Performance Management and Training and Development

Checklist Guide


Do you have a legally compliance performance management process and a documented training and development budget, process and strategy?


1. Our performance review process is legally compliant i.e. Fair Work Act 2009, Equal Employment Opportunity (EEO) law
Why is it important?
  • You need to ensure you follow what is called ‘due process’ under the legislation; this means that you must give the employee an opportunity to respond to any allegations, consider their responses and then make a decision.
  • It is important to make sure that any process you follow does not discriminate an employee based on the following attributes:
    • Race
    • Colour
    • Sex
    • Sexual orientation
    • Age
    • Physical or mental disability
    • Marital status
    • Family or carer’s responsibilities
    • Pregnancy
    • Religion
    • Political opinion
  • Following the correct process ensures that as an employer you are doing the ‘right thing’ which contributes to attracting the right people to work for you.
  • It can ensure that you have a positive employment brand which brings business success.
  • The society we live and work in is diverse and your employees need to reflect this making sure your business will attract a diverse group of clients.
How can I tell if I meet this in my business?
  • You have a written policy and procedure on performance management and/or you follow the Fairwork process.
  • You have a written policy and procedure on EEO which is communicated to the employees.
  • You have a written Grievance procedure which is communicated to employees.
  • You have templates and forms you use to ensure you follow the correct process.
  • You have written documentation, which the employee signs for every step of the process you take with the employee.
  • The employee is provided with signed copies of the documentation.
What do I need to do to meet this item?
  • A published Performance Management policy or a communicated link to the Fairwork information.
  • A published EEO and Discrimination policy and procedure.
  • A published Grievance procedure.
  • Performance management templates and forms.


2. Job Descriptions form part of our performance and development review process and we update them on an annual basis and employees are involved in finalising their Job Description and KPIs
Why is it important?
  • Job Descriptions communicate duties, responsibilities and measure that an employee is required to perform and to the standard required.
  • Job Descriptions provide a transparent and consistent way of communicating expectations to an employee.
  • Job Descriptions provide the base information to support performance management and review activities.
  • Job Descriptions provide the platform to conduct a consistent recruitment process free from discrimination.
  • Updating the Job Descriptions on an annual ensures the employee continues to complete their role in line with business needs and standards required.
  • Employee involvement supports employee engagement as they are have input into the way they work and become invested in achieving results.


How can I tell if I meet this in my business?
  • Each role has a documented Job Description which is reviewed annually with the employee to ensure it is in line with business requirements.
  • Each Job Description has set out expectations and standards required for the employee to meet and exceed.
  • Job Descriptions are provided to employees and a signed copy is held on their employee file, including any updates.
  • You have updated the Job Descriptions by working with the employee in the role.


What do I need to do to meet this item?
  • A Job Description template which includes KPIs, behaviours and values that an employee is required to meet in the role.
  • A structured process to ensure Job Descriptions are reviewed on an annual basis.
3. KPIs are created using the SMART framework (Specific, Measurable, Achievable, Realistic, Time bound). KPIs are reviewed and aligned with individual roles and organisation objectives
Why is it important?
  • SMART KPIs is a tool that allows you to make quality and important decisions.
  • SMART KPIs usually have a beginning and end date which supports accurate measurement.
  • SMART KPIs usually take out opinion-based decisions.
  • SMART KPIs supports the employee achieve business goals in a consistent manner which supports productivity and efficiency.


How can I tell if I meet this in my business?
  • Business strategy KPIs, goals and objectives are created using the SMART method.
  • Each business SMART KPI is broken down and leaders work with the employees to develop their own SMART KPIs to achieve business success.
  • Each SMART KPI can be reviewed at the end of the timeframe to assess success.


What do I need to do to meet this item?
4. We undertake a formal performance review process on a minimum annual basis for all employees (to give and receive feedback) and measure employees' performance & behaviour against our company values
Why is it important?
  • Successful businesses require a regular consistent process to measure employee’s performance against the requirements of the role and company values.
  • The performance review process provides opportunity for both the employee and leader to hear feedback from each in order to continually improve and strive.
  • Review of behaviours against company values are important to ensure morale and the right culture is maintained.
  • The performance review process provides an opportunity for business owners and leaders to hear about the employee’s aspirations which can be matched to business growth/changes and the succession management process.


How can I tell if I meet this in my business?
  • You have an annual performance review program in place.
  • You have educated the employees regarding their role in the performance review process.
  • You have educated the leaders on how to conduct an effective performance review process.
  • Employees have had the opportunity to participate in the program.
  • You have agreed with the employee their KPIs, goals and behaviour expectations for the coming year.


What do I need to do to meet this item?
  • A developed structured process which enables all employees to have their performance and behaviours reviewed on an annual basis.
  • An Employee Guide to communicate the expectations and the review process.
  • A Leader Guide to communicate how to conduct an effective performance review.
  • A review template which ideally can be used as a self-assessment for the employee.
  • Complete the performance review process on a minimum annual basis.


5. Our managers have the tools and are trained in undertaking performance and development reviews and providing constructive feedback. We know this minimises any risk of unfair dismissal and/or adverse action
Why is it important?
  • Managers require education in conducting reviews to ensure a consistent process is followed for all employees. This will help lessen any unfair dismissal claims which relates to ‘due process’, discrimination and adverse actions.
  • Managers require training in providing constructive feedback, as the key objective to any performance discussion is to support the employee to improve their skills and/or behaviours.
  • Managers need to be trained in the performance process to ensure they are providing the correct information to the employee.


How can I tell if I meet this in my business?
  • You have conducted training and education for your managers in the area of managing performance and how to conduct reviews.
  • You have conducted education and training for your managers on the Fairwork performance management process.
  • You have conducted education and training for managers on how to give and receive constructive feedback.
  • Employees who require support have Performance Improvement Plans (PIPs) in place.


What do I need to do to meet this item?
6. Employees know their rights and responsibilities in relation to grievance processes if they are experiencing any issues or problems at work
Why is it important?
  • A consistent structured process is required to be in place by businesses under employment legislation and guidelines.
  • Employees need to know where to locate the procedure when they have a workplace issue or concern, e.g. bullying, harassment, discrimination (grievance).
  • Employees are required to follow a consistent process in order to lodge a formal workplace issue or concern.


How can I tell if I meet this in my business?
  • You have a written Grievance Procedure which is widely available for employees to read.
  • An employee follows the grievance procedure when they make a formal complaint about a workplace issue or concern.
  • Managers and leaders know how to manage a grievance when an employee lodges a workplace issue or concern.


What do I need to do to meet this item?
  • Written Grievance Procedure available to all employees.
  • Training and education for managers and leader on what is a grievance and how to manage the process.
7. We maintain signed records of performance reviews, meeting notes for performance or behavioural discussions and any training undertaken by our employees
Why is it important?
  • Employee records including any performance discussions are required to be kept for a minimum of seven (7) years under the law.
  • It makes good business sense to maintain records in order to refer back to any documents in the event of an unfair dismissal and/or adverse action claim.
  • Employee signatures on documents confirm that the employee has seen and agreed to any action within the timeline outlined in the document.


How can I tell if I meet this in my business?
  • Managers and leaders follow the performance management process and document performance discussions with their team members.
  • You can audit employee files to check for employee signatures on relevant documents.


What do I need to do to meet this item?
  • A template for Managers to use when they are holding discussions with an employee.
  • Communicated process to make sure relevant documents are placed on employee’s files.
  • All managers and leaders file the relevant documents on the employee file.
8. We have a culture that encourages our managers to regularly discuss performance with our employees to ensure we address any performance or behavioural issues as soon as possible
Why is it important?
  • You have a responsibility under the Occupational Health and Safety legislation to provide a safe and healthy workplace.
  • Performance issues are best dealt with as soon as possible before they become bigger issues which take a lot of resources to resolve (time, money, reputation).
  • Behavioural concerns are likely to affect the wellbeing of employees.
  • Behavioural issues are likely to be passed on to other employees.
  • Performance and behaviour issues affect culture and morale and can make it difficult to attract the right employees.
  • Performance and behaviour issues can affect high performing employees who may decide to leave the business as a result of other employee’s behaviour.


How can I tell if I meet this in my business?
  • Managers and leaders are having regular conversations with their team members around behaviour and performance expectations and standards.
  • You have a high performing team.
  • You have a culture which is based around the company values and where each employee reflects these.


What do I need to do to meet this item?
  • Communicate the business vision, mission, values and expectations to employees and ensure they can refer to them on a regular basis.
  • Ensure regular conversations are held with the team members regarding company direction, business results, values and expectations.
  • Ensure Managers and leaders are having regular one-on-one conversations with their team regarding their performance and behaviours.
9. We have a training and development strategy and dedicated budget available to all employees.
Why is it important?
  • A training and development strategy ensures you provide opportunities for employees to develop skills in line with business needs.
  • Developing employees supports retaining the high performing employees keeping them motivated and stimulated.
  • You ensure that you meet all compliance issues when it comes to training and certifications needed for the business to be successful.
  • The provision of training and development opportunities to employees decreases staff turnover which means that you retain your corporate knowledge. This will also save you in recruitment costs and time.


How can I tell if I meet this in my business?
  • You have a dedicated line in your annual budget for employee training and development.
  • You have provided training and development opportunities to employees.
  • Employees have attended training programs and given development opportunities.


What do I need to do to meet this item?
  • Allocate funds to a training and development in the budget cycle.
  • Ensure funds are being spent on training and development.
  • Provide time off for employees to attend training and development.


10. We keep records on how much per employee we spend on training and development activities and how many employees are participating in training and development activities and there is a consistent approach across the organisation in relation to the approval of training and development activities e.g. study leave, training courses, conferences etc.
Why is it important?
  • You need to record training and development activities to reconcile with the budget.
  • Records are important to keep as part of the employee file as they confirm attendance at training.
  • Training and development records provide evidence that the employee has been given opportunities to their improve performance if there is a concern or issue.
  • You need to ensure that you are providing opportunities for training and development to all employees to show there is no discrimination.
  • The employees need to know the process of how to apply for training and development opportunities.


How can I tell if I meet this in my business?
  • The training budget is spent in line with employee and business requirements.
  • Employee are utilising their learning in the workplace.
  • The training and development have contributed to the reduction in staff turnover.
  • Training and development opportunities are documented in the annual performance review process.
  • A cross section of employees are given the training and development opportunities.
  • You have increased productivity and efficiency as a result of the training and development given to employees.
  • Employees are applying for training and development.


What do I need to do to meet this item?
  • Have a written Training and Development policy communicated to all employees.
  • Managers and leaders are aware of the training and development policy and procedure and encourage their team members to apply for opportunities.
  • Have a template form which employees can complete to apply for training and development.
  • Ensure training and development activities are documented in the performance review form.
  • Ensure employees are given the time to attend training and development opportunities.