CODE OF ETHICS - Global Star Enterprises



Global Star Enterprises Performance Management System

1. OVERVIEW

Global Star Enterprises is committed to creating a high-performance culture in which our most valuable assets – our employees – thrive and do their best to achieve the highest possible outcomes for themselves, their team and the organization.

To achieve this, it is crucial to systematically manage the performance of our workforce.

The GSE Performance Management System provides a framework for best practice performance management for GSE managers. Using this document will lead to more effective performance management and contribute to a systematic approach to performance improvement. It complements our existing Performance Improvement Policy.

2. CONTEXT AND AUDIENCE

The principal context and audience for the GSE Performance Management System is the worker/ line manager relationship across all of GSEs departments and teams, including key managers and other stakeholders involved in performance management of GSE employees.

Central to this vision is the role of the Manager, who is responsible for planning, supporting, monitoring and communicating the performance of the workforce. In the context of this document the term ‘management’ is used to refer to both managers and supervisors.

Managers must continuously work with employees to:

• set and clarify expectations, by ensuring employees understand their roles and what is expected of them

• monitor employees’ performance and engage in ongoing two-way discussions to continuously develop their performance

• plan and review employees’ work objectives, and help them understand how their achievements link to agency and sector objectives

• develop the capabilities employees need to effectively fulfil their roles and perform at a high level

• recognise employees for good performance and improvements

• resolve unsatisfactory performance efficiently and effectively

3. WHAT IS PERFORMANCE MANAGEMENT?

Performance management is defined as the process of assessing and addressing the difference between required performance and actual performance in the workplace. The gap can be positive when actual workplace performance exceeds required standards. In this case performance management aims to recognise and support outstanding performance. The GSE Performance Management Framework addresses how to deal with a negative gap, when actual performance does not meet the required standards of workplace performance.

Effective performance management is a continual process of monitoring, observing and communicating with GSE employees to give them constructive feedback about their workplace performance.

When there is a negative gap, effective performance management puts in place agreed strategies to bridge the gap.

‘Managing for good performance’ is a process that commences with the recruitment and induction of an employee and involves an ongoing cycle of planning, coaching and reviewing individual, teamwork and organisational performance within the context of the individual service’s goals and strategies.

Where managing employee performance is part of an ongoing process rather than just as an annual performance review, it allows early identification of systemic, environmental or individual factors that may affect the ability of an individual, team or organisation, to achieve results.

4. BENEFITS OF FOLLOWING A PERFORMANCE MANAGEMENT SYSTEM

1. For managers and supervisors, a performance management system:

• demonstrates the organisation’s commitment to ongoing staff development.

• provides the opportunity for positive and productive communication with all employees on an ongoing basis.

• provides an opportunity to recognise and reward employees.

• provides the opportunity to discuss goals and career development with staff individually and to review performance within clear and agreed guidelines in a structured and planned way.

• enables performance expectations, standards and goals to be discussed.

• provides a reminder for management of the need to follow an induction/orientation program with all new employees.

• provides the capacity to improve the link between individual performance and functions and the organisation’s goals and expectations.

2. For employees, a performance management system:

• provides the opportunity for positive and productive communication between management and staff member in a structured way.

• improved motivation and job satisfaction.

• ensures that employees understand what is expected of them in terms of work performance and the standard of work performance required.

• provides the opportunity for staff to negotiate their own professional performance and career development.

• recognition of achievements and feedback on performance.

5. UNDERPINNING PRINCIPLES OF THE GSE PERFORMANCE MANAGEMENT SYSTEM

The Performance Management System is underpinned by the following eight core principles:

1. Consistency – Acting in a similar manner given a similar set of circumstances

2. Fairness and equity – Giving every employee a fair chance to meet their expectations and reach their potential with GSE in their given role and treating all employees the same regardless of disability, beliefs, affiliations, age, gender, tenure or personal circumstances and responsibilities

3. Transparency – Being open, honest and truthful in all circumstances when providing information feedback on performance outcomes

4. Collaboration – Working with employees to develop improvement plans and solutions to performance issues

5. Integrity – Acting in accordance with the GSE values and maintaining a high standard of ethics at all times when making decisions, providing information and dealing with employees

6. Contextualisation – The performance management system must, where possible, be tailored to the unique strengths and shortcomings of each individual employee, whilst upholding the principles of consistency, fairness and equity

7. Effective communication – Managers are responsible for maintaining ongoing communications with their direct employees to ensure they are kept informed on their expectations, performance and progress towards their work goals as well any barriers, changes or issues that may impact on the expected outcomes

8. Confidentiality – All discussions and information regarding individual performance and assessment must remain confidential and may not be discussed with other employees.

6. THE GSE PERFORMANCE MANAGEMENT SYSTEM PROCESS

Having a workforce that constantly performs at their best is critical to the ongoing success of Global Star Enterprises. Alternatively, poor employee performance has significant impacts on our internal and external relationships, quality, productivity and profitability.

The key to managing employee performance is to ensure role clarity for all employees and set and agree on performance standards from the onset of an employee’s engagement.

The performance management process can be described in the Diagram A below ‘performance cycle’. A suggested simple 6 stage self-­‐explanatory performance cycle is shown below.

By communicating and adopting the principles of a performance cycle, everyone is clear on expectations and standards and employees are provided with ongoing feedback on their performance at each stage of the process.

Diagram A. The GSE Performance Management Cycle:

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7. DEFINE EXPECTATIONS AND SET KPIS

Good performance starts with employees having a clear understanding of goals and expectations. This first critical step establishes the requirements for them to perform their role.

An employee needs to know:

• their role, required capabilities, responsibilities and contribution within the team and the organisation

• what they are accountable for and expected to deliver to their team and GSE’s mission and goals

• expectations around ethics, values and behaviour

• how their performance will be measured and assessed.

Manager responsibilities

You should discuss these expectations clearly and openly with each employee, making sure that you both have a shared understanding of each other’s responsibilities and accountabilities.

Key Performance Indicators (KPIs) should be developed to clarify the expectations. These should be qualitative and quantitative, based on the team operational plan, GSEs strategic business plan, GSE vision, mission and values and supporting policies and procedures.

KPIs must describe acceptable performance levels as well as behaviours and actions expected to achieve the organisation’s objectives.

Where possible, you should develop these KPIs collaboratively with each employee (except for legislated or mandatory corporate requirements or objectives) to ensure you both understand what is required.

Once you have established expectations, you should continuously monitor your employees’ performance, provide feedback to reinforce their performance and clarify expectations on an ongoing basis.

When to set or clarify expectations and KPIs

You should set, or clarify and discuss expectations and KPIs with a team when:

• you start to lead a new team or a new employee joins the team

• the team’s responsibilities change or team member responsibilities need to be clarified

• operational plans, strategic plans or organisational policies that guide employee conduct and behaviours are introduced or changed.

You should define and communication expectations and KPIs on an ongoing basis, but particularly when a new employee starts work, an existing employee takes on a new role or their responsibilities change, and when you take on a new team or the team’s responsibilities change. Doing this will avoid misunderstandings, conflict and disagreements within the team.

8. MONITOR PERFORMANCE

Once you have set team expectations and KPIs you need to monitor the individual’s results to ensure it stays on course. This includes recognising individual and team achievements, making any necessary corrections to prevent small problems from becoming major disasters and taking the steps needed to get the best performance possible from the team.

Manager responsibilities

Team meetings and one on one meetings are one way to help you monitor team performance. These meetings are an opportunity to periodically clarify and reinforce the team’s purpose, and to build and strengthen teamwork. They are an ideal way for the whole team to communicate and share information and ideas, and to monitor its progress against its objectives.

While you may provide general feedback on the team’s performance to the group as a whole, you should also hold regular short meetings with each team member to discuss their work, provide specific feedback on their performance and discuss their development. Any discussion about an individual’s performance should be done privately, not during a team discussion.

When to monitor performance

Performance monitoring shouldn’t be left until the six-monthly formal performance appraisal reviews. By proactively monitoring performance on an ongoing basis, you can recognise progress and achievements, clarify the future direction, and identify and effectively address a performance issue when it happens – and before it worsens. In such instances, give clear advice on improving performance. Regular feedback and support resolves the majority of instances of unsatisfactory performance.

Employees who regularly meet and exceed expectations still require monitoring and should be recognised for their efforts and achievements. Without goal clarification and help with prioritising work demands, high- achieving employees can be under-utilised and become demotivated.

Where operational circumstances make it possible, you should provide feedback to employees throughout the workday and deal with problems as they arise.

On some occasions, there is a greater need to monitor performance, such as when:

• a new employee starts work or when an employee is in a new role and needs additional support

• something changes that is affecting the employee’s performance

• the employee’s responsibilities change.

The principles for monitoring individual performance apply equally to teams. Team discussions should centre on the work, how it is achieved, achievements and the future of the team’s work.

9. PLAN AND REVIEW PERFORMANCE

To help employees understand their role within the organisation, you should develop an Individual Development Plan with specific objectives linked to the team operational plan, in collaboration with the employee. Planning and reviewing performance objectives with your employees is an essential part of a manager’s responsibilities.

Manager responsibilities

When planning performance objectives with employees:

• identify the objectives and required capabilities, ensuring they are clearly linked to team operational and business strategic plans and objectives

• discuss and confirm how performance will be assessed and measured, and how progress towards their targets will be monitored

• document the key elements discussed and agreed to between you and the employee in their Individual Development Plan.

A simple way to align employee objectives to the business/ team plan is to set performance objectives in a cascading manner. You should give employees a copy of your objectives and ask them to draft their performance objectives based on what you need them to achieve.

Employees can also add other objectives that may be critical to their role, but are not necessarily included in the performance agreement. Then you and your employees discuss and agree on which objectives will be included in their performance agreement.

Some objectives or targets are non-negotiable, including strategic or legislative requirements or objectives. You should discuss these with your employees so they clearly understand which targets are not negotiable and why.

After setting the performance objectives, you and your employees can discuss strategies for meeting them. This discussion should cover the capabilities the employee needs to be successful, any capability gaps they will need to address, possible approaches they might take and anything that might affect their ability to meet their objectives.

Formal Performance Appraisals

Annual and bi-annual formal performance appraisals are to discuss performance outcomes with employees based on the manager’s assessments at key milestones:

• End of half year reporting period

• End of financial year

The formal performance appraisal should also be used to discuss major achievements for the period, improvements, progression and shortcomings, incremental salary progression; payment of increases as determined by the Human Resources Department; and any contract renewal.

During the discussion, you and your employees should:

• review the employee’s progress against the performance objectives and targets in their performance agreement

• recognise their achievements

• review their objectives and reset targets to help realign their performance, if needed or appropriate

• review any development activities they have undertaken and how they have applied their learning

• adjust expectations, responsibilities, goals or development activities, as required.

When to plan and review performance

Performance objectives are generally set annually and should flow on from the strategic plan or operational planning process to ensure individual objectives are aligned with GSE’s strategies.

Annual or other periodic performance appraisal reviews are the best time to formally assess employees’ progress towards meeting their objectives.

Manager’s should review their objectives informally at least every month, with one formal bi-annual review and one formal review. The review process is supported by ongoing monitoring and regular two-way feedback between reviews.

Setting and reviewing team objectives

Before you set individual goals and objectives, it may help to understand how individual, team and organisational goals align.

When setting team objectives, have the team discuss the organisation’s vision, purpose and strategy, and how these have translated into the organisation’s objectives and targets for the year. Next, determine what the team needs to achieve for the GSE organisation to meet its objectives. Finally, decide what individuals need to do to achieve the team’s and the organisation’s objectives.

This process gives everyone a say in developing the team’s goals and helps them better understand their personal contribution.

10. TRAINING AND DEVELOPMENT

Workforce development involves strategically developing employee’s competencies so they can achieve their objectives and the organisation’s vision and goals.

Development improves employee capabilities and performance, in turn enhancing the performance of the organisation and, ultimately, the sector.

Manager responsibilities

Your role is to help employees identify and address their competency gaps and support ongoing development by ensuring your employees receive appropriate learning opportunities that align with the organisation’s vision and goals. By supporting their development, you can build strong relationships with your employees, and help them identify and realise their career goals.

Learning and development programs should take into account the organisation’s strategies for developing high-potential employees, managing talent, developing leadership or management skills and planning succession for critical roles.

You should also consider your employee’s personal goals, as well as your team and department needs and opportunities to align those needs to benefit everyone.

The first step is to be clear on what competencies are needed for the role.

Competencies are the knowledge, skills, and attitudes that must be demonstrated by GSE employees to perform their roles effectively.

Competencies for a given role can be defined in:

• The job description

• Team operational plan

• GSE values, mission and vision

• GSE strategic plan

Once you’re both clear about the capabilities needed for the role, your discussion should focus on identifying the employee’s current level of capability, their strengths and development needs. This may be achieved through formal Training Needs Analysis or Skills Audit, 360-degree feedback, or self-assessment. In the absence of any formal tools, you can identify your employees’ needs through observation, work examples and discussions with them.

Next, identify the activities that will help the employee develop the capabilities to meet the requirements of their current role and/or their next role. Professional development should use a 70:20:10 blend – 70% from on-the-job experiences, tasks and problem solving; 20% from peer-based learning or examples; and 10% from formal courses and reading.

Development activities include rotating or swapping jobs, undertaking project work, acting in different roles, shadowing colleagues or managers, attending conferences, joining professional bodies, completing benchmarking exercises, or taking on a professional coach or on-the-job coaching by a manager.

Discussions around career progression should not just be limited to an upward move. To gain exposure to many different environments – both in and outside of the employee’s area of expertise – the employee may wish to consider a lateral move into a different work area for a time.

Document the employee’s learning and development activities in their Individual Development Plan.

When to train and develop

Due to the rapidly changing nature of the workplace, identifying development needs and building individual and team competencies should be undertaken throughout the year, either formally or informally.

The formal process may be based on the outcomes of assessments used during recruitment, management or leadership programs or other initiatives, which may identify an individual’s strengths and areas of development. Formal discussions to plan and set individual objectives should identify specific learning and development needs and the desired outcomes.

Regular discussions with your employees are an opportunity to assess their progress against individual development plans, and identify and take up opportunities for learning, such as workplace coaching or mentoring.

You should also look for opportunities for employees to share their knowledge and skills with others. This may include mentoring or coaching other employees, or participating in projects where they can add significant value. You can also consider giving them more responsibility or delegating some of your work to stretch their capabilities.

11. REWARD AND RECOGNISE ACHIEVEMENTS

Most employees want to receive acknowledgement for their contributions. Recognising and rewarding employees’ efforts and achievements is an integral part of your role in the performance management system. Recognition and rewards sends a message to the employee, and those around them, about the value of their work.

It is a powerful motivator for developing performance, and an effective way to reinforce positive actions and behaviour.

When employees know that their efforts are appreciated, it increases their morale, sense of fulfilment, self-confidence and job satisfaction.

Manager responsibilities

There are two aspects to employee recognition. The first is to identify or realise an opportunity to recognise an employee’s good performance. The other is the physical act of acknowledgment and praise for their good work.

Employees want to know that their contribution and efforts are valued. However, you should be mindful that people value and respond to recognition differently. Talk to your employees to find out how they would like to be recognised and rewarded for their efforts in a meaningful way. There are many ways to recognise and reward achievements that are effective at engaging employees and improving performance.

Non-monetary based rewards can include: thanking them in person or by email, publicly acknowledging their achievement, nominating them for a team, organisation or sector award, or giving them an opportunity to work on a challenging project.

Where warranted and based on the team’ allocated budget, you may wish to offer other monetary benefits such as a voucher, gift i.e. a bottle of wine, tickets to a social or corporate event or paid time-off.

You should ensure that employees understand what they have been recognised for. Any recognition should be clearly linked to actions and behaviours that you want to reinforce, and the achievement of important outcomes, such as exceptional effort, marked improvements and instances of outstanding performance.

Make sure the recognition matches the significance of the individual’s achievement or effort, and aligns with the organisation’s objectives, values and priorities. If employees can’t see what they did to get recognised, the recognition may demotivate them.

When to reward and recognise

Reward and recognition is much more effective when it does not occur regularly or become routine.

Rewards and recognition should also be visible and awarded by the appropriate level of authority soon after the achievement is made.

If no recognition occurs over a period of time, the behaviour may stop.

12. MANAGE UNDER PERFORMANCE AND POOR BEHAVIOURS

Unsatisfactory performance and poor behaviours involve an employee failing to perform their duties to a standard that the organisation expects. Unsatisfactory performance and poor behaviours can have negative effects on employees who are performing satisfactorily and can impact on the organisation, including its stakeholders and customers.

Unsatisfactory performance and poor behaviours can include:

• unsatisfactory work, in terms of quantity, quality or timeliness

• breaches of work practices, procedures and guidelines, or not following a manager’s reasonable direction

• breaches of policies, expectations and codes of conduct that do not warrant a misconduct investigation, such as absenteeism and lateness

• inappropriate behaviour, such as poor interactions and communication problems with work colleagues, customers or stakeholders

• a series of minor issues that, when taken together, make for a difficult working environment.

Unsatisfactory performance and poor behaviours can occur as a result of:

• recruitment mistakes or poor job fit, when the employee doesn’t have the capabilities for the job or doesn’t like the job they are doing

• unclear expectations, if managers are not clear enough on what they want an

• employee to do and employees don’t take the time – or are not confident – to ask about things they are unsure of

• missed performance appraisals

• poor supervision

• workplace culture – for example, loyalties, personal relationships and conflict of interest make it difficult to confront work issues, or workplace bullying may have occurred

• inappropriate behaviour, such as denying responsibility, resisting advice and change, or reacting with emotion or defensiveness, which can mean minor issues escalate into larger problems

• poor training and development

• lack of communication

• personal issues, such as family stress, physical or mental health issues, or problems with drugs or alcohol.

Unsatisfactory performance differs from misconduct, which involves unacceptable or improper conduct, that is outside of the law, policy or directions.

Manager responsibilities

The following process chart “7 Steps to Managing Poor Performance and Behaviours” describe GSEs formal process for managing and resolving performance and behavioural based issues. Managers must follow each of the seven steps accordingly when addressing employee poor performance and behaviours.

7 Steps to Managing Under Performance and Poor Behaviours

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13. References

The following tools are provided on the GSE Intranet to assist managers in implementing the GSE Performance Management System.

For access, go to Policies and Procedures > General:

• 360 Degree Evaluation Form

• Action and Teamwork Plan

• Coaching and Mentoring Plan

• Formal Performance Counselling Template

• Formal Written Warning Template

• Grievance and Dispute Policy

• Informal Performance Counselling Template

• Individual Development Plan

• Learning and Development Policy

• Performance Appraisal Form - Employee

• Performance Appraisal Form - Employer

• Performance Appraisal Register

• Performance Counselling Policy

• Performance Development Plan

• Performance Improvement Policy

• Performance Review Policy

• Privacy Policy

• Rewards and Recognition Policy

• Separation/Termination - Misconduct and Performance

• Separation/Termination - Redeployment and Redundancy

• Training Needs Analysis Template

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Managing for Good Performance: A Guide for Managers

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