Policy Directive

Department of Health, NSW

73 Miller Street North Sydney NSW 2060
Locked Mail Bag 961 North Sydney NSW 2059
Telephone (02) 9391 9000 Fax (02) 9391 9101
http://www.health.nsw.gov.au/policies/

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Coaching and Performance Systems (CAPS) Policy - NSW

Department of Health
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Document Number PD2005_301
Publication date 27-Jan-2005
Functional Sub group Personnel/Workforce - Learning and Development
Summary System for linking individual performance within the Central
Administration of the Department of Health to the Department's
operational objectives, corporate and strategic directions and ethical
standards.
Replaces Doc. No.
Author Branch Corporate Personnel Services
Branch contact Vicki Leaver 9391 9487
Applies to NSW Dept of Health
Audience
Distributed to NSW Department of Health
Review date 27-Jan-2010
File No. 02/4668-2
Previous reference 2003/19
Status Active

Director-General
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Compliance with this policy directive is mandatory.
CIRCULAR

File No 02/4668-2
Circular No 2003/19

Issued 24 March 2003

Sally Edwards (02) 9391 9487
Contact
Corporate Personnel Services

NSW DEPARTMENT OF HEALTH

COACHING AND PERFORMANCE SYSTEM (CAPS) POLICY
The Department’s Coaching and Performance System (CAPS) is a key strategy in linking individual
performance to the Department’s operational objectives, corporate and strategic directions and ethical
standards.
This Policy outlines the rationale and context for performance management for staff within the Department.
CAPS is made up of three basic elements: negotiated work and development plans; coaching; and review.
Coaching underpins the Department’s commitment to performance. It offers encouragement, guidance and
direction to staff. If done well, the Department will have a motivated and dedicated staff with a clear
understanding of their career goals.
CAPS benefits the individual, managers and the Department by:

• Aligning the staff member’s personal work plan to the Department’s operational functions and
corporate and directorate/branch plans
• Ensuring individual performance and development activities are relevant and effective in addressing
both individual and departmental needs
• Encouraging an interactive approach to coaching and performance so that the process is meaningful
and managed effectively and responsibly
• Improving job satisfaction and fostering reciprocal commitment and loyalty
• Providing a clear framework for a fair and objective system for review of performance
• Developing improved working relationships between managers and their staff by encouraging
positive communication and feedback
• Promoting a culture of learning and improvement.
CAPS belongs to all of us and will change in format over time to meet particular circumstances. We all share
our obligations to participate positively in the program. We need to understand the process and make it
work rather than focus on paperwork and compliance. The Department will provide all staff with training and
ongoing support. A user guide setting out the procedures involved in CAPS has been written and is available
on the Corporate Personnel Services web page.
Implementation of CAPS will commence from the beginning of March 2003 with a view to having workplans
for all staff in place by the end of June 2003.
Should you require further information concerning this policy please contact the Training and Equity
Officer, Corporate Personnel Services on 9391 9487.
Robyn Kruk
Director-General

Distributed in accordance with circular list(s):

A 19 B C D E 73 Miller Street North Sydney NSW 2060

F G H I J Locked Mail Bag 961 North Sydney NSW 2059
K L M N P Telephone (02) 9391 9000 Facsimile (02) 9391 9101
In accordance with the provisions incorporated in the Accounts and Audit Determination, the Board of Directors, Chief Executive Officers and their
equivalents, within a public health organisation, shall be held responsible for ensuring the observance of Departmental policy (including circulars and
procedure manuals) as issued by the Minister and the Director-General of the Department of Health.
 Coaching and Performance System
Policy

