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Academic Planning and Performance Procedure

Introduction

(1) The University of Newcastle (University) recognises the value of attracting, developing and retaining high quality staff and is committed to supporting staff to meet performance and behaviour expectations through an annual staff performance and development program. For academic staff the program is known as the Academic Planning and Performance (APP) program.

(2) Triennial Planning and Performance (TPP) is the University's performance planning and review process for Level E College Professors, who will complete TPP every three (3) years in lieu of APP.

(3) The procedure is aligned with and supports the performance and career development provisions of the Academic Staff and Teachers Enterprise Agreement 2023 (Enterprise Agreement).

(4) The APP and TPP processes align each academic staff member’s endeavours with their level of appointment, the operational needs of their work unit and the University's strategic objectives through effective goal setting and building capability. This alignment fosters a shared responsibility for academic staff members in institutional success, performance, student experience and culture, underpinned by the University's values of excellence, equity, engagement and sustainability.

Purpose

(5) This procedure outlines the steps involved in completing the APP and TPP processes.

(6) The purpose of APP is to ensure academic staff members have clear performance and development goals for each year, receive feedback on their progress, and engage in an annual review of their performance and development.

(7) The purpose of the TPP is to review the academic staff member’s past three years' performance and set career goals for the next three years, with a Panel offering recognition, coaching, and mentoring to support future career opportunities.

Scope

(8) This procedure applies to all academic staff as classified under the Enterprise Agreement who are required to complete and engage in the APP process each year.

(9) Academic staff who complete their probation before 31 March in a calendar year must commence their APP after completion of probation. Academic staff who remain in probation on or after 31 March must commence their first full APP cycle in the following calendar year.

(10) Ongoing academic staff on parental leave or long service leave for more than 6 months of the calendar year are not required to complete and engage in the APP process in that year.

(11) This procedure does not apply to:

  1. casual academic staff who have been employed at the University for less than six months are not required to participate in PRD. After six months of employment, participation in APP is optional and may be undertaken at the request of the casual staff member or their supervisor;
  2. fixed term academic staff members with a length of contract (or extension) less than 12 months or less then 0.4 FTE and contingent staff on less than less than 10% operating funding source.

(12) Academic staff participating in the TPP process in a calendar year are not required to complete and engage in the APP process.

(13) Supervisors may request that an academic staff member be given an exemption from completing the APP by requesting this via a Service Now request to Human Resource Services.

(14) TPP discussions are part of the minimum requirements for all College-based Level E academics excluding senior leaders (Heads of School and Pro Vice-Chancellors). The APP process will be followed annually for two (2) years, and a TPP discussion will take place for Professors every third year.

(15) Each eligible academic staff member will complete their first TPP in year four (4) following their appointment to a Level E role. 

(16) Participation in APP or TPP is a prerequisite for applying for an academic promotion and for participation in the Special Studies Program. 

(17) Staff and their supervisors share accountability to actively engage in the APP or TPP process and must adhere to the key timeframes associated with each phase of the process.

(18) Academic staff and supervisors must comply with the provisions of the Enterprise Agreement throughout the APP and TPP process, and the Enterprise Agreement should be read in conjunction with this procedure.

Section 1 - Equity, Diversity and Inclusion 

(19) The University is committed to fostering an equitable, diverse, and inclusive environment where all staff have equal access to career development opportunities and are assessed in a fair and inclusive manner. 

(20) This procedure aligns with the University's Equity, Diversity, and Inclusion Policy.

(21) Supervisors are responsible for mitigating biases and proactively identifying and addressing barriers to Equity, Diversity, and Inclusion (EDI) during APP and TPP discussions. 

Table A – How supervisors can integrate EDI practices into APP and TPP:

Key Principle Actions
Recognising non-linear career paths Acknowledge career breaks, parental leave, and part-time status, and assess performance relative to opportunity. Supervisors can contact the EDI team via Edi@newcastle.edu.au if they need further assistance considering non-linear career paths as part of a staff member’s APP or TPP.
Addressing bias Supervisors must proactively identify and mitigate potential biases that may arise during APP or TPP discussions, to minimise any adverse effect on staff contributions, engagement, and job satisfaction. Supervisors are expected to demonstrate awareness of potential biases, including but not limited to gender bias, perception bias, confirmation bias and unconscious bias and actively ensure objectivity and fairness in the process.
Promoting flexibility Use APP and TPP discussions to encourage flexible work practices that support staff in balancing professional and personal responsibilities.
Providing inclusive feedback and recognition Provide constructive and evidence-based feedback that focuses on performance outcomes and observed behaviours aligned to expected standards rather than subjective perceptions or personality traits.
Supporting career development Ensure equitable access to development opportunities, including for staff that are on fixed-term contracts and staff who are part-time or casual and completing TPP and APP.
Considering reasonable adjustments
Supervisors should proactively identify and address any barriers faced by employees with temporary or permanent disability during APP and TPP discussions. This includes ensuring that reasonable adjustments are in place to support employees to perform their role effectively. 
During APP and TPP, supervisors must:
- ensure reasonable adjustments are discussed, and if necessary, implemented or updated to meet the academic staff member’s needs. Assistance in devising suitable reasonable adjustments can be accessed via the Health, Safety and Wellbeing Team via usafe@newcastle.edu.au;
- ask academic staff members if they are experiencing any barriers to undertaking their work and discuss potential suitable solutions;
- recognise the additional self-advocacy burden academic staff may experience and aim to reduce this load; 
- discuss and identify where an academic staff member may be encountering barriers on an organisational or personal level and explore how assistance can be provided to address these with the staff member;
- identify career progression opportunities and leadership potential ensuring academic staff have equitable access to development opportunities and support to advance in their careers;
- encourage participation in networks such as the Staff with Disability Network and consider these efforts in APP and TPP as a performance goal to capture the staff member’s time and effort invested in the network’s work.
Address self-advocacy burden Support academic staff members who may need to engage in self-advocacy at work as a result of their marginalised identity. Discuss where academic staff may be needing to self-advocate and consider how to act as an ally. For example, challenging problematic institutional structures; identifying equity issues before they impact employees and advocating for resolution; helping an academic staff member to assert their rights and achieve an equitable outcome.

(22) All academic staff should consider incorporating EDI into their goals through committing to intentional actions that align their individual effort to the University's equity priorities. Examples of how academic staff can do this are:

  1. mentor or sponsor staff members or students from equity cohorts to support their career progression;
  2. attend professional development programs on topics like unconscious bias, cultural capability and inclusive leadership and incorporate skills and insights gained into work practices;
  3. actively participate in EDI initiatives such as staff networks or working groups; and
  4. ensure research practices and teaching materials reflect diverse perspectives and are accessible.
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Section 2 - Academic Planning and Performance (APP)

Part A - APP General Overview

(23) The APP process is completed annually, aligned to the calendar year, and captures performance and development goal setting, discussions and activities for academic staff.

(24) Human Resource Services will communicate the specific timeframe requirements each year for the completion of each phase of APP through an all-staff communication channel.

(25) The University recognises that extenuating circumstances may impact a staff member’s or supervisor’s ability to meet APP / TPP timeframes. In such cases, staff and/or supervisors should submit a request to Human Resource Services via Service Now advising of these circumstances.

Table B - Phases of the APP cycle in the calendar year:

Phase Overview Indicative Timing
One: Goal setting and planning This is the phase where performance goals and development goals are set and agreed upon between the academic staff member and their supervisor. Completed by end of March.
Two: Mid-Year review All academic staff should have regular conversations with their supervisor throughout the year to review progress against performance and development goals. It is recommended that a mid year review is completed between May to July. May to July
Three: Year end review
The final phase where academic staff and their supervisor recognise achievements, reflect on performance and leadership behaviours, including any areas of opportunity, and consider future focus.
Goal setting for the following year can be completed during the Year End Review or alternatively in a separate session.
 October to December

(26) The online tool, Success Factors, is used to track and document performance and development discussions, agreed goals, actions and ratings. Success Factors training resources and references are available on the staff website.

(27) An academic staff member’s APP will incorporate:

  1. planning and goal setting, including documented 3-year research plans and future contributions in the domains of teaching and engagement;
  2. performance feedback, including reviewing the role and responsibilities of the academic staff member;
  3. review of achievements;
  4. development activities planned and completed. 

(28) The APP should be informed by:

  1. the University's Strategic Plan and values;
  2. the University's Academic Excellence program and available resources;
  3. the academic staff member’s position description, career aspirations and performance;
  4. the University's Leadership Framework;
  5. principles and obligations expected of academic staff, as detailed in the Staff Code of Conduct and other relevant University policy documents;
  6. survey results if applicable and available such as 360 results, Your Voice, People Experience Survey, Quality Indicators for Learning and Teaching (QILT), and course experience surveys;
  7. data relating to research, teaching and engagement; and
  8. outcomes from the academic staff member’s previous APP year-end review.

(29) Performance and development discussions and activities should be scheduled in advance and conducted in a confidential manner.

Part B - Approach to Underperformance

(30) The Enterprise Agreement outlines the procedures relating to managing underperformance. Human Resource Services can also be contacted via your divisional or College HR Business Partner to provide additional support and advice to both staff and supervisors via Service Now’s HR contact information.

(31) The College Pro Vice-Chancellor and Head of School are responsible for determining whether a Level E academic is eligible to participate in TPP if they are assessed as not meeting performance expectations.

Part C - APP Coordination and Completion

Phase 1: Goal Setting

(32) The Goal Setting phase defines the activities, goals, actions, and conduct that the academic staff member is responsible for during the review period, while recognising that some factors influencing goal achievement may be beyond the staff member’s control. 

(33) In accordance with the Enterprise Agreement, the goals should also align to the staff member’s appointment, operational needs of their work unit, and the University's strategic objectives. Goals should be devised to maintain and improve skills, enhance career opportunities and promote organisational performance.

(34) Goals should be developed as “SMART” goals, which is an acronym for goals that are Specific, Measurable, Achievable, Relevant and Timebound. The Career Development Guide is an available resource to assist with developing “SMART” goals. APP goals and performance expectations must be consistent with the staff member’s position description in accordance with the Enterprise Agreement.

(35) It is recommended that each academic staff member have four performance goals and two development goals in their APP.

(36) The key steps to completing this phase are:

  1. The supervisor and academic staff member must determine who will schedule the meeting and when there is a suitable time to schedule this for;
  2. schedule time to complete goal setting and discuss the academic staff member’s performance and development plan;  
  3. prior to the scheduled meeting, the academic staff member should reflect and prepare performance and development goals to discuss with their supervisor;
  4. supervisors can cascade goals that have been selected for academic staff that support the achievement of organisational objectives and strategic plans. The goals can be cascaded from SuccessFactors and this should be done prior to the meeting;
  5. the academic staff member and supervisor meet to review and agree on performance and development goals and record them in Success Factors within the required timeframe for completion;
  6. the supervisor and academic staff member plan and schedule the mid-year review discussion as part of completing phase 1.

Phase 2: Mid-year Review 

(37) The key steps for completing this phase are:

  1. the supervisor and academic staff member should determine who will schedule the meeting and when there is a suitable time;
  2. schedule time to conduct a mid-year discussion to review the academic staff member’s progress with their APP;
  3. the academic staff member and supervisor should meet for a mid-year discussion to review goal progress and identify any adjustments or additional support and training needs. Goal progress and new career development goals must be updated in Success Factors by the supervisor in the “ongoing conversations and development” area of the platform;
  4. consideration should be given to rewards and recognition programs for high performers. This could be divisional / College awards, or organisational programs such as Celebrating Success or the Excellence Awards;
  5. the supervisor and academic staff member plan and schedule the year end review as part of completing phase 2.

Phase 3: Year End Review

(38) Phase three of the APP is completion of the “Year End Review” and there are six (6) key steps to completing this phase:

  1. the end of year review discussion is scheduled. The supervisor and academic staff member can determine who will schedule the meeting and when there is a suitable time to schedule this for;
  2. to prepare for end of year review discussion the academic staff member and supervisor will review goals, reflect on the academic staff member’s performance, behaviours against the Leadership Framework, and consider what rating will be allocated to each goal and Leadership Framework capabilities;
  3. prior to the discussion, the academic staff member must complete their end of year review comments and self-assessment in SuccessFactors, including the acknowledgement of completion of declarations and mandatory training required for their role;
  4. the academic staff member and supervisor complete the end of year review discussion and agree on ratings for all goals and overall performance;
  5. planning and goal setting for the following APP cycle can be completed in this phase if preferred and suitable to both the supervisor and the academic staff member. If goal setting is completed for the following APP cycle as part of the Year End Review, the goals should be entered into SuccessFactors;
  6. the supervisor must complete the final rating and comments in the system and ensure completion of the end of year review in SuccessFactors. If the APP has been supervised by an Advisor, the Head of School will also have actions to complete in SuccessFactors to finalise the APP.

Part D - Resources and Available Training

(39) The following resources are available to assist academic staff in completing APP:

  1. the University's Academic Planning and Performance webpage;
  2. the University's learning management system Discover has a library of learning that can support with the effectiveness in performance discussions and other learning modules that can assist with completing APP including the Introduction to Academic Planning and Performance e-learn module;
  3. the Capability and Development Hub is a gateway to a range of resources for professional development, Linkedin Learning, change management and leadership resources;
  4. the Career Development Guide is a self-service tool for staff and leaders that provides resources on career planning and development, including how to create and write “SMART” goals; and
  5. the University's Academic Excellence web page has a suite of resources relating to APP, including guidance on benchmarking and evaluating academic performance, information for APP advisors and supervisors and a frequently asked questions section.
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Section 3 - Triennial Planning and Performance (TPP)

Part E - TPP Overview

(40) TPP enhances the core elements from the APP, with deeper engagement with members of the professoriate regarding their academic career aspirations and their performance outputs across the domains of teaching, research and engagement that align to the University's strategic priorities and expectations.

(41) In TPP Professors will review their past three (3) years' performance and set career goals for the next three years, with a Panel offering recognition, coaching, and mentoring to support future career opportunities.

(42) A TPP discussion may be held sooner than three years from promotion, joining the University, or the last review, if a supervisor determines that it would be beneficial. 

(43) The TPP Process is informed by:

  1. Professor career aspirations and goals and performance;
  2. their position description, field of research and strategic priorities of their College and the University;
  3. data relating to research, teaching and engagement; and
  4. previous APP discussions.

(44) There are four stages to the TPP process:

  1. Professor prepares a Preparation Pack for their TPP panel;
  2. Professor and Head of School participate in pre-TPP meeting; and
  3. TPP panel meeting and discussion with College Pro Vice-Chancellor and Head of School.

Table C - Requirements for the TPP process in a calendar year:

Step Description Indicative Timing
Schedule TPP discussions Each year College Pro Vice-Chancellors, supported by their Executive Officers and Human Resources Business Partner will schedule the TPPs to be conducted throughout the calendar year for eligible academic staff. This will include setting dates for the TPP discussion and advising academic staff of their participation. It is recommended that 1 hour is scheduled for each TPP discussion.  July
360-degree survey feedback (optional step) Human Resource Services will arrange a 360-degree survey for the Professor prior to their TPP discussion. As part of this survey the Professor will identify a range of people to provide feedback including peers, external collaborators, direct reports and their supervisor. The Professor will be debriefed on the survey results prior to preparing for the TPP discussion. The survey is underpinned by the Quality Leadership Profile for Academics (QLPA).

The Professor should reflect on the feedback received when considering their performance and future career development opportunities. Whilst the Professor is encouraged to share the results of the survey with the TPP Panel, this is