefs.

Has completed the Introduction to Te Ao Māori/Tikanga Māori course offered through HEDC/HR or, equivalent.

Developing knowledge of Te Tiriti o Waitangi. Has completed the Introduction to Te Tiriti o Waitangi course offered through HEDC/HR or equivalent.

Has a basic awareness of the University‘s Māori Strategic Framework.

Demonstrates a reasonable understanding of te reo Māori and uses basic words and phrases whenever possible.

Regularly takes part in opportunities to practise and extend their reo.

Demonstrates a good understanding and awareness of Māori customs, values and beliefs, which is evident when required.

Has a good knowledge and understanding of the
Articles and Principles of Te Tiriti o Waitangi. Has participated in the Advanced Session on Te Tiriti o Waitangi course offered through HEDC/HR,

Has a clear understanding of the University’s Māori Strategic Framework and its relevance for their division.

Displays a competent level of pronunciation of te reo Māori, respecting the dialect of mana whenua. Conversant in te reo Māori and uses it regularly and accurately.

Has enrolled in (or completed) MĀOR110, or other Māori language papers through Te Tumu, or other external providers.

Has an expert knowledge, understanding and awareness of Māori customs, values and beliefs and is an invaluable source of knowledge and experience for their colleagues.

Has enrolled (or completed) MĀOR102, or other tikanga Māori papers through Te Tumu, or other external providers; or has experiential knowledge.

Incorporates the Articles and Principles of Te Tiriti o Waitangi into departmental practices. Has enrolled in (or completed) MĀOR204, or other Treaty focused papers through Te Tumu, or other external providers.

Is fully conversant with their department’s Māori Strategic Framework Plan and is actively working to implement it (this could include their involvement with a departmental group appointed to drive its implementation).

The Ngā Taonga Tuku Iho/Language and Culture competency may require on-going development before the majority of staff meet full competence. In some cases this development will be gradual, often undertaken as a group over time. When making an overall assessment, please refer to the FAQ “will my overall assessment be affected by the Ngā Taonga Tuku Iho/ Language and Culture competency?”

Related Policies, Procedures and Forms

University of Otago General Staff Performance and Development Review Form

Contact for Further Information

If you have any queries regarding the content of this policy or need further clarification, contact the HR Adviser at hr.pdr@otago.ac.nz or (03) 479 9263.