CAPS (Coaching and Performance System) is about delivering a

Why do we have
strategic and well-managed coaching and performance review
this policy?
system that:
• reflects the Department’s values, goals and ethical
standards
• provides a skilled workforce that has the competency and
capability to achieve individual objectives consistent with
corporate direction
• identifies individuals’ goals and development needs that
support the achievement of the Department’s operational
functions and corporate directions
• investigates options to achieve those goals and address
those needs
• contributes to enhanced job performance and career
development
• promotes a culture of learning and improvement
• involves establishing and developing a relationship of
mutual respect and trust
• involves giving and receiving constructive feedback
• recognises individual achievement and contribution as well
as identifying skill strengths and deficits
• applies to all non-SES permanent, temporary and seconded
staff

The benefits of this policy are:

Who Benefits
from CAPS?
For the individual
• opportunity to negotiate your own professional
performance and career development
• understanding what is expected of you in your job
• improved motivation and job satisfaction
• enhanced work performance
• recognition of achievements
• feedback on performance
• positive and productive communication with your manager

For the manager

• opportunity to discuss goals and career development with
staff and to review performance within clear and agreed
guidelines
• provide positive and productive communication with all
staff
• capacity to improve the link between individual
performance and functions and directorate/branch plans
• commitment to enhanced staff and branch performance
 For the Department
• individual and directorate/branch performance linked to
operational functions, corporate plan and values
• increased capability to meet future requirements
• development and retention of a motivated and talented
workforce

Coaching and CAPS uses a cycle of planning and review strengthened by

Performance ongoing coaching and support. It provides an opportunity for
system individual employees and their managers to discuss
performance goals and together negotiate an agreed plan for
achieving those goals. The process provides an opportunity to
identify learning and development activities to support both
achievement of the performance goals and the staff member’s
career development.

CAPS should be an open and continuous process between

individual staff and their managers but it should not replace
day to day management and staff support responsibilities.

Timely feedback is important and should not be left to

coaching sessions or reviews.

The focus of CAPS is on enhancing overall staff performance.

It is distinct from managing poor performance when staff do
not meet work expectations. A separate process is available
to manage poor performance.

The Coaching and Performance Work plan:

Coaching and • is needs based
Performance • is negotiated between the individual staff member and
Work Plan manager
• should be considered in terms of its effectiveness and
contribution to your enhanced job performance and
learning and development

The work plan document has 4 components:

Generic Skills
• Knowledge of the NSW public sector and the Department
of Health
• Teamwork
• Planning and organisation
• Customer focus
• Interpersonal skills
• Use of technology
• Manage own performance
• Participate in and adapt to change
• Research and problem solving
• Management and leadership

CAPS Policy 2
 Individuals will be invited to indicate those skills they would
like to develop throughout the year.

Specific Goals
Staff will also be given an opportunity to identify a number of
key goals to focus on over the next 12 months. These can be
based on the position description, directorate/branch plan,
work responsibilities, assigned projects or other
responsibilities or milestones agreed between the staff
member and manager. They can be short or longer term.

This is an opportunity to set goals that are challenging,

realistic and relevant. Even if the work is reactive it is
important that the individual staff member and manager
negotiate targets that will allow meaningful discussion of your
performance and progress.

Learning & Development

There are a range of activities to deliver L&D objectives:

• Formal and informal training

• Learning activities delivered on-line
• Mentoring and coaching
• Customised activities developed by Corporate Personnel
Services
• On-going and one-off courses
• Networking
• Job rotation and secondments
• Traineeships
• Participation in projects
• Acting in another position
• Formal education (such as TAFE and university courses)
• Membership of a professional association
• Attendance at workshops and conferences

Review Methods
An important component of the work plan is choosing how the
annual performance review is to be assessed. The agreed
methods will be included in the work plan.

Methods could include:

• Interview
• Portfolio
• Observation

CAPS Policy 3
 Coaching underpins the CAPS.
Coaching
Coaching is communicating for a purpose, with the goal of
continuous improvement. A coach is a critical
listener/observer, who asks questions, makes observations,
offers suggestions that help staff to achieve their stated
goals and provides support. Coaching provides a structure
where these interactions can occur.

Coaching is an ongoing relationship between the individual and

manager. It focuses on the staff member’s CAP work plan.
The manager, as coach, will challenge and develop the staff
member’s skills and abilities to achieve the best performance
results.

