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Leadership capability development planning

1

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 ILS@apsc.gov.au, or go to our website—www.apsc.gov.au/ils.

© Commonwealth of Australia 2006

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You are not permitted to distribute or commercialised information or material without

seeking prior written approval from the Commonwealth.

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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.

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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.

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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.

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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.

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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.

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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.

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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

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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

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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

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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

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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.

.

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Breadth ofcontact

Breadth ofimpact

Breadth ofresponsibility

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Enga

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Scop

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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

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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

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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.

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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

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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.

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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.

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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

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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

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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

24

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.

25

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

26

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.

38

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

41

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

44

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.

46

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: consultancyservices@apsc.gov.au

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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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9⏐ Appendices Appendix A: Further resources

Appendix B: Glossary of terms

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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.