Monitor Staff Performance: D1.HML - CL10.13 D1.HRM - CL9.04 D2.TRM - CL9.16 Trainee Manual

Monitor staff performance
D1.HML.CL10.13
D1.HRM.CL9.04
D2.TRM.CL9.16
Trainee Manual
Monitor staff
performance
D1.HML.CL10.13
D1.HRM.CL9.04
D2.TRM.CL9.16
Trainee Manual
Project Base
William Angliss Institute of TAFE
555 La Trobe Street
Melbourne 3000 Victoria
Telephone: (03) 9606 2111
Facsimile: (03) 9670 1330
Acknowledgements
Project Director: Wayne Crosbie
Project Manager Jim Irwin
Chief Writer: Alan Hickman
Subject Writer: Alan Hickman
Editor: Jim Irwin
DTP or Production: Daniel Chee, Mai Vu, Cindy Curran
The Association of Southeast Asian Nations (ASEAN) was established on 8 August 1967. The Member
States of the Association are Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia, Myanmar,
Philippines, Singapore, Thailand and Viet Nam.
The ASEAN Secretariat is based in Jakarta, Indonesia.
General Information on ASEAN appears online at the ASEAN Website: www.asean.org.
All text is produced by William Angliss Institute of TAFE for the ASEAN Project on “Toolbox Development
for Front Office, Food and Beverage Services and Food Production Divisions”.
This publication is supported by the Australian Government’s aid program through the ASEAN-Australia
Development Cooperation Program Phase II (AADCP II).
Copyright: Association of Southeast Asian Nations (ASEAN) 2015.
All rights reserved.
Disclaimer
Every effort has been made to ensure that this publication is free from errors or omissions. However, you
should conduct your own enquiries and seek professional advice before relying on any fact, statement or
matter contained in this book. The ASEAN Secretariat and William Angliss Institute of TAFE are not
responsible for any injury, loss or damage as a result of material included or omitted from this course.
Information in this module is current at the time of publication. Time of publication is indicated in the date
stamp at the bottom of each page.
Some images appearing in this resource have been purchased from stock photography suppliers
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non-exclusive. Clip arts, font images and illustrations used are from the Microsoft Office Clip Art and
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Additional images have been sourced from Flickr and SXC and are used under Creative Commons
licence: http:ororcreativecommons.orgorlicensesorbyor2.0ordeed.en
File name: TM_Monitor_staff_performance_200315

Table of contents
Introduction to trainee manual ................................................................................................... 1
Unit descriptor ............................................................................................................................ 3
Assessment matrix..................................................................................................................... 5
Glossary ..................................................................................................................................... 7
Element 1: Develop staff performance management systems ................................................ 9
Element 2: Undertake staff performance appraisals .............................................................. 31
Element 3: Implement rewards and incentive schemes ........................................................ 43
Element 4: Counsel staff......................................................................................................... 53
Element 5: Implement disciplinary and termination procedures ............................................ 67
Presentation of written work .................................................................................................... 77
Recommended reading ........................................................................................................... 79
Trainee evaluation sheet ......................................................................................................... 81
Trainee self-assessment checklist........................................................................................... 83
© ASEAN 2015
Trainee Manual
© ASEAN 2015
Trainee Manual
Introduction to trainee manual

To the Trainee
Congratulations on joining this course. This Trainee Manual is one part of a ‘toolbox’ which is
a resource provided to trainees, trainers and assessors to help you become competent in
various areas of your work.
The ‘toolbox’ consists of three elements:
 A Trainee Manual for you to read and study at home or in class
 A Trainer Guide with Power Point slides to help your Trainer explain the content of the
training material and provide class activities to help with practice
 An Assessment Manual which provides your Assessor with oral and written questions
and other assessment tasks to establish whether or not you have achieved competency.
The first thing you may notice is that this training program and the information you find in the
Trainee Manual seems different to the textbooks you have used previously. This is because
the method of instruction and examination is different. The method used is called
Competency based training (CBT) and Competency based assessment (CBA). CBT and
CBA is the training and assessment system chosen by ASEAN (Association of South-East
Asian Nations) to train people to work in the tourism and hospitality industry throughout all
the ASEAN member states.
What is the CBT and CBA system and why has it been adopted by ASEAN?
CBT is a way of training that concentrates on what a worker can do or is required to do at
work. The aim is of the training is to enable trainees to perform tasks and duties at a
standard expected by employers. CBT seeks to develop the skills, knowledge and attitudes
(or recognise the ones the trainee already possesses) to achieve the required competency
standard. ASEAN has adopted the CBT or CBA training system as it is able to produce the
type of worker that industry is looking for and this therefore increases trainee chances of
obtaining employment.
CBA involves collecting evidence and making a judgement of the extent to which a worker
can perform his or her duties at the required competency standard. Where a trainee can
already demonstrate a degree of competency, either due to prior training or work
experience, a process of ‘Recognition of Prior Learning’ (RPL) is available to trainees to
recognise this. Please speak to your trainer about RPL if you think this applies to you.
What is a competency standard?
Competency standards are descriptions of the skills and knowledge required to perform a
task or activity at the level of a required standard.
242 competency standards for the tourism and hospitality industries throughout the ASEAN
region have been developed to cover all the knowledge, skills and attitudes required to work
in the following occupational areas:
 Housekeeping
 Food Production
 Food and Beverage Service
 Front Office
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Trainee Manual 1
 Travel Agencies
 Tour Operations.
All of these competency standards are available for you to look at. In fact you will find a
summary of each one at the beginning of each Trainee Manual under the heading ‘Unit
Descriptor’. The unit descriptor describes the content of the unit you will be studying in the
Trainee Manual and provides a table of contents which are divided up into ‘Elements’ and
‘Performance Criteria”. An element is a description of one aspect of what has to be achieved
in the workplace. The ‘Performance Criteria’ below each element details the level of
performance that needs to be demonstrated to be declared competent.
There are other components of the competency standard:
 Unit Title: statement about what is to be done in the workplace
 Unit Number: unique number identifying the particular competency
 Nominal hours: number of classroom or practical hours usually needed to complete the
competency. We call them ‘nominal’ hours because they can vary e.g. sometimes it will
take an individual less time to complete a unit of competency because heorshe has prior
knowledge or work experience in that area.
The final heading you will see before you start reading the Trainee Manual is the
‘Assessment Matrix’. Competency based assessment requires trainees to be assessed in at
least 2 – 3 different ways, one of which must be practical. This section outlines three ways
assessment can be carried out and includes work projects, written questions and oral
questions. The matrix is designed to show you which performance criteria will be assessed
and how they will be assessed. Your trainer and or assessor may also use other assessment
methods including ‘Observation Checklist’ and ‘Third Party Statement’. An observation
checklist is a way of recording how you perform at work and a third party statement is a
statement by a supervisor or employer about the degree of competence they believe you
have achieved. This can be based on observing your workplace performance, inspecting
your work or gaining feedback from fellow workers.
Your trainer and or assessor may use other methods to assess you such as:
 Journals
 Oral presentations
 Role plays
 Log books
 Group projects
 Practical demonstrations.
Remember your trainer is there to help you succeed and become competent. Please feel
free to ask him or her for more explanation of what you have just read and of what is
expected from you and best wishes for your future studies and future career in tourism and
hospitality.
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2 Trainee Manual
Unit descriptor
Unit descriptor
This unit deals with the skills and knowledge required to Monitor staff performance in a
range of settings within the hotel and travel industries workplace context.
Unit Code:
D1.HML.CL10.13
D1.HRM.CL9.04
D2.TRM.CL9.16
Nominal Hours:
60
Element 1: Develop staff performance management systems

Performance Criteria
1.1 Analyse strategic and operational plans to identify relevant staff policies and
organisational objectives that underpin performance management
1.2 Develop relevant performance indices to document, monitor and evaluate staff
performance
1.3 Develop systems to ensure staff performance is monitored and feedback is given
Element 2: Undertake staff performance appraisals

2.1 Appraise staff in the workplace
2.2 Advise staff of the result of staff appraisals
2.3 Determine action to take on the basis of individual staff appraisals
Element 3: Implement rewards and incentive schemes

3.1 Design reward and incentive schemes to motivate staff to attain nominated
performance targets
3.2 Communicate reward and incentive schemes to staff
3.3 Administer reward and incentive schemes
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Unit descriptor
Element 4: Counsel staff

4.1 Apply counselling techniques and strategies to employees where staff performance
appraisals are below requirements
4.2 Document staff counselling sessions
4.3 Generate agreement on action and direction to be taken as a result of the counselling
Element 5: Implement disciplinary and termination procedures

5.1 Develop disciplinary and termination procedures for performance-related non-
compliance
5.2 Prescribe conditions under which elements of the disciplinary and termination
procedures will be introduced
5.3 Communicate the established disciplinary and termination procedures to staff
5.4 Implement the identified disciplinary and termination procedures
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Assessment matrix
Assessment matrix
Showing mapping of Performance Criteria against Work Projects, Written
Questions and Oral Questions
The Assessment Matrix indicates three of the most common assessment activities your
Assessor may use to assess your understanding of the content of this manual and your
performance - Work Projects, Written Questions and Oral Questions. It also indicates
where you can find the subject content related to these assessment activities in the
Trainee Manual (i.e. under which element or performance criteria). As explained in the
Introduction, however, the assessors are free to choose which assessment activities are
most suitable to best capture evidence of competency as they deem appropriate for
individual students.
Work Written Oral

Projects Questions Questions
1.1 Analyse strategic and operational plans to 1.1 1, 2, 3 1

identify relevant staff policies and
organisational objectives that underpin
performance management
1.2 Develop relevant performance indices to 1.1 4–7 2

document, monitor and evaluate staff
performance
1.3 Develop systems to ensure staff performance 1.1 8 – 11 3

is monitored and feedback is given
2.1 Appraise staff in the workplace 2.1 12, 13 4
2.2 Advise staff of the result of staff appraisals 2.1 14 – 17 5
2.3 Determine action to take on the basis of

2.1 18, 19 6
individual staff appraisals
3.1 Design reward and incentive schemes to 20, 21, 22 7

motivate staff to attain nominated performance 3.1
targets
3.2 Communicate reward and incentive schemes 23 8

3.1
to staff
3.3 Administer reward and incentive schemes 3.1 24 9
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Trainee Manual 5
Assessment matrix
Work Written Oral

Projects Questions Questions
Element 4: Counsel staff
4.1 Apply counselling techniques and strategies to

employees where staff performance 4.1 25 – 30 10
appraisals are below requirements
4.2 Document staff counselling sessions 4.1 31, 32 11
4.3 Generate agreement on action and direction to

4.1 33, 34, 35 12
be taken as a result of the counselling
Element 5: Implement disciplinary and termination procedures
5.1 Develop disciplinary and termination 36 – 39 13

procedures for performance-related non- 5.1
compliance
5.2 Prescribe conditions under which elements of 40, 41 14

the disciplinary and termination procedures will 5.1
be introduced
5.3 Communicate the established disciplinary and 42 15

5.1
termination procedures to staff
5.4 Implement the identified disciplinary and 43 16

5.1
termination procedures
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6 Trainee Manual
Glossary
Glossary
Term Explanation
BARS Behaviourally Anchored Rating Scale
An agreed or decreed set of rules relating to employee

Code of conduct
behaviour or conduct with other employees or customers
Discussions and analysis of personal and work problems

Counselling that affect an employee's work performance in an
attempt to find a solution
A formal and legally binding award, agreement or

Employment instrument
contract under which a person is employed
External customers Paying customers
HR Human Relations
Hard data Facts, figures, statistics
IR Industrial Relations
Internal customers Staff or employees within the business
KPI Key Performance Indicator
MBO Management By Objectives
PA Performance Appraisal
PM Performance Management
Performance indices Workplace metrics used to describe or define required

activities
Primary data Newly-generated data produced as a result of fresh

research or observation
Productivity A measurement output against input
SOP Standard Operating Procedure
Secondary data Date which already exists such as existing

documentation, records, reports
Soft data Opinions with no factual evidentiary basis
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Glossary
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8 Trainee Manual
Develop staff performance management systems
Element 1:
Develop staff performance
management systems
1.1 Analyse strategic and operational plans to
identify relevant staff policies and
organisational objectives that underpin
performance management
Introduction
The development of a staff performance management system for a business must begin with
an understanding of the organisational plans, policies and objectives which will underpin
them.
This section defines ‘performance management system’, distinguishes between performance
management and performance appraisals (as discussed in Element 2) outlines roles of the
strategic and operational plans of the business, discusses the process of analysing them
and details why they need to be analysed.
Performance management system