CAPS provides for a minium of 2 coaching sessions each year.

This does not replace the day to day responsibilities of a
manager to their staff. Coaching may be formal or informal
and provides an opportunity to discuss work plans and whether
the coaching is working.

The review process involves a formal discussion of job

performance and personal development based on the
Review components set out in your work plan.

The plan will have indicated the assessment methods to be

used in the review process. These may include:

• Interview
Staff member and manager
Face to face
Free of interruptions
• Portfolio
Samples of work materials
Letters
Briefings
Projects
• Observation
Peer/staff appraisal
Client survey
Upward feedback
360 degree feedback

While the interview with the manager is a minimum

requirement, all other components are negotiable.

The annual review will include an assessment of performance

against goals and determine if all learning and development
needs have been met, and, if not, why not. It should also
include a summary of the coaching sessions. There should be
no surprises.

CAPS Policy 4
 The review also initiates the next work plan. This can build on
the existing plan or a new one may be developed. This is
negotiable between the individual staff member and manager.

Staff are responsible for:

Who is • Preparing for the CAP work plan. They should be familiar
responsible? with their position description, directorate/branch plans
and the Department’s Learning & Development policy and
have spent some time identifying goals and development
opportunities
• Negotiating performance goals and L&D options with their
manager. This should be a collaborative approach and
include discussion on goals, their relevance to branch plans
and agreed targets.
• Preparing the CAP work plan, including sign off and sending
a copy to Corporate Personnel Services for placement on
their personnel file.
• Taking an active interest in developing skills, meeting the
agreed goals and pursuing L&D opportunities.
• Actively participating in regular coaching sessions and
review process.
• Preparing for coaching sessions. Agreements may be
changed in response to unforeseen priorities, progress and
achievements acknowledged and any concerns discussed
openly and honestly.
• Preparing for the CAP review. This could include compiling
a portfolio of work; results of surveys; peer reviews as
well as reflecting on factors that have impacted on
completing your work plan.
• If commencing in a new job, complete a CAP work plan
within 4 - 8 weeks.

Managers are responsible for:

• Preparing for the CAP work plan. They should be familiar
with the staff member’s position descriptions,
directorate/branch plans and the Department’s Learning &
Development policy.
• Arranging mutually convenient times and locations for
discussions on work plans, coaching sessions and reviews
• Negotiating performance goals and L&D options with their
staff. This should be a collaborative approach and include
discussion on goals and targets, their relevance to branch
plans and agreed performance indicators/measures.
• Encouraging two way, open and honest, communication
• Initiating coaching sessions. These may be formal or
informal but provide an opportunity to review the work
plan and adjust where necessary, provide feedback on
performance, including strengths and weaknesses, and
confirm that the L&D component is on target.
• Preparing for the CAP review.
• Negotiating a CAP work plan with new staff within 4 - 8
weeks of their entry on duty date.

CAPS Policy 5
 • Ensuring the provision of opportunities in line with
identified goals and development needs
• If taking up a new position discuss the existing CAP work
plans with staff and renegotiate where necessary.

The Department is responsible for:

• Developing and implementing the CAPS policy
• Coordinating and providing leadership in the planning,
design, delivery, monitoring and evaluation of CAPS across
the Department
• Training and development of all staff to ensure that CAPS
is meaningful and managed effectively and responsibly.
• Undertaking evaluation of CAPS and maintaining records

CAPS is linked to the Department’s corporate planning cycle.

What are the
procedures? 1. CAP work plans are to be negotiated and signed off
following the annual branch planning processes.
2. The two coaching sessions should be held at three month
intervals and the review should be conducted at the same
time as a fresh CAP is negotiated.
3. Guidelines and forms are located on the Corporate
Personnel Services’ web page at
http://internal.health.nsw.gov.au/ecsd/cps/

The cost of CAPS is important to the success of the Department and its
getting it wrong staff. Failing to take it seriously can result in:

• Poor morale and a lack of commitment from staff

• Resources being wasted
• Increased turnover of staff and absenteeism
• Managers being criticised for failing to provide
performance feedback and development opportunities
• Increased number of performance management issues.

The original and 2 copies of the CAP work plan are to be kept
Confidentiality of
in secure locations. The staff member will retain the original.
documentation
One copy will be kept by the manager and the other attached
to the staff member’s personnel file.

All other CAP documentation, such as coaching notes, review

documentation and portfolios, is to be retained by the staff
member and a copy retained by their manager.

While individual performance details remain confidential,

performance data, that does not identify the individual, may
be collected, aggregated and used for a number of purposes,
such as organisational improvement strategies; the
development of skills data bases; identifying learning and

CAPS Policy 6
 development needs; monitoring consistency of application
between managers; benchmarking.

The management of CAPS is to be consistent with the

principles of equity and support the Department’s EEO
objectives. This ensures that all staff have the opportunity to
Equity contribute to the Department’s achievements as well as
enhancing their individual performance, learning and
development

If staff members consider that they have been disadvantaged

or unfairly treated during the CAP process and are unable to
Grievance
resolve the matter with their manager, they may approach any
procedures
of the following:
• Their manager’s manager
• The Associate Director, Corporate Personnel Services
• Training and Equity Officer
• Public Service Association or NSW Nurses Association
representative
• The Department’s Employee Assistance Program

Grievances may be dealt with according to the Department’s

Grievance Policy.

• Corporate Plan
Related Policies • Code of conduct (Policy No 2001/46)
and procedures • Learning and Development policy (Policy No 2002/66)
• EEO management plan
• Induction policy (Policy No 2002/21)
• Grievance and resolution procedures (Policy No 99/42)
• Bullying and harassment statement (Policy No 2002/50)
• Flexible workplace practices
• Managing for Improved Performance
• Premier’s Department Performance Management Policy and
Guidelines

All departmental policies are available on the Department of

Health website.

For further information about the Coaching and

Further Performance System, or to provide comment on the
information and system, contact the Training and Equity Officer,
comments Corporate Personnel Services on 9391 9487.

CAPS Policy 7
 Coaching and
Performance System
(CAPS)

User Guide

This guide has been designed to assist you implement the Department of Health’s
Coaching and Performance System (CAPS). This Guide details the essential features
of the system and provides practical guidelines to assist in the preparation, planning,
coaching and reviewing phases.
Objectives

The objectives of the system are to:

• Align your personal work plan to the Department’s operational functions and
corporate and branch plans
• Ensure your performance and development activities are relevant and effective
in addressing both individual and departmental needs
• Encourage an interactive approach to coaching and performance so that the
process is meaningful and managed effectively and responsibly
• Improve job satisfaction and foster reciprocal commitment and loyalty
• Provide a clear framework for a fair and objective system for review of
performance
• Develop improved working relationships between you and your manager through
positive communication and feedback
• Promote a culture of learning and improvement.

CAPS Benefits

There are major benefits for all groups involved in CAPS:

For the individual

1. Responsibility for your own professional performance and career development
2. Understanding what is expected of you in your job
3. Improved motivation and job satisfaction
4. Enhanced work performance
5. Recognition of achievements
6. Feedback on performance
7. Positive and productive communication with manager

For the manager

• Opportunity to discuss goals and career development with staff and to review
performance within clear and agreed guidelines
• Provide positive and productive communication with all staff
• Capacity to improve the link between individual performance to functions and
directorate/branch plans
• Commitment to enhanced staff and branch performance

For the Department

• Individual and directorate/branch performance linked to operational functions,
corporate plan and values
• Increased capability to meet future requirements
• Development and retention of a motivated and talented workforce

CAPS Policy 9
 Coaching and Performance System
Cycle
The coaching and performance process provides an opportunity for individual
staff members and their managers to discuss performance goals and to jointly
negotiate an agreement for achieving those goals. The agreement also includes
identifying and implementing learning and development activities to facilitate the
individual’s professional growth and to support the achievement of performance
goals.

There are three phases in CAPS:-

• Workplan Phase:
Managers and staff members review past performance and agree on a
work plan and career development goals for the next year
New staff complete the Preparation and Planning Phases within 4-8
weeks of commencing their new positions. (CAPS will be included in the
suite of Induction training courses offered to new starters).
Identify strategies and support required to achieve the work plan, short
term and longer term goals are included
Agreement reached on review methods. (Methods could include:
Interview, Portfolio of work samples and Observation – client feedback,
letters of appreciation, peer review and results of survey.)
Copy of the CAPS workplan, signed by the staff member and manager, is
sent to Corporate Personnel Services for inclusion on the staff member’s
Personal File.

• Coaching Phase:
Coaching underpins the performance system.
CAPS provides for a minimum of 2 coaching sessions each year. This
does not replace the day to day responsibilities of a manager to their
staff. Coaching may be formal or informal and provides an opportunity
to discuss your performance towards achieving your goals and learning
and development activities.

CAPS Policy 10
 • Review Phase:
At the end of the CAPS cycle you and your manager review progress. This
involves using the methods identified in the initial planning phase –
interview, portfolio or observation. As a result of this review, the CAPS
cycle will begin again.

PLANNING IS INTEGRAL TO EACH PHASE

This is best illustrated in the following diagram:

Coaching and Performance System

Cycle

Workplan Coaching

Planning

Review Coaching

CAPS Policy 11
 Coaching and Performance System Process
Managers will develop their own system for conducting CAPS. The following guidelines
might be helpful.

Managers must give sufficient notice (1-2 weeks) to staff members prior to
organising meetings to formulate their CAPS work plan. This time allows both parties
to prepare for the meeting.

Proformas and resources will be available on NSW HealthNet.

Preparation

Employees are responsible for preparing for their CAPS work plan. You should be
familiar with your position description, directorate/branch plan and the Department’s
Learning & Development and Coaching and Performance System policies and have
spent some time identifying goals and development opportunities. A proforma has
been created that can assist you with preparation.

Managers are responsible for preparing for the CAPS work plan. They should be
familiar with the staff member’s position description, directorate/branch plan and
the Department’s Learning & Development policy. A proforma has been created that
can assist the manager with preparation.

Work Plan Phase

The manager must encourage open, two-way communication. The manager should open
the meeting with a brief summary of the purpose and scope of the discussion. The
staff member might start by outlining his or her expectations of CAPS. The manager
can then respond with similar views. If there are aspects of the staff member’s
performance that have been positive, include this feedback.

At this stage a work plan can be developed. The work plan helps you and your manager
develop and clarify goals for the nest twelve months.

Your work plan is made up of 4 components:

• Generic Skills
• Specific Goals
• Learning and Development
• Review Methods

CAPS Policy 12
1. GENERIC SKILLS

The Generic Skills listed below should apply to all staff in varying degrees except for
management and leadership, which applies specifically to managers.

GENERIC SKILL INDICATORS

Knowledge of DOH • Understand your unit’s role in the Department and within
Health System and NSW Health
related government • Awareness of ethical work practices and the
agencies Department’s Code of Conduct
• Participate in the departmental planning process
• Understand and apply relevant conditions of employment
Teamwork • Contribute and share information
• Cooperate with and support work group
• Resolve work related issues through discussion in work
group
• Constructively contribute to achievement of team goals
and abide by team decisions
Planning and • Understand relationship between own work, the aims of
organisation the team and the unit goals
• Identify relevant priorities and meet deadlines
• Identify and solve problems
• Use available resources effectively
Client focus • Identify client needs
• Identify service options for clients and directing them
to appropriate services
• Suggest ways to improve client service
Interpersonal skills • Respond appropriately to people and situations
• Clearly convey information and ideas to people
• Express written communication in a way which others can
easily follow
• Sensitive to cultural, gender, age, disability issues
Use of technology • Understand and apply relevant technology to achieve
work outcomes
• Use computers to enter, manipulate, extract and forward
data
Manage own • Accept responsibility for and manage allocated work
performance • Demonstrate initiative and flexibility
• Apply ethical practices e.g. confidentiality
• Recognise and follow up on own development needs
• Identify and discuss work achievements and difficulties
with manager

CAPS Policy 13
Participate in and • Identify and suggest opportunities for change
adapt to change • Assist with implementation of change
• Deal effectively with uncertainty and adapt to changed
circumstances
Research and problem • Obtain and use information/data
solving • Analyse information/data and consider implications
• Identify problems, determine and assess alternative
solutions/options
• Apply information appropriately and effectively to
achieve desired outcomes
Management and • Manage personal work priorities and professional
leadership development
• Make effective and timely decisions
• Provide leadership in the workplace
• Communicate effectively with staff and provide balanced
feedback
• Participate in, facilitate and lead teams
• Manage operations to achieve planned outcomes
• Manage workplace information
• Develop and maintain a safe work environment
• Implement and monitor continuous improvement systems
and processes
• Facilitate in and progress change and innovation
• Contribute to the development of a workplace learning
environment
• Apply principles of equity and non-discrimination

CAPS Policy 14
2. SPECIFIC GOALS

You will also be given an opportunity to identify a number of key goals to focus on
over the next 12 months. These can be based on your position description,
directorate/branch plan, work responsibilities, assigned projects or L&D strategies.
In completing this component it may be necessary to update your Position
Description.

All goals should be

SPECIFIC – It is important that both you and your manager are very clear
about what each goal specifically involves. Whilst it is important to state the
goal simply, it must be specific enough to ensure that there is no confusion as
to what is expected.
MEASURABLE – in quantitative and/or qualitative terms. How much/how
many/ how well; goals should to be expressed categorically in terms of costs,
quality outcomes, quantities, volume, percentages, and so on
AGREED/ATTRACTIVE – The goal must be mutually agreed to by both yourself
and the manager so there can be no subsequent doubt over what was intended.
REALISTIC – While goals should involve ‘stretch’, they must also be achievable.
It is important that you have access to all the resources to accomplish the
goal.
TIME BOUND – Ensure there is a goal to aim for by placing a realistic
timeframe on the completion of the goal or project.

3. LEARNING AND DEVELOPMENT

The personal Learning and Development Plan provides the opportunity for you and
your manager to identify and meet Learning and Development needs which will assist
you to meet your performance goals, increase personal satisfaction, and to achieve
your future career goals.

To assist you in identifying your high priority development needs, you and your
manager should consider what knowledge, skills and experiences are needed for your
current position and, if appropriate, for the career path you would like to follow.

There are a range of activities to deliver L&D objectives:

• Formal and informal training

• Learning activities delivered on-line
• Mentoring and coaching
• Customised activities developed by Corporate Personnel Services
• On-going and one-off courses
• Networking

CAPS Policy 15
 • Job rotation and secondments
• Traineeships
• Participation in projects
• Acting in another position
• Formal education (such as TAFE and university courses)
• Membership of a professional association
• Attendance at workshops and conferences

CAPS Policy 16
4. REVIEW METHODS

An important component of your work plan is how your annual performance review is
to be managed. Methods could include:

• Interview
Face to face between staff member and manager.
The Interview is based on two-way communication.
• Portfolio
Samples of work
Letters
Briefings
Projects
• Observation
Upward feedback, in which individuals provide feedback on the manager’s
performance.
360 degree feedback, in which peers, managers, subordinates, customers and
the individual themselves all provide feedback on an individual’s performance.
Multi-source feedback, in which feedback is provided to individuals, teams or
work groups from a range of sources including at least two or more of
supervisor/s, customers (internal and/or external), peers, other teams or work
group members.
Team-based feedback is provided to a work group or team as a whole, usually
by a manager or supervisor.
Client survey whereby those receiving services provide feedback to the
individual or agency concerned.

You will be able to indicate the methods you would like to be used during the review
phase. This should be agreed between you and your manager and included in your
Work Plan.

CAPS Policy 17
Coaching Phase

“Coaching is a conversation, a dialogue, whereby a coach and coachee

interact in a dynamic exchange to achieve goals, enhance performance and
move the coachee forward to greater success.”

The Complete Guide to Coaching by Zeus and Skiffington

Coaching is:

• about developing solutions

• about helping coachee to find answers
• about asking the right questions – not telling
• about developing new perspectives
• about developing trust, rapport and commitment
• about setting goals and then staying on track
• about reflection, insight and action
• about delivering results
• about the ability to alter behaviours and beliefs

The Coaching sessions are designed to:

• Encourage open and constructive communication about your performance over the
period of review
• Assess your progress against the chosen methods of review
• Review progress in relation to the Learning and Development strategies identified
and
• Identify and discuss any challenges in your progress towards agreed generic skills
and goals. Amendments to the Work plan may be necessary where significant
change has occurred.

Coaching sessions may be used to identify a need to improve performance. It is an

opportunity to discuss possible reasons (knowledge deficit, need for training or
additional resources, personal) and strategies for improvement (counselling,
encouragement, training). If performance concerns continue for an extended period,
it may be appropriate to manage performance within poor performance policy
guidelines.

The coaching sessions are considered the most important aspect of CAPS. If
done well, you will have received sufficient information and support to achieve all
generic skills, goals and Learning and Development needs.

CAPS Policy 18
Preparation for the Coaching sessions:

These sessions are more effective when you are your manager have prepared
carefully and you are give reasonable notice (1-2 weeks) of the meeting.

The Coaching session could take up to one hour. It is a good opportunity for you to
discuss what is helping or hindering you to achieve your agreed skills and goals. You
can take responsibility for improving your work situation. It can assist you to develop
the skills and experience you need to maximise your contribution and personal job
satisfaction.

Staff and Manager Preparation

It is important for both parties to review the staff member’s progress and work
using the coaching proformas to provide a basis for discussion in the meeting.

Managers should think carefully about how to provide balanced comments to staff
about their work. It is time to acknowledge achievements and to assist staff to
recognise how to achieve their skills and goals. Expectations about required
performance and skill levels must be explained and managed in a way that can be
fulfilled. The aim is to promote success.

If changes to the work plan are proposed and agreed to during the Coaching session,
they should be documented and signed by you and your manager. It is your
responsibility to send your most current work plan to Corporate Personnel Services.

CAPS Policy 19
Annual Review of CAPS

The Annual review is very similar to the Coaching sessions, but covers the full twelve
month period.

The Annual Review is designed to:

• Review performance
• Review the effectiveness of the Learning and Development strategies adopted
• Encourage open and constructive communication between you and your manager
• Renew personal commitment

This meeting should build on results reached during earlier reviews and provide a
solid foundation for negotiating the next Work plan.

Grievance procedures
If you believe that you have been unfairly treated or disadvantaged you have a
number of options available. You can discuss your concerns with your manager;
consult with your manager’s manger, the Associate Director Corporate Personnel
Services; or contact the Training and Equity Officer, the Department’s Employee
Assistance Program or a union representative.

The Department’s formal Grievance Resolution Procedures are contained in Policy No

99/42.

CAPS Policy 20
 COACHING AND PERFORMANCE SYSTEM
20__
EMPLOYEE PREPARATION

NAME: MANAGER’S NAME:

UNIT/BRANCH:

1. Consider the major responsibilities and accountabilities of your job description. What do
you consider will be the key areas of your job which will require special attention during
the next twelve months?

2. What aspects of your job do you find most satisfying?

3. What aspects of your job do you find least satisfying?

4. What factors or issues affect your performance? What action could be taken to
overcome them?

5. What additional skills could you use in your job/role?

6. What would you identify as your major strengths and weaknesses in your job at the
present time?

7. What ambitions or expectations do you have for your career and its future progression?
 COACHING AND PERFORMANCE SYSTEM
20__
MANAGER PREPARATION

NAME: MANAGER’S NAME:

UNIT/BRANCH:

1. Consider the major responsibilities and accountabilities of the employees job description.
What do you consider will be the key areas of the job which will require special attention
during the next twelve months?

2. Are there any special projects or activities that the employee will be involved in over the
next twelve months?

3. How do you see this role in relation the rest of the team?

4. What factors or issues do you believe the employee encounters in his/her work? What
action could be taken to overcome them?

5. What do you consider the key areas of his/her job which will warrant special attention
over the next twelve months?

6. What would you identify as his/her major strengths and weaknesses in the job at the
present time?

7. What ambitions or expectations do you believe the employee has for his/her career and
its future progression?
 COACHING AND PERFORMANCE AGREEMENT
20__

NAME: MANAGER’S NAME:

UNIT/BRANCH:
WORKPLAN
1. GENERIC SKILLS
The skills listed below are generic and should apply to all staff to varying degrees. Tick the skills you would like to develop further throughout the year.

Knowledge of NSW Public Teamwork Planning and Organisation Customer Focus

sector and NSW DOH

Interpersonal Skills Use of Technology Manage Own Performance Participate In and Adapt
to Change

Research and Problem Management and Leadership

Solving

2. GOALS
List 3 to 5 key goals you will focus on over the next twelve months taken from your position description, branch plan, work responsibilities and assigned
projects.

GOAL AGREED KEY TARGETS TARGET DATES

Comments:
_________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________
3. LEARNING AND DEVELOPMENT

Specific development needs for current position:

WHAT WHERE WHEN

Longer term and career development requirements:

WHAT WHERE WHEN

4. REVIEW METHOD
Specify the review methods you and your manager will undertake when conducting your annual performance review.

Interview Portfolio Observation

Manager Feedback Upward Feedback 360 degree Feedback

Team-based Feedback Multi-source Feedback Client Survey

Comments:
_________________________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________________________

Employee Signature: Manager’s Signature:

Date: Date:
 COACHING AND PERFORMANCE SYSTEM
COACHING
20__

NAME: MANAGER’S NAME:

UNIT/BRANCH:
COACHING
Goals

Comment on progress on achievement of key goals and generic skills

GOAL COACHING STRATEGIES

Generic Skills
Knowledge of NSW Public Teamwork Planning and Organisation Customer Focus
sector and NSW DOH

Interpersonal Skills Use of Technology Manage Own Performance Participate In and Adapt
to Change

Research and Problem Management and Leadership

Solving
 COACHING AND PERFORMANCE SYSTEM
COACHING Cont.

List any factors that may/have affected performance.

Have Learning and Development needs been met? If not, please provide explanation.

Does the plan need to be modified? If so please discuss and complete a new plan.

Employee’ Comments

Manager’s Comments

Employee Signature: Manager’s Signature:

Date: Date:
 COACHING AND PERFORMANCE SYSTEM
REVIEW
20__

NAME: MANAGER’S NAME:

UNIT/BRANCH:
REVIEW
Review Method/s: ______________________________________________________________________________________________

Comment on achievement of key goals and generic skills

GOAL COMMENTS

Generic Skills

Knowledge of NSW Public Teamwork Planning and Organisation Customer Focus

sector and NSW DOH

Interpersonal Skills Use of Technology Manage Own Performance Participate In and Adapt
to Change

Research and Problem Management and Leadership

Solving
 COACHING AND PERFORMANCE
REVIEW Cont.

List any factors that may have affected your performance.

Have your Learning and Development needs been met? If not, please provide explanation.

What changes would you like to make to the coaching format?

How could our coaching relationship be improved?

Employee’ Comments

Manager’s Comments

Employee Signature: Manager’s Signature:

Date: Date: