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ILS support tools Leadership capability development planning
Contents 1 Introduction .....................................................................................2
2 ILS leadership pathway...................................................................4
3 Support tools ...................................................................................6
4 Assess capability requirements ......................................................7 4.2 Critical transition points ...........................................................9 4.3 Layers of complexity............................................................. 12 4.4 ILS capability assessment kit ............................................... 18
5 Align learning with business need................................................ 28
6 Identify development strategies ................................................... 32 6.1 Organisational opportunities ................................................ 35 6.2 Internal and external placements ......................................... 37 6.3 Coaching and mentoring ...................................................... 43 6.4 Learning and development programmes ............................. 50
7 Formulate capability development plan ....................................... 51
8 Evaluate capability acquired ........................................................ 56
9 Appendices .................................................................................. 83 Appendix A: Further resources..................................................... 89 Appendix B: Glossary of terms..................................................... 92
For more information contact the Australian Public Service Commission,
e-mail [email protected], or go to our website—www.apsc.gov.au/ils.
© Commonwealth of Australia 2006
This work is copyright. You may display print and reproduce this material in unaltered form
only (retaining this notice) for your personal, and non-commercial use. Apart from any use
as permitted under the Copyright Act 1968. All other rights are reserved. Request for further
authorisation should be directed to Commonwealth Copyright Administration, Intellectual
Property Branch, Department of Communications, Information Technology and the Arts.
You are not permitted to distribute or commercialised information or material without
seeking prior written approval from the Commonwealth.
2
1 ⏐ Introduction This document expands on the Integrated leadership system (ILS) published in 2004, and provides further information about available resources to assist individuals to develop their capabilities.
The ILS is designed to link all aspects of leadership that impact on the APS. It balances the relationship between leadership, management and technical skills in public service careers—it is not a traditional leadership model. The ILS provides a common language to support consistent whole of APS capability development and is designed to ensure the APS has the leadership capabilities and behaviours to meet the challenges of the future.
Key elements of the ILS are:
• understanding the capabilities required of APS leaders
• developing a systemic approach to capability development
• common descriptions of how roles change in response to increasing complexity
• behavioural indicators for the increase in role complexity.
The ILS has a series of guides and tools to support professional development, career planning and succession management.
The ILS is available on the Commission website at www.apsc.gov/ils.
3
Finding the balance The ILS assists agencies and individuals to address the particular requirements for leadership, management and technical expertise.
APS leaders require a mixture of technical and management expertise as well as leadership capabilities as shown in the following figure.
Increased complexity of role
APS EL SES
Technical
Management
Leadership
Figure 1 APS leadership model
The precise balance will depend on the level and role of the individual. For example, a policy adviser requires subject matter expertise, skills in administration, communication and relationships to ensure the advice takes account of stakeholders and can be implemented in practice. People in service delivery agencies need technical expertise as well as management and leadership capabilities in dealing with clients and stakeholders. The particular mix of capabilities will vary depending on the agency, and the level and/or role of the person.
4
2⏐ ILS leadership pathway The leadership pathway identifies and describes leadership capabilities that stem from the SELC framework. It illustrates the levels of complexity in which the APS operates and identifies new behavioural elements for potential leaders at each stage of their career path.
The pathway is designed for use by current and future leaders of the APS and people who are responsible for leadership development. The pathway:
• supports a whole of government perspective
• provides a foundation for development activities
• clarifies capabilities and behaviours that are expected at each level.
The pathway is useful in guiding leadership capability development for:
• those aspiring to leadership positions at all levels
• those in transition to the next level or new role
• those who want to be more effective at their current level.
The pathway is also available on the Commission website at www.apsc.gov/ils.
The pathway is a cumulative model, with behaviours identified at one level becoming the ‘floor level’ for the levels above. There are complex, subtle differences across the levels.
The pathway’s descriptions and behaviours are level specific rather than job specific. The pathway may be applied differently by agencies depending on size and location. Agencies are at different points in the development of their leaders. In a devolved APS environment this is inevitable. The components of the ILS have been designed for flexible application. Agencies will select those aspects of the leadership pathway that suit their requirements, adjusting is required to meet their particular context.
The pathway The pathway is presented in two ways:
• comparative view
• individual profiles.
5
Comparative view of the pathway The comparative view in the original ILS book scans across the levels from EL1 to SES B3 to identify the changes in capability at each level. An additional ILS book containing capability descriptions and behaviours for APS levels is available.The comparative view of the pathway is included on the Commission website at www.apsc.gov/ils.
Individual profiles Another way to look at the capabilities and behaviours described in the pathway is by individual profiles. A profile exists for each level. The profiles describe the capabilities and behaviours expected at a particular level, and complement agency specific capabilities and individual job requirements.
Individuals may use the profile as a guide to identify areas of strength and areas for development. The profiles enable a complete view of the capabilities that would be expected at a particular level. The profiles do not contain any mandatory requirements but are a tool to assist individuals to identify development needs and options.
Individual profiles for EL1 to SES B3 are included in the original ILS book. An additional ILS book containing individual profiles for APS levels is available. The individual profiles for levels from APS 1 to SES B3 are included on the Commission website at www.apsc.gov/ils.
6
3 ⏐ Support tools This document is intended to be used in conjunction with the ILS and provides further information to assist individuals to
• assess their capability requirements
• identify appropriate development strategies
• formulate a capability development plan outlining both immediate and long term goals for development, which will form the basis of a learning agreement.
Agencies and individuals will select the tools that suit their requirements, adjusting as required to meet their particular context.
Evaluatecapability acquired
Assesscapability
requirements
Formulatecapability
developmentplan
Alignwith
businessneeds
Identifydevelopment
strategies
Capabilitydevelopment
planning
Figure 27 Capability development planning cycle
There are many other resources available to individuals including the human resources area of their own agency to assist them in developing a learning agreement. Finally, the Commission has programmes and networks available, on an ongoing basis that would benefit individuals interested in further developing their capabilities.
7
4 ⏐ Assess capability requirements This section guides individuals through the process of assessing capability requirements, and identifies resources and tools which can be used to assess capability requirements.
Evaluatecapability acquired
Formulatecapability
developmentplan
Alignwith
businessneeds
Identifydevelopment
strategies
Capabilitydevelopment
planning
Assesscapability
requirements
Figure 3 Capability development planning—assess capability requirements
The ILS resources which can be used for assessing capability development needs include:
• leadership pathway—identifies and describes leadership capabilities for all levels
• critical transition points—identifies the area of most change from one level to another, and can assist individuals identify priorities for development
• layers of complexity—allows individual to assess the level of complexity of their role
• ILS capability assessment kit (for EL1 to SES B3 levels)—allows individuals to prioritise the capabilities required for their role, assess their capabilities and prioritise development needs (individuals will also need to assess any agency specific capability requirements)
• business capability requirements—allows individuals to align their capability development plans with business needs.
• priorities for development—allows individuals to record their priorities for development against the ILS and agency specific requirements.
8
Planning guide for assessing capability development needs The planning guide provides individuals with an overview of the resources available for planning capability assessment. Individuals will also need to consider what resources are available within their own agency.
ILS Resources Possible data sources Stakeholders and their roles
Individual − Assess capability development requirements
Line manager
− Provide feedback on results of capability assessment
− Sign off on capability assessment process
− Leadership pathway: comparative view
− Leadership pathway: individual profile
− Critical transition points
− Layers of complexity − Complexity map − Relationship map
− ILS capability assessment kit
− Business capability requirements
− Priorities for development
− Organisational business plans
− HR performance reports
− Workforce plans − Succession plans
− 360° feedback data − Data from other
diagnostic tools e.g. emotional intelligence
− Feedback from performance interviews
− Organisational reviews
− Insight from key stakeholders
− Agency specific capability frameworks
HR − Provide information on agency capability models and priorities
Figure 4 Planning guide capability assessment
9
4.1⏐ Critical transition points
Critical transition points have been identified for each capability across the various levels. These are points where new behaviours have been introduced. This tool is useful for individuals looking to move to a more senior level and need a snapshot of critical differences between levels. It will also help individuals identify capability development priorities.
Capabilities APS 1 APS 2 APS 3 APS 4 APS 5 APS 6
Supports strategic direction
Supports shared purpose and direction
Thinks strategically
Harnesses information and opportunities
Shows judgement, intelligence and commonsense
Achieves results
Identifies and uses resources wisely
Applies and builds professional expertise
Responds positively to change
Takes responsibility for managing work projects to achieve results
Supports productive working relationships
Nurtures internal and external relationships
Listens to, understands and recognises the needs of others
Values individual differences and diversity
Shares learning and supports others
Displays personal drive and integrity
Demonstrates public service professionalism and probity
Engages with risk and shows personal courage
Commits to action
Promotes and adopts a positive and balanced approach to work
Demonstrates self awareness and a commitment to personal development
Communicates with influence
Communicates clearly
Listens, understands and adapts to audience
Negotiates confidently
10
Capabilities EL1 EL2 SES B1 SES B2 SES B3
Shapes strategic thinking
Inspires a sense of purpose and direction
Focuses strategically
Harnesses information and opportunities
Shows judgement, intelligence and commonsense
Achieves results
Builds organisational capability and responsiveness
Marshals professional expertise
Steers and implements change and deals with uncertainty
Ensures closure and delivers on intended results
Cultivates productive working relationships
Nurtures internal and external relationships
Facilitates cooperation and partnerships
Values individual differences and diversity
Guides, mentors and develops people
Exemplifies personal drive and integrity
Demonstrates public service professionalism and probity
Engages with risk and shows personal courage
Commits to action
Displays resilience
Demonstrates self awareness and a commitment to personal development
Communicates with influence
Communicates clearly
Listens, understands and adapts to audience
Negotiates persuasively
Figure 5 Critical transition points
11
In 2005, the Corporate Leadership Council, through the Learning and Development Roundtable1 conducted research on positioning leaders for successful transitions. They concluded that the greatest changes to leadership capabilities occur in the initial move into first-line management and therefore the area of greatest transition risk was the transition for new-to-role leaders from the ‘role of individual contributors to first-line managers’. 2
They concluded that the following learning and development strategies potentially have the most impact on building leadership bench strength.
Preparing leaders fortransitions
Engaging managersof new leaders
Providing new leaderswith clear guidance
Creating opportunitiesfor learning
Significant impact activities
Moderate impact activities
Modest impact activities
Coordinating between theindividual's previous managerand new manager duringthe transition
Providing detailed guidanceto managers on how toeffectively allocate their timein their new role
Helping new-to-role leadersfind the appropriate balancebetween development andperformance
Creating individualised plansfor managers making lateraltransitions within the agency
Assessing the readiness ofeach candidate for potentialmanagerial positions
Providing structuredopportunities for new-to-rolemanagers to build peernetworks and learn fromtheir colleagues
Creating individualised plansfor managers making verticaltransitions with the agency
Holding managers ofnew-to-role leadersaccountable for the successof the transition
Giving corrective feedback tonew-to-role managers beforepotential problems becomeentrenched
Providing experiencedexecutive coaches for leadersmaking transitions within theagency
Providing 'duty-free'transition periods
Figure 6 Activities that build bench strength
Source: Adapted from Learning and Development Roundtable, 2005, Positioning leaders for successful transitions
1 The Corporate Leadership Council has been responsible for documenting and evaluating the innovations of the world's leading HR organisations on behalf of a growing membership of more than 1000 leading corporations and not-for-profits around the globe. The Council has sought to address the challenge of providing ongoing, focused, and more support at the HR functional level by establishing ‘Roundtable’ memberships including the Learning and Development Roundtable. 2 Learning and Development Roundtable, 2005, Positioning leaders for successful transitions
12
4.2⏐ Layers of complexity
This tool describes the increasing layers of complexity as roles change. It will help individuals identify the context that they are working in, or aspiring to.
As roles change, the level of complexity changes in each of four aspects—future focus, breadth of contact, breadth of impact and breadth of responsibility. Individuals can identify where different aspects of their role are more complex than others. Agencies will find these elements of complexity may affect levels other than executive and senior executive, depending on their particular context e.g. small agency or strong regional base.
• Future focus—shifts from considering the longer-term implications of actions to developing a vision and direction for the future. This is most evident in the shapes strategic thinking and supports strategic direction capabilities.
• Breadth of contact—stakeholder interactions become more frequent and the range of stakeholders increases. This is most evident in the cultivates productive working relationships and supports productive working relationships capabilities.
• Breadth of impact—shift occurs from an impact on one’s self and the team, to an impact on a business unit, the whole organisation and then an impact on the whole of government. This is most evident in the shapes strategic thinking, supports strategic direction and the achieves results capabilities.
• Breadth of responsibility—clear shift in responsibility that develops from a responsibility for achieving individual and team outcomes to a responsibility for achieving organisation wide outcomes. This is most evident in the achieves results capability.
The following diagram expands the descriptions of these four aspects as they increase in complexity. This is followed by more detailed information about each aspect of the levels of complexity.
.
13
Breadth ofcontact
Breadth ofimpact
Breadth ofresponsibility
Future focusFo
cuse
s on t
he fu
ture w
ith th
esp
ecific
aim
of im
prov
ing th
eor
ganis
ation
's ca
pacit
y to
deliv
er ou
tcome
s
Ther
e is a
n add
itiona
l elem
ent o
fbu
ilding
a re
lation
ship
with
Minis
ters,
and c
ommu
nicati
ngthe
impo
rtanc
e of c
onsu
ltatio
nthr
ough
out th
e org
anisa
tion
A sli
ght s
hift fu
rther
towa
rds
orga
nisati
on w
ide ac
tivity
,inc
luding
an em
phas
is on
unify
ing th
e org
anisa
tion
Orga
nisati
on w
ide re
spon
sibilit
yis
evide
nt wi
th a f
ocus
onre
movin
g bar
riers
to su
cces
s and
look
ing ou
tside
the or
ganis
ation
for p
ossib
leso
lution
s to i
ssue
s
Identi
fies o
ppor
tunitie
s tha
t exis
tin
the fu
ture,
reco
gnise
sem
ergin
g tre
nds
and a
ligns
the b
usine
ssop
erati
on to
capit
alise
on th
ese
Inter
actio
ns re
flect
a cro
ssag
ency
focu
s, wi
th an
emph
asis
on en
cour
aging
stake
holde
rs to
work
togeth
erto
achie
ve ou
tcome
s
Impa
ct sh
ifts to
the
orga
nisati
on
Resp
onsib
ility s
hifts
towar
dsthe
orga
nisati
on, w
ith an
dem
phas
is on
ensu
ring
orga
nisati
onal
susta
inabil
ity
Enga
ges t
he bu
sines
s unit
inac
tivitie
s tha
t facil
itate
theac
hieve
ment
of lon
g-ter
mstr
ategic
oppo
rtunit
ies
Scop
e of in
terac
tions
broa
den
and t
here
is an
incre
ased
emph
asis
on fa
cilita
ting
know
ledge
deve
lopme
nt an
dsh
aring
Impa
ct on
the b
usine
ss un
it,ho
weve
r with
a gr
eater
emph
asis
on de
fining
and
drivi
ng st
rateg
ic dir
ectio
n of
the gr
oup
Scop
e of r
espo
nsibi
lity m
oves
beyo
nd im
media
te pr
ioritie
stow
ards
crea
ting a
nen
viron
ment
that c
an fle
xibly
resp
ond t
o cha
nging
need
san
d circ
umsta
nces
Deve
lops p
lans &
prior
ities
base
d on c
onsid
erati
on of
long-
term
need
s
Grea
ter em
phas
is on
bring
ingpa
rties t
ogeth
er to
shar
e info
rmati
on &
know
ledge
with
team,
peer
s & co
lleag
ues
Impa
ct is
on th
e bus
iness
unit,
spec
ificall
y with
a re
mit to
ensu
re th
e ope
ratio
nal
effec
tiven
ess o
f the u
nit
Resp
onsib
ility s
hifts
towar
dsbu
ilding
busin
ess u
nit ca
pacit
y&
resp
onsiv
enes
s
Emph
asis
on re
cogn
ising
long-
term
impli
catio
ns of
own
work
& ac
tions
Inter
actio
ns a
re pr
imar
ily w
iththe
team
, pee
rs an
dco
lleag
ues
Impa
ct pr
imar
ily on
one's
self
and o
n the
team
Resp
onsib
ility i
s rela
tively
discre
te, an
ds is
prim
arily
direc
ted to
ward
s tas
ks,
proje
cts di
rectl
y rele
vant
inthe
job
Incr
easin
g co
mpl
exity
Figu
re 7
Lay
ers
of c
ompl
exity
14
Focuses on thefuture with thespecific aim ofimproving theorganisation's
capacity to deliveroutcomes
Identifies opportunitiesthat exist in the future,recognises emerging
trendsand aligns the
business operation tocapitalise on these
Engages thebusiness unit in
activities thatfacilitate the
achievement oflong-term strategic
opportunities
Develops plans &priorities based onconsideration oflong-term needs
Emphasis onrecognisinglong-term
implications ofown work &
actionsFutu
re fo
cus
Increasing level of complexity
Understandsthe
organisation'sobjectives
Understands linksbetween the
business unit, theorganisation and
the whole ofgovernment
agenda
Understands linksbetween the
organisation, thewider communityand the whole of
governmentagenda
Considersemerging trendsand key issuesfor the agencyand identifies
long termopportunities
Extensive knowledgeof emerging trendskey issues for theorganisation, the
whole of governmentand the broader
community
Scan
ning
the
envir
onm
ent
Stra
tegi
c and
analy
tical
thin
king
Stra
tegi
c plan
ning
Gathers andinvestigates
information froma variety ofsources.
Monitors thecontext in whichthe organisation
operates
Gathers andinvestigates
information from avariety of sources.Looks for recent
developments thatmay impact onbusiness area
Monitorsinformationchannels to
understand changein the environmentand new issues ofimportance to the
government
Draws oninformation and
alternativeviewpoints, monitor
change in theenvironment to
identify opportunitiesand potential threats
Monitors change inthe environment to
recognise theopportunities
offered throughwhole of
governmentapproaches
Plans to achieveoperational taskand short term
priorities
Translatesstrategic plansinto operational
goals
Developsstrategic directionfor the business
unit which is usedto guide
managementdecisions
Develops integratedlong-term strategic
plans which are usedto guide
managementdecisions
Createsorganisational goals
for implementingvision, which are
extensively used toguide management
decisions
Future focus As mentioned previously, as the level of complexity increases in relation to the future focus aspect, the focus shifts from considering the longer-term implications of actions to developing a vision and direction for the future.
In order to understand the level of complexity of their roles, individuals may like to consider three different aspects of future focus:
• scanning the environment
• strategic and analytical thinking
• strategic planning.
Figure 8 Future focus
15
Breadth of contact As the level of complexity increases in relation to the breadth of contact aspect, stakeholder interactions become more frequent and the range of stakeholders increases. In order to understand the level of complexity of their roles, individuals need to understand what relationships they manage, the purpose of those relationships, and the role that they play in the management of those relationships. Individuals can use the following process to map their stakeholders and their role in stakeholder and relationship management.
Exercise: create a stakeholder/relationship map The first step in understanding the level of complexity for breadth of contact, is to identify the range of people and stakeholders that you deal with in your role, then draw up a stakeholder or relationship map. The following relationship map is provided as an example. A blank relationship map is included at figure 15 to enable individuals to map their relationships.
Figure 9 Example of stakeholder/relationship map
Figure 10 Relationship map template
16
Once you have completed the stakeholder/relationship map, the next step is to assess the complexity of each relationship, by identifying the purpose of each relationship, the frequency of contact, and your role in managing the relationship.
What is the range of these relationships?
• are they mainly at team, business unit, agency or whole of government level?
• what is the purpose of each relationship?
• how proactive is your role in managing that relationship?
For each relationship or stakeholder identified, think about the following:
Purpose of the relationship Role in managing the relationship
to build rapport build networks to convey intentions to ask for feedback or input to provide input build credibility understand their perspective to seek buy-in
sharing knowledge facilitator consultant leader decision maker
These questions will give a much clearer idea of the level of complexity of the relationships and stakeholders that you manage.
Breadth of impact and responsibility For both the breadth of impact and the breadth of responsibility, as the level of complexity increases, the sphere of influence of the individual shifts from an impact on the self and the team, to an impact on the business unit, the whole organisation, to an impact on whole of government.
Whole ofgovernmentAgencyBusiness
unitTeamSelf
Figure 11 Spheres of influence
To map the level of complexity, individuals will need to identify the level of impact of decision making and accountability of their role.
17
Mapping the complexity of a role The following figure shows how the complexity of a role differs for individuals working in different contexts. In this example although both people are at the same level, person 1 may be working in an area responsible for implementing a programme across the APS and therefore has a more complex breadth of contact, while person 2 may be working in a role developing strategies for the next 3-5 years and therefore sits further along the future focus aspect.
A blank complexity map is included at figure 13 to allow individuals to map the complexity of their role.
Future focus
Breadth ofcontact
Breadth ofresponsibility
Breadth ofimpact
Person 1
Person 2
Figure 12 Complexity map—example
Future focus
Breadth ofcontact
Breadth ofresponsibility
Breadth ofimpact
Figure 13 Complexity map
18
4.3⏐ ILS capability assessment kit
This section of the document is designed to assist individuals prioritise the capabilities required for their role, assess their capabilities and prioritise development needs.
The ILS capability assessment kits are currently available for each level from EL1 to SES B3. Each kit consists of card sets which enable an individual to identify and prioritise capability development requirements based on their current position, or a role they aspire to. Individuals are provided with a set of instructions, together with an assessment form that, once completed, forms the beginning of a capability development plan. The ILS capability assessment kits are available for purchase from the Commission.
The benefits for individuals are that they are able to prioritise the five capabilities to reflect their current role, and then identify their capability development needs against those priorities. The benefits for agencies are that staff and managers are able to identify articulated, specific behaviours as a basis of capability development, rather than loose generalisations. This will enable more targeted development to be provided across the agency.
This section contains instructions for using the ILS capability assessment kit, however if individuals do not wish to purchase the ILS capability assessment kit, the self-assessment forms can be used on their own to assess and prioritise capability needs. Instructions for using the self-assessment forms by themselves are also included.
Additional copies of the self-assessment forms are available on the Commission website at www.apsc.gov.au/ils.
19
Instructions for using the ILS capability assessment kit The kit includes four items for each level:
• set of instructions
• card sort 1 (descriptions)—this set uses the capability descriptions to identify the capabilities required to operate successfully in the role
• card sort 2 (behaviours)—this set uses the behaviours to identify an individual’s capability development requirements
• self-assessment form—after completing the card sorts, the information is transferred to the self-assessment form. This allows individuals to identify their priorities for development.
Transfer results toself assessment form
Use capability gap matrix to identifypriorities for development
Transfer results toself assessment form
Use card sort 2 (behaviours)to identify development requirements
Use card sort 1 (descriptions) toprioritise capabilities required for role
Steps to identify priorities for development
1
2
3
4
5
Figure 14 Using the ILS capability assessment kit
Step 1—using the card sort 1 (descriptions) This card sort is used to prioritise the capabilities required to operate successfully in your role. It is important to note that you are not assessing your own capabilities in this section, but rather the requirements of the role. Each set contains three category cards and a capability description for each of the 20 capabilities from the pathway. Select the card set which applies to your current role.
20
Read the capability description on each card and sort the cards into the following categories:
• essential—capabilities which are critical to the success of your role
• significant—capabilities which, while not as critical to the success of the role, are still important
• less significant—capabilities which may not be as significant to the success of the role.
Note: where appropriate, critical transition points are indicated using the CTP symbol in the top right hand corner of the card for cards sets.
ESSENTIAL SIGNIFICANT LESS SIGNIFICANT
Communicates withinfluence
Capability description
Achieves resultsCapability description
Shapes strategicthinking
Capability description
Communicates withinfluence
Capability description
Shapes strategicthinking
Capability description
Achieves resultsCapability description
Figure 15 Using card sort 1—descriptions
Step 2—transfer results to self-assessment form Once you are satisfied with the card sort, transfer the results to the self-assessment form for that level using the column capabilities required for role as per the following example from the EL2 level.
Figure 16 Self-assessment form—capabilities required for role
21
Step 3—using the card sort 2 (behaviours) This card sort is used to identify your current capability development requirements. Each set contains three category cards and a card detailing each behaviour for the 20 capabilities from the Pathway. Select the card set for your level, read each card and sort the cards into the following categories:
• confident—you are confident you have sufficient experience in this capability
• needs development—you believe you need more development or experience to build on your existing capability
• needs significant development—you have little or no capability in this area and you believe that you need significantly more development or experience in this capability.
Note: where appropriate, critical transition points are indicated using the CTP symbol in the bottom right hand corner of the card for cards sets.
CONFIDENT NEEDSDEVELOPMENT
NEEDSSIGNIFICANT
DEVELOPMENT
Communicates withinfluenceBehaviour
Achieves resultsBehaviour
Shapes strategicthinkingBehaviour
Communicates withinfluenceBehaviour
Shapes strategicthinkingBehaviour
Achieves resultsBehaviour
Figure 17 Using card sort 2—behaviours
Step 4—transfer results to self-assessment form Transfer the results to the self-assessment form for that level using the column current level of capability to identify those capabilities where you believe you want more development or experience to build on your existing capabilities as per the following example from the EL2 level.
Figure 18 Self-assessment form—current level of capability
22
Step 5—identify priorities for development Use the capability gap matrix diagram to assess the priority for development and record in the priority column. For example, if you have indicated that a behaviour is essential for a role, and needs significant development then the priority would be 1—highest priority for development. Similarly if you indicated that a behaviour is desirable for a role and needs development, then the priority for development would be 2—medium priority for development. You may then want to discuss with your manager areas you have identified that need further development or experience.
The table at figure 24 can be used to record the highest priority development needs. This will form the basis of your capability development plan and learning agreement.
Current capability
Prio
rity c
apab
ilities
for r
ole
Needs significantdevelopment
Confident
Capability gap matrix
1 2
2
3
3
4
4
4Less significant
Significant
Essential
Needsdevelopment
1 Highest priority for development2 Medium priority for development3 Low priority for development4 No development needed at this stage
* This section rated 3 to reflect need for currency of capability
2
Less significant
Significant
Essential
Needs significantdevelopment
ConfidentNeedsdevelopment
*
Figure 19 Capability gap matrix
23
After completing the self-assessment for your current role, you may wish to identify the capabilities required to operate at a more senior level and identify priorities for development against a future role. This is particularly useful for people aspiring to more senior leadership positions.
Agency specific capabilities In addition to the ILS leadership capability requirements identified using the ILS capability assessment kit, it is important that individuals also assess any agency specific, technical and management capability requirements.
APS leaders require a mixture of technical and management expertise as well as leadership capabilities as shown in the following figure. The precise balance will depend on the level of seniority of the individual. For example, a policy advisor requires subject matter expertise, skills in administration, communication and relationships to ensure the advice takes account of stakeholders and can be implemented in practice. People in service delivery agencies need technical expertise as well as management and leadership capabilities in dealing with clients and stakeholders. The particular mix of capabilities will vary depending on agency, and the level and/or role of the person.
Technical(agency specific)
ManagementLeadership
Person 1
Person 2
Figure 20 Mix of leadership and agency specific capabilities
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Instructions for using the self-assessment forms (without cards) Although the use of the cards makes the capability assessment kit much easier to use, the self-assessment forms can be used by themselves to assess capability requirements.
Read the capability behaviours andidentify current capabilities and
development requirements
Use capability gap matrix to identifypriorities for development
Read the capability descriptions andprioritise the capabilitiesrequired for current role
Steps to identify priorities for development
1
2
3
Figure 21 Using the self-assessment forms (without cards)
Step 1—prioritise capabilities for role The first step is to prioritise the capabilities required to operate successfully in your role. You may wish to discuss this with your manager to get a clear picture of what is required in the role. It is important to note that you are not assessing your own capabilities in this section, but rather the requirements of the role.
Read each capability description and decide whether the capabilities are:
• essential—capabilities which are critical to the success of your role
• significant—capabilities which, while not as critical to the success of the role, are still important
• less significant—capabilities which may not be as significant to the success of the role.
Use the column capabilities required for role to record the results as per the following example from the EL2 level.
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Figure 22 Self-assessment form—capabilities required for role
Step 2—assess current capabilities
The next step is to identify your current capability development requirements. Read each behaviour statement and decide whether you are:
• confident—you are confident you have sufficient experience in this capability
• needs development—you believe you need more development or experience to build on your existing capability
• needs significant development—you have little or no capability in this area and you believe that you need more significantly more development or experience in this capability.
Use the column current level of capability to identify those capabilities where you believe you want more development or experience to build on your existing capabilities as per the following example from the EL2 level.
Figure 23 Self-assessment form—current level of capability
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Step 3—identify priorities for development Use the capability gap matrix diagram at figure 19 to assess the priority for development and record in the priority column. For example, if you have indicated that a behaviour is essential for a role, and needs significant development then the priority would be 1—highest priority for development. Similarly if you indicated that a behaviour is desirable for a role and needs development, then the priority for development would be 2—medium priority for development. You may then want to discuss with your manager areas you have identified that need further development or experience.
The table at figure 24 can be used to record the highest priority development needs. This will form the basis of your capability development plan and learning agreement.
After completing the self-assessment for your current role, you may wish to identify the capabilities required to operate at a more senior level and identify priorities for development against a future role. This is particularly useful for people aspiring to more senior leadership positions.
Agency specific capabilities In addition to the ILS capability requirements identified using the ILS capability assessment kit individuals should also assess any agency specific and/or technical capability requirements.
27
Record priorities for development
ILS leadership capabilities High priority
Medium priority
Agency specific, technical or management capabilities High priority
Medium priority
Figure 24 Record priorities for development
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5⏐ Align learning with business needs This section is designed to assist individuals align the capability assessment process with organisational capability requirements.
Evaluatecapability acquired
Formulatecapability
developmentplan
Identifydevelopment
strategies
Capabilitydevelopment
planning
Assesscapability
requirements
Alignwith
businessneeds
Figure 25 Capability development planning—align with business need
Once individuals have identified their own capability development requirements, it is important that they also consider what capabilities are needed at an organisational and business unit level to achieve the desired organisational goals.
This process will ensure that individual capability development plans align with business needs. All agencies are different however—they vary in business focus, size, culture, geographical location, workforce profile, therefore the capability requirements of each agency will be different.
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The following diagram illustrates the different perspectives between the individual and the agency, in terms of capability development.
Past experience,skills, knowledge
and expertiseCurrent prioritiesfor role / career
Future careergoals
Combinedcapabilities ofpeople in the
agency
Current prioritiesfor developing
people within theagency
Future talentneeded to sustain
the leadershipcapability of the
agency
Past Present Future
Indi
vidu
alA
genc
y
Figure 26 Capability development perspectives
Many agencies will already have identified a profile of the capabilities required to achieve their key outcomes. If not, figure 27 provides some questions individuals should consider to assess the agency’s capability requirements. Information about the capability requirements for the business unit and agency can be recorded in figure 28.
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Individual Business unit Agency
Past
What have I achieved so far? Past experience, skills
knowledge and expertise What are my strengths? What do I need to
improve?
Review past year’s business unit plan
What did the business unit do well?
What do we need to improve on?
Review past year’s key planning documents including corporate plans, Portfolio Budget Statements
What were the strategies, outputs and outcomes, and were they achieved?
What does the agency need to improve on?
Current
Results from the capability assessment process
What capabilities are needed to deliver my business outcomes?
What capabilities do I currently have?
Are there any critical capability gaps?
Review current key planning documents including business unit plan
What are the key strategies, outputs and outcomes for the unit?
What capabilities are currently vital to enable the business unit to achieve its goals and objectives?
What capabilities currently exist within the business unit?
What are the critical capability gaps for the business unit?
Review current key planning documents
What are the key challenges facing the agency?
What are the key strategies, outputs and outcomes for the agency?
What capabilities are required to deliver the business outcomes?
What capabilities currently exist within the agency?
What are the critical capability gaps for the agency?
Are there differences at regional level?
Future
Career goals Immediate goals—what do
I want to achieve in the next few months?
Medium goals—what do I want to achieve in the next 6–12 mths?
Long term goals—what do I want to achieve in the next 1–5 yrs?
Future trends What are the future
business challenges facing the business unit?
What new or changed services will be needed in the medium term?
What will be future best practice for the business unit’s operations and services?
What new capabilities will the business unit need in the next 5 years and which capabilities will be less important?
What is the risk of not gaining the capability within the unit?
Future trends How is the agency’s work
expected to change e.g. through changes in mission/goals, technology, new and/or terminated programs or functions?
What are the future business challenges facing the agency?
What new or changed services will be needed in the medium term? What will be future best practice for the agency’s operations and services?
How will changes in other related bodies affect the agency?
What new capabilities will the agency need in the next 5 years and which capabilities will be less important?
Figure 27 Aligning individual capability needs against business needs
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Performance Capability
What are the key performance outcomes?
Prio
rity
What capabilities are required to deliver on the performance imperatives?
Over what timeframe is capability change required?
Assess the risk of not developing the capability i.e., identifying the cost of doing nothing
Busin
ess u
nit
Agen
cy
Figure 28 Business capability requirements
The business of many agencies is constantly changing, and this process needs to be regularly revisited to make sure that the capability development plan remains well aligned to the business performance and change agenda.
Additional resources The human resources area in their own agency may be able to assist individuals with information about the agency’s capability frameworks as well as any workforce planning and succession management frameworks.
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6⏐ Identify development strategies This section of the document provides further information about the resources available to assist individuals develop their capabilities. It is not intended to serve as an overall plan for capability development.
Evaluatecapability acquired
Formulatecapability
developmentplan
Capabilitydevelopment
planning
Assesscapability
requirements
Alignwith
businessneeds
Identifydevelopment
strategies
Figure 29 Capability development planning—identify development strategies
It is valuable to incorporate a blend of development activities into a career development plan. Development activities which enable individuals to build on their strengths and acquire new capabilities can include on-the-job training, development opportunities such as special projects, conferences, placements and mentoring, as well as formal classroom training. A development plan should therefore include a range of development options such as:
• challenging organisational opportunities
• use of coaching and mentoring services
• well-targeted learning and development programmes including seminars, forums, conferences, executive development programmes, Australian Public Service Commission and agency-specific development programmes, as well as membership of professional and community bodies, and professional networks
• formal education including accredited courses, distance education online, undergraduate and postgraduate studies.
The examples provided in this section describe development activities that will build breadth and depth of experience. These examples are by no means exhaustive, and opportunities will vary depending on the agency and location.
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No single development option will cover all dimensions of a public service career, and will change dependent upon the individual’s role and level. It is likely that individuals will need to select a range of development methods and activities to address all their capability development requirements.
Planning guide for identification of development strategies This planning guide provides individuals with an overview of the resources available for identifying development strategies. Individuals will also need to consider what resources are available within their own agency.
ILS Resources Possible data sources Stakeholders and their roles
Individual − Identify development strategies
Line manager
− Provide information on organisational opportunities
− Agree on identified development strategies
− Approve resources required
− Development methods and options
− Organisational opportunities
− Placement guidelines − Coaching model − Learning and
development opportunities − Capability development
plan − Learning agreement
− Insight from key stakeholders
− Agency specific capability frameworks
− Agency specific learning and development opportunities
− Past learning agreements and development plans
− Line managers − Team members and
reports − Clients and customers
HR − Provide information on agency’s learning and development opportunities
Figure 30 Planning guide for identification of development strategies
There are a number of factors that need to be considered when deciding which development activities or interventions are most appropriate to address capability gaps:
• relevance—does the learning and development activity address both business and individual capability needs?
• appropriateness—is the learning and development activity appropriate in terms of timing, cost-effectiveness, quality and delivery methods?
The following table lists a number of questions which may help individuals identify the relevance and appropriateness of a development activity.