Definition
A performance management system can be seen as a set
of processes put in place by an organisation to:
 Identify and describe the type and standards of
performance staff are required to deliver in nominated
areas
 Monitor staff performance in areas covered
 Capture evidence-based data on actual staff
performance measured against the defined standards
 Communicate results of staff appraisals to individual staff
 Generate action to maintain or improve staff workplace activities
 Reward, recognise, discipline, counsel and/or terminate staff regarding their performance
as appropriate or necessary.
It is important to address all these points when developing any effective staff performance
management system.
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Considerations
Essential considerations for all performance management systems are:
 The processes inherent in the system must result in the attainment of organisational
goals – hence coverage of ‘Roles of the strategic and operational plans' below
 Resources must be provided and aligned with the work needed to achieve the identified
goals or objectives of the business – this includes human, financial and physical
resources
 Judgements and decisions made within the process must be evidence-based – that is,
based on fact and data rather than suppositions, hunches and hearsay.
Generic information
It is also worth noting at the outset:
 A wide variety of performance management systems exist – there is
not just one model or option
 Some performance management models are very structured and
some are very loose – it often depends on the culture of the
individual workplace and the nature, style and preferences of owners
and or senior managers
 Performance management is sometimes referred to as PM.
Online references
Visit the following for more information about performance management:
http:ororwww.jobaccess.gov.auorcontentorperformance-management - Performance
management
http:ororwww.ocpe.nt.gov.auorworking_in_the_ntpsorpeople_management2orpeople_mana
gementorperformance_management_systems - Performance management systems.
Differences between performance management and performance

appraisals
While there is a strong link between performance management and performance appraisals
(indeed many people use the two terms interchangeably) they are quite different and unique
in their focus and intent.
The following table (by Rosario Longo from HR Professionals at
http:ororrosariolongo.blogspot.com.auor2011or06orperformance-appraisal-v-
performance.html) helps illustrate the fundamental differences:
Performance Management Performance Appraisal
Strategic Operational
Long-run goals Short to mid-run goals
Forward-looking Retrospective
Constant Episodic
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Performance Management Performance Appraisal
Process System
Integrated Isolated from business’ needs
Management by agreement Management by command
Holistic Individualistic
Managers owned HR owned
Supple and adaptable Rigid and inflexible
Focussed on individual’s past

Focussed on individual’s growth
behaviour and mistakes
Practical and effective Bureaucratic and superficial
Mainly focussed on qualitative Mainly focussed on quantitative

aspects of performance aspects of performance
Can be linked to total reward Linked to financial reward
Roles of the strategic and operational plans

All organisations should develop written plans to assist in the efficient, effective and
profitable running of the business.
Plans are seen as important or vital – the common adage is ‘If you fail to plan, you plan to
fail.’
Strategic plan
A strategic plan is the result of strategic planning and forms
the basis of strategic management.
An organisation will have one strategic plan.
In essence a strategic plan sets out what the organisation
intends to do in order to achieve the goals or objectives it
wants to achieve in the future for the period of the plan:
strategic plans are traditionally prepared for periods
ranging from one year to 10 years.
As such it:
 Provides direction to the business – in terms of where it wants to into the future
 Prioritises the goals or objectives – giving different weighting or importance to competing
achievements the company wants to attain
 Gives insight to managers when they need to make business-related decisions –
requiring the decisions to align with the directions and priorities in the plan
 Lists the risks facing the business – as identified by a formal risk analysis.
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Web information – strategic plans

More can be gained by reading articles at:
http:ororwww.forbes.comorsitesordavelavinskyor2013or10or18orstrategic-plan-template-
what-to-includeor - Strategic plan template: what to include in yours
http:ororwww.trustencore.comortagorcontents-of-a-strategic-planor - Developing a sound
strategic plan
http:ororsearchcio.techtarget.comordefinitionorstrategic-planning - Strategic planning
Operational plans
An operational plan shows how an element of the strategic plan will be achieved.
An organisation will have numerous operational plans.
When combined and fully achieved, the operational plans will have
allowed the organisation to attain the objectives it set for itself in the
strategic plan – in this way, the operational plans are said to ‘link’
the strategic planning of the organisation to the day-to-day
management of the business.
Operational plans are prepared for much shorter time periods than
strategic plans and guide day-to-day work in the business.
Web information – operational plans
Visit these sites for additional information:
http:ororen.wikipedia.orgorwikiorOperational_planning - Operational planning
http:ororwww.ourcommunity.com.auormanagementorview_help_sheet.do?articleid=739 –
Strategic and operational planning
http:ororwww.leoisaac.comoroperationsortop025.htm - Purpose of an operational plan.
Process of analysing strategic and operational plans

The process of analysing the strategic and operational plans of a business to assist with
development of a PM system must involve:
 Obtaining copies of all relevant documentation – which must include:
 Plans
 Policies
 Procedures or SOPs
 Verifying copies of documents obtained are current versions – and not out-of-date
 Noting when the plans were prepared – to get a perspective on their relevancy to the
current time
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 Identifying names of those who developed the plans – as this can:

 Help provide context and explanation for decisions taken and goals set
 Indicate people to talk to in order to obtain additional information
 Allocating sufficient time for the process – realising it is a time-consuming activity and
cannot be done in five minutes
 Reading the plans – carefully and in detail, in a quiet location free
from interruptions and distractions
 Taking notes – as the plans are read regarding:
 Questions which need to be asked
 Matters which need to be clarified
 Topics about which extra information is required
 Integrating details in the plans with other information known about
the business – to gain a fuller understanding and more
comprehensive insight
 Following up as required after reading – to answer questions and gather additional
information.
Reasons strategic and operational plans must be analysed

Strategic and operational plans of a business must be properly analysed in order to:
 Identify relevant goals or objectives – so there is a definite understanding about:
 Where the organisation wants to go
 How it intends getting there
 When it wants to arrive
 Identify relevant policies – designed or developed by the organisation to guide staff and
management action in relation to running the business
 Identify relevant SOPs for the business – which dictate the way work must be
undertaken by staff
 Identify performance criteria or standards for work performed by the business – see
‘performance indices’ next section
 Determine if the plans, policies and procedures are still relevant to the current
operational or business environment – or whether they have become out-dated
 Determine the extent to which the plans are being achieved – as gauged against the
various goals or objectives
 Determine levels of satisfaction with current business performance – as defined by
owner or senior management
 Identify any future ideas owner or senior management have for the business – in terms
of issues such as:
 Changes to goals and objectives or targets
 Changes to strategies to be used to attain goals
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 Changes to target markets

 Changes to performance indices
 Conduct additional research required to prepare more relevant and or current
documentation – where current versions are regarded as dated.
 Online information
 It is useful to read the article at:
 http:ororwww.cfoedge.comorresourcesorarticlesorcfo-edge-operational-analysis-aligning-
overall-performance-with-strategic-planning.pdf - Operational analysis: aligning overall
performance with strategic planning
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14 Trainee Manual
1.2 Develop relevant performance indices to

document, monitor and evaluate staff
performance
Introduction
Performance indices are vital to the use of performance management systems.
This section defines ‘performance indices’, gives examples of what they might be, explains
the process of developing workplace-specific performance indices and discusses how they
are used in the implementation or application of a performance management system.
Defining ‘performance indices’

Performance indices are metrics which describe and measure or quantify actions and
activities implicit in workplace activities.
They can include:
 Key performance indicators (KPIs) used to measure actual
performance – against set targets
 Performance standards defining the level of performance
sought from an individual or group – which are expressed
quantitatively or qualitatively.
Alternative terms for ‘performance indices’ in common use are:
 KPIs
 Performance indicators
 Performance indexes.
Examples of performance indices

The following identifies areas with sample performance indices commonly used by
organisations within or as part of their staff performance management systems and gives an
idea of their practical application:
 Productivity:
 Food waiters may be expected to serve X number of people per
service session
 Room attendants may be expected to service X check-out or
stay rooms per hour
 Punctuality:
 Employees may be expected to attend ready for work 100% of
the time according to their rostered hours
 Personal presentation:
 Staff may be required to meet the stated dress standards for
their gender 100% of the time
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 Levels of accuracy in work:

 Employees engaged in processing transactions may be required to do so with total
accuracy
 Some staff may be given a set percentage or dollar value of deviation in their
calculations which is deemed acceptable
 Adherence to procedures:
 The business may expect staff to adhere to written policies and procedures 100% of
the time
 Customer service standards:
 Service staff may be required to use standard phrases, greetings and farewells at all
times
 Employees answering the telephone may be required to answer the phone within
three rings every time
 Team interaction:
 Team members may be required to ‘actively participate’ in team meetings
 Response times:
 Consultants or receptionists may be required to greet customers and make an offer
of assistance within 30 seconds of them entering the business
 Waiting staff may be required to greet and seat guests within one minute of their
arrival
 Drink staff may be required to take a drink order from a table within three minutes of
guests being seated
 Room service staff may be required to deliver room service meals within a nominated
timeframe
 Waste minimisation:
 Kitchen staff may be required to return X% of useable product from every kilogram of
raw material
 Cost minimisation:
 Bar staff may be required to always use a nominated ‘pour’ brand for all spirits where
a specific brand name is not called for.
 Codes of conduct – staff may be required to:
 Comply with internally-generated Codes
 Meet requirements of nominated externally-imposed Codes.
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Developing workplace-specific performance indices

If the activities identified below are applied they will provide a practical platform to help
managers develop performance indices appropriate to every workplace:
 Start with a thorough understanding of the goals for
the organisation as stated in their key planning
documents – such as the business plan, the
strategic plan and operational plans
 Gain a complete picture of the public statements
the business has made about itself to the general
public – as contained in statements such as the
Mission Statement, the Vision Statement and the
Core values Statement for the organisation
 Review the current performance of the business – to determine of the results, outcomes
and general performances are acceptable or the extent to which they require
improvement and or change of some sort
 Gain a context for the operational environment in which the organisation is operating –
by looking at what other similar businesses are doing in respect of the areas for which
performance indices are to be developed
 Obtain (if possible) sample industry performance or service delivery or product-related
standards – as they apply generally across the industry or industry sector
 Meet with senior management or owners – to discuss their thoughts or requirements in
relation to performance: this is critical as they are the ones who will ultimately have to
approve whatever is finally established as the performance indices, and they are the
ones who will have the final say in deciding if ‘actual performance’ is acceptable or not
 Generate an overview of the individual organisation (or different departments or areas
within the business) – in respect of all relevant factors which will impact on service
delivery and or staff performance, such as:
 Number of staff rostered to work at particular times
 Levels of trade at certain times
 Layout of the workplace which may impact production, service or productivity
 Type, amount and or condition of equipment and other resources staff are required to
use
 Contractual obligations or legally-imposed requirements applying to the production
and or provision of products and services
 Develop draft performance indices incorporating information and input from all the above
listed sources – ensuring the indices are:
 Specific – they must be clearly explained and simple for everyone to understand
 Rational – there must be a good reason why a job, task or event has performance
indices established for it: not every single task in an organisation will be classified in
this way or have its performance measured, assessed or reviewed
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 Measurable – the output or the performance must be able to be readily and

accurately measured by some objective means
 Achievable – whatever the indices are and however they are explained or described
they must be constructed in such a way staff genuinely feel it is within their ability to
attain: performance indices function as motivators to staff but anything employees
feel they are unable to achieve will quickly operate as a disincentive to perform
 Circulate the draft performance indices for comment
and feedback – to all those considered ‘relevant
stakeholders’ who may commonly include:
 Owners, other managers, senior managers and
or head office
 Staff or employees who will be impacted by
them
 Customers
 Review and refine the draft performance indices as or if required on the basis of
legitimate feedback received – and then circulate or communicate the finally developed
and approved indices to staff and for inclusion in internal SOPs (such as staff training,
handbooks, induction and orientation programs).
Uses of performance indices

In relation to performance indices they are used within a performance management system
in the following ways:
 To provide a written or documented reference point or series of reference points which
can be used in various ways – for example:
 To notify workers how their workplace performance will be measured and judged –
which will give them a better understanding of management or employer
expectations
 To provide a basis for internal training of staff – so staff are trained the way the
organisation needs or wants them to perform
 To serve as a benchmark for future discussions and changes relating to service
standards, service delivery and overall staff and operational business performance
 To use as a consistent source against which to compare or judge the performance of
others business (opposition or competition and other workplaces within the same
organisation)
 To optimise likelihood objectives, goals and targets identified in plans can be achieved –
the indices must reflect and support the aims of the business
 To ensure the performance of the organisation meets or exceeds customer expectations
– to provide a point of difference between the business and other operators
 To give definite, objective and measurable indicators of actual staff performance for the
purposes of evaluating employee performance – as opposed to using vague and general
terms or descriptors
 To form a consistent reference point or basis for monitoring and recording actual
workplace performance – so it can be used as data for staff appraisals.
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1.3 Develop systems to ensure staff performance is

monitored and feedback is given
Introduction
Monitoring staff performance relies on there being a
suitable performance management system to apply.
This section gives background information about staff
performance monitoring, describes formal performance
management processes, gives a variety of options for
monitoring, presents several commonly used
performance management schemes or options, and
discusses the provision of feedback to staff.
Performance monitoring
In relation to monitoring of staff performance important points to note are:
 Many of the activities and processes involved in performance monitoring are also known
as performance appraisal – or PA: see Element 2
 Performance must be monitored in the work or areas staff were told they would be
evaluated on – and not on areas about which they were not informed
 Monitoring needs to be ongoing – and data, evidence or information needs to be
gathered over an appropriate period of time as opposed to just one instance: the proof
obtained needs to truly indicative or representative of actual performance and needs to
be reliable
 Staff should be advised of how their performance will be monitored and evaluated – so
they are aware of how they will be judged or rated
 Monitoring activities should not be covert or hidden – there should be no attempt at
secret observation or evidence gathering
 All staff should have their performance monitored – monitoring should apply to
management-level employees as well as operational staff: all personnel should have
their performance monitored and assessed and have feedback provided to them
 The standards identified for each work activity must be used to provide the metrics
applied as the basis of the monitoring process – the evidence gathering must reflect
details as described in the relevant criteria or indices
 Hard evidence must be obtained as part of the monitoring process – as opposed to soft
data, guesswork, thoughts and supposition
 The data captured during the monitoring process must enable determination of the level
of individual performance of each staff member – as distinct to providing evidence about
a group of workers or a department.
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Formal performance management process – an overview

