JKL Industries

Keywords: jkl industries case study, performance management case study

This report has been prepared for the General Manager of JKL Industries for his/her approval for the recommendations for introducing an advanced performance management system to improve on the current system.

This report covers each of the following performance management standards:

  • The goals and objectives of the proposed JKL PMS in the context of JKL’s broader organisational and human resource goals and objectives.
  • Outline of the performance management cycle, and the role and responsibility of all JKL employees in the successful implementation of the PMS.
  • Sample template for use in the conduct of performance appraisal interviews. This template allows for the linking of job elements and key performance indicators to the ongoing development of the individual.
  • Policies and procedures to ensure that line managers are monitoring performance regularly and that intervention occurs to address poor performance and acknowledge excellent performance.
  • Policies and procedures to address performance excellence.
  • Policies and procedures that address unsatisfactory performance and, where necessary, termination of employment as a result of ongoing unsatisfactory performance. This process conforms to existing organisational and current legal requirements.
  • Process to deal with any problems or grievances that arise from the performance feedback.
  • Policies and procedures to ensure that the documented outcomes of performance management sessions are accessible and are stored in accordance with organisational policy.
  • Definition of HR’s role during the implementation and ongoing operation of the performance management system.
  • How the performance management system will be evaluated.
  • Timeline/schedule for implementation, which addresses all communication and staff training requirements.
  • Types of reporting that will be generated by the PMS and how these reports will be utilised by the management of JKL.
  • How the various components of the PMS will be quality assured and
  • How HR will support the PMS by providing specialist advice on all aspects of the implementation of the PMS, including career development, to all participants in the process.

Proposed Vision Statement

JKL Industries vision is:

‘To be recognised nationally and internationally as an employer of choice and a model of best practice human resource management. Provide best quality service and products in their field’.

JKL Industries is a large company and therefore individual employees in different states will be accomplishing different tasks but all working towards the same goal therefore they will need several different approaches to managing performance.

1. Performance goals and objectives

A performance management system ensures all staff are aware of and work towards organisational goals through providing clear goals and frequent reviewing of staff performance (Behn R 2006, p.8).

1.1 Goals and Objectives

The new performance management system being implemented at JKL industries will support expansion of the business and play a more active role within the company through the development and implementation of a performance management system. The new performance management system will aid in the redevelopment of the organisational chart as there is a new HR officer that will now oversee the co-ordination of HR services across the organisation, as prior to this HR was divided up between each of the three business areas.

With these new changes the performance management system will help identify what positions are necessary and unnecessary, and ensure JKL is employing the right people through developed recruiting processes and position analysis. The performance management system will provide guidelines on employing the right people and how regularly performance evaluations will take place to identify to what extent staff goals are being achieved and what can be done to further improve staff performance. “Performance management uses past performance as a platform to improve future performance through regular reviews, the setting of clear goals, staff recognition and feedback” (Jones 2010, p 95).

The new performance management system at JKL will also provide guidelines on how training and support will be delivered to staff and enable staff skills and performance to be evaluated against job descriptions and key elements of the job including KPI’s. The performance management system will also identify opportunities for further development of skills in staff.

The performance management system will help in developing the following aspects:

  • Improve organisational effectiveness
  • Facilitate employee development, training and support
  • Determine appropriate awards and compensation
  • Facilitate legal compliance
  • Facilitate planning process
  • Increase motivation
  • Address poor performance

JKL Industries plans to expand existing branches to include the sale of large and medium trucks by the beginning of July. The performance management system will allow for the monitoring of performance of current staff and identify training and developmental opportunities. This will save recruiting costs and further challenge and develop staff skills and knowledge by identifying skills gaps through the reviewing of job descriptions (QDET 2010, p8). Through monitoring of current staff using the performance management system it will ensure the right staff are used in the implementation of the expansion (QDET 2010, p8). The performance management system will also help JKL Industries identify staff who are deserving of a promotion and could be used in the further expansions and new branch openings planned for 2013, 2014 and 2015 (QDET 2010, p8).

2. The Performance Management Cycle

A Performance management system is a tool used to motivate and inform staff and managers of performance outcomes in an organisation for a particular period of time (QDET 2010, p7). It involves the use of a performance cycle that involves planning, performing, reviewing and recognising staff performance (QDET 2010, p7). The use of this performance cycle will help JKL Industries monitor the success of their staff in reaching their own individual goals, and monitor the status of the planned strategic goals that includes expansions and new branch openings.

Before implementing a performance management system it is important that appropriate foundations are laid down to effectively evaluate staff performance objectively (Bedford D & Malmi T p.12). This is done firstly through reviewing job duties and responsibilities (Bedford D & Malmi T p.12). This will give an accurate job description to benchmark employee performance against and ensure employees are clear of their goals, what is to be achieved and the standard required (Bedford D &Malmi T p.12). Job descriptions for similar positions may be researched online for comparisons (Bedford D &Malmi T p.12).

The performance management system at JKL Industries should be aligned to the budget cycle to further measure to what degree staff are achieving their goals, and to be able to plan for reward or further development opportunities or in some cases recruitment needs (QDET 2010 p.7). The length of the performance management cycle should be 12months for the formal process’s including planning and reviewing with review conversations taking place every six months (QDET 2010 p.8). These timelines can be shortened and conducted more regularly during periods of large change that JKL industries will experience in the coming years with the planned business expansions for 2013, 2014 and 2015 to update performance plans as strategic business goals change (QDET pg 8).

2.1 Performance management stages

Planning- clarifying expectations, reaching an agreement, negotiating performance goals, setting expectations and planning to develop skills

Performing (ongoing support) – learning on the job, continuous improvement, providing feedback

Reviewing- discussing individual performance and contribution comparing achieved goals against goals agreed upon and whether goals were achieved in a way that further organisational goals

Recognition- continuously recognising team member’s contribution, making staff efforts acknowledged and encouraging further achievements

This cycle will operate at different times for each employee. It is recommended that performance cycles start from the anniversary date of employment for each employee to avoid large amounts of appraisals distracting management and HR from their respective duties.

2.2 Roles and Responsibilities

At JKL Industries all staff will play an important role within the performance management system. The Managing Director must be thoroughly committed to the performance management system and ensure the workforce is managed in accordance with the policies and procedures of the performance management system.

Human Resources are responsible for the development and design of policies and procedures in regards to the performance management system. The Head Human Resources Officer that has been employed to oversee the HR Assistants for each division will be responsible for training the HR Assistants in the new performance management system, ensuring all staff are competent and fully understand the reason why they are doing what they are doing and the outcome desired. The Head Human Resources Officer will be responsible for overseeing the implementation of the PMS and monitoring its success and any changes that will need to occur as well as collaborating relevant documentation.

Operations Manager is responsible for guiding and managing the performance of the Service Manager, Rentals Manager and Sales Manager. The Operations Manager with the support of the Head HR Officer develops performance objectives, provides feedback, appraise performance, guide development and ensures the Service Manager, Rentals Manager and Sales Manager are rewarded for good performance (Government of South Australia 2012).

Finance Administration Manager develops performance objectives with the guidance of head HR for the Accounts Manager. Accountants Manager with guidance from head HR develops performance objectives for Accountants.

HR in the Divisions with guidance of respective Manager (SALES, RENTALS, SERVICE) develop performance objectives for employees ie plan perform review recognise. And support Manager in conducting appraisal interviews and implementing system.

Employees are responsible for their performance and their participation in performance management both formal and informal (Government of South Australia 2012).

Supervisors are to manage the performance of the team and each individual team member (Bedford D & Malmi T p.12)

3. Performance Appraisal Template

Performance appraisal interviews help identify any skills gaps and evaluate to what degree employee’s understand their roles (Jones 2010, p.131). The following performance appraisal template will assist in training and development plans for each individual and encourage two-way communication (Jones 2010, p.131). The performance appraisal template provided allows for linking of job elements and uses aspects of the balanced score cards system. The balanced scored card system help overcome the limitations associated with managing staff performance through financial indicators alone (Kaplan R & Norton D 1992). The balanced score card approach looks at assessing staff from four business aspect, finance, customer satisfaction, internal business processes and learning and growth (Kaplan R & Norton D 1992).


4.1 Policy – Monitoring Staff Performance

Interventions to Address Poor Performance and Acknowledge Excellent Performance

4.2 Purpose: The aim of this policy is to ensure management at JKL Industries are continuously monitoring staff performance effectively through reviewing individual goals set for employees against the level of outcome achieved (Personnel Management 2012).

4.3 Scope: This policy is relevant to all HR and management positions conducting employee performance reviews and applies to all employees receiving feedback. This policy does not apply to cases of gross misconduct. This policy does not apply to cases of long periods of absence due to illness (Personnel Management 2012).

4.4 Background: It is a requirement of management to conduct regular reviews to monitor progress of employee performance against previously set standards and goals. Ongoing monitoring will give management the view as to how well employees are progressing and make necessary changes to any issues that prevent employees from achieving their work goals. Unacceptable performance can be addressed at any time during the performance appraisal period and should be dealt with when situation arises, not left to the annual review meeting (Personnel Management 2012).

Policy: This policy aims to ensure management can effectively identify poor performance and take the necessary steps to intervene and correct employee performance through identifying skills gaps and providing training and support (University of Brighton 2003). For cases of extreme unsatisfactory performance where disciplinary action or termination is involved please refer to (Policy No. 6 Monitoring Staff Misconduct). This policy also includes steps to address excellent performance however is covered in more detail in policy Staff Excellence policy and procedure.

4.5 Procedure: how to conduct appraisals and manage records

Management to conduct monthly meetings to determine whether there has been any change in the responsibility of employees that may hinder performance (QDET 29).

Formal performance appraisals to be conducted every 12months from anniversary date of employment

Management to notify employee in writing 3 working days before performance appraisal is conducted. (email accepted)

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Employee to fill out employee satisfaction survey prior to commencing performance appraisal

Management conducting performance appraisal to confirm date with appraise 3 working days before performance appraisal

Human Resources Assistant to distribute or make readily available all documentation required to conduct performance appraisal

After conducting performance appraisal employee and managers are to sign to say meeting has taken place

All outcomes of the appraisal are to be approved by Senior Management. This includes proposals for further training, further financial delegation, moving to a different position. These outcomes must be addressed and decided upon in full 14 working days after meeting has taken place.

All paper work from appraisal to be finalised 14 working days after meeting has taken place, all management and human resources assistants involved must sign and date relevant paper within this period and present paper work to administration assistant for filing. Administration Assistants are to make copies to distribute to ALL personnel involved in appraisal for secure storage.

All documentation handled during the performance management process to be handled in accordance with Documentation Policy and all hard copies scanned and uploaded into the system as stated in the Documentation Policy.

All Management to monitor staff performance daily by management by walking around and encouraging staff feedback and submitting reports on staff performance to relevant HR Department monthly

Staff excellence in performance to be rewarded accordingly immediately when recognised. For more information please refer to the staff excellence policy and procedure

Service Managers to identify any problems or difficulties staff may have encountered in achieving their goals and report these to HR Assistants who record details and document them for Head HR

Service Manager to check with staff daily and encourage feedback on any difficulties that are being experienced with regards to achieving their work goals

Informal feedback sessions to be conducted with all staff every three months

Management are to plan with staff annually from date of employment agreed upon goals that link with JKL’s organisational objective and assure that these goals are specific, measureable, achievable, and relevant and have time frames (QDET 2010).

Management are to develop team plans annually. Team plans need to consider who is accountable for what and what management has agreed to delivering (QDET 2010). Team plans need to work towards organisational objectives. Team plans need to state what each individual is responsible for achieving and the behaviours expected of them. Individual performance planning takes place after team goals are decided.

Management are to conduct regular conversations within their respective divisions with team members these include :

Coaching conversations – give helpful feedback, listen and ask questions, helps to reinforce the actions and behaviours that are needed to achieve team members performance goals

Day-to-day conversations – showing genuine interest in employees and their work will help build effective working relationships and create a supportive environment, gives management and employees open two way communication and the opportunity to provide and receive immediate feedback

Management are responsible for recording information about staff performance and documenting conversations that take place during the performance cycle. Management must record staff performance against goals/standards previously decided upon to be able to provide feedback during the formal review

Human Resources and Management are responsible for conducting the performance review conversation. These conversations are to take place annually from date of commencement of employment. Prior to this previously planned goal have been developed. The performance review conversation meeds to address the following;

Measure actual performance against agreed upon goals

General day-to-day behaviours and how effective these behaviours have been

Things that have helped/hindered team member achieve goals

Any change in responsibilities during cycle that would have affected team member performance

Recognition- Staff performance is to be recognised accordingly. Staff recognition needs to be directly linked to an achievement. Recognition should be timely and praised/identified at time of achievement. This can be done informally simply by telling staff when they have done a great job and sincerely thanking them. Staff performance can also be recognised in form of career development opportunities when set goals are achieved extremely well, this will be recognised formally in the staff performance appraisal conducted yearly and continuously monitored by relevant line managers.

5. Monitoring Staff Performance Excellence

JKL Industries Policy: Performance Excellence

Policy No.




Contact Position

Human Resources

Authoring Organisational Unit

Human Resources

Date Approved

Revised 30/8/2012

Next Review Date


5.1 Purpose: JKL Industries is committed to providing a work environment that promotes, recognises and rewards performance excellence. The purpose of these principles is to provide an open and transparent system for rewarding and formally recognising performance excellence. The performance reward and recognition process is directly linked to the JKL Industries Performance Management System and all awards provided under these principles are determined from appraisal outcomes.

It is important to recognise and reward people because it:

  • positively support excellence in behaviours and performance
  • builds staff commitment and increases job satisfaction
  • leads to higher retention rates of key staff
  • reduces stress and builds an environment where people are encouraged to explore innovative approaches to their work
  • sends a message to potential staff that staff are valued, and supports a culture of performance excellence

5.2 Scope: These principles apply to all staff employed at JKL Industries continuously for more than 12 months.

5.3 Background: The reward recognises performance that exceeds what would be expected of staff in the normal performance of duties

Performance excellence must meet one of the following criteria:

  • an outstanding and exceptional achievement or success;
  • outstanding service to internal or external stakeholders;
  • an outstanding or novel initiative which has been successfully implemented;
  • significant improvements to work procedure or operational systems; or
  • outstanding contribution to enhancing the student experience

5.4 Definitions – Nil

5.5 Legislation – Fair Work Act 2009

5.6 Policy: JKL Industries aim to make the Reward and Recognition process fair and equitable, transparent and appropriate. The following guidelines outline considerations when applying rewards.

Ensure that the level of the reward or recognition is appropriate with the achievement, level of performance or impact on the organisation

The reward process should ensure equity in the distribution of awards, be transparent and be based on merit. Where appropriate, there should be evidence based data to support reward or recognition decisions.

Ensure the type or form of rewards and recognition provided to staff are valued and meaningful to the particular staff member(s), recognising their preference for the things they find rewarding and how the recognition is given. For example, some individuals enjoy public recognition and others prefer private recognition in person or with a thank you note.

Ensure that the reason for the reward and the impact of the behaviour or actions has been clearly communicated, firstly to the individual or team, and then to a wider audience (where appropriate)

Rewards are not allocated to avoid promotion and reclassification processes; however rewards can be included as support in the promotions process.

5.7 Procedure

The supervisor and HR manager will evaluate the evidence in the documentation from appraisal feedback, to determine which employee they would recommend receive rewards.

Costs associated with these rewards are to be met from the cost centre budget and should be funded from productivity gains, either by way of increased income generation or cost savings.

The employee must be provided opportunity to respond and provide feedback to any performance recognition reward recommendation including an opportunity to decline performance recognition or to request recognition of the greater team.

5.8 Types of Rewards

Unofficial rewards: spontaneous, timely, sincere and personal appreciation of an individual, team or group. Unofficial rewards may include:

  • Praise or “thank you”, either privately or publicly.
  • Writing a short note or “thank you” card or email.
  • Acknowledgement at staff meetings or other appropriate functions.
  • A Certificate and/or letter of appreciation with a copy placed on the staff member’s file
  • Providing small appreciation rewards (e.g. movie tickets, morning teas, area sponsored luncheons, vouchers, plaques).
  • Setting up a notice board to display thank you memos, photos, progress towards goals, etc.
  • Implementation of a staff idea or proposal.
  • Arranging a personalised gift to celebrate a milestone or service anniversary.
  • Providing flexible working arrangements (where appropriate).

Developmental Opportunities through Job Responsibilities

Developmental opportunities (e.g. given priority to attend “higher level’ meetings attendance at external conferences).

Selected to represent area at a meeting or attend as an observer.

Provision of more autonomy in their job.

Additional responsibilities in a job or role.

Opportunities for the staff member to provide comment on specific issues, policies etc.

Providing greater access to information and increased opportunities for input and advice.

Mentoring and work shadowing opportunities.

Invitation to co-ordinate and chair meeting.

Provide increased flexibility in working arrangements e.g. working from home.

Opportunities to take on additional responsibilities that are more personally rewarding.

An opportunity to be involved in a major presentation.

Provide special project/assignment work.

Smaller Monetary Rewards

Where budgetary conditions allow:

  • Small gifts (e.g. movie tickets, gift voucher, bottle of wine, flowers, certificates, plaques).
  • Occasionally allow all staff to leave an hour early in recognition of their efforts.
  • Pay professional membership.

Official Rewards

Employee’s achievements consistently exceed the expectations of performance and reasonable expectation the level of the performance will continue.

Salary Increment

One off bonus payment – according to budgetary conditions

Promotion – to a higher position within the organisation

Responsibility Loading – Where a staff member, as a reward for performance, undertakes or is appointed to a position or role that carries additional responsibilities.

Extraordinary Reward and Recognition – When the need for a reward falls outside of the guidelines above and the available formal mechanisms, an Extraordinary Reward can be applied.

5.9 Tips and Traps

The employee must be provided opportunity to respond and provide feedback to any performance recognition reward recommendation including an opportunity to decline performance recognition or to request recognition of the greater team.

6. Monitoring Staff Misconduct

JKL Industries Policy on: Managing Misconduct,

Managing Unsatisfactory Performance and/or Workplace Behaviour

Policy No.




Contact Position

Human Resources

Authoring Organisational Unit

Human Resources

Date Approved

Revised 30/8/2012

Next Review Date


6.1 Purpose: This policy must be read in full before proceeding to address misconduct or serious misconduct. Supervisors must discuss any allegations of misconduct or serious misconduct with an officer from Human Resources and their own supervisor.

This policy is intended to –

assist supervisors when handling misconduct in the workplace and to provide guidance in taking appropriate action, and

provide employees with a clear understanding of the processes for dealing with allegations of misconduct or serious misconduct

Employees must be afforded procedural fairness throughout the implementation of this policy. Normal standards of respect, civility and confidentiality must be maintained throughout the process.

Nothing in this policy precludes the University from terminating the employment of an employee without notice for serious or wilful misconduct.

Depending on the nature of the misconduct, it may also be appropriate to refer to the University’s policy on Anti-Fraud and Corruption.

Conduct that is serious misconduct includes but is not limited to –

theft, fraud, assault, being intoxicated

a serious breach of JKL Industries Code of Conduct, statutes or policies

repeated acts of misconduct for which the employee has been counselled

serious bullying or harassment (including sexual harassment)

disobeying a lawful and reasonable instruction given by a supervisor

abusing or threatening an employee or anyone within the workplace

malicious damage to JKL Industries property or reputation

repeatedly refusing to carry out a lawful or reasonable instruction that is consistent with the employees contract of employment

Employees who are unsure about any aspect of this policy should seek further advice from HR.

Confidentiality: the confidentiality of all parties involved in the management of misconduct and serious misconduct processed must be respected and all information gathered is confidential.

6.2 Scope: These procedures do not replace the normal responsibility of a supervisor to discuss work or conduct issues with staff members, to ensure that staff members have a clear understanding of the work and conduct expected of them and to provide appropriate feedback on their performance. The emphasis should always be on early intervention and informal resolution of a problem, as opposed to a more formal intervention at a later time. In any event, unless the matter is of a serious nature, the formal disciplinary process outlined below should only be commenced when it becomes clear to the supervisor that a work performance or conduct problem has not been corrected through relatively informal discussion between the supervisor and staff member.

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Nothing in these procedures prevents JKL Industries from terminating the employment of a staff member for unsatisfactory performance.

6.3 Background: The managing of unsatisfactory performance requires the principles of natural justice and procedural fairness to underpin all actions undertaken by supervisors. Staff from the Human Resources Section can advise on this.

The principles of natural justice are:

All parties will have the right to be heard and judged without bias

All issues are investigated thoroughly and justly

The principles of procedural fairness are:

The standards of conduct or job performance required will be made clear to the staff member by documentation or during interviews

The staff member will be made aware of the likely next steps in the event that satisfactory performance or conduct is or is not maintained

The staff member will be afforded the right to be accompanied and represented by an employee representative at discussions or interviews at any level of the discipline process

When a complaint about performance or conduct is brought to the supervisor’s attention by a third party, the substance of the complaint will be verified before any action is taken on the matter

6.4 Definitions

‘Disciplinary Action’ is the action or actions taken as a result of an allegation meeting the required standard of proof, for which a penalty is considered appropriate.

Penalties may include:

Formal reprimand, warning or counselling

Suspend the employee for a period with or without pay

Demotion to a lower position or transfer to another position

Termination of employment

‘Disciplinary Process’ is the process undertaken by JKL Industries management to investigate and manage allegations of unacceptable conduct or workplace behaviour.

‘Employee’ means a person employed by the JKL Industries who has an ongoing or fixed term contract under the terms of a General Staff Agreements (as amended or replaced from time to time)

‘Employee Representative’ is a person nominated by an employee to provide support and/or to make representations to JKL Industries on their behalf, and who is not currently a practising solicitor or barrister.

‘Employee Assistance Program’ (EAP) – are employee benefit programs offered by many employers. EAPs are intended to help employees deal with personal problems that might adversely impact their work performance, health, and well-being. EAPs generally include short-term counselling and referral services for employees and their household members.

‘Misconduct’ means:

Negligent in the performance of the duties of the position


Refusal to carry out a lawful or reasonable instruction that is consistent with the employees contract of employment

Serious breach of JKL Industries code of conduct, policies, regulations or procedures

‘Serious misconduct’ means:

Wilful, or deliberate behaviour that is inconsistent with the continuation of the employee’s employment

Conduct that causes imminent, and serious risk to:

The health, or safety, of a person; or

The reputation, viability or profitability of JKL Industries

‘Standard of proof’ means findings are based on the conclusion that it is more probable than not that the matter found to have occurred did in fact occur.

‘Summary Dismissal’ means dismissal without notice for serious misconduct.

‘Supervisor’ means the person who is responsible for day-to-day supervision of an employee.

‘Unsatisfactory work performance or behaviour’ includes inefficiency or negligence in the performance of the employee’s duties or unacceptable workplace behaviour.

6.5 Legislation

Fairwork Act 2009 www.fairwork.gov.au

Corruption and Crime Commission Act 2003

Privacy Act 1988

6.6 Procedure

Initial Inquiry

Allegations of misconduct or serious misconduct will be considered in the first instance by the employee’s supervisor. Where there is a perceived conflict of interest on the part of the supervisor, they may refer the matter to their own supervisor.

If the initial inquiry determines that the allegation does not meet the required standard of proof, no further action will be taken under this policy.

If the initial inquiry determines that an allegation of misconduct or serious misconduct is of sufficient substance to warrant an investigation the supervisor will then consult their own supervisor and Human Resources to initiate the investigation process.

If Human Resources consider that a matter is of a sufficiently serious nature to warrant summary action, the employee may be summarily dismissed. Where the decision is to summarily dismiss without notice, a confirmation of this decision will be communicated to the employee as soon as possible. In circumstances where summary dismissal is not warranted, the following procedures will be applied.

Should the information obtained indicate that criminal misconduct has occurred; Human Resources will ensure compliance with the Corruption and Crime Commission Act 2003 and the policy for Anti-Fraud and Corruption.

b) Investigation

Allegations of sufficient substance will be formally investigated. The investigation process must be carried out as soon as possible after the alleged misconduct is discovered. It is critical to ascertain all the available relevant facts and circumstances and determine what action is to be taken in the shortest practicable period of time. Investigations will normally be conducted by HR, Financial Services (Internal Audit), etc. depending on the nature of the allegation.

The investigation process may include:

interviewing relevant people and witnesses and/or

gathering and assessing relevant documents/evidence and will – afford the employee procedural fairness

The employee will be informed of the investigation, the form it will take and that the employee may be accompanied at any interviews by an employee representative.

Stage 1 Proceeding to interview

It is a requirement of the investigation process that –

allegations are specifically put to the employee,

adequate opportunity is given for the employee to respond, and

the employee is offered an opportunity to be interviewed.

Depending on the circumstances –

the allegations will be set out in writing, and

a formal interview will be conducted


a formal interview will be conducted, and

the allegations will be confirmed afterwards in writing

An employee must be advised in advance of the nature of the interview, that they may be accompanied by an employee representative and that the interview may result in disciplinary action or termination of employment

Step 1 – At the interview:

The staff member must be told in clear and precise terms exactly what you are dissatisfied with e.g.: continued late attendance such as that which has occurred on……, too many inaccuracies in production of reports etc. It is not sufficient to make broad statements such as “we are not happy with your performance” or, “your attitude will need to improve”

Ask the staff member to respond to each example and record and consider the responses. Where responses require further investigation, conduct those investigations and follow up on those matters at a subsequent meeting

Seek to ascertain any underlying cause of the problems. There may be personal, health or other workplace issues impinging on the employee’s capacity to perform to the required standards. In these circumstances seek to address and agree on solutions to these issues but at the same time repeat your expectations. JKL Industries operates a confidential Employee Assistance Program (EAP) and it may be beneficial to suggest that the member of staff access this service to assist in addressing any underlying problems

Consider whether the staff member’s responses excuse the performance or behaviour levels; if they do, consider other courses of action.

If you consider the responses unsatisfactory, inform the staff member of the following

that in your view the responses do not justify the poor performance and/or behaviour

in clear terms the performance and/or behavioural expectations that are required

that the purpose of this process is to assist the staff member to meet the performance and/or behavioural expectations which have been discussed

that failure to improve and achieve the required standards of performance and/or behaviour will lead to disciplinary action

that their performance and/or behaviour will be reviewed within a specified time, or earlier. New matters should not be raised during this review period unless considered of a serious nature. Seek advice from the HR manager on the appropriate period for review in each particular case

discuss with the staff member any measures that are necessary to improve the performance and/or behaviour, such as, further training

Close the meeting ensuring that:

the staff member clearly understands the issues that have been discussed and what is required of them

an improvement plan has been mutually agreed (if possible) that meets your needs and the staff member

you have offered your assistance but do not allow the staff member to shift responsibility back to you; and

you have invited the staff member to notify you if he or she encounters any obstacles or barriers to meeting the required standards

Step 2 Opportunity to respond to the first meeting

a) Follow up the first meeting, and preferably within 5 working days, provide the staff member with a letter or record of meeting confirming the matters discussed and a copy of the proposed improvement plan,

b) The Improvement Plan should include:

The areas of concern

The performance and/or behavioural standards to be met and how these will be assessed

Agreed training and development requirements

The time frame for the process.

c) It is recommended that in addition a working review plan is used to document the feedback which will be provided to the staff member at the regular review meetings. This may include the tasks set for the review period (that is week or fortnight), the anticipated time required to complete the task, and feedback on the tasks.

d) Have the staff member sign a copy of the documentation to indicate receipt and that it is a true and accurate record of what was discussed. If the staff member disagrees with the content of the document or wishes to make additional comments he or she may provide a written statement in response which will be reviewed by the HR manager. Any such additional documentation submitted by the staff member must stay with the original record of meeting.

e) The letter of confirmation and the staff member’s statement, if any, are to be forwarded to your HR manager who will place them on the appropriate central file on unsatisfactory performance.

Step 3 Regular Review Meetings

a) Monitor performance and/or behaviour on a regular basis as per the agreed timeframe in the improvement plan. Where necessary review the documentation ensuring that the staff member understands the plan and the possible consequences of not meeting the supervisor’s expectations as outlined in Stage 2, Step 1 B.

b) Where the staff member has met the supervisor’s expectations, confirm this in a letter stating that the process has been completed and forward a copy to the HR officer who will place it on the appropriate central file.

c) If there is not satisfactory improvement within the agreed timeframe, provide the staff member with a written warning outlining the areas of concern and the lack of improvement. A copy of this letter should be forwarded to the HR manager who will place it on the appropriate central file.

Step 4 Final Warning

a) When the staff member has been given a reasonable number of opportunities to improve their performance and/or behaviour, and they have not done so, have a final counselling session and issue a final warning. Seek assistance from your HR manager in drafting this letter, a copy of this letter should be placed on the appropriate central file.

b) Make sure a period of time is again specified for the staff member to improve and that the consequences of failing to perform satisfactorily are understood.

c) If sufficient improvement has occurred, continue with the review period.

d) If after issuing a final warning sufficient improvement has not occurred during the specified period, conduct another meeting with the staff member.

e) If the staff member’s response at the meeting is unsatisfactory as to why their performance has not achieved the required standard, inform them that you are contemplating recommending termination of their employment or disciplinary action. Invite them to offer any mitigating circumstances as to why their employment should not be terminated.

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f) Make sure you record considerations given to matters raised by the staff member and that you allow yourself sufficient time to consider other relevant matters even if not raised by the employee, such as the length of service and past record of the employee.

Stage 2 Reports to Management and Human Resources

a) If the decision is to recommend disciplinary action or termination of the staff member, forward a report to the Human Resources manager, for consideration of the appropriate action. The report should include:

the specifics of the alleged poor performance and/or behaviour

the process that has been followed

a recommendation for the disciplinary action sort as outlined in the General Staff Agreement, that is, reprimand or censure, withholding an increment or termination

copies of records of meetings and other relevant documentation

b) The HR manager will acknowledge receipt of the report and provide the staff member with a copy and inform them that they are entitled within five working days of receiving the copy of the report.

c) The Director of Human Resources will consider the report and any response in accordance with Stage 3 below.

If you are unsure about any aspect of the above procedure, it is vital that you seek further advice from the HR Manager.

Stage 3 Reviews and Action by the Human Resources manager

a) Upon receipt of the supervisor’s report provided in accordance with Stage 2 the Human Resources manager shall first satisfy him/her that reasonable steps have been taken to remedy the poor performance or behaviour.

b) The Human Resources manager may, after full consideration of the matter, decide to:

take no further action

refer the matter back for further information, evidence or opportunity to improve

reprimand or censure the staff member

withhold an increment of salary, where applicable, for a period not exceeding twelve months; or

subject to Point C below, terminate the employment

c) Before deciding to terminate the employment, the Human Resources manager may advise the staff member that termination is being considered and invite the staff member to make an appointment with the Director to discuss any matters prior to a final decision being made. The staff member may choose to have an employee representative in attendance at this meeting.

d) If the Human Resources manager determines that disciplinary action is warranted, the staff member will be advised of the decision in writing and a copy placed on the staff member’s file as well as the central file on unsatisfactory performance.

6.7 Tips and Traps

When devising a solution, make sure it is clear and easy to follow and does not rely on ‘performance-management speak’. Use everyday language to avoid alienating both managers and employees. For example, if terms such as ‘KPIs’ (Key Performance Indicators) aren’t part of everyday language, don’t use them in performance discussions and agreements.

7. Monitoring Staff Grievances

JKL Industries Policy on: Grievances

Policy No.




Contact Position

Human Resources

Authoring Organisational Unit

Human Resources

Date Approved

Revised 30/8/2012

Next Review Date


7.1 Purpose: This policy provides guidelines to all staff of Healthcare United to achieve resolution of conflict and grievances in a positive manner, as quickly, fairly and effectively as possible.

7.2 Scope: Healthcare United recognises that grievances do occur and that all staff has the right to raise complaints or grievances and have them heard and acted upon. The satisfactory resolution of any grievance will be the ultimate goal for all parties.

7.3 Background: Grievances can occur as a result of any behaviour or circumstance which may threaten the ability of Healthcare United staff to manage their roles and responsibilities properly. Without clear procedures to deal with these quickly there can be negative consequences such as loss of work satisfaction, poor work performance, discontent, a lack of team and/or organisational cohesiveness and a negative perception and dissatisfaction within the community.

7.4 Definitions:

Grievance – a complaint about a (real or imaginary) wrong that causes resentment and is grounds for action or an allegation that something imposes an illegal obligation or denies some legal right or causes injustice

Complaint – an expression of grievance or resentment

Conflict – incompatible goals and overt opposition by one person to another person’s actions or statements

Resolving conflict – The participants in a conflict isolates the issue, develop options, consider alternatives and reach a consensual settlement that will accommodate the participants’ needs either between themselves or with a neutral third party.

7.5 Legislation: This policy acknowledges the legal responsibilities that employers and employees have in relation to:

Human Rights and Equal Opportunity Commission Act 1986

Racial Discrimination Act 1975

Sex Discrimination Act 1975

Disability Discrimination Act 1992

Privacy Amendment Act 2000 to Privacy Act 1988

And gives a framework to follow in cases of harassment, bullying etc.

7.6 Policy: JKL Industries supports the right of every employee to lodge a grievance with their manager if they believe a decision, behaviour or action affecting their employment is unfair. An employee may raise a grievance about any performance improvement action taken against them.

We aim to resolve problems and grievances promptly and as close to the source as possible. When necessary, JKL Industries will escalate a grievance to the next higher level of authority for more discussion and resolution, and continue escalating it to the level above until it is resolved.

Managers will do their utmost to action grievances objectively, discreetly and promptly. Be aware that grievances that are misconceived, vexatious, and lacking substance may result in disciplinary action being taken against the employee lodging the grievance.


The employee should try to resolve the grievance as close to the source as possible. This can be informal and verbal. At this stage, every possible effort should be made to settle a grievance before the formal grievance process starts. If the matter still can’t be resolved, the process continues and becomes formal.

To start the formal grievance the complainants must fully describe their grievance in writing, with dates and locations wherever possible and how they have already tried to settle the grievance.

The person(s) against whom the grievance/complaint is made should be given the full details of the allegation(s) against them. They should have the opportunity and a reasonable time to respond before the process continues.

If the grievance still can’t be resolved, refer the matter to the most senior manager for consideration and a final decision. A grievance taken to this level must be in writing from the employee.

Engaging in other business interests during work hours will result in strong performance improvement action.

8. Monitoring Documentation

JKL Industries Policy on Document Management System

Policy No.




Contact Position

Human Resources

Authoring Organisational Unit

Human Resources

Date Approved

Revised 30/8/2012

Next Review Date


8.1 Purpose -. This document management system provides JKL Industries with easy access to needed information; is consistent, version controlled and authorised. The system provides a clear and comprehensive means for storing and retrieving information from the organisations computer network. Given the sensitivity of data being collected and stored, effective controls over employee information and master data is essential to maintain the integrity and confidentially of employee information. The purpose of this documentation control system is to be able to repeat the process consistently regardless of how many employees are involved in creating documents.

8.2 Scope – The Human Resources function is the custodian of a variety of sensitive employment data and information. Input and maintenance of personnel information pose a significant area of risk in any HRMIS. HR is to ensure that information is accurately updated in the HRMIS in a timely manner and that updates are version controlled and authorised.

8.3 Background – Workplaces commonly have to collect and handle personal information of their employees during the course of a person’s employment. For example:

employee records and personnel files

referee reports

workplace surveillance such as checking employee email and internet use, and use of optical and listening devices

The Privacy Act deals with employee records of public sector and private sector employees differently. Under the Privacy Act, the handling of your personal information by a private sector employer is exempt from the Act if it is directly related to:

your current or former employment relationship

an employee record relating to you

This means that a private sector employer does not need to comply with the National Privacy Principles (NPPs) in the Privacy Act when it handles current and past employee records. The employer also does not have to grant you access to your employee records (which would otherwise be a requirement of the NPPs).

Given the current demand for HR information to be exchanged electronically, effective controls over managing employee information reduce the likelihood of errors or potential non-compliance with legislation. Information maintained by HR teams is a key input to internal management reports, (Annual Report, Financial Statements and overviews of workforce compositions).

8.4 Definitions

‘Supervisor’ means the person who is responsible for day-to-day supervision of the staff member

‘Staff Member/Employee’ means a member of staff employed by JKL Industries

‘Data’ Representation of facts, concepts or instructions in a formalised manner suitable for communication, interpreting or processing by users or by automatic means

‘HRMIS’ – Human Resource Management Information System.

‘Human Resource Management Information System’ – The information system that supports an entity’s HR function, allowing the entity to automate tasks such as processing employee payments.

8.5 Legislation – Privacy Act 1988. Relevant legislation or compliance requirements for JKL industries are discussed with consideration to the purpose of the legislation and its usage in organisation. Appendix 2 provides an overview of relevant legislation.

8.6 Policy – Document Management and Storage System.

HRIMS is the JKL Industries electronic system designed to organise and manage documents. These documents are organised with software, which provides the user with the ability to access, modify, and centrally store the documents.

8.7 Procedure

Document information must be captured electronically. JKL Industries recommends outside parties send information electronically (via email or websites).

This allows companies to directly load the information into a document management system.

Place all documents in the right category. This is essential for the system to run efficiently and accurately.

Paper based documentation will need to be scanned into the HRIMS electronic filing system for storage, following the scanner instructions, documents will be converted into a PDF file.

Locate the document finding system and enter new documentation for storage. After a document has been archived, it requires updates or changes. A revised document has a revision number, new date or other identifying methods to verify that the new document has replaced the old version. Confirm changes have taken place. Seek authorisation from HR management.

Shred the original to dispose of sensitive information.

8.8 Tips and Traps –

Disaster Preparedness Plan – in the event anything happens to the building where JKL Industries records are stored, a second copy is available in our Victorian office. HR management can access the disaster backup copies, if needed.

Back up all of company files occurs automatically regularly each day. JKL Industries HRIMS employs a backup service that stores company documents in a safe, secure, remote location. This ensures that if anything should happen company data is secure. Secure electronic information from abuse or fraud while backing up the information to safeguard against computer or server failure.

Train all of your employees on how to use the new system for storing, archiving and retrieving documents.

Do not get rid of your paper documents until you are sure that you no longer have any use for them.

9. Human Resources Role during Implementation

Before the implementation of the PMS, HR needs to have a communication plan, this is used to gain support for the system. A good communication plan addresses the following issues:

What performance management is, its general goals, and how performance management systems have been implemented in other organisations;

How performance management fits with the organisational strategy;

Tangible benefits of the performance management system for all parties involved;

How the system works, including the various steps in the process;

The roles and responsibilities of each organisational member

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