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Attribute Questions to consider Alignment with learners performance objectives
How closely is the development activity aligned with the majority of the learner’s performance objectives?
Ability to customise If required, can the development activity be customised for the common needs of a small group of employees?
Relationship building opportunity
Does the development activity enable the learner to build relationships with people in the organisation outside their team? Does the development activity enable the learner to build relationships with people outside the organisation?
Relev
ance
Work experience Does the development activity reflect the typical projects and responsibilities of the learner?
Breadth of availability Is the development activity available to all employees or is it limited to a particular audience?
Frequency of availability How often is the development activity offered?
Time to completion How long does it take to complete?
Cost of development What is the budget for the development of the learner?
Employee time away from work
What length of time can the employee spend away from work?
Delivery solution Is the optimal delivery solution face-to-face, electronic delivery, or a blend of both?
Appr
opria
tene
ss
Type of facilitation Is the optimal facilitation method group oriented or individualised? Should it include expert facilitation, coaching or self-directed solutions?
Figure 31 Identifying appropriateness of development activities
Source: adapted from Learning and Development Roundtable, 2004, Maximizing L&D’s contributions to business performance
The following section provides more information about organisational opportunities, internal and external placements, coaching and mentoring, and learning and development programmes.
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6.1⏐ Organisational opportunities
While no single experience in each of the examples provided will cover all dimensions of public service; each will help build breadth and depth of experience to help public servants to develop a ‘holistic’ perspective of the role of the public service and the kind of leaders required. Development plans should therefore include a range of organisational development options such as:
• challenging job-based experiences including job rotation, higher duties opportunities and cross-functional involvement
• work-shadowing other colleagues
• being placed in high-stake, ambiguous or difficult situations
• participating in steering committees, working parties, special projects, interdepartmental committees, or task forces
• leading or implementing a ‘whole of organisation’ project
• taking on a significant project of work that presents new learning and challenges, working with people or in situations not previously encountered
• internal placements or assignments that provide developmental challenges which increase a person’s range of capabilities and experience, and provide greater exposure to, and knowledge of the organisation
• external placements
• being coached or mentored
• coaching or mentoring other colleagues
• exposure to the strategic agenda and to senior officials of the organisation
• formation of ‘knowledge networks’ across the agency and/or sharing work knowledge such as internet research with colleagues
• dealing with or leading significant change
• managing people for the first time.
Another valuable organisational opportunity involves working in different types of roles e.g. moving from line operations to corporate or policy role, or vice versa. The following figure provides a series of examples and potential benefits—this list is by no means exhaustive and opportunities will vary depending on the agency and location.
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Opportunity Examples could include: Potential benefits
working in a public sector service delivery role
working with clients and/or members of the public
leading and managing a service delivery work team
understanding the impact of implementing policies
gaining experience in process and people management
demonstrating the application of people and client skills, and flexibility
gaining experience in accountability for financial and physical resources
gaining experience in leading and managing teams
working in a public sector policy role
placement to a special cross-partner project
conducting research as part of a multi-disciplinary team
experiencing and articulating an external (e.g. community, business, regional or international) perspective into policy formulation
evaluation or implementation work experience over more than one
agency sector or area of specialisation
understanding policy development, implementation, monitoring and evaluating of processes and practices
understanding how government programs are structured
understanding how consultation processes contribute to success and timeliness of programs
gaining experience in accountability for financial and physical resources
gaining experience in leading and managing teams
developing research skills
working in national office or central organisation role
leading and managing a work team in a national office environment
participating in a project team with staff drawn from both national and regional offices
understanding how the whole APS works appreciating the coordination and prioritisation
required to pursue a broad strategy relating with people at senior level in other APS
agencies
working in a branch or regional office role
implementing national policy at local level field testing or researching for future policy
initiatives participating in a project team with staff
drawn from both national and regional offices
understanding the viewpoint of people outside of a national office environment
providing advice that recipients see as showing an understanding of, and being relevant to, regions and communities
working in a Minister’s office
providing advice directly to ministers, senior officials, or select committees
contributing to the management of the political–government interface
developing confidence in relationships with ministers and the ability to assert professional advice
developing timing, tone, prioritisation and policy advice that are in step with Ministers’ needs, building trust and confidence in professional ability
understanding how politicians operate, and how decisions are made
international experience
representing Australia’s interest on the international arena, which is the core aspect of the work of several agencies, e.g. foreign affairs, trade and overseas development, economic development, tourism and education—most ministers have an international dimension to their work
understanding Australia’s perspective and contribution to international issues
acquiring ability to represent a whole of government perspective on international affairs and issues
seeing how other countries’ public sectors are approaching similar challenges
Figure 32 Organisational opportunities and benefits
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6.2⏐ Internal and external placements
Both internal and external placements provide a valuable development opportunity to enhance an individual’s capability. Throughout this section the following terms will be used for both internal and external placements:
• individual—the individual who is undertaking the internal or external placement
• home manager—the individual’s manager within the home team/agency
• host manager—the individual’s manager within the team/agency where the placement will occur.
Placements can be useful when an employee is expected to acquire new capabilities consistent with their agreed capability development plans. For example, the individual:
• has developed theoretical understanding but has little practical experience
• has practical hands-on-experience but needs to put this into a strategic context
• has expertise in an area of speciality and could further expand their professional knowledge and skills
• has project management training or experience in smaller projects and could take on a project management leadership role
• will be ‘stretched’ by experiencing higher levels of leadership and accountability
• will benefit from working in more complex environments or in a new or different type of organisation, or
• would like some experience in a particular role.
Once the placement opportunity has been identified, it is useful for the individual and their line manager to identify specific capabilities which will be developed by the placement opportunity. Other factors which need to be considered include:
• the expectations the host agency has of the individual in contributing to the outcomes of that agency, and
• planning for the individual’s return to the area and/or agency including:
− finding out the individual's new expectations on return to the home team/agency
− identifying how to build on the experience gained during the placement e.g. expanding the individual's role into more complex or higher profile work areas
− possibly re-inducting the individual on their return if the home team has changed or developed in different ways during the individual's absence.
Guidelines have been developed for the individual, the home manager and the host manager, outlining factors to keep in mind during the placement. These guidelines apply equally to both internal and external placements.
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Evaluation of placement It is important that the individual—and if appropriate, the home manager and host manager—evaluate the placement at its completion. Suggested evaluation questions include:
Individual
• was the placement worthwhile for you?
• was it a successful development opportunity?
• do you use what you learnt in your current role? If, so how?
• has your home team/agency built on the experience gained as a result of the placement? If so, how?
• what worked well with the host team/agency? With the home team/agency?
• what didn't work so well with the host team/agency? With the home team/agency?
• what would you do differently with the next placement?
Home manager
• was a placement the appropriate development initiative for the individual?
• how did the back-filling arrangements go?
• did the individual enhance their capabilities and performance as a result of the placement?
• how has the home team/agency used the experience gained on placement?
• what worked well with the placement, with the individual?
• what didn't work so well with the placement, with the individual?
• what would you do differently with the next placement?
Host manager
• was a placement the appropriate means to meet the business need?
• did the nature of the work change, in what way?
• was the individual a good fit for the business need?
• what worked well with the placement, with the individual?
• what didn't work so well with the placement, with the individual?
• what would you do differently with the next placement?
Additional resources Individuals should contact the human resources area in their own agency to obtain information about mobility and/or interchange programmes, and any placement opportunities available within the agency.
Section 8 of this document provides more information on evaluating learning and development.
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Guidelines for individual Steps Process
Prior to the placement
Identify the purpose of seeking a placement
A placement may be: an opportunity to meet development needs identified
during a formal capability development planning process an opportunity to transfer/use skills and knowledge that
could contribute to whole-of-government outcomes by building capability in another organisation.
Decide whether a placement is the most appropriate development opportunity
Your manager may have different views on how best to meet your development need. Some points to consider are whether:
it may be more effective to consider other development opportunities, such as on-the-job training, participating in inter-departmental project teams, participation in programmes, seminars and conferences, etc.
the timing is right in terms of the home team/agency’s business needs, staffing levels, etc.
Obtain your manager's approval
Your manager will need to take into account the timing of a placement and options to back-fill your position. They need to consider their business needs, including:
work deadlines or commitments the current staffing level within the team how the position could be back-filled.
Identify a placement opportunity
Placement opportunities can be identified through networks, personal contacts, your HR area or through your manager.
Assess the suitability of the particular placement
The suitability of a placement will depend on a number of factors. You need to assess the specific benefits and learning objectives of the proposed placement before deciding whether to proceed further. Does the placement:
provide an opportunity for you to meet your development needs?
fit with business needs, e.g. duration, start date, etc.?
Apply for the placement Check on the requirements for submitting an application—it may vary with each placement opportunity.
Negotiate terms and conditions of the placement
Ensure that expectations, accountabilities and performance objectives are clear to all parties including the individual, home manager and host manager.
Continued on next page
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Steps Process
During the placement
Induction For external placements, does the host agency have an induction process? How will you familiarise yourself with aspects of the team/agency you will need to know in order to understand its culture and to fulfil your work objectives successfully.
Performance management Throughout the placement, regular feedback from your host manager will assist you to evaluate your achievement of both the work objectives and your learning objectives. Confirm how performance management processes for the period of the placement will link into the performance management process at your home agency.
Maintain contact with the home agency
Take responsibility for maintaining contact with your home agency in order to:
keep abreast of any major organisational changes, new policies which are being introduced, development opportunities or current vacancies
maintain social networks understand the outcomes from business processes
(strategic planning, work programmes, etc.).
At conclusion of placement
Prepare for re-entry You and your home manager will need to discuss your expectations before your return date and jointly identify how you can continue to be challenged and developed.
Evaluate the placement Evaluate what went well, what did not go well, and what should be done differently next time. Did the placement further your career aspirations? Are you now using what you learnt in your current role, back in your home team/agency.
Figure 33 Guidelines for individual
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Guidelines for the home manager
Steps Process
Prior to the placement
Identify whether an internal or external placement is an appropriate option to meet a development need for an individual staff member
Identify whether this is an appropriate learning intervention, taking into account the home team/agency’s business needs, including:
work deadlines or commitments the current staffing level within the team how the position could be back-filled—options include:
− appointing a colleague to 'act' in the position − bringing in a contractor
− an internal rotation − a reallocation of duties.
Performance management Clarify how the performance management processes for the period of the placement will link into the performance management process of the home team/agency?
Identify how to maintain contact
Maintain contact throughout the placement to ensure that the individual keeps informed about their home organisation, and a smooth transition occurs when the individual returns.
Plan for the individual's return
Plan how the individual will be able to build on the experience gained during the placement.
During the placement
Stay in touch with the individual
Keep the individual informed on a regular basis of news and events from their team and the organisation as a whole e.g. forward key emails and documents, invite the individual to planning or other key meetings where any major changes or introductions of new policies are being discussed.
At conclusion of placement
Prepare for the individual's re-entry
Consider how the individual's new skills can be used. What are your new expectations of the individual as a result of the placement?
prior to their return, discuss the individual's expectations and concerns with them
jointly identify how the person can continue to be challenged and developed
discuss with the individual the setting of new performance objectives and development plan goals
avoid bringing the individual back into a position with less responsibility and autonomy than they had before and during the placement.
Evaluate the placement process
Evaluate what went well, what did not go well, and what should be done differently next time.
Figure 34 Guidelines for home manager
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Guidelines for the host manager Steps Process Prior to the placement
Identify short-term capability need and whether a placement is appropriate
Identify the capability profile needed for the position, and whether a placement is the best option to fill the business need as opposed to:
making a permanent appointment, or contracting a temporary consultant.
Note: Get it right—a recruitment kit for managers (Australian Public Service Commission) and the ILS pathway are useful resources for determining the required capability profile for individual positions.
Identify the most appropriate person for the position
Use the organisation's existing selection processes, taking into account the capability needs of the organisation.
Negotiate terms and conditions of the placement
Negotiate an agreement ensuring that expectations, accountabilities and performance objectives are clear to all parties including the individual, the home and host manager. Agreement could include details of:
how the individual's performance will be assessed who will conduct the assessment, and how often how the information will be fed back to the individual,
and how it will be delivered to the home manager.
Finalise agreement Advise staff in both organisations about the placement—who they are, when they will start and what their objectives will be.
During the placement
Induct the individual Induct the individual as appropriate—provide resources on the organisation's policies and procedures, and introduce the individual to key contacts, explain access to the building, IT systems, etc.
Provide feedback Provide constructive feedback to the individual within a couple of days on how they are settling into the work environment and how they are undertaking the assignment/project etc. Confirm arrangement for feedback and review, and discuss the individual's progress in regular formal interim reviews.
At conclusion of placement
Evaluate the placement Evaluate the placement separately from the performance appraisal process for the individual. Evaluate what went well in the placement process, what did not go well and what should be done differently next time.
Figure 35 Guidelines for host manager
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6.3⏐ Coaching and mentoring
The overall purpose of coaching/mentoring is to provide help and support for people in order to help them develop their skills, improve their performance and maximise their potential. It usually lasts for a short period and focuses on specific skills and goals. Although there is a lack of agreement about precise definitions, there are some core characteristics of coaching activities that are generally agreed on by most coaching professionals:
• goals are focused on specific issues/areas—improving performance and developing/enhancing individuals skills, personal issues may be discussed but the emphasis is on performance at work
• it consists of one-on-one developmental discussions
• the coach provides structure, direction, feedback, and identifies and facilitates opportunities for development, while an individual being coached takes responsibility for job-related goals
• it is a relatively short-term activity—a structured process with start and end points
• coaching includes giving and receiving constructive feedback.
Coaching is particularly valuable where executives are seeking to devote some concentrated time and expertise to their specific issues, to acquire new knowledge and skills, and to increase confidence.
The possible benefits of coaching and/or mentoring are:
Benefits for the individual Benefits for the organisation individuals learn how to identify
development needs coaching can have a positive impact on
performance individuals gain greater self-awareness individuals acquire new skills and abilities
build capability for future business demands
support new ways of working improved productivity, quality, and
customer service value increased employee commitment and
satisfaction, which can lead to improved retention
can demonstrate to employees that an organisation is committed to developing its staff and helping them improve their skills
coaching can be used to support new-to-role leaders coping with new responsibilities
Figure 36 Benefits of coaching and mentoring
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Coaching vs. mentoring There are many similarities between coaching and mentoring since both involve a one-to-one relationship that provides an opportunity for individuals to reflect, learn and develop. However, some commonly agreed differences between coaching and mentoring are:
Mentoring Coaching ongoing relationship that can last for a long period of time
relationship generally has a set duration
can be more informal and meetings can take place as and when the mentee needs some advice, guidance or support
generally more structured in nature and meetings are scheduled on a regular basis
more long-term and takes a broader view of the person
short-term (sometimes time-bounded) and focused on specific development areas/issues
mentor is usually more experienced and qualified than the ‘mentee’—often a senior person in the organisation who can pass on knowledge, experience and open doors to otherwise out-of-reach opportunities
coaching is generally not performed on the basis that the coach needs to have direct experience of their client’s formal occupational role, unless the coaching is specific and skills-focused
focus is on career and personal development focus is generally on development/issues at work
agenda is set by the mentee, with the mentor providing support and guidance to prepare them for future roles
agenda is focused on achieving specific, immediate goals
mentoring revolves more around developing the mentee professionally
coaching revolves more around specific development areas/issues
Figure 37 Differences between coaching and mentoring
Some questions to help decide whether coaching is the most appropriate course of action are:
• what are the developmental goals for the individual?
• what will happen if no coaching occurs?
• what impact is the coaching expected to deliver?
• are there any other development options that will deliver the same results?
The line manager and HR are also key stakeholders in any coaching relationship and need to understand their role in making the coaching work. As part of their role in supporting the coaching initiative, the line manager needs to:
• encourage the individual to spend time and effort thinking about their development and career plans
• provide the individual with time to undertake the coaching
• not expect to get information back from the coach on the individual, unless it has been explicitly agreed with the individual and the coach
• not put pressure on the individual to meet unrealistic goals or meet goals in unrealistic timeframes
• discuss progress with the individual and what they feel they have gained
• recognise progress and reward achievement of coaching goals.
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Key areas of HR involvement may include:
• assessing an individual’s need for coaching and identifying desired performance improvements
• determining the best use of internal and external coaches
• running a rigorous coach selection process
• assisting in the matching process
• briefing the coach
• managing the contracting process
• monitoring effectiveness and measuring the impact of coaching
• capturing evaluation data
• integrating coaching with other HR and development activity.
Once coaching has been identified as the most appropriate development option, the selection and recruitment of the coach can begin.
Selecting a coach—internal or external? The first key decision is whether to use external coaches or internal coaches. Many agencies, particularly smaller ones, will simply not have the internal capability and it may be more cost-effective to hire an external coach, rather than train someone internally. Organisations that are undertaking a considerable amount of coaching, however, may find it more cost-effective to build up their internal coaching capability and only use external coaches in specific situations.
External coaches are preferable Internal coaches are preferable for providing sensitive feedback to senior
business leaders for bringing specialised expertise from a
wide variety of organisational and industry situations
when individuals are concerned about ‘conflict of interests’ and whether confidentiality will be observed
for providing a wider range of ideas and experience
for being perceived as more objective
when detailed knowledge of the corporate culture is critical
when easy availability is desired for being able to build up a high level of
personal trust over a period of time for keeping costs under control
Figure 38 Internal vs external coaches
Individuals should contact the human resources area in their own agency to find out what coaching and mentoring services are available within their agency.
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Managing the coaching cycle After a coach has been selected to work with the agency or individual, there are a number of steps that need to be undertaken to manage the coaching relationship.
Evaluateeffectiveness
Create thecoaching
relationship
Developcoaching plan
Identifycoaching
goals
Coach andcheck
progress
Coachingcycle
End thecoaching
cycle
Figure 39 The coaching cycle
Create the coaching relationship The primary relationship in any coaching activity is between the coach and the individual. Other key stakeholders include the person representing the agency’s interests—most frequently a HR practitioner and the individual’s line manager. Many coaching relationships therefore start with a meeting between the coach, the individual, and the line manager to discuss how the coaching intervention may work. Some of the issues which should be agreed on include:
• estimated timescale for the coaching engagement
• proposed structure of the coaching sessions
• clarification of the roles and responsibilities of the individual, the coach, the line manager and HR
• the evaluation process and how the manager and HR will receive feedback on the effectiveness of the coaching
• progress reporting—how, what, where and when
• any confidentiality arrangements which are required
• statistics which need to be kept for annual learning and development reporting
• administrative arrangements.
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It is also important to consider who will brief the coach so they understand the organisational context in which the coaching will take place. Some briefing material which could be prepared to assist the coach to understand the broader organisational context include:
• information about the agency including the corporate goals, mission statements, strategies, values, locations, services, clients etc.
• the overall HR strategy and activities
• the agency’s leadership and capability models.
Identify coaching goals At an early stage, individuals should identify what they want to achieve from the coaching sessions and specific development areas to focus on. Individuals also need to consider the objectives for the coaching from the organisation’s perspective—not only how the coaching will benefit the individual, but also how this will translate into an improved contribution to the team.
The goals should be as specific as possible to enable the results to be measured as part of the evaluation of the effectiveness of the coaching.
Develop a coaching plan The coaching plan outlines the responsibilities of the individual, their line manager and the coach, as well as reporting requirements. A typical coaching plan may include:
• the initial coaching goals and the specific outcomes required
• agreed timelines
• any pre-coaching diagnostics to be used e.g. 360° feedback tools
• specific action and learning plans
• structure of the coaching sessions—how many sessions, how often will they take place, where will they take place, will they be face-to-face, etc.
• agreed confidentiality guidelines
• how the coaching will be evaluated
• arrangements for monitoring progress after the coaching sessions have ended.
Coach and check progress Once the coaching plan has been agreed, the coaching sessions can commence. Although the structure of coaching sessions will vary depending on the needs of the individual, the most common structure for a coaching session is the GROW (goal, reality, options, wrap-up) model (Landsberg, 2003). The framework provides a simple four-step structure for a coaching session.
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Goal Reality
OptionsWrap-up
Agree topic for discussionAgree specific objective of sessionSet long-term aim if appropriate
Invite self assessmentOffer specific examples of feedbackAvoid or check assumptions
Cover the full range of optionsSuggestions from both coach and individualEnsure choices are made
Commit to actionIdentify possible obstaclesMake steps specific and define timingAgree support
The GROWmodel
Figure 40 The GROW model
Source: Adapted from Landsberg, M, The tao of coaching, 2003, Profile Books Ltd, London
• Goal: the coach and individual agree on a specific topic and objective for the discussion:
− What would I like to achieve long term? What outcome would I like from this session?
− What would I like to happen that is not happening now? What would I like not to happen that is happening now?
• Reality: both the coach and the individual invite self-assessment and offer specific examples to illustrate their point:
− What is happening now? When does this happen, and how often? What effect does this have?
− What other factors are relevant? Who else is affecting, or is affected by this situation?
− What have you tried so far?
• Options: review progress towards goals, discuss approaches for improving job effectiveness, make choices and agree priorities for action:
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− What could you do to change the situation? What alternatives have you considered?
− Have you seen any approaches used by other people that may be appropriate?
• Wrap-up: the coach and the individual commit to action, define a timeframe for their objectives and identify how to overcome possible obstacles:
− What are the next steps? When? What are the potential barriers?
− What support do you need?
Evaluate effectiveness of coaching Before the coaching cycle begins, it is important to plan how the effectiveness of the coaching will be evaluated. The evaluation plan can focus on a number of different areas including the degree of learning by the individual, the degree of behavioural change, and the degree of improvement in business unit effectiveness.
Some of the measures which could be used to assess overall effectiveness and satisfaction with the coaching cycle include:
• individual and line manager satisfaction with the coaching
• feedback on the performance of the coach
• feedback from the coach
• achievement of the objectives set at the start of the coaching cycle
• comparison on pre and post coaching ratings e.g. 360° feedback, capability assessment processes etc.
• the impact on business performance indicators
• improved performance appraisal ratings.
End the coaching cycle This involves all parties agreeing that the coaching goals have been met, and the proposed change or development has occurred. If the coaching goals have not been met, circumstances have changed, or the required capability development has not been achieved, then it may be necessary to review the coaching goals and if necessary, start a new coaching cycle.
Additional resources The Commission also offers an executive coaching service for individuals and/or small groups of executives. This service is highly flexible—the nature and extent of the coaching provided is discussed in an initial consultation. When coaching is provided, the amount and cost of that support is negotiated to suit specific requirements of individuals. For further information about this service, detailed background information on each of the executive coaches, please contact the Commission.
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6.4⏐ Learning and development programmes
Well-targeted learning and development programmes would include a range of options such as:
• agency-specific programmes
• Australian Public Service Commission development programmes
• programmes offered by external providers.
Individuals should contact the human resources area in their own agency to obtain information on the learning and development programmes available within their agency.
The Commission also offers a broad range of development programmes at all levels. Information about these programmes is available on the Commission website at http://www.apsc.gov.au/learn/index.html
The Commission can also customise programmes and services to meet the particular needs of your agency in a flexible, cost-effective way. Client managers, in partnership with the panel of consultants, can help agencies assess their people issues, culture, and needs and propose tailored solutions. For more information regarding in-house delivery contact the Commission on email: [email protected]
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7⏐ Formulate capability development plan Purpose To assist individuals formulate a capability development plan and a learning agreement for the current performance cycle.
Evaluatecapability acquired
Capabilitydevelopment
planning
Assesscapability
requirements
Alignwith
businessneeds
Identifydevelopment
strategies
Formulatecapability
developmentplan
Figure 41 Capability development planning—formulate capability development plan
Overview After completing their capability assessment, individuals may find it useful to complete a capability development plan outlining the immediate (1–6 mths), medium (6–12 mths) and long term (1–5 yrs) goals which have been identified.
The capability development plan could also include the following information:
• any suggested actions, targets and timeframes which have resulted from discussions with their manager
• resources and strategies needed to achieve the targets
• how to engage the key stakeholders and decision makers
• what might be acceptable evidence of success, e.g.
− how are they going to be different?
− how will this affect their business results? e.g. better relationships with clients, provide better information, reduce costs etc.
− how will this improve their value to your business unit, agency?
• what is the risk of not acquiring the capability?
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A capability development planning template is included at figure 42. This information can then be used to complete a learning agreement for the current performance cycle.
In most cases, each agency will have their own learning and/or development agreement templates to be used as part of the development planning part of the performance management cycle. However, a generic learning agreement template has been provided at figure 43 for individuals who wish to use it, together with a sample learning agreement at figure 44. This template also allows individuals to record progress towards acquiring capabilities.
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Capability development plan
Objectives
Capability gap to be addressed
Type of goal
I=Immediate M=Medium
L=Long-term
Resources needed
How will you learn it? $ available
Timeframe
Target date for completion
Support
How will you engage the key stakeholders and/or
decision makers?
Evidence
How will you demonstrate that you
have achieved the target?
Risk
What is the risk of not acquiring the capability?
Figure 42 Capability development plan template
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Learning agreement template
Name: Signature _________________ Date commencing:
Supervisor: Signature _________________
Monitoring the evidence
Status of acquisition of learning?
Objectives
What are you going to learn?
Resources and strategies
How are you going to learn it?
Deadline
Target date for completion?
Evidence of learning
How are you going to know that you learned it?
Incomplete
Complete
Verification
How are you going to prove that you learned it?
Figure 43 Learning agreement
Source: Adapted from Knowles, M (1986) Using learning contracts. Jossey Bass. San Francisco
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Sample learning agreement
Name: Joe Bloggs Signature _________________ Date commencing: 01 July
Supervisor: Jane Common Signature _________________
Monitoring the evidence
Status of acquisition of learning?
Objectives
What are you going to learn?
Resources and strategies
How are you going to learn it?
Deadline
Target date for completion?
Evidence of learning
How are you going to know that you learned it?
Incomplete
Complete
Verification
How are you going to prove that you learned it?
How to supervise effectively
1. complete a 360 feedback process 2. observe a respected supervisor in
action and speak with her 3. discuss what it means to be an
effective supervisor with some of my peers
4. read an appropriate book on the matter
April 10 April 20 April 20 April 30
debrief my team and supervisor on what I’ve learned describe precise areas that I need improvement in to my team and supervisors practice and introduce one new practice a week and get feedback from my team
Re-do the 360 feedback process after 6 months to demonstrate improvement.
Figure 44 Sample learning agreement
Source: Adapted from Knowles, M (1986) Using learning contracts. Jossey Bass. San Francisco
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8⏐ Evaluate capability acquired This section is designed to assist individuals evaluate whether identified capabilities have been acquired, as well as evaluate the effectiveness of their capability development planning process.
Capabilitydevelopment
planning
Assesscapability
requirements
Alignwith
businessneeds
Identifydevelopment
strategies
Formulatecapability
developmentplan
Evaluatecapability acquired
Figure 45 Capability development planning—evaluation capability acquired
Effective learning and development evaluation is a useful management tool to promote effective learning and development and to ensure that an agency’s approach to people development aligns with its business goals and provides good value for money.
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Planning guide for identification of development strategies This planning guide provides individuals with an overview of the resources available for identifying evaluation strategies. Individuals will also need to consider what resources are available within their own agency.
ILS Resources Possible data sources Stakeholders and their roles
Individual − Assess whether capability development needs have been addressed
Line manager
− Provide feedback on whether capabilities have been acquired
− Sign off on capability assessment process
− Leadership pathway: comparative view
− Leadership pathway: individual profile
− ILS capability assessment kit
− Priorities for development
− Assess capability acquired
− Discussions with manager
− 360° feedback data − Data from other
diagnostic tools e.g. emotional intelligence
− Feedback from performance interviews
− Insight from key stakeholders
− Agency specific capability frameworks
HR − Provide information on agency capability models and priorities
Figure 46 Planning guide evaluation of learning and development
In most cases, individuals will need to evaluate the effectiveness of their capability development planning both at mid-cycle and at the end of a performance management cycle. There are a number of tools and processes that individuals can use to evaluate whether they have acquired the capabilities that they identified as requiring development.
• managers and supervisors are typically skilled in making astute observations of the performance of their team member and direct reports—obtaining their observations to ascertain if behaviours have changed is a useful evaluation technique.
• ILS capability assessment kit—individuals can use the capability assessment kit at mid and end cycle to see if there has been a shift in capability.
• evaluate capability acquired—this tool allows the individual to identify recent examples of how they have displayed the required behaviour against the leadership pathway. This tool can be used at both the mid and end-cycle of the performance management cycle.
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Evaluate capability acquired tool This tool is designed to identify progress towards acquiring capabilities that were identified as requiring development. There are two tools, one for APS levels, and one for executive and senior executive levels.
How to use the tool
• use the second column to identify which capability behaviours were assessed as requiring development
• record the priority against each identified development need (I=Immediate, M=Medium, L=Long-term)
• note any progress towards acquiring the capability e.g. attending a programme, working on a project, or a job rotation
• reflect on a recent example of how you have applied that capability in the workplace, and any factors that may have helped or hindered you in either acquiring or applying the capability.
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APS levels
Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Supports strategic direction
Supports shared purpose and direction
Thinks strategically
Harnesses information and opportunities
Shows judgement, intelligence and commonsense
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Achieves results
Identifies and uses resources wisely
Applies and builds professional expertise
Responds positively to change
Takes responsibility for managing work projects to achieve results
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Supports productive working relationships
Nurtures internal and external relationships
Listens to, understands and recognises the needs of others
Values individual differences and diversity
Shares learning and supports others
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Displays personal drive and integrity
Demonstrates public service professionalism and probity
Engages with risk and shows personal courage
Commits to action
Promotes and adopts a positive and balanced approach to work
Demonstrates self awareness and a commitment to personal development
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Communicates with influence
Communicates clearly
Listens, understands and adapts to audience
Negotiates confidently
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Executive and senior executive levels
Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Shapes strategic thinking
Inspires a sense of purpose and direction
Focuses strategically
Harnesses information and opportunities
Shows judgement, intelligence and commonsense
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Achieves results
Builds organisational capability and responsiveness
Marshals professional expertise
Steers and implements change and deals with uncertainty
Ensures closure and delivers on intended results
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Cultivates productive working relationships
Nurtures internal and external relationships
Facilitates cooperation and partnerships
Values individual differences and diversity
Guides, mentors and develops people
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Exemplifies personal drive and integrity
Demonstrates public service professionalism and probity
Engages with risk and shows personal courage
Commits to action
Displays resilience
Demonstrates self awareness and a commitment to personal development
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Capability Behaviour that requires development
Prio
rity Progress towards
acquiring capability Recent example of capability applied in workplace
Factors which helped or hindered
Communicates with influence
Communicates clearly
Listens, understands and adapts to audience
Negotiates persuasively
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Evaluation model A much more comprehensive model for evaluating learning and development is outlined in Building capability: A framework for managing learning and development in the APS, published by the Commission and the Australian National Audit Office in 2003. The model can be applied to individual learning and development interventions or activities including classroom training, on-the-job training, rotations and placements, project work, conferences etc. The model consists of six elements of evaluation across three phases of the life cycle of a learning and development intervention. The six elements are:
• relevance • appropriateness • reaction • capability acquired • performance on the job • outcomes.
The following diagram provides further information about each of the six elements.
Element Description Relevance How well do the proposed learning and development
investments address the business needs, capability needs and individual needs within the agency?
Appropriateness How appropriate is the intervention/investment in relation to: − integration with other people management strategies
and processes − allocation of resources according to identified needs and
priorities, risks and alternatives − how well the design of the intervention matches the
desired culture and the preferences of the target audience
− the achievement of the desired benefits
Reaction To what extent did the individual believe the objectives of the intervention were achieved? Are learners satisfied with the accessibility and quality of learning and development—topic, speakers, format, schedule, relevance, appropriateness etc.?
Capability acquired
Did the individual (and therefore the agency) acquire the required capability, knowledge, attitude or competency?
Performance on the job
Has learning been transferred to the workplace? Assessment of individual performance on the job following development interventions
Outcomes Assessment of value for money at individual, group and organisational levels. Did the investment lead to better business outcomes?
Figure 47 Evaluation model
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The three life-cycle phases are:
• Line of sight phase (before intervention)—is the learning and development relevant and appropriate to the learning need, goals, context, culture, funding arrangements etc?
• Learning and development phase (during intervention)—is the learning and development well conducted and managed, and does it help the learner gain and transfer the necessary capabilities?
• Outcomes phase (after intervention)—does the learning and development produce tangible results and what impact do these have on individuals and the organisation?
1. Line of sight phase 2. Learning and performance phase 3. Outcomes phaseRelevance
Business needIndividual needAgency context
Other HR processes
AppropriatenessScope
How muchHow longWhat cost
What benefitWhat risk
What alternative
ReactionLearner
Facilitator/Presenter
Management
Capability acquiredKnowledge
SkillsCompetency
Performanceon the job
LearnerSupervisor
Next level manager
Outcomes of learningand developmentPositive outcomesNegative outcomes
Ambiguous outcomesValue for money
Before intervention During intervention After intervention
Figure 48 Model for evaluating learning and development
The Commission has also produced the APS learning and development evaluation guide (2005) which provides practical support and guidance for agencies and individuals to evaluate their learning and development. It provides a framework for making the key decisions about what and how to evaluate learning and development and for planning an evaluation strategy.
The guide comes in two parts:
• the booklet Evaluating learning and development—a framework for judging success
• the practitioners’ web site at www.apsc.gov.au/learn which includes a collection of practical resources and tools which can be adapted and customised for use in agencies.
Formulating evaluation plan—decide and plan The key factors that need to be considered when formulating an evaluation plan include:
• the purpose and scope of the evaluation
• the data that needs to be collected and how that data will be used.
When planning learning and development evaluation it is important to consider and clarify the overall purpose of the evaluation before starting to plan the evaluation strategy. There are a number of key decisions that need to be made at the planning stage, as outlined in the following diagram.
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Keydecisions
Why isevaluationrequired?
What will beevaluated?
How willinformationobtained be
used?
Who will havean interest in
theinformation?What data
will need tobe
collected?
How will thisdata be
collected?
When willthis data becollected?
How will thisinformation
be reported?
Figure 49 Key decisions in evaluating learning and development
Source: Evaluating learning and development—a framework for judging success (2005)
These decisions are equally relevant regardless of whether the evaluation is at an operational level e.g. assessing whether an individual has acquired needed capabilities, or at a much more strategic evaluation e.g. assessing the value for money of learning and development and the impact on the agency’s capability. What will change is the type of evaluative data collected and the reporting requirements.
Evaluative data Information used to: Relevance data − Demonstrate alignment of learning and development strategy
with organisational goals and needs
Appropriateness data
Demonstrate appropriateness of learning and development activities and highlight needs which should be met by other means
Reaction data Influence service providers for better outcomes
Capability acquired data
Account for and demonstrate bench strength for succession planning, contingency planning and workforce planning purposes
Performance on the job data
Help managers better support their staff in applying learning and development Highlight aids and barriers to application of learning on-the-job
Outcomes data Demonstrate value of learning and development to the organisation
Figure 50 Types of evaluative data
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Key decisions Description Why is evaluation required?
Be clear on the primary purpose of the evaluation. Is it to − ensure appropriateness and relevance of activity?
− assess if objectives have been met? − assess value for money? − assess if capability has been acquired? − facilitate decisions whether to continue/discontinue the activity?
What will be evaluated?
Not all areas need to be evaluated—what is the scope of the evaluation? − relevance − appropriateness
− reaction − capability acquired − performance − outcomes
How will the information obtained be used?
Use the results proactively to inform and assist managers and individuals to better use learning and development. Will the information be used to − improve the learning process?
− improve decision making and investment decisions? − meet internal and external reporting requirements?
Who will have an interest in the information?
Focus on groups or individuals who are relevant and who will or can have a positive influence e.g. the executive management group, line managers and supervisors, learners, coaches, HR managers and learning and development practitioners
What data will need to be collected?
The evaluation purpose should drive the data requirements. Data collected could include − relevance and appropriateness assessments − investment and expenditure − capability acquired
− performance on the job − business outcomes
How will this data be collected?
Use simple data collection methods and collect data from multiple sources e.g.
− relevant planning documents − assessments and tests − individual learning plans − performance management processes
− structured workplace observations
When will this data be collected?
During the different phases of the life cycle:
− line of sight phase − learning and performance phase − outcomes phase
How will this information be reported?
Who will you be reporting the results of the evaluation to? What is the required reporting format? How formal does the reporting need to be?
Figure 51 Key decisions
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This section includes a number of evaluation tools and resources which are adapted from the APS learning and development evaluation guide practitioners’ web site. These tools are intended to assist individuals plan and implement a basic learning and development evaluation.
The evaluation tools and resources included in this section are:
Evaluation element Tools and resources
Decide and plan Evaluation plan template
Line of sight phase Relevance index Appropriateness index Tips when evaluating relevance and appropriateness
Learning and performance phase
Participant reaction to learning and potential for application Application learning index Structured observation log Reporting on learning and performance evaluation Tips with evaluating learning and performance
Outcomes phase Lessons learned method
Figure 52 Evaluation tools and resources
To use these tools:
• select the most appropriate tools for your purpose and context or use these to trigger other ideas
• adapt the tools for your own use
• apply the tools to assist you to
− make decisions about what and how to evaluate selected learning and development interactions, and
− create and implement an evaluation plan
• report your evaluation findings to key stakeholders.
For assistance with more in-depth evaluations, it is recommended that individuals look at the APS learning and development evaluation guide web site which contains a much more comprehensive set of tools and resources.
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Evaluation plan template
Use this template to formulate a plan for evaluating your learning and development interaction.
Steps Action required Carried out by Completed by
1 Secure support for the evaluation effort from those who have a stake in the results of the evaluation
2 Identify individuals to be involved in planning and managing the evaluation process
3 Define precisely the purpose of the evaluation and how results will be used
4 Specify what will be judged and formulate the evaluation questions
5 Determine who will provide the needed evidence
6 Specify the evaluation approach to be used
7 Determine the data collection methods to be used and when the data will be collected
8 Specify the analysis procedures to be used
9 Specify what criteria will be used to make judgements abut the programme or what process will be used to determine the criteria
10 Determine the specific timeline and the budget to conduct the evaluation
11 Complete the evaluation, formulate recommendations and prepare and present the evaluation report
12 Respond to the recommendations for change
Adapted from Caffarella, R. S (1994) Planning programs for adult learners. Jossey Bass. San Francisco.
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Relevance index Overview
Evaluating relevance is about ascertaining if the learning interaction has the potential to meet the needs or goals for which it is designed. This tool is designed to provide some key indicators of relevance which can be used to evaluate the degree and nature of relevance of L&D interaction.
How to use this tool
Use this index to help ascertain the extent that the objectives and outcomes of the learning are relevant to a need or goal. Record your answers for each question in the score column, then total the scores and plot this on the key index provided below
No Question Answers Score 1 Basis of the learning objective/outcomes
To what extent are the learning objectives/outcomes based on valid individual/team or organisational needs/goals?
1—To some extent 2—To a large extent 3—To a full extent
2 Importance of the learning How important are the learning objectives/outcomes to the business?
1—Somewhat important 2—Important 3—Very important
3 Congruence with workforce planning To what extent are learning objectives/outcomes congruent with workforce planning goals?
1—To some extent 2—To a large extent 3—To a full extent
4 Making a difference What difference will successful learning and application make to the organisation?
1—Some difference 2—Significant difference 3—Critical difference
5 Addressing systemic needs/goals To what extent do the learning objectives/outcomes address systemic (individual, group and organisational) needs/goals?
1—Address some systemic levels 2—Addresses most systemic levels 3—Addresses all systemic levels
6 Stability of the learning objectives Are the learning objectives/outcomes likely to remain stable in the short term?
1—Somewhat stable 2—Stable 3—Very stable
7 Stakeholder buy in What degree of buy in is there from stakeholders for the learning objectives/outcomes?
1—Some degrees of buy in 2—Good buy in 3—Very good buy in
8 Learning design To what extent is the learning design congruent with the learning objectives/outcomes?
1—Somewhat congruent 2—Congruent 3—Very congruent
Total score
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Index score. A score in the 1–10 zone could indicate that the learning interaction is not fully relevant to the need or goals. Insert the index score on the Relevance and appropriateness scorecard as a means of reporting on the learning’s relevance.
Relevance Some relevance Relevant Highly relevant Total score 1–10 11–17 18–24
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Appropriateness index Overview
Evaluating appropriateness is assessing the suitability of the learning interaction to organisational culture, funding, infrastructure and to needs/goals. This tool is designed to provide some key indicators of appropriateness which can be used to evaluate the degree and nature of appropriateness of L&D activities.
How to use this tool
Use this index to help ascertain the extent that the learning and its related aspects are appropriate to meeting a need or goal. Record your answers for each question in the score column, then total the scores and plot this on the key index provided below.
No Question Answers Score 1 Addressing the need
To what extent will learning meet the expressed need or goal?
1—Some extent 2—Large extent 3—Full extent
2 Alternative to addressing the need Are there other ways that can better meet the expressed need or goal?
1—Some other ways 2—A few other ways 3—No other ways
3 Achievability How achievable are the learning objectives/outcomes?
1—Somewhat achievable 2—Achievable 3—Very achievable
4 Proportion How proportionate is the allocation of resources to the need/goal the learning is designed to address?
1—Somewhat proportionate 2—Proportionate 3—Very proportionate
5 Affordability How affordable is the learning?
1—Just affordable 2—Affordable 3—Very affordable
6 Value for money To what extent does this learning represent value for money?
1—Some value for money 2—Good value for money 3—Significant value for money
7 Integration To what extent is the learning able to integrate with other organisational processes?
1—Some integration 2—Largely integrated 3—Fully integrated
8 The learning design To what extent is the learning congruent with the organisational context?
1—Some congruence 2—Generally congruent 3—Fully congruent
9 Cultural fit To what extent will the learning fit with the desired culture of the workplace?
1—Some fit 2—Good fit 3—Best fit
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No Question Answers Score
10 Alternative learning activities Are there reasonable and viable alternatives to this form of learning?
1—Some alternatives 2—A few alternatives 3—No alternatives
11 Learner intentionality To what extent will the learning design encourage learner intentionality?
1—Some encouragement 2—General encouragement 3—Significant encouragement
12 Support for application of learning To what extent will the organisational context successfully support application of learning?
1—Support to some extent 2—Support to a large extent 3—Fully support
Total score
Index score. A score in the 1–15 zone could indicate that the learning interaction is not fully relevant to the need or goals. Insert the index score on the Relevance and appropriateness scorecard as a means of reporting on appropriateness.
Appropriateness Appropriate in some areas
Appropriate in most areas
Highly appropriate
Total score 1–15 16–32 33–36
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Tips when evaluating relevance and appropriateness
No Indicator Tips
1 Appreciate that some performance needs may not be satisfactorily met by learning activities alone. Such performance needs may relate to:
− lack of proper or sufficient physical or capital resources
− inappropriate work structure, work allocation and poor work flow management
− lack of sufficient, relevant and timely information − poor supervision, management and leadership practices
− ambivalent work attitudes and low workforce morale − unclear or unreasonable expectations − inadequate feedback
− inadequate or unfair incentives and rewards − lack of capacity due to poor recruitment, selection and
promotion processes
2 Know why learning activities fail to add value
− learning activities are not linked specifically to strategies, challenges or problems in the organisation
− learning is used as a stand alone intervention and is not supported by other action or linked to other organisational processes and systems
− learning activities are too focused on the individual and not sufficiently on teams/groups or other purposeful sub-unit workgroup
− participants take part in activities for reasons other than personal or organisational need.
− learning is not aligned with participant’s work environment
− immediate supervisors do not support or reinforce learners on the job application of skills and knowledge
3 Involve stakeholders, generate their interest and raise awareness of their role in relevant and appropriate learning interactions
− Communicate the intended business value or impact from any proposed learning and development to opinion leaders. Show what would happen if learning and development is not carried out.
− Speak the language of the business. − Submit persuasive business cases.
− Involve relevant committees early in any design and development or consultation work.
− Get line management and/or stakeholder sign off for design, content and delivery etc before learning and development interactions begin.
− Put Service Level Agreements in place to articulate all stakeholder responsibilities, deliverables and quality standards.
− Involve management in the learning and development interaction as guest speakers, lunch time guests, panel members, programme sponsors and mentors, coaches and subject matter experts etc.
− Be proactive in engaging with your stakeholders
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23 2 3 2 3
Participant reaction to learning and potential for application
How to use this tool
Evaluating the reactions of learners to the feasibility of applying their learning in the workplace is often a neglected dimension of participant reaction evaluation. Yet, it can provide useful information to help improve a learning activity and to better its chance of success. It can also help identify the forms of support that may need to be put in place around the program.
Four different types of walls are used as metaphors of potential barriers learners may find in the workplace. Some walls are immovable while some are easily movable even if they do not appear so at first glance.
1. Your learning 2. What barriers might you encounter in application of learning? 3. What can I do about these potential barriers?
Brick Wall Partition Paper Wall Mindset What did you learn
What learning do you really need to apply
Real and immovable Eg. Legislation and some policies, budgets etc.
Real but movable. However I need some assistance to move this.
Eg. Culture, lack of information or understanding. Lack of time, workload. Lack of resources etc.
Looks impenetrable but can be easily moved.
Eg. processes, structure, procedures etc
Not ‘real’ but really difficult to remove.
Eg. attitudes and stereotypical views etc.
Barrier
Action
Barrier
Action
Barrier
Action
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Application of learning index
Use this tool to help gauge the frequency and effectiveness of applied learning.
• This tool is designed to identify the behaviours, skills or capabilities that need to be transferred to and applied in the workplace.
• It will help make judgements of the effectiveness of applied learning.
• This questionnaire can be administered to the learners for self rated evaluation or used with supervisors.
• Insert the various behaviours, skills, knowledge items that the learning was designed to impart in the left column.
• On a scale of 1 to 5, with 1 being the lowest and 5 being the highest, the learner/supervisor rates how frequently learning in applied in the workplace over a given period of time eg. 1 month.
• On a scale of 1 to 5, with 1 being the lowest and 5 being the highest, the learner/supervisor rates how effectively the learning was applied in that period.
• The difference between the scores may result in a gap. The bigger the gap, the less effective the application of learning.
• More big gaps would suggest that transfer or application of learning is problematic.
Type of learning Frequency 1–5
Effectiveness 1-5
Gap Comment
Knowledge
For example: − procurement policies
− legislative frameworks − project management tools
5 1 4
1 1 2
4 0 2
Fix now Watch out
Skills
− delegation
− conflict resolution − managing budgets
Behaviours
− communicating in a timely manner
− listening effectively
Capabilities
− tolerance of ambiguity
− resourcefulness
− creativity
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Structured observation log Overview
Managers and supervisor are typically skilled in making astute observations of the performance of their team member and direct reports. Obtaining their observations as data to ascertain if learning has been applied to the workplace is a useful evaluation technique.
The following observation log is designed to help evaluate if learning was applied.
How to use this tool
Adapt and use the log for key learning and development interactions when demonstrating that learning has been transferred and applied is essential to the organisation.
The log can be used by the supervisors or by another designated observer such as an HR specialist. Data from the logs can provide evidence of transfer and application.
Conduct the structured observations soon after the completion of the learning to provide reinforcement of the learning and to encourage skills transfer.
Alternatives
Also consider using surveys, interviews with key stakeholders including direct reports, clients, supervisors, and work samples to show how learning has been applied.
Structured observation log (example)
Success of the display
Capability
Context of observation
Frequency of display of the capability
Un-s
ucce
ssfu
l
Som
ewha
t su
cces
sful
Very
su
cces
sful
What workplace factors encouraged or supported this capability
What workplace factors discouraged this capability
1. Delegation Weekly team briefing
Delegated two tasks during the weekly team meeting
Opportunity to delegate
Nil
Name of learner:__________________________
Name of observer: ________________________
Agreed follow up action: ___________________
Date:___________________________________
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Structured observation log
Name of learner:________________________
Name of observer: ______________________
Agreed follow up action: _________________
Date:_________________________________
Success of the
display Capability
Context of observation
Frequency of display of the capability
Un-s
ucce
ssfu
l
Som
ewha
t su
cces
sful
Very
su
cces
sful
What workplace factors encouraged or supported this capability
What workplace factors discouraged this capability
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Reporting on learning and performance evaluation Overview
Ascertaining if learning was transferred and if made a difference to performance is a key focus of evaluation of learning and performance. Data from evaluation activities here should be reported to relevant stakeholders and especially line managers and supervisors so that their concrete support for successful application and performance is engendered and sustained.
The following scorecard is designed to help distil and report on key aspects on learning and performance in a succinct manner.
How to use this tool
From the information collected from the earlier evaluation tools, summarise and insert the relevant data.
Adapt and use this tool especially when frequent executive updates are routinely required.
Use this tool when evaluating learning and performance is important to the organisation.
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Learning and performance scorecard
Name of learning and development interaction evaluated:
% of participants who have successfully acquired the behaviour, skill, knowledge or capability:____________________________________
% of participant who have successfully applied their learning in the last period:__________________________________________________
Factors which helped or hindered transfer and application of learning
Posit
ive in
fluen
ce
Nega
tive i
nflu
ence
Indi
ffere
nt
Factors Reported influencing factor based on data from application of learning surveys
Conditions Current conditions for learners relative to this factor—summary of findings or sample comments from application of learning surveys
Tick where appropriate
What can be done What can be done within the learning or the workplace to enhance the transfer and application of learning relative to this factor—suggested ideas and suggestions for improvement
eg. dominant organisational or sub unit culture
eg. follow up activities
eg reward and support systems
eg. supervisory and management practices
eg. resourcing and workload
eg. time and conflicting priorities
Examples of successful application
Examples of the difference that this application has made
Recommendations
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Tips when evaluating learning and performance
No Indicator Tips
1 Don’t just assess learning, measure factors that influence learning as well
− Finding out what encourages and hinders learning and its transference is as important as measuring what learning actually occurred.
− Use data from participant reaction evaluations to identify and analyse potential barriers and enhancers to learning.
− When assessing actual learning, use “before and after” techniques. These can include: written, oral and workplace assessments, 360 interviews and surveys, structured observations and work samples etc.
− Allow time for behaviour change to take place. This may take months.
− Use a generalisable sample when large groups need to be evaluated
− Use control groups where practical
2 Learning and development facilitates capability, the workplace facilitates actual performance
− Help the organisation recognise that learning and development has only limited direct influence on an individual’s ability to perform in the workplace. The workplace environment, its culture and the support that managers and supervisors provide are critical factors that also shape actual performance on the job.
− Follow up with learners and their supervisors to evaluate if learning has been successfully applied and the visible difference this has made on their work, and their teams.
− When evaluating performance, factors which have a positive, negative or indifferent impact on performance need to be identified, analysed and understood.
− Use the information you obtain form performance evaluations to help managers and supervisors better understand how to enhance and support their people’s performance.
− When resources are limited, focus on learners who are successful in applying their learning and who seem to perform well. Find out why and share this information with others. Build from success.
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Lessons learned method
Identifying lessons that individuals, teams and the organisation can learn from with regards to how learning may have or may have not contributed to change, improvement or enhanced effectiveness can be a succinct problem focused manner to both conduct and report on impact evaluation.
This methodology is primarily based on data gathering from multiple related sources with the view to understand the problems associated with the learning and development. Sources could include:
• the learners
• supervisors
• direct reports
• clients and stakeholders
• reviews of evidence that demonstrate problems eg. work samples, organisational metrics and reports etc.
The focus of a lessons learned statement is usually formative and it does not generally make overall judgements about a programme’s merit or worth. It does however seek to provide practical idea and tips in a timely manner so that the organisation can ensure that that shortfalls and mistakes are not repeated and that successful practices are replicable.
When to use the lessons learned approach
When the learning and development looks like its going to fail
Conducting impact evaluations on problematic learning and development may be counterproductive. However, the opportunity to learn from problematic learning and development should not be thrown away. Understanding what went wrong and drawing lessons from this will ensure that future learning and development is well positioned for success.
As an interim evaluation measure
Some learning and development may not result in observable impact in the short term. Culture change programmes are examples of interactions which have a relatively long impact life cycle. Applying lessons learned approach after various transition points in the life cycle can contribute to continuous improvement and provide momentum to the overall change effort.
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Template lessons learned
(please adapt and adjust for your own use)
Title: eg. Culture change programme
Sponsor: eg. Corporate services
Date:
Introduction
• describe the objectives of the learning and development and its intended impact on individuals, teams and the organisation.
Lesson learned statement
• a summary of key insights and transferable ideas and practices
• what should be done more of
• what should be done less of.
Findings and discussion
• describe the difference that the learning and development has had on learners and their work and organisational culture
• what went wrong
• what went right.
Analysis
• what are the flow on positive, negative and indifferent effects of the learning on the individual and their work.
Recommended actions
• where to from here.
Originator
• the name of the report writer.
Validated by
• the name of the project sponsor.
Contact
• for more information.
Keywords
References
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Appendix A: Further resources
Australian Public Service Commission resources Australian Public Service Commission, 2003, Building capability: A
framework for managing learning and development in the APS, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2003, Developing leadership—who? what? where?, <http://www.apsc.gov.au>
Australian Public Service Commission, 2003, Embedding the APS Values, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2005, Evaluating learning and development—a framework for judging success, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2003, Get it right: a recruitment kit for managers, Commonwealth of Australia, Canberra <http://www.apsc.gov.au/getitright/index.html>
Australian Public Service Commission, 2001, Human resource capability model, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2003, implementing organisational renewal: mature aged workers in the APS, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2004, Integrated leadership system, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2005, State of the Service Report 2004–05, Commonwealth of Australia, Canberra
Australian Public Service Commission, 2000, Senior Executive Leadership Capability Framework, Commonwealth of Australia, Canberra
National Institute of Governance, 2003, Public Service Leadership emerging issues. A report for the Australian Public Service Commission, Commonwealth of Australia, Canberra
Management Advisory Committee reports Management Advisory Committee, 2005, Managing and sustaining the APS
workforce, Commonwealth of Australia, Canberra
Management Advisory Committee, 2003, Organisational renewal, Commonwealth of Australia, Canberra
Management Advisory Committee, 2004, Connecting government: whole of government responses to Australia’s priority challenges, Commonwealth of Australia, Canberra
Other resources Australian Human resources Institute, 2003, HR: creating business solutions,
AHRI, <http://www.ahri.com.au>
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Chartered Institute of Personnel and Development, 2005, Career discussions at work, <http://www.cipd.co.uk>
Chartered Institute of Personnel and Development, 2004, Coaching and buying coaching services, <http://www.cipd.co.uk>
Landsberg, Max, 2003, The tao of coaching, Profile Books Ltd, London
Larson, Peter E and Coe Amanda, 1999, Managing change: The evolving role of top public servants, managing the public service strategies for improvement series: No 7, Commonwealth Secretariat, Kent
OECD, 2001, Public sector leadership for the 21st century, OECD Publications, Paris
Performance and Innovation Unit, 2001, Strengthening leadership in the public sector: A research study by the PUI, Prime Minister’s Strategy Unit, <www.strategy.gov.uk>
Shergold, P, 2003, ‘A change in leadership what does it mean?’ presented at an IPAA function, June 2003
State Services Commission, 2003, Coaching: guidance for managers and their staff on using coaching for development and performance, http://www.ssc.govt.nz
State Services Commission, 2004, Guidelines on structured secondments,<http://www.ssc.govt.nz>
State Services Commission, 2002, Occasional paper No. 26: Report on the regional conference on emerging issues in senior management development in the public sector, http://www.ssc.govt.nz
Strategy Unit, 20021, Risk: improving government’s capability to handle risk and uncertainty, Prime Minister’s Strategy Unit, <www.strategy.gov.uk>
Corporate Leadership Council and Learning and development Roundtable The following documents are accessible to members of the Corporate
Leadership Council (CLC) at www.corporateleadershipcouncil.com or the Learning and Development Roundtable at http://www.ldr.executiveboard.com
Corporate Leadership Council, 2001, Voice of the leader: A quantitative analysis of leadership bench strength and development strategies
Corporate Leadership Council, 2001, The leadership imperative: strategies for increasing leadership bench strength
Corporate Leadership Council, 2002, Development and application of leadership capability frameworks
Corporate Leadership Council, 2003, Global leadership development trends in the public sector
Learning and development roundtable, 2004, Maximizing L&D’s contributions to business performance, Corporate Executive Board
Learning and development roundtable, 2005, Positioning leaders for successful transitions, Corporate Executive Board
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Appendix B: Glossary of terms
agencies Commonwealth departments and agencies under the PS Act 1999
alignment Vertical agreement of strategies and structures with corporate goals, cascading to lower level plans and strategies.
APS Australian Public Service
APS 1 Australian Public Service level 1
APS 2 Australian Public Service level 2
APS 3 Australian Public Service level 3
APS 4 Australian Public Service level 4
APS 5 Australian Public Service level 5
APS 6 Australian Public Service level 6
capability framework
An instrument to identify the critical factors or capabilities required now and in the future for high performance.
CLC Corporate Leadership Council
coaching The practice of instructing, demonstrating, directing, and prompting participants. Generally concerned with methods rather than concepts.
evaluation A systematic, objective assessment of the appropriateness, efficiency and effectiveness of a programme or part of a programme. The process of gathering information in order to make good decisions. It is broader than testing, and includes both subjective (opinion) input and objective (fact) input. Evaluation can take many forms including tests, portfolio assessment, and self-reflection.
EL Executive Level
EL1 Executive Level 1
EL2 Executive Level 2
HR practitioners Human resource practitioners
human resource/people management
The processes that managers plan for and manage people to achieve agency outputs and outcomes. This includes specific practice areas such as organisational development, workforce planning, recruitment and selection, performance management, learning and development, reward and recognition, workplace diversity and occupational health and safety.
ILS Integrated leadership system
Rose learning and development
Learning and development refers to all processes associated with the identification of agency and individual requirements in relation to skills development, and the design, delivery and/or brokering of opportunities to bridge gaps in skills or behavioural requirements.
MAC Management advisory committee
MAC Report Management advisory committee report
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mentoring Three mentoring roles can exist in a work context: mainstream mentor—someone who acts as a guide, adviser and counsellor at various stages in someone's career destined for a senior position; professional qualification mentor—someone required by a professional association to be appointed to guide a student through a programme of study, leading to a professional qualification; vocational qualification mentor—someone appointed to guide a candidate through a programme of development and the accumulation of evidence to prove competence to a standard.
online learning Delivery of educational content via a Web browser over the internet or intranet, including via email, bulletin boards, and discussion groups. May also cover a wide set of applications and processes of e-learning, computer-based learning, virtual classrooms, and digital collaboration. It includes the delivery of content via Internet, intranet/extranet, audio and videotape, satellite, and CD-ROM. However, many organisations only consider it as a network-enabled transfer of skills and knowledge.
pathway The leadership pathway from the Integrated leadership system
performance indicators
Information that can be used as the basis for determining the outcome, or impact, of particular learning and development activities or programs.
PS Act Public Service Act 1999
SELC Framework
Senior Executive Leadership Capability Framework
SES Senior Executive Service
SES B1 Senior Executive Service Band 1
SES B2 Senior Executive Service Band 2
SES B3 Senior Executive Service Band 3
Values The APS Values
workforce planning
A continuous process of shaping the workforce to ensure that it is capable of delivering organisational objectives now and in the future. The desired outcomes of workforce planning are its effective integration into an agency's strategic planning framework and the alignment of HR strategies to continuously deliver the right people in the right place at the right time.