Generic orientation
Some performance management schemes will measure
job behaviour – such as how well an employee greets a
customer.
Other PM schemes will measure actual quantifiable
performance – such as money generated or items
produced or sold.
For example:
 A receptionist would need to exhibit the required job behaviours for acceptable
workplace performance – job behaviour
 A person selling packages may need to make a certain number of sales to display
suitable work performance – quantifiable performance.
Regardless, the same basic pattern as set out below should be followed in the development
of a performance management system for any workplace.
Developing a system
Step 1: Identify dimensions for the job in question
In order to evaluate the employee’s performance there must be a thorough understanding of
the dimensions and requirements of the job which can be gained by reading the job
description and observing actual performance of the job.
It is also important to check the job has not changed since the job description was written.
Examples of job dimensions might include:
 Timeliness and accuracy in transactions
 Capacity to work as part of a team
 Ability to take reservations in accordance with dining room policy.
Step 2: Determine methods of measuring actual performance
This means determining a measurable and meaningful standard of success for each job
dimension as discusses in the previous section.
Examples of measurable goals which may be set could include:
 Receiving less than 5% unresolved complaints
 Scoring at least 95% on customer feedback surveys
 Achieving less than 10% wastage
 Achieving company budgets, as set.
Step 3: Measure and compare actual performance with the required standard
Once standards and criteria have been established for each job it is necessary to determine
each employee’s success in achieving those standards or criteria.
This may involve:
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 Personal observation of work performed and services provided to customers – using (for
example) a checklist to record observed (actual) performance and rate it against required
performance
 Analysis of relevant documents – to (for example):
 Determine levels of completion of required information and documentation
 Identify level of accuracy
 Analysis of relevant statistics – such as:
 Sales revenue generated
 Customers served
 Products produced
 Discussions with ‘appropriate others’ – and
recording their responses.
 Appropriate others may include:
 Customers
 Co-workers of the person being monitored
 Managers and supervisors.
 Obtaining and analysing physical samples of items or products produced – and
comparing them against physical standards set for them.
Step 4: Create and maintain performance records
Regardless of what type of staff performance management system is used, to there must be
records kept to:
 Ensure the validity of the process – there must be evidence to prove the process was
implemented
 Record ratings achieved by individual employees – which were used as the basis for
determining performance levels
 Record outcomes of staff appraisal discussions – which serve as a useful management
tool to act as a reference point for action and to document agreements reached
 Record comments made by all participants – staff and management
 Record the targets set for individuals – for the next staff appraisal period.
Records may also be a legal requirement where the results of the staff appraisal process
are used by a business as a basis for disciplining or dismissing staff.
Step 5: Conduct staff appraisal or performance management interviews
These are arguably the crux of the entire process where the staff member and management
meet to discuss individual employee performance or progress.
The meeting must be cordial with words spoken and decisions made being based on
objective evidence rather than personalities, bias or other motives.
The interview provides an opportunity for both parties to speak and provide comment and
feedback.
The intention of the interview is to share evidence-based information about the employee’s
actual work performance and then determine:
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 How performance which is below expectations can be addressed

 What new challenges or targets a compliant and successful employee can be set to
extend them personally and professionally.
Step 6: Take action
This is the final part of a cycle in the staff performance management
process where agreement is reached regarding action to be taken by
both the organisation and the employee to help achieve the objectives
which have been set.
The action to be taken is commonly written in the form of a plan and
signed by both management and the employee to indicate
acknowledgement of it and commitment to it.
This plan, notes taken at the interview and objective evidence obtained
as the basis of the discussion are filed in the staff member’s personnel
file (or staff appraisal file) as appropriate for individual businesses.
Online articles
More information on employee performance management can be sourced at:
http:ororwww.hr.comorenorabout_usorhr_com_newslettersorhr_com_whitepapersoremploye
e-performance-management-a-powerpoint-prese_edm2k0ks.html - Employee performance
management: a PowerPoint presentation
http:ororwww.hse.ieorengorstafforBenefits_ServicesorPerformance_ManagementorChapter
_1.pdf - Introduction to the performance management system.
Determining the system or scheme to use

In the recruiting and selecting of staff, jobs can be divided into three categories:
1. Jobs where what is done is important – that is, technical jobs such as teaching, waiting,
reception
2. Jobs where what is achieved is important – that is, results-based jobs such as managing,
selling, production, maintenance
3. Jobs where what the person is important – that is, jobs requiring a personal talent such
as modelling, singing, art.
It is important, when measuring job performance, the appropriate scheme is used as
matched against the nature of the job and the work being performed as explained below.
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If what the If what the If what people

person does in person achieves are in the job is
the job is in the job is important
important important
Measure Measure results Judge talents

behaviour and personal
attributes
Use a Use Use audition

Behaviourally Management By and judgements
Anchored Objectives of many (e.g.
Rating Scale or (MBO) or similar Audiences,
similar guests)
Options available
Many organisations will include a number of different
schemes in their total performance management
program, in order to measure different aspects of all
jobs.
For example a business may use a combination of
MBO, BARS and self-assessment.
Below is a brief description of the most common
traditional schemes together with their purpose and an
outline of their relative advantages and disadvantages.
Ranking method
This method simply involves ranking employees from best to worst.
The criteria for ranking (such as sales or customers served) might be given but mostly it is a
generalised or overall approach.
It is used where there is limited time for monitoring or other related activities to occur or
where there is limited time to decide about individual staff performance.
Often used for the selection of a staff member to undertake higher duties or attend a
conference.
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Sometimes used to decide who should be retrenched when a need to down-size arises.
Advantages:
 Simple
 Easy to understand
 Inexpensive
 Not time consuming.
Disadvantages:
 Subjective
 Does not provide good feedback to the employee
Essay method
This is a simple technique whereby the manager states
their perceptions of the employee.
These can be ‘free flowing’, meaning the manager can
address any issue(s) they think is relevant, or the topic
can be stated such as ‘Comment on the employee’s
capacity to work in a team environment’.
As this method requires verbal or writing skills it is
mostly used in clerical and administrative situations.
Advantages:
 Inexpensive
 Easy for appraisers to understand.
Disadvantages:
 Can be very subjective and open to rater errors if raters are not trained
 Can be time consuming
 Requires writing skills.
 Graphic rating scales
This is where a scale is used for each job dimension. The appraiser simply marks on the
scale where they feel the employee’s performance fits.
Sometimes the points on the scale are supplemented by statements of typical behaviour
which would correspond to a mark at each point.
It is used to measure job behaviours rather than goals or targets.
Advantages:
 Ease of use and understanding
 Inexpensive
 Not time consuming
 Does not require writing skills.
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Disadvantages:
 May not provide good feedback for correcting behaviour
 Can be subjective and open to rater error.
 Critical incident
This involves directly observing and noting examples of good and or bad job behaviours.
Supervisor keeps a diary of these incidents and then presents these to the employee at
appraisal time.
It can be used where facts are required concerning job behaviour.
Some use it to check for improvement to performance or to provide evidence for the purpose
of staff dismissal.
Advantage:
 Objective in providing evidence.
Disadvantages:
 Can be time consuming
 Employees may resent being constantly watched.
 Forced choice
This technique requires the rater to choose from a
number of statements.
For example, the one that best describes employee’s
behaviour on a number of job dimensions.
A scoring scheme unknown to the rater can be used.
It is an option used where a job requires certain
attributes and where an honest statement of whether
the person has those attributes is needed.
Advantages:
 Forces the rater to make an honest assessment
 Ease of use and understanding.
Disadvantages:
 Can be costly to design
 It is questionable whether complex job behaviours can be reduced to simple phrases.
 360⁰ feedback
This system requires the collection of opinions and feedback from supervisors, co-workers
and others – that is, feedback from ‘all points of the compass’
It is used to ascertain a broad range of performance examples or information from a range of
persons relevant to the position or person being considered.
Advantages:
 Simple to use
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 Generates a variety of feedback.

Disadvantages:
 May introduce bias
 Can address irrelevant factors.
 Management By Objectives (MBO)
If the supervisor is measuring results in a job that can be quantified and measured, then
chances are they will be involved with an MBO scheme.
MBO is a scheme used to measure whether or not an employee has achieved stated
objectives.
These objectives are quantifiable, realistic, achievable and measurable and as such can be
clearly stated.
 Behaviourally Anchored Rating Scale (BARS)
This performance appraisal scheme is a combination of critical
incidents and graphic rating scale.
The important aspect of this scheme is it emphasises the required job
behaviour, rather than a specific quantifiable goal.
It is the same as a graphic rating scheme except, for the measures of
performance, it actually gives typical examples of behaviour for that
point on a particular job dimension.
It is these statements which form the 'anchors' upon which the
supervisor can define typical or expected employee job behaviour.
 Self-appraisal
Self-appraisal simply allows the staff member to appraise their own performance and to
present this for discussion at the appraisal interview.
This is a very popular appraisal method as it leads to excellent feedback and identification of
problem areas.
It also allows the supervisor to address any incorrect notions the employee has about the
goals and objectives of their job, the section or department and the organisation.
In order for this method to be successful, the employee must be fully aware of the purpose
and procedures involved in the appraisal process.
Employees must complete their own appraisal prior to the appraisal interview and provide
this information to the supervisor for review.
It must be stressed to the employee they need to be honest and realistic when completing
their own appraisal, otherwise the comparison will be pointless.
More internet information
It is useful to read articles available at the following:
http:ororwww.explorehr.orgorarticlesorPerformance_AppraisalorPerformance_Appraisal_Met
hods.html - Performance appraisal methods
http:ororwww.sagepub.comorupm-dataor45674_8.pdf - Performance management and
appraisal.
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Provision of feedback to staff

Provision of feedback to staff on their performance is
conducted after required monitoring activities have
been undertaken and the results analysed.
Basic points to note
Basic points to note include:
 Feedback must be based on factual evidence –
gathered as part of the formal monitoring processes
 Feedback must relate to identified workplace performance – and not any other irrelevant
factors or issues
 A formal staff appraisal interview is used as the forum for the feedback – this is
undertaken in working hours, in private and at a mutually convenient time
 Feedback needs to be planned in advance before it is given – managers need to prepare
what they will say, how they will say it and what they will do in the staff appraisal
interview
 There is a need to guard against stereo-typing staff – when planning and providing
feedback
 Be honest in what is said – if an employee has been late to arrive at work on two
occasions do not say ‘You are always late’
 Give support for individuals to encourage, enable or optimise required experience in
each context – which may relate to:
 Continuing acceptable performance
 Redressing unacceptable performance
 Counsel employees where needed – to inform them of consequences of continued
unacceptable performance and ongoing inability to meet required standards
 Indicate the potential for disciplinary action – for those who are unable or unprepared to
bring their performance in-line with expectations and standards.
More information is available on the provision of feedback to staff in section 2.2.
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Work Projects
It is a requirement of this Unit you complete Work Projects as advised by your Trainer. You
must submit documentation, suitable evidence or other relevant proof of completion of the
project to your Trainer by the agreed date.
1.1 Develop a staff performance management system (for an actual or simulated business)
providing evidence:
 The plans or objectives the organisation have been analysed to determine what the
business wants to achieve
 Relevant performance indices have been developed to use in the implementation of
the system
 Documentation is available to use to monitor and record nominated activities and
provide the basis for evaluation
 Feedback is able to be (or has been) provided on observed or actual staff
performance.
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Summary
When developing staff performance management systems:

 Determine the context for and objectives required for the system to be used
 Analyse internal plans as part of the process to determine system requirements
 Research options and alternatives
 Define, develop and document relevant performance indices
 Design and produce monitoring protocols aligned to selected systems
 Ensure job behaviour and or quantifiable performance is performance monitored as appropriate
 Select or design one or more systems to address identified need
 Consider using a mix of systems and approaches to capture more comprehensive information
 Give prompt, evidence-based feedback to staff.
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30 Trainee Manual
Implement rewards and incentive schemes
Element 2:
Undertake staff performance
appraisals
2.1 Appraise staff in the workplace
Introduction
When staff performance systems have been developed for a business
they need to be used.
This section provides a context for staff appraisal within the
performance management system, describes managerial activities
required prior to staff appraisals and presents a range of considerations
for managers to take into account when undertaking actual staff
appraisals.
Context
In order to locate staff appraisals properly within their true workplace context it is important
to understand:
 Staff appraisals are a vital element of all performance management systems – in
essence there can be no useful or effective total performance management system
without staff appraisals
 Staff appraisals provide the hard data or information which form the basis of action to be
taken by management or the organisation in response to the outcomes of the appraisals
– most appraisals will lead to some form of action on the part of the business to improve
individual staff performance or to maintain or extend it
 Every staff appraisal must include a feedback session in a timely manner with the
individual employee – so they are advised of the results or findings and appropriate
support is provided
 Staff appraisals need to be conducted on a regular and ongoing basis across all
employees – so they become accustomed to them and learn not to be frightened or
worried by the fact their workplace performance is constantly being evaluated and
reviewed.
 The aim is create a culture in the workplace where performance management and staff
appraisals are seen as a positive workplace event and as a ‘win-win’ occurrence for
everyone
 Outcomes of every staff appraisal must be kept confidential – to protect the privacy and
rights of the individual staff member
 Failure by staff to achieve acceptable or satisfactory outcomes with their appraisals on a
regular basis despite appropriate action on the part of the organisation to assist them will
lead to possible other outcomes – which must be made clear to workers when the
performance management system is explained to them.
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 These outcomes are traditionally grouped into three categories:

 Counselling
 Disciplinary procedures
 Termination.
Pre-appraisal activities
For managers planning and preparation activities in
relation to workplace staff appraisals must embrace:
 Determining the techniques to be used and the type
of evidence which will need to be gathered – to
provide a valid basis for evaluation and to provide
sufficient proof:
 For each staff member
 As appropriate to reflect the performance indices relevant to each worker or job
 Scheduling the appraisal activities – so:
 Sufficient time is allocated
 Those involved can be notified
 Appraisals occur on a regular basis
 Diarising the appraisal times – so the important job of appraising staff is not
compromised or interrupted by other operational workplace demands which can tend to
take precedence over implementing the performance management system and
conducting the actual staff appraisals
 Reviewing any previous discussions or decisions made in respect of the individual being
appraised – so there is full understanding about all relevant factors relating to the
individual before appraisal activities commence
 Reviewing the personnel file or staff appraisal file for the worker – to gain up-to-date
information about recent events or occurrences (if any – such as new qualifications
gained, extra responsibilities allocated, disciplinary action taken) in relation to the
employee
 Obtaining necessary secondary data – which will be used as part of the appraisal
 Generating or acquiring necessary documentation to record data – when observations
and other evidence gathering activities are undertaken
 Ensuring appraisals occur across all staff – including management, full-time staff, part-
time staff and casual staff.
The appraisal
When a manager undertakes staff appraisal activities these must:
 Reflect the particular performance management systems used by the organisation – as
required by individual schemes
 Use the designated evidence recording tools – as appropriate for each individual
observation or appraisal event
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 Capture the evidence deemed necessary for each employee – in accordance with the
requirements of the performance indices for each job and as was explained to every
employee being appraised
 Obtain sufficient and appropriate to data to ensure suitability
 in terms of being:
 Reliable
 Indicative
 Relevant
 Demonstrate support, sensitivity and empathy – for any staff
member whose work is being observed first-hand to obtain primary
data: it must be remembered many staff will become anxious when
they know they are being watched and assessed for the purposes
of a staff appraisal, fearing their job may be at risk.
 It is for this reason it is important managers:
 Create a supportive environment around the processes or systems
 Get workers accustomed to being appraised so they learn to become familiar and at
ease with it
 Should notify workers they too (as managers) have their work appraised by other
managers.
 Never interfere with service delivery or provision – to internal or external customers
Online information
You can learn more about staff appraisals by reading:
http:ororwww.ask.comorquestionorwhat-is-an-staff-appraisal - What is a staff appraisal?
http:ororen.wikipedia.orgorwikiorPerformance_appraisal - Performance appraisal
http:ororwww5.lu.seoruploadorPA_Onlineorstaff_appraisals.pdf - Staff appraisals: tips and
ideas.
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2.2 Advise staff of the result of staff appraisals

Introduction
All staff who are subjects of workplace appraisals must be advised of the results of those
appraisals.
This section lists pre-requisites for the provision of staff appraisal feedback, identifies and
differentiates between the two most common types of feedback given as a result of staff
appraisals and discusses important points in the provision of feedback to staff.
Pre-requisites for advising staff of results

Before managers actually sit down with individual employees to discuss the results of their
staff appraisals they must:
 Verify the appraisal has been conducted honestly – and with necessary attention having
been paid to due process
 Ensure they have captured sufficient, objective relevant data – on which to make useful
and valid decisions about the employee
 Make sure they understand the methods of interpreting
performance data – as they apply to the individual
scheme being used and the nature of the particular
performance indices being applied to the evidence
 Consider and analyse the primary and secondary data
they have gathered, captured or researched – prioritising
results and understanding the data within individual
contexts
 Conduct follow-up appraisals or activities where required
– for example to:
 Obtain additional supplementary evidence
 Clarify issues or ambiguities
 Discuss difficult decisions with peers
 Arrange a meeting to discuss performance with individual staff – at a mutually
acceptable time within paid working hours
 Invite any other persons who may need to attend the session – which may be required
where:
 A witness is required to make a statement about something
 A witness is required to observe and note the giving of a verbal warning
 A person is required to be advised of their role in providing assistance to the staff
member.
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Types of feedback
Feedback to staff on the basis of appraisals may be ‘confirming’ or ‘corrective’.
‘Confirming’ feedback is positive feedback to reinforce and reward desired behaviour to
encourage it to be repeated.
‘Corrective’ feedback is feedback designed to address specifically identified deficiencies in
performance.
The following are some points to remember about giving feedback to employees:
 Provide feedback as close to the performance as possible – this enables the employee
to closely link what they have done with the outcome
 Provide feedback frequently – letting employees know how well they are performing is a
good habit for a manager to have
 Be specific and use facts – try to state what was good about the employee’s effort not
just the job they did well
 Discuss behaviours – not personalities
 Use simple, straight-forward language – get to the point and make the point.
Some will recommend the use of ‘positive-negative-positive’ sandwich when delivering
negative feedback and some will not.
A ‘positive-negative-positive’ sandwich is:
"Peter, you handle customers very well and I am very happy with your language and
non-verbal communication, but you need to pay more attention to your appearance
and dress standards but given your accuracy with ticketing your overall performance
is quite good.”
Those who recommend the ‘positive-negative-positive’ sandwich highlight:
 It forces recognition and acknowledgement of other positive attributes the worker has
displayed
 It softens the potentially painful or hurtful negative message which is being delivered.
Those who do not recommend the ‘positive-negative-positive’ sandwich point to the
possibility the message which needs to be given may get lost between the two positive
statements.
Also never forget to: "Punish in private, praise in public".
Praising in public lets the employee enjoy his or her colleagues seeing the recognition. It
also acts as a motivator for others
‘Punishing’ in private means the worker is not embarrassed in front of their colleagues.
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Providing feedback
The following have emerged as key points to observe when providing staff with feedback on
the results of their most recent appraisal:
 Keep the mood positive – even where a negative
comment needs to be made or some unsatisfactory
performance needs to be addressed.
 Staff need to see the process as a beneficial event.
 Make reference to actual evidence – as the basis for
the feedback given.
 This may mean:
 Citing days, dates and times
 Indicating people who made specific statements or comments
 Showing examples of actual work
 Focus on the performance of the person as was indicated to them when the staff
performance or appraisal scheme was explained to them – make sure there is no focus
on ‘the person’ and there is no personal bias or discrimination in what is said or done
 Make specific reference to three groupings of performance for each staff member – that
is, indicating exactly where, when and how:
 Performance was below expectations, standards or requirements (stated
performance indices for each task)
 Performance matched expectations, standards or requirements (stated performance
indices for each task)
 Performance exceeded expectations, standards or
requirements (stated performance indices for each
task).
The key is not just to focus on or emphasise sub-
standard performance.
 Involve the staff member in the discussion – by:
 Asking questions
 Seeking their input
 Asking if they agree or disagree with results or findings – and why
 Make sure the staff member knows where they stand as a result of the feedback session
– it is vital they leave the session knowing (for example):
 Their performance is acceptable – and everything is good
 Where their performance is not acceptable – and:
– What has to be done to retrieve it – see next section
– The support to be provided by the organisation
– Consequences of continued lack of adequate performance
 The next staff appraisal period and what will be assessed.
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2.3 Determine action to take on the basis of

individual staff appraisals
Introduction
All staff appraisals will require managers to enact some form of action as a result of the
evidence gathered and the discussion held as part of the feedback process.
This section identifies and discusses possible action which may be taken to follow-up
appraisals.
Considerations when taking action

Taking action on the basis of individual staff appraisals must always take the following
considerations into account:
 Must align predominantly with the feedback provided – in terms of whether it was
‘confirming’ or ‘corrective’ (see previous section)
 Needs to be considered managers before the appraisal feedback session – so suitable a
suitable course of action can be discussed and agreed as part of the feedback
 Must specifically address the identified needs of the individual employee based on the
objective evidence captured as part of the appraisal process – so there is a distinct
connection between remedial or corrective action and the need for same
 Should involve input from the staff member – who should be allowed or encouraged to:
 Suggest a course of action they believe would effectively address the identified need
 Discuss suggestions or proposals from managers which were developed prior to the
feedback session
 Agree the proposed course of action is appropriate for identified need and will
actually address or resolve the issues requiring attention
 Should be documented – so a record of the arrangements is available to give to the staff
member, relevant others and for future reference
 Must always make staff aware of consequences which are a possible outcome from the
appraisal – for example:
 Making it clear they their employment is not at risk or threat – when an acceptable
outcome has been achieved
 Stating clearly when and why counselling is or may be required
 Clearly explaining if and why disciplinary action might flow from what has already
transpired
 Must be undertaken with great sensitivity and empathy – as they always have the
potential to trigger strong personal emotions within individuals
 Must reflect what has previously been stated to staff regarding the overall staff
performance system or performance appraisal scheme – if the organisation has held
itself out as being ‘supportive and encouraging’, the action taken needs to mirror those
statements and not indicate to staff management say one thing but do another
 Must be undertaken in a timely manner – the sooner known outcomes have been
developed; the sooner action should be taken
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 Do not delay or defer the process of meeting with employees to discuss what has to be
done
 Must include advice to employees about what they can do if they believe their appraisal
is inaccurate or unfair – according to any internal or legislated complaint resolution (or
similar) procedures
 Must include realisation that while management is obliged to keep staff appraisals
confidential, staff often do not – so it is important to understand what is said and what
occurs as part of this phase of the process will often be shared by an employee with
other members of staff and can quickly become ‘public knowledge’.
Taking action
Action to take to underpin attainment of the revised targets may include:
 Proving necessary support to the individual targeted to
identified and agreed need – this may involve:
 Mentoring
 Coaching
 Training
 More or different resources
 Provision of or access to more or different information
 Providing support for out-of-work problems encountered by staff
– such as:
 Introducing workers to professional external assistance – for relevant issues such as
relationships, health, financial matters
 Making staff aware of government funded or subsidised staff assistance schemes
 Preparing rosters in a way which will help relieve pressure or help accommodate
assistance for identified problems
 Re-allocating work-related matters – such as:
 Re-distribution of duties and responsibilities
 Re-determination of targets to more achievable (or
realistic) levels
 Revision of product and service standards to different
levels or standards
 Adjustment of workload
 Re-organisation of work practices
 Providing formal counselling – as appropriate to agreed
needs identified by the outcome of the appraisal
 Making a conscious decision to take no action – where the results of the appraisal are
deemed to be acceptable
 Promoting the person – where their results on an ongoing basis have indicated their
potential or capacity for higher-level responsibilities and positions, and the individual has
expressed a desire for advancement
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 Agreement on short-term goals for improvement – by creating a formal plan for the staff
member setting actions and dates for achieving sub-sets of the main objective which
needs to be attained as identified by the appraisal
 Raising the standards or targets – for workers who achieved the previous goals set for
them as a way of acknowledging their achievement and keeping their work challenging
and interesting
 Moving a staff member to another role – this may be applicable where:
 Their current performance in a role remains unacceptable despite genuine effort to
improve and where the organisation believes the staff member is a real asset to the
business
 The individual has expressed a wish to be transferred to another role – and such a
position is available and appears to be a logical response to the given situation
 Setting a different focus for subsequent staff appraisals – so the skills, knowledge and
attitude of the staff member are evaluated in a different area or for a different skill set
 Using a staff member who has achieved outstanding results within the organisation – as:
 Role model for others
 A coach or mentor
 A workplace trainer.
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Work Projects
2.1 Undertake an actual or simulated staff performance appraisal of a worker in a real or

fictitious workplace (to be discussed with and approved by your Trainer or Assessor in
advance) providing proof you have:
 Discussed the intended appraisal with the employee so they know what is to be
evaluated and how it will be appraised
 Observed the staff member performing the identified work or tasks
 Recorded and or captured relevant other objective evidence of their performance
sufficient to determine their performance level
 Planned the de-briefing session to be held with the worker
 Met with the employee to de-brief and discussed the findings or results of the
appraisal
 Presented a suitable course of action to retrieve or extend the identified
performance of the worker.
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Summary
Undertake staff performance appraisals
When undertaking staff performance appraisals:

 Locate the activities within the appropriate organisational context
 Undertake necessary pre-appraisal activities in readiness for actual staff appraisals
 Allocate sufficient time for all appraisal activities
 Treat staff appraisals with the seriousness and priority they deserve
 Make sure all staff including managers are appraised
 Create a positive staff appraisal environment or culture
 Plan the feedback session and any proposed action to be taken as a consequence
 Notify staff in a timely and supportive manner about the outcomes of their appraisals
 Ensure staff are made clearly aware of the results or findings and consequences of appraisal
findings
 Base all feedback to staff on objective, hard evidence
 Gain agreement on findings and proposed courses of action to remedy, confirm or extend
individual employees
 Develop remedial or support action to the identified needs of each individual staff member.
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Element 3:
Implement rewards and incentive
schemes
3.1 Design reward and incentive schemes to
motivate staff to attain nominated performance
targets
Introduction
Common industry practice is to develop and apply reward
and incentive schemes to motivate staff to optimise
attainment of given performance targets.
This section identifies factors which need to be
incorporated into the design of these schemes and
presents a range of possible rewards and incentives which
can be used.
Factors to be considered in design of the schemes

All reward and incentive schemes need to be developed taking into account the following:
 The need to identify exactly who is entitled to which rewards – in some businesses there
may be certain staff who are not eligible, and in other cases certain staff are only eligible
for some rewards but not others.
 It is common for certain rewards or incentives to be directly attached to certain
achievements.
 The nature or type of reward – stating and describing exactly what the incentive is in
terms of:
 Physical description
 Monetary value
 Approvals which have to be obtained before the reward can be given – this may identify:
 Authorisations or signatures which are needed to support the allocations of awards
 Proof or evidence which must be provided or obtained to demonstrate identified
targets have been achieved
 Limitation to rewards – there usually is a restriction on:
 The number of awards one manager can issue
 The number of awards a staff member may receive
 The value of the incentive any one employee can be given in a nominated time
period
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 Time-frames may apply to the application of rewards – there is

often a designated time period:
 Within which staff are eligible to the rewards or incentives
 Limiting eligibility for awards
 Records which needs to be completed when issuing a reward – to
formally document, account for and track the award
 Ways in which rewards and incentives are communicated – to
winners and to the broader workforce or external stakeholders
 Protocols for celebrating awards – internally and externally.
Need to determine rewards or incentives to match individual need
When determining rewards or incentives to offer for particular staff members there are two
important factors to take into account:
 Awards provided must comply with organisational policy or guidelines in relation to what
is offered, and when
 The award must match individual preferences of staff members.
These factors acknowledge:
 Managers rarely have a free hand to offer whatever they want as a reward or incentive –
or whatever they personally feel is appropriate
 The reward or incentive must be such that it is of value to the staff member.
From a management perspective this means:
 Managers need to learn what their staff value and what will work as a motivator for them
at this point in time
 There is a need to understand what employees want or value as a reward or incentive
will change over time
 Rewards and incentives given must fit within the personal scope of authority to offer or
issue
 Employees should be involved in determining what will be used as motivation – as
opposed to only management deciding what will be used as rewards or incentives.
 This approach accepts people’s wants and needs can change over time, and also takes
enables staff to be demonstrably more involved, as opposed to simply being given
‘something’ which may not mean anything to them.
Possible rewards and incentives

Reward and incentive schemes may include:
Financial compensation and benefits
A standard and quite acceptable and effective reward and recognition is money.
Many staff appreciate extra money as a motivator to do something, or as a reward for having
done something.
Most businesses may have a pre-set limit as to what can be given in certain circumstances,
or there may be some freedom for managers to determine what is appropriate within
nominated parameters.
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It is important to make sure the relative weighting of the compensation given is ‘intelligent’
and appropriate – staff will share amongst themselves how much they have been given and
it is important management is not seen to be favouring one person
over another.
Financial compensation and benefits can include:
 Payment for course fees, books, travel, accommodation – this
can be paid in advance, but many organisations have a policy
whereby they only pay these fees or costs if the employee
successfully completes a course (in effect, then, this is
conditional reimbursement)
 A one-off cash payment – this is a bonus given for a certain
action such as successfully hitting a sales or other
performance target, completing a course, demonstrating
initiative, performing in an outstanding manner
 Allowing the staff member to be given a discount – this allows the staff member to
receive a nominated discount on all purchases made in the business (this level of
discount is above the standard discount rate available to all staff – for example, all staff
may normally be given a 5% discount, and the incentive or reward may be to increase
this to 10%)
 Giving the person a pay raise – this is where the staff member remains in the same job,
with the same responsibilities and tasks, but receives increased remuneration as
recognition for their achievements.
Note:
Do not get rewards and incentives confused with employee ‘rights’ – rights are monetary
allowances, reimbursements, per diems the employee has a legitimate entitlement to by
virtue of their conditions of employment, and they should receive these regardless of
whether or not they attain nominated performance targets.
Verbal praise
Verbal praise should be something given by all managers on a regular basis to all staff who
deserve it.
It should be SOP to catch staff doing something good and to praise them, rather than
focussing on catching them doing something wrong and reprimanding or punishing them.
Verbal praise can be given in private or public, but must be genuine and must be earned –
giving lots of praise is good but it must be really deserved or it becomes meaningless: be
lavish in your praise but be logical about it.
Verbal praise is a great way of showing appreciation for what someone has done on the
spot. It is a great way of recognising extra effort during very busy times, encouraging staff to
continue with good work and motivating others to do the same.
Sometimes the best, most effective and most appreciated praise is short – a quick word can
mean lots to staff at the right time: “Thank you”, “I appreciate what you have just done”, “Well
done” are all really useful verbal praise phrases.
Certificates and letters
Some organisations ask managers to nominate staff to receive certificates and letters as
rewards.
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In other cases, individual managers may have the authority to issue these as and when
deemed appropriate.
Certificates and letters are a tangible way the establishment can show its appreciation – and
they can be teamed with other rewards (such as a bonus).
It is again important to ensure the certificate or letter is warranted: some organisations have
an ‘Employee of the Month’ award and this can de-value the recognition when staff believe
no-one has really done anything outstanding and yet someone still receives the award.
Certificates should be duplicated so one can be given to the staff member for them to keep,
and one can be posted in the staff room or elsewhere as public recognition of their efforts.
Free ‘product’ or services
Some businesses reward staff by providing free in-house
products or services.
For example, for specifically designated achievements the
company may offer successful staff:
 A free meal (for one or two) – in the restaurant: this may or
may not be inclusive of beverages and is usually limited to
a set monetary amount
 Free accommodation – this can be the awarding of a free
night or weekend’s accommodation in the property for the
staff member and their partner: this is usually accompanied
by meals and use of the property facilities
 A free item – this can be something such as a bathrobe or
some other appropriate ‘gift’
 A complimentary trip, tour, travel or ticket.
Promotions
Where a staff member has demonstrated the required abilities or has achieved a necessary
pre-requisite qualification, promoting them is a potentially excellent method of rewarding
them but only if they want such a promotion – promoting someone who does not want a
promotion, or against their will, is obviously to be avoided.
It is advisable to discuss the proposed promotion with the candidate before they are actually
promoted to ensure they really want it and are prepared to undertake the extra duties and
responsibilities which go with the new position.
Promoting people internally – that is, from within the organisation – is an excellent way of
motivating other staff in the business as they can see effort is acknowledged by
management and those who want to ‘get on’ have the chance to do so without leaving the
business.
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Time off
Many staff prefer to have time off rather than extra money or a promotion.
Those with families, out-of-work commitments and those who are engaging in study can
often appreciate a set number of hours per week off as paid hours or time off.
Note, too, in some cases there may be opportunity to negotiate staff members have unpaid
time off work as a reward – this means the business does not have to pay the staff member
but they have the security of knowing their job is being kept for them until (for example) they
complete their studies.
The time off must be quite definite in terms of exactly what time is being offered or given: the
preferred option is to give the employee a set time off each week (stipulating days of the
week, and starting and finishing times) rather than allocating something vague such as ‘four
hours per week’.
In practice, then, this might mean the staff member is given ‘every Monday afternoon’ off and
this undertaking is taken into account every time the roster is drawn up.
Encouraging attendance at events
This reward can include issuing invitations to appropriate employees to attend events they
had not been previously invited to.
The nature of these events will depend on the size and structure of the business but
examples of what might fit under this classification of reward and incentive can include:
 Invitation to internal management or heads of department meetings
 Encouragement to attend industry trade events – exhibitions, shows, seminars, displays,
forums.
Promoting industry nomination
Where a staff member has demonstrated a certain skill and is
outstanding in their performance it may be appropriate to nominate this
person for an industry award.
This needs to be discussed with the individual to get their consent
before doing so.
This very public recognition shows the staff management believes they
are capable of being amongst the best in the industry, and that the
business is proud of their skills and achievements.
Remember to be sensitive to the needs of the individual though
because some of these industry events (‘challenges’, ‘awards’,
‘employee of the year’) can be quite stressful and can be quite
demanding on their time requiring public appearances, media
interviews and public demonstrations of their talents.
Never force or coerce anyone into one of these – remember, they are
supposed to be a reward not a punishment.
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3.2 Communicate reward and incentive schemes to

staff
Introduction
It is necessary to make all staff aware of the rewards and incentives being offered to them by
the organisation for achieving performance and other targets.
This section presents ways to inform staff of what is available.
Ways to share procedures with staff

The following have proven to be effective and efficient ways for organisations to
communicate their rewards and incentive schemes to employees:
 As part of the standard induction and orientation given to new workers – where verbal
explanations supplemented by handouts may be provided
 As a topic for internal staff training – required as part of generic staff training for relevant
employees
 By including the procedures in the Staff handbook – provided to all staff
 By including the procedures on the internal organisational intranet facility – so all staff
have access
 By using workplace posters – located in common staff areas such as staff rooms,
change rooms, meal rooms
 By holding special meetings – to highlight and explain what is available especially when
new schemes are introduced
 Making regular mention of the schemes at standard staff meetings – such as team
meetings, briefings and de-briefing sessions
 Sending emails to staff – with attachments containing updates about who has received
rewards and details of those who may be nearing attainment of same
 Distributing hard copies of rewards and incentives – for example at staff meetings and
briefings or in pay envelopes
 Including an article in an internal staff newsletter – explaining details of the scheme.
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3.3 Administer reward and incentive schemes

Introduction
In order for reward and incentive schemes to be effective they need to be implemented as
intended.
This section presents important keys to ensure optimum operational effectiveness of these
initiatives.
Administering the reward and incentive schemes

Background information
Where the organisation offers rewards and incentives part
of the management role is to ensure the pre-determined
criteria for granting or issuing such rewards are followed
in every case as they apply to every employee.
It is critical to note where staff have been advised of the
reward and incentive schemes and the criteria established
for their allocation they will be expecting managers to
recognise and reward them as stated.
Where managers fail to follow their own guidelines this will engender hostility and a feeling of
betrayal from the staff.
It is never acceptable for managers to take unilateral action or to make individual one-off
decisions which run contrary to the officially stated and advertised or released policy even
where they believe there is genuine need or reason to do so.
In addition, if a manager believes someone merits a reward or recognition not provided for
they should give them verbal praise and then raise the issue with senior management to
obtain their input or decision about what else might be done.
Implementation keys
To properly and fairly implement approved reward and incentive schemes the following are
key actions for managers to take:
 Know the policies and the schemes thoroughly – the
first step is to make sure there is total understanding
about what applies in relation to the scheme, such as:
 Names or titles of schemes
 Who they apply to or who is eligible
 When they start and finish
 Details of the targets which must be attained to
earn a reward
 Details of the rewards and incentives being offered and all options which may be
provided for – in order for the ‘prize’ to have value for different employees to suit their
individual need
 How and when they will be given
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 Ensure without doubt and without exception all staff who are eligible for the rewards and
incentive have been properly advised in relation the schemes – using communication
options mentioned in the previous section
 Take action to make sure the performance of staff in relation to the topic or focus of the
scheme is actively tracked and monitored – so accurate and objective data is captured to
form the basis of awarding rewards and incentives as promised.
 Make sure the schemes and the rewards and incentives are kept ‘front of mind’ in the
minds of staff – by making frequent reference to, and giving regular reminders about, the
schemes and individual progress towards rewards at staff meetings and briefings
 Ensure the rewards and incentives are issued in accordance with promises made about
them – the manager must 100% take whatever action is needed to prove the promise of
rewards and incentives was not an ‘empty’ promise
 Celebrate all rewards and incentives which are provided – this can mean telling other
staff, informing management, and notifying external stakeholders about what has been
achieved, who achieved it and what they received as a result
 Discuss the scheme with employees after it has been operational for some time – to
determine:
 Their thoughts about it – should it be continued or not?
 Whether the rewards and incentives are proving to really be a genuine motivator or
not – do they genuinely have value in the eyes of the people they are seeking to
motivate?
 Changes or revisions which could be made to the scheme to make it more attractive
and effective in achieving its desired outcomes
 Discuss the scheme with senior management, owners or administration – to determine:
 Whether or not they believe the scheme is proving to be effective in terms of their
analysis or evaluation of it
 If they think the scheme needs to be extended, expanded, changed or terminated.
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Work Projects
3.1 Identify a workplace (to be approved by your Trainer or Assessor) and for that
workplace:
 Develop a rewards and incentives scheme which could be used to motivate

nominated staff within the organisation
 Present the rationale for choosing the awards which are used within the scheme
 Describe the cost to the organisation of each reward and incentive
 Explain the procedures which could be used to communicate the scheme to
employees
 Document guidelines or protocols which will assist in the implementation of the
scheme.
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Summary
When implementing rewards and incentive schemes:

 Design and develop schemes which have value and relevancy to individual workplaces and
employees
 Be prepared to offer a range of rewards and incentives
 Ensure senior management or owners authorise or approve proposed schemes
 Share or communicate the details of approved schemes to all eligible employees
 Promote the schemes and sell their benefits to workers
 Award rewards and incentives strictly in accordance with established criteria
 Never deny or refuse to award a reward or incentive which has been genuinely earned
 Do not issue rewards or incentives which have not been earned
 Celebrate awards
 Review the reward and incentive schemes and revise as necessary to maintain its utility.
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Counsel staff
Element 4:
Counsel staff
4.1 Apply counselling techniques and strategies to
employees where staff performance appraisals
are below requirements
Introduction
Common industry practice in business is to counsel staff when their
performance falls below expectations or requirements.
This section defines counselling and differentiates it from staff
disciplining, highlights the importance of counselling, discusses why
managers sometimes often have difficulty with counselling employees,
identifies three generic types of counselling which may be required
and presents a range of standard and effective protocols which can be
used by managers for counselling their staff.
Counselling defined
Context
Workplace counselling is concerned with discussions and analysis of personal and work-
related problems which affect an employee's work performance in an attempt to find a
solution.
Discipline by contrast can be defined as a direct statement by a manager of what is wrong
and a directive to the employee to improve: in effect it is a warning.
Counselling is about problem solving and as such must come before any disciplinary action.
The employee should be told clearly in a counselling session that it is a counselling session,
not a disciplinary session.
Opportunities provided by counselling
Counselling is an opportunity for all parties to express their concerns and explore reasons,
causes and grievances in a fair and trusting environment.
Counselling is an opportunity to:
 Correct actions requiring attention
 Rebuild skills, knowledge, attitudes and confidence
 Improve unsuitable, unsatisfactory or unsafe conditions
 Change the working environment, policies, procedures and protocols
 Solve existing problems which have been identified
 Prevent future problems which can be foreseen.
 Build trust and consolidate relationships between employees and their supervisors
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Counsel staff
 Communicate the goals and objectives of the organisation and individual departments.
From the above it is possible to see:
 Counselling can be proactive – it does not always have to be reactive – that is, reacting
or responding to a situation but it can take the initiative to prevent a situation
 Generally speaking the more counselling done today:
 The less counselling will need to be done tomorrow
 The lower the need for disciplining activities.
 There is no guarantee with counselling – it does not always work.
Importance of counselling
Counselling is an important skill for managers to learn for
three main reasons:
 Legal
 Organisational
 Individual.
Legal considerations
Unfair dismissal legislation generally state employees must be afforded 'procedural fairness'
when faced with termination.
Procedural fairness means before an employee who is performing poorly is dismissed they
must:
 Have the problem clearly explained to them
 Be given the opportunity to correct their performance.
The use of correct and accepted counselling techniques (see below) by managers in
achieving these outcomes is a necessity.
Also, many employment instruments have provisions stating words to the effect 'acceptable
counselling is offered to the employee prior to warnings and termination procedures.'
Failure to comply with these requirements may result in:
 Reinstatement of staff who have been dismissed
 Legal action against the business or the manager by the employee for unfair treatment,
bullying, harassment or some similar offence.
Organisational considerations
Counselling must always align with all relevant internal policies and procedures.
Counselling employees in job performance improvement has obvious benefits for the
organisation.
If staff are performing at their best then the organisation should prosper. It means standards
of products or services are maintained and therefore the customer can be confident in
dealing with the business.
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Counsel staff
Higher levels of service, better quality products and

more consistent services generate increased customer
satisfaction and more repeat business.
Counselling can be seen as proactive in it brings
employees of the organisation in line with organisational
goals.
Counselling also breaks down the 'Us versus Them'
view held by many employees because individual
workers are actively involved in generating a solution to the problem.
Counselling further means organisations can correct performance problems rather than
‘sweep them under the carpet’.
Simply dismissing an employee who is not performing to standard does not solve the
problem if it is caused by something within the organisation. Examples of this would be
sexual harassment, poor job scheduling, insufficient induction training, a stressed work
environment or unsafe or insufficient equipment.
There is always the possibility the same issue is impacting more than one staff member.
Individual considerations
Using counselling techniques can positively aid the individual worker.
Sometimes an employee may not be aware of policies and practices the supervisor may
know of and can use in finding a workable solution.
For example an effective manager may know about and be able to implement a range of
options (see section 4.3) to help quickly and simply resolve a situation a worker may have
thought was impossible to address.
Also, many people in the middle of some personal distress or trauma often do not behave
rationally, and may take some action (such as resigning) which they later regret.
So counselling can provide individual workers with a useful break between ‘action’ and
‘consequence’.
Finally, counselling skills are important for managers too as the performance of the manager
usually depends on how well the people under them are doing their jobs.
Why frontline managers have trouble with counselling

Many managers experience difficulty with counselling their employees.
Managers are employed to get things done and as such they tend to be task oriented.
They tend to focus on the end point or goal which needs to be reached such as, for example:
 The success of a function or event
 Staff are paid correctly and on time
 Performance and operational reports are available to other managers on time.
What managers might forget is organisations exist because there is too much work for any
one single person. They are employed to coordinate the efforts of others.
Managers, in fact, are employed to get things done through other people (their employees).
So when their employees break down, they need to fix the problem.
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Counsel staff
But the nature of a manager's day-to-day work is often very different to what might be
required to fix an employee's performance problem.
One reaction might be to say, "why not just sack them and get someone new?"
The following table highlights the difference between a manager’s day-to-day work and the
skills needed to effectively counsel an employee on performing better or correcting a
performance deficit.
Table: The different requirements of a supervisor and a counsellor
Reality of a Supervisor’s Work What counselling requires
Variety of activities; thinking on your feet; Forward planning; structured formal

ad hoc meetings; instant face-to-face meetings
interactions
Applying procedures to problems; a store There may be no obvious solutions that

of known solutions can be imposed
Rewards given for ‘on task’ activities May be no immediate rewards
Use of position or legitimate authority to Supervisors give up legitimate authority

get things done to become a ‘coach’
Traditionally involves directing others Skills needed in listening and joint work
Work culture has traditionally separated Requires a positive regard for

work life from personal life employee’s problems often involving
private and work life
Work culture requires clear, specific Some outcomes may not be clearly
outcomes measured or visible
Three types of counselling

Overview
Counselling is not a 'friendly chat'.
Counselling requires the use of skills, knowledge and a
special attitude.
The counselling session has a structure and it has a
structured follow-up or action plan as its result.
The effective manager or counsellor is aware of notions such as stereotyping, personal bias,
victimisation, and individual personalities and similar as they might intrude into counselling.
The supervisor or counsellor must be able to separate the person from the behaviour.
A distinction needs to be made between counselling sessions initiated by the manager and
those initiated by the employee.
In this unit only those sessions called by the manager are addressed.
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Counsel staff
Manager initiated counselling sessions

There are three instances where a manager might
initiate a counselling session.
These are:
 Poor work performance
 Breach of policy – poor behaviour
 Information sharing.
Poor work performance
Every job has standards of performance required for the job to be done correctly and the
organisation to meet its objectives.
If a person's work performance falls below this standard then action needs to be taken to
bring it back on track.
Breach of policy – poor work behaviour
There are two elements which make up a fully functioning employee:
 Can they do the job?
 Will they do the job?
There can sometimes be an employee who can do their job but who chooses not to or
chooses to behave in a manner contrary to company policy.
Examples of this might be:
 Arriving late for work
 Smoking in non-smoking areas
 Fighting with other employees.
Indeed, some employees might be performing so well they feel they are above the policies of
the organisation.
For instance a staff member may argue it is irrelevant they arrive late for work as they are
still able to complete all of their job requirements in the time they are at work.
Sharing information
Counselling sessions can involve the sharing of some information with the employee.
Examples of this might be:
 Forced transfers – from one department or job to another
 Changes to rosters
 Changes to policies or procedures
 Redundancy.
It also includes feedback sessions following a performance appraisal, which should also be
conducted using the counselling or coaching approach.
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Counsel staff
Counselling techniques
Counselling techniques and strategies which have proven to be effective for workplace
managers include:
 Applying informal but structured discussions between
management and staff – in relation to this:
 Informal means the discussion takes place in
private and exists just between manager and staff
member
 Structured discussion means the manager
should:
– Pre-determine topics to be discussed during the counselling including planning of
sequence of session, content of session, words to be used during session,
questions to be asked, revised targets to be set, options, suggestions or
ultimatums to be issued
– Set a definite time, date and location for the discussion
 Implementing application of suitable counselling strategies to meet individual and
company needs – including:
 Variations in formality and structure
 Differences in format and language used within the session
 Use of internal or external convener
 Recording or documenting the counselling sessions – in terms of:
 Minutes of the meeting
 Details of what was said by the manager and staff member
 Details of the promises made by both parties
 Requiring the employee to sign-off on the decisions reached during the counselling
session – in order to:
 Optimise commitment to the decision
 Indicate the decision or promise is serious undertaking
 Prove the organisation intends following up on the decision or promise in future
sessions
 Providing the appropriate level of support during the counselling commensurate with the
issues being dealt with – this means the counselling must:
 Not only advise the staff member what they must do but also they can achieve what
is required
 Indicate internal and external mechanisms available to support the worker in their
efforts to comply with agreed or identified requirements
 Referring the staff member to external professional services – where appropriate
 Scheduling the delivery of counselling in a timely manner – to minimise the negative
impact of delays and enable linking of discussion and outcomes to recent and identified
performance.
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Further online reading

More information on workplace counselling can be sourced from:
http:ororwww.studymode.comoressaysorCounselling-Skills-In-The-Workplace-1083173.html
- Counselling skills in the workplace
http:ororwww.slideshare.netorArsalanAhmadoremployee-counselling-4152204 - Employee
counselling
http:ororwww.workplaceinfo.com.auorhuman-resources-managementorperformance-
managementorcounselling - Counselling
http:ororwww.industrialrelations.nsw.gov.auoroirwwworEmployment_infoorRecruitment_and
_terminationorDisputes_in_the_workplace.page - Disputes in the workplace
http:ororbjp.rcpsych.orgorcontentor182or2or103.full - Does workplace counselling work?
http:ororwww.lifeworks.com.auoreap.html - Employee Assistance Programs.
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Counsel staff
4.2 Document staff counselling sessions

Introduction
It is standard industry practice to record every staff counselling session.
This section explains why it is important to do so, discusses sharing of relevant information
and highlights the form such documentation may take.
Importance of documenting sessions

The following give very good reasons why it is necessary to document staff counselling
sessions:
 Industrial relations legislation or relevant employment instruments
may require it – as part of their negotiation and issue resolution
process
 It demonstrates sound management practice – in keeping a record of
what was discussed and exactly what was promised or agreed to
 Documenting the conversation serves to highlight to staff who are
part of the process the session is being taken seriously – and the
session is not to be dismissed lightly
 It provides solid details of the discussion – which can be used at a
later date for reference purposes
 It generates a permanent record of the discussion – which can be shared with relevant
others as required
 When shared with the staff member who was participating in the discussion it helps
remind them of what was discussed – and of the commitments they made.
Sharing the information
Sharing of the information generated as a result of a staff counselling session will vary
between organisations.
The information may be:
 Shared with the staff member who was part of the counselling session – they are
traditionally given a copy of the record which they are asked to sign as a ‘true and
correct account of what occurred in the session.
 Staff are given a copy of the signed record to keep for their own purposes and a signed
copy is kept on file, as proof of what took place within the counselling session.
 Provided to a designated staff member – who is functioning as a staff advisor or
representative throughout the process
 Forwarded to designated senior managers – in accordance with internal policies
regarding staff management practices
 Sent to central administration or HR department – for inclusion in the personnel file of the
individual staff member
 Given to any worker within the organisation who has been allocated responsibility under
the plan designed to address identified individual staff need – in most cases an edited
version of the record could be provided to certain co-workers, supervisors or training
officers.
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Counsel staff
Formats to use
Recording or documenting a counselling session may take place in
several ways but the common thread is the record needs to be in
written form – it is never acceptable to rely on memory.
Most organisations combine hand-written documentation with
electronic files to produce the total package of relevant records.
The formats used may include:
 Standard internal documents or forms generated by the
organisation specifically for use to record counselling sessions –
completed by hand during and after the session
 Hand-written notes – taken by the manager throughout the
course of the session.
 These notes may form the basis of more formal records generated immediately after the
session.
 Counselling agreements – some businesses use dedicated internal ‘contracts’ to formally
document counselling sessions.
 While these agreements are often called ‘contracts’ they carry no legal weight: they are
simply undertakings by staff to do or to refrain from doing certain things.
 The fact the staff member has had to sign the document tends to give the issue more
gravity and usually operates to generate a much higher level of compliance or
commitment than would otherwise be the case.
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Counsel staff
4.3 Generate agreement on action and direction to

be taken as a result of the counselling
Introduction
All counselling sessions should have at least one definite objective.
This section emphasises the critical need for agreement from staff on
the course of action to be taken, highlights the individual nature of every
counselling session stressing the need for or importance of tailor-
making action to be taken and presents examples of action which may
be taken as a result of counselling sessions.
Need to generate agreement on action

Before each counselling session concludes it is vital to:
 Identify the action to take to address the requirements which are the basis of the
counselling – before the next scheduled counselling session
 Gain agreement from the worker about the action to be taken – agreeing:
 The proposed course of action will actually effectively address or resolve the
identified problem or issue
 The intended course of action is a legitimate response to the issue and does not
place any unfair obligations on the staff member
 The worker will commit to genuinely engaging with proposed activities – to help
resolve the issue
 Set a date, time and venue for the next counselling session – to enable:
 A review of progress
 A modification of support being given
 Refinement of the action to be taken to support the worker
 Finalisation of the process – where acceptable outcomes have been achieved.
Possible action which may be taken

The individual nature of each counselling session
Every counselling session is unique as each session will:
 Address an individual problem
 Involve a certain staff member
 Occur at a different point in time
 Be surrounded by a range of dynamic factors.
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Counsel staff
Importance of tailor-making responses

Every set of actions generated (that is, the plan of
action) for each staff member who has been counselled
must be:
 Unique – see immediately above
 Developed to address individual need – even where
two different staff have similar needs, their
individuality (nature, background, preferences,
history, abilities, knowledge and so on) will mean what is applicable for one person is not
necessarily going to work for another
 Designed to fit with all other internal operational protocols and constraints – this means
there is a need for the actions to:
 Align with company policies and procedures
 Fit within nominated budgets
 Allow required service levels to be maintained
 Approved by senior management or owners
 Integrate with other staff development activities.
Examples of possible actions
The following are examples of options available for managers to include in ‘actions and
directions’ they could include in a planning document designed to help a staff member
improve their workplace performance as a result of a counselling session:
 Providing formal training – this may be:
 On-the-job training within the organisation
 Externally delivered at a designated training provider
 Provided internally by an external provider
 Coaching
 Buddying-up with a more experienced staff member
 Introducing job rotation – where the staff member is rotated through an agreed range of
work, roles or tasks
 Allowing internal transfer – in which the worker is mover (without penalty) to a different
department within the business or to a different office or workplace within the
organisation.
 The transfer may include a change of role or position (works, tasks and responsibilities)
or it could simply be a re-location in terms of the physical location of the job.
 Bringing in job sharing – where management involves extra staff in performing the work
which is at the centre of the counselling
 Resourcing – which may (for example) require:
 Purchase of additional equipment
 Purchase of different equipment
 Service, maintenance or repair of existing equipment
 Removal of dangerous or obsolete equipment
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Counsel staff
 Re-positioning of equipment
 Reformulating documentation – such as:
 Re-writing and or updating existing policies and
procedures
 Introducing new policies and procedures
 Refining the work role – which may involve:
 Increasing or reducing work role obligations
 Giving enhanced or restricted authorities or
discretionary powers
 Altering internal management structures or organisational charts
 Changing reporting requirements
 Altering the motivational factors applicable to the individual – which can embrace:
 Changes to remuneration
 Different reward and recognitions schemes
 Changing the work hours of the staff member – such as:
 Rostering them on and off at their preferred times
 Allowing them to take designated days or times off
 Ensuring they start or finish at certain times
 Requiring attendance at nominated sessions or events – such as:
 Group counselling sessions
 Mediation
 External professional services – nominated health expert and other referrals.
Online resources
It is useful to visit the following:
http:ororwww.wikihow.comorCounsel-a-Troubled-Employee - How to counsel a troubled
employee
http:ororwww.businessmanagementdaily.comor983orhow-to-counsel-employees-with-
attitude-problems - How to counsel employees with attitude problems
http:ororinfo.shine.comorCareer-Advice-ArticlesorCareer-Adviceor5-tips-for-effective-
employee-counsellingor1688orcid2.aspx - Five tips for effective employee counselling
http:ororwww.ocpe.nt.gov.auor__dataorassetsorpdf_fileor0008or53675orcounsellingbk.pdf -
Counselling for better work performance
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Work Projects
4.1 You are required to describe an actual or mock situation in which there is a need for
you as a manager to counsel a nominated sub-ordinate staff member whose
performance appraisal has identified their performance is below requirements.
Your explanation must explain the organisation, the context, the individual staff
member involved, the problems or issues involved and all other relevant matters
related to the situation.
For this situation you are then required to provide evidence you have:
 Planned and prepped for the counselling session

 Determined a proposed course of action which will be presented to the staff
member as a way to remedy the situation
 Counselled the identified staff member using suitable and supportive counselling
techniques and strategies in accordance with planning and preparation undertaken
presenting and explaining the proposed course of action
 Gained agreement from the worker there is a legitimate need for the counselling
and that the proposed course of action which has been developed will effectively
address the identified issues
 Documented all relevant factors relating to the session, staff member and issues.
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Counsel staff
Summary
Counsel staff
When counselling staff:

 Understand how counselling fits with all other staff performance management techniques and
strategies
 Create counselling as a positive activity for employees
 Be proactive in offering counselling
 Realise the importance of counselling in retrieving unacceptable staff performance situations
 Identify and comply with all legal and organisational requirements in relation to the application of
counselling
 Plan the provision of counselling
 Base all counselling on identified, objective need
 Match counselling action to identified and verifiable need
 Gain employee agreement proposed counselling action will address identified need
 Record or document all counselling provided
 Cultivate competency with counselling rather than practice avoiding providing it
 Maintain confidentialities and respect the privacy of the individual being counselled
 Realise every counselling session is a unique situation with individual circumstances, contexts
and issues.
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Implement disciplinary and termination procedures
Element 5:
Implement disciplinary and termination
procedures
5.1 Develop disciplinary and termination
procedures for performance-related non-
compliance
Introduction
All organisations use disciplinary and termination procedures
to assist in addressing instances of non-compliance with
performance-related issues.
This section discusses the development process for these
procedures, presents basic protocols which should always
underpin development and application of these procedures
and identifies relevant procedures which might be developed.
The development process

In situations where there are no existing disciplinary and termination procedures the
following provides a useful list of activities to follow to develop them:
 Obtain copies of similar policies and procedures from similar business – if possible,
using:
 Personal network of contacts
 Internet research
 Samples available from peak industry bodies
 Contact employment-related authorities to obtain their input in relation to relevant
mandatory legislated obligations which must be complied with – this may be done by:
 Reading their websites
 Speaking to officers in person or on the telephone
 Requesting hard copies of relevant information (‘Fact Sheets’, legislation’ alerts,
newsletters, guidelines, codes)
 Convene a workplace team to develop the workplace policies and procedures – this
team should comprise:
 Senior managers and or the business owner
 Middle-level managers
 At least one staff representative – to ensure a balanced perspective and to include
input from the very people these protocols are being designed to target
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 Develop draft policies – the policies are designed to provide generic guidance in relation
to staff discipline and termination and make fundamental statements about what the
organisation wants to achieve
 Develop draft procedures – the procedures must flow from the policies and describe the
actions which are approved by the organisation in nominated situations
 Circulate the draft policies and procedures – for discussion and feedback
 Refine or revise the draft policies and procedures into final form – on the basis of
feedback or as necessary
 Obtain formal management approval for all policies and procedures – to legitimise them
in the workplace
 Circulate the final approved policies and procedures – communicating them to staff and
integrating them into staff training, induction and orientation programmes and staff
handbooks and similar.
Underpinning protocols
The following must underpin the development and
implementation of all disciplinary and termination
procedures:
 Staff must be advised of all organisational
disciplinary and termination policies and procedures
– through internal training or provision of same in
staff handbooks and similar
 Staff must have ready access to all organisational disciplinary and termination policies
and procedures – via intranet facilities or work place posters or through staff operating
manuals and similar in public or staff work areas
 Action taken must always reflect the stated policies and procedures – whatever
management does must be legitimate and provided for under relevant protocols: there is
no room for managers to invent new protocols ‘on the spot’ and or without appropriate
consultation and approval
 Conclusions about staff performance, decision-making and action taken must always be
strictly evidence-based – being supported by objective and legitimate proof
 Action taken and decisions made must always be recorded – to document proof of
evidence used as the basis for decision-making, to record rationale for decisions made
and to provide a file for future reference if required
 All action taken in relation to disciplinary and termination procedures must align with fair
and equitable application of established procedures and sanctions – there can be no
instances of favourable treatment of some staff or discrimination against others
 All organisational disciplinary and termination procedures must integrate with other
mandatory obligations – such as legislated requirements and operational codes of
conduct of the host country or as they apply to the individual business as a result of any
contractual terms which may apply
 Standard practice in relation to dealing with staff is a three stage sequential process
(counselling, disciplinary procedures, termination) – and each step should be followed
before the next stage is implemented.
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Examples of possible procedures

A range of possible procedures exists for situations where
disciplinary action and termination of employees is required.
Disciplinary action
Disciplinary procedures may include:
 Verbal warnings – supplemented by a series of written warnings
including a requirement for signature from staff member and
attendance of a third party to witness events
 Demotions – to a lower-level position
 Reduction in job-related ‘privileges’ – such as removal of
authorities, permissions and responsibilities which attached to previous work role
 Reduction of work hours – in terms of weekly hours assigned or on overtime allocated
 Imposition of non-negotiable requirements – such as need to attend nominated training,
counselling or other specified events or activities
 Provision of written description of workplace requirements and standards – to reinforce,
advise and remind of what is expected.
Termination
Termination procedures must include:
 Evidence suitable other action has been undertaken prior to the decision to terminate the
staff member – unless the cause of the dismissal justifies ‘instant dismissal’
 Advice to the employee their employment is to be terminated – either in writing or in front
of an appropriate witness
 Identification of termination payments to be paid to the person – and how these are to be
calculated
 Notification of relevant termination information – such as cause of termination, date of
termination, payment of wages
 Advice in relation to a range of allied issues if appropriate – such as return of keys and
uniform, participation in exit interview, completion of final paperwork, escorting from
premises.
Websites
The following provide additional information:
http:ororwww.pcsda.orgorfilesorHuman_ResourcesorPoliciesorDISCIPLINE_AND_TERMIN
ATION_PROCEDURES.pdf - Discipline and termination procedures
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5.2 Prescribe conditions under which elements of

the disciplinary and termination procedures will
be introduced
Introduction
Organisational disciplinary procedures and termination
may only be applied when certain conditions apply.
This section gives examples of what these may be.
Important consideration
The decision about whether disciplinary action should be taken or whether termination
procedures should be applied can often be a difficult one.
Despite the most careful development of policies and procedures many circumstances
requiring attention are not clear cut and are:
 Frequently open to interpretation
 Often a matter of degree.
This can mean two very similar situations can result in quite different responses – in one
case managers may elect to implement disciplinary action while in another they may deem
termination is a legitimate and appropriate response.
Conditions precedent for disciplinary procedures to be applied

Non-negotiable requirement
It is a constant mandatory requirement when applying disciplinary procedures:
 Enterprise policies and procedures must be observed
 Host country legislation must be complied with.
 Examples of triggers for implementing disciplinary procedures
 The following situations may give rise to legitimate implementation of approved
disciplinary procedures:
 Failure of employee to meet performance standards required by the organisation
 Failure by staff to act in ways required by the organisation
 Failure by employee to meet identified personal presentation standards
 Failure of worker to meet performance or productivity targets
 Failure by an employee to follow required safety protocols in the execution of their job
 Inappropriate actions or conduct in the workplace towards other people (staff,
management or customers)
 Wilful misconduct in the workplace including deliberate insolence or verbal abuse
 Disobedience of a lawful directive or instruction
 Breach of certain terms and conditions as spelled out in individual contracts of
employment.
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Conditions precedent for termination procedures to be applied

Non-negotiable requirement
It is a constant mandatory requirement when applying termination procedures:
 Enterprise policies and procedures must be observed
 Host country legislation must be complied with.
 Examples of triggers for implementing termination procedures
 The following situations may give rise to legitimate implementation of approved
termination procedures:
 Deliberate and intentional damage to workplace equipment
 Fighting or violence in the workplace
 Harassment or unacceptable treatment in dealings with others
in the workplace
 Intoxication in the workplace
 Theft of any kind in the workplace
 Making threats.
It is worth reading the article ‘Disciplinary action and performance
management’ at
http:ororwww.workplace-lawyers.com.auoremployersordisciplinary-action-and-performance-
management.html
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5.3 Communicate the established disciplinary and

termination procedures to staff
Introduction
It is vital all established and approved disciplinary and termination procedures are
communicated effectively to all staff.
This section (which essentially duplicates section 3.2) indicates how this may be achieved
and lists a range of associated considerations.
Ways to share procedures with staff

The following have proven to be effective and efficient ways for organisations to
communicate their disciplinary and termination procedures with employees:
 As part of the standard induction and orientation given to new workers – where verbal
explanations supplemented by handouts may be provided
 As a stand-alone topic for internal staff training – required as a mandatory component for
all employees
 By including the procedures in the Staff handbook – provided to all
staff
 By including the procedures on the internal organisational intranet
facility – so all staff have access
 By using workplace posters – located in common staff areas such
as staff rooms, change rooms, meal rooms
 By holding special meetings – to highlight, explain and disseminate
new or revised procedures
 Making regular mention of the procedures at standard staff
meetings – such as team meetings, briefings and de-briefing
sessions
 Sending emails to staff – with attachments containing new or revised procedures
 Distributing hard copies of procedures – for example at staff meetings and briefings or in
pay envelopes.
Ancillary considerations
 The following may also need to be addressed as part of sharing disciplinary and
termination procedures with staff:
 Using version control protocols on all documents – so users can be assured they are
referring to the current version
 Having staff sign for receipt of the procedures – as a means of proving they received the
information.
 Providing printed information and verbal explanations in suitable languages – to meet the
needs of the staff.
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5.4 Implement the identified disciplinary and

termination procedures
Introduction
When disciplinary and termination procedures have been established they will need to be
implemented as and when intended.
This section discusses considerations in the implementation of these procedures.
Implementation protocols
When implementing disciplinary and termination procedures the following apply:
 It is essential all staff are made aware of the procedures which apply – see previous
section
 A logical and sequential process will need to be followed in most cases – that is:
 Step 1 – staff should be counselled about their behaviour or performance
 Step 2 – time and resources should be provided to allow staff to comply with
requirements
 Step 3 – failure to meet requirements may result in disciplinary action being taken
according to the type and severity of the issue
 Step 4 – further time and resources should be provided to allow staff to comply with
requirements
 Step 5 – continued non-compliance results in implementation of termination of the
employee.
 Note: The above will not apply where ‘instant dismissal’ is justified.
 The procedures must be applied equitably – without fear or favour across all employees
 All procedures must be implemented in a timely manner – this means giving staff
sufficient notice of problems or issues, giving them sufficient time to improve behaviour
or performance and giving sufficient advanced notice of meetings and discussions to be
held
 The process of counselling, disciplinary action and termination must be documented –
using written records to provide proof of what occurred and what
was done or said
 Counselling and disciplinary action must be delivered in a
supportive and constructive manner – designed to retrieve the
situation and bring employee performance or action in-line with
stated requirements
 All discussions relating to implementing these procedures must
provide fact-based or evidence-based objective proof of what is
alleged as non-compliance, under-performance or unacceptable
or inappropriate behaviour – as opposed to the use of rumour
and hearsay evidence
 Appropriate written warnings and notifications must be provided –
in accordance with legal obligations or employment instruments
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 Written warnings provided to employees should be signed by them – as proof the

document has been given to them and explained
 Copies of signed, written warnings must be kept on a relevant file – for future reference
and to serve as evidence ‘due process’ has been adhered to
 The concepts of natural justice and procedural fairness must be applied – at all times, in
all cases and to all staff: a key in these concepts is the staff member must be allowed to
respond to allegations and to speak on their own behalf or present evidence which
rebuts assertions made
 A designated representative or witness must be present at discussions – in accordance
with IR legislation and relevant employment instruments
 All terms and conditions of relevant employment instruments, legislation and codes must
be adhered to – these may relate to requirements contained in applicable conflict
resolution, dispute and grievance, counselling, disciplinary and termination clauses
 Conducting all meetings and discussions in private – in the presence only of the staff
member and (where applicable) their designated representative
 All matters discussed as part of these procedures must be kept confidential – and not
shared with other employees: there will always be a need to share this information with
other management-level personnel and nominated HR staff who will be expected to deal
with and process certain aspects of the event
 Staff who are terminated by the organisation should be offered an exit interview – so
they can provide feedback on their employment and so the organisation can learn
lessons for future reference
 Regular reviews and evaluations of the established procedures must be undertaken – on
at least an annual basis to ensure they remain relevant, legitimate, appropriate and
effective.
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Work Projects
5.1 For a nominated organisation you are required to:
 Develop disciplinary procedures for performance-related non-compliance

 Develop termination procedures for performance-related non-compliance
 Prescribe conditions under which disciplinary procedures for performance-related
non-compliance will be applied
 Prescribe conditions under which termination procedures for performance-related
non-compliance will be applied
 Explain how the developed procedures would be communicated to staff in the
workplace
 Generate guidelines to assist in the implementation of the above procedures.
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Summary
When implementing disciplinary and termination procedures:

 Realise disciplinary and termination protocols may be part of a larger process
 Maintain a positive environment for these procedures to the best extent possible
 Identify definitively situations where instant dismissal of staff is acceptable
 Ensure supporting written policies and procedures are developed
 Share relevant policies and procedures with all staff
 Detail the situations or circumstances in which disciplinary procedures may be implemented
 Plan all proposed disciplinary and termination action
 Record all disciplinary and termination action taken
 Provide employees with copies of relevant findings, obligations and warnings
 Implement disciplinary and termination procedures exactly as developed without fear or favour
across all employee types and levels
 Make sure staff are aware of consequences of future inability to comply with requirements
 Ensure staff sign to acknowledge receipt and understanding of proceedings
 Generate suitable activities for required disciplinary action
 Ensure all procedures comply with legislated obligations
Use witnesses to observe and verify that correct protocols have been followed.
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Presentation of written work

1. Introduction
It is important for students to present carefully prepared written work. Written presentation
in industry must be professional in appearance and accurate in content. If students
develop good writing skills whilst studying, they are able to easily transfer those skills to
the workplace.
2. Style
Students should write in a style that is simple and concise. Short sentences
and paragraphs are easier to read and understand. It helps to write a plan
and at least one draft of the written work so that the final product will be
well organised. The points presented will then follow a logical sequence
and be relevant. Students should frequently refer to the question asked, to
keep ‘on track’. Teachers recognise and are critical of work that does not
answer the question, or is ‘padded’ with irrelevant material. In summary,
remember to:
 Plan ahead
 Be clear and concise
 Answer the question
 Proofread the final draft.
3. Presenting Written Work

Types of written work
Students may be asked to write:
 Short and long reports
 Essays
 Records of interviews
 Questionnaires
 Business letters
 Resumes.
Format
All written work should be presented on A4 paper, single-sided with a left-hand margin. If
work is word-processed, one-and-a-half or double spacing should be used. Handwritten
work must be legible and should also be well spaced to allow for ease of reading. New
paragraphs should not be indented but should be separated by a space. Pages must be
numbered. If headings are also to be numbered, students should use a logical and
sequential system of numbering.
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Cover Sheet
All written work should be submitted with a cover sheet stapled to the front that contains:
 The student’s name and student number
 The name of the class/unit
 The due date of the work
 The title of the work
 The teacher’s name
 A signed declaration that the work does not involve plagiarism.
Keeping a Copy
Students must keep a copy of the written work in case it is lost. This rarely happens but it
can be disastrous if a copy has not been kept.
Inclusive language
This means language that includes every section of the population. For instance, if a
student were to write ‘A nurse is responsible for the patients in her care at all times’ it
would be implying that all nurses are female and would be excluding male nurses.
Examples of appropriate language are shown on the right:
Mankind Humankind
Barman or barmaid Bar attendant
Host or hostess Host
Waiter or waitress Waiter or waiting staff
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Recommended reading
Recommended reading
Note: all Recommended Reading is sourced from ‘Trove: National Library of Australia’ at
http:orortrove.nla.gov.auor.
Arthur, Diane 2008, The first-time manager's guide to performance appraisals, AMACOM,
American Management Association, New York
Cascio, Wayne F 2010, Managing human resources: productivity, quality of work life, profits,
8th ed, McGraw-HillorIrwin, Boston
Dessler, Gary 2013, Human resource management, 13th ed., Global ed, Pearson, Boston
Dorio, Marc A and Shelly, Susan 2011, The complete idiot's guide to boosting employee
performance, Alpha, Indianapolis, IN
Falcone, Paul 2005, 2600 phrases for effective performance reviews: ready-to-use words
and phrases that really get results, AMACOM, New York
Fletcher, Clive and Fletcher, Clive. Appraisal and feedback 2008, Appraisal, feedback and
development: making performance review work, 4th ed, Routledge, London
Hunt, Nigel and Hunt, Nigel C., 1963-. Managing performance reviews Conducting staff
appraisals: how to set up a review system that will ensure fair and effective appraisal - and
improve individual performance and organisational results (5th rev. updated ed). How To
Books, Oxford, 2005
Hunt, Nigel C and Hunt, Nigel C., 1963-. Conducting staff appraisals Setting up and running
effective staff appraisals and feedback review meetings (Rev. and updated 7th ed). How To
Books, Oxford, 2010.
Lussier, Robert N 2015, Management fundamentals: concepts, applications, and skill
development, Sixth edition, Thousand Oaks, California SAGE
Venkateswara Rao, T 2004, Performance management and appraisal systems: HR tools for
global competitiveness, Response Books, a division of Sage Publications, New Delhi ;
Thousand Oaks
© ASEAN 2015
Trainee Manual 79
Recommended reading
© ASEAN 2015
80 Trainee Manual
Trainee evaluation sheet

The following statements are about the competency you have just completed.
Don’t Do Not Does Not

Please tick the appropriate box Agree
Know Agree Apply
There was too much in this competency to cover

without rushing.
Most of the competency seemed relevant to me.
The competency was at the right level for me.
I got enough help from my trainer.
The amount of activities was sufficient.
The competency allowed me to use my own

initiative.
My training was well-organised.
My trainer had time to answer my questions.
I understood how I was going to be assessed.
I was given enough time to practice.
My trainer feedback was useful.
Enough equipment was available and it worked well.
The activities were too hard for me.
© ASEAN 2015
Trainee Manual 81
The best things about this unit were:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
The worst things about this unit were:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
The things you should change in this unit are:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
© ASEAN 2015
82 Trainee Manual
Trainee self-assessment checklist

As an indicator to your Trainer or Assessor of your readiness for assessment in this unit
please complete the following and hand to your Trainer or Assessor.
Yes No*
Analyse strategic and operational plans to identify relevant staff policies

1.1  
and organisational objectives that underpin performance management
Develop relevant performance indices to document, monitor and

1.2  
evaluate staff performance
Develop systems to ensure staff performance is monitored and feedback

1.3  
is given
2.1 Appraise staff in the workplace  
2.2 Advise staff of the result of staff appraisals  
2.3 Determine action to take on the basis of individual staff appraisals  
Design reward and incentive schemes to motivate staff to attain

3.1  
nominated performance targets
3.2 Communicate reward and incentive schemes to staff  
3.3 Administer reward and incentive schemes  
Element 4: Counsel staff
Apply counselling techniques and strategies to employees where staff

4.1
performance appraisals are below requirements
 
4.2 Document staff counselling sessions  
Generate agreement on action and direction to be taken as a result of

4.3
the counselling
 
Element 5: Implement disciplinary and termination procedures 
Develop disciplinary and termination procedures for performance-related

5.1  
non-compliance
Prescribe conditions under which elements of the disciplinary and

5.2
termination procedures will be introduced
 
© ASEAN 2015
Trainee Manual 83
Yes No*
Communicate the established disciplinary and termination procedures to

5.3
staff
 
5.4 Implement the identified disciplinary and termination procedures  
Statement by Trainee:
I believe I am ready to be assessed on the following as indicated above:
Signed: _____________________________ Date: ____________
Note:
For all boxes where a No* is ticked, please provide details of the extra steps or work you
need to do to become ready for assessment.
© ASEAN 2015
84 Trainee Manual

Monitor Staff Performance: D1.HML - CL10.13 D1.HRM - CL9.04 D2.TRM - CL9.16 Trainee Manual

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Monitor staff performance

File name: TM_Monitor_staff_performance_200315

Introduction to trainee manual

Element 1: Develop staff performance management systems

Element 2: Undertake staff performance appraisals

Element 3: Implement rewards and incentive schemes

Element 4: Counsel staff

Element 5: Implement disciplinary and termination procedures

Work Written Oral

Element 1: Develop staff performance management systems

1.1 Analyse strategic and operational plans to 1.1 1, 2, 3 1

1.2 Develop relevant performance indices to 1.1 4–7 2

1.3 Develop systems to ensure staff performance 1.1 8 – 11 3

Element 2: Undertake staff performance appraisals

2.1 Appraise staff in the workplace 2.1 12, 13 4

2.2 Advise staff of the result of staff appraisals 2.1 14 – 17 5

2.3 Determine action to take on the basis of

Element 3: Implement rewards and incentive schemes

3.1 Design reward and incentive schemes to 20, 21, 22 7

3.2 Communicate reward and incentive schemes 23 8

3.3 Administer reward and incentive schemes 3.1 24 9

Work Written Oral

Element 4: Counsel staff

4.1 Apply counselling techniques and strategies to

4.2 Document staff counselling sessions 4.1 31, 32 11

4.3 Generate agreement on action and direction to

Element 5: Implement disciplinary and termination procedures

5.1 Develop disciplinary and termination 36 – 39 13

5.2 Prescribe conditions under which elements of 40, 41 14

5.3 Communicate the established disciplinary and 42 15

5.4 Implement the identified disciplinary and 43 16

BARS Behaviourally Anchored Rating Scale

An agreed or decreed set of rules relating to employee

Discussions and analysis of personal and work problems

A formal and legally binding award, agreement or

External customers Paying customers

Hard data Facts, figures, statistics

Internal customers Staff or employees within the business

KPI Key Performance Indicator

MBO Management By Objectives

Performance indices Workplace metrics used to describe or define required

Primary data Newly-generated data produced as a result of fresh

Productivity A measurement output against input

SOP Standard Operating Procedure

Secondary data Date which already exists such as existing

Soft data Opinions with no factual evidentiary basis

Performance management system

Differences between performance management and performance

Performance Management Performance Appraisal

Long-run goals Short to mid-run goals

Performance Management Performance Appraisal

Integrated Isolated from business’ needs

Management by agreement Management by command

Managers owned HR owned

Supple and adaptable Rigid and inflexible

Focussed on individual’s past

Practical and effective Bureaucratic and superficial

Mainly focussed on qualitative Mainly focussed on quantitative

Can be linked to total reward Linked to financial reward

Roles of the strategic and operational plans

Web information – strategic plans

Process of analysing strategic and operational plans

 Identifying names of those who developed the plans – as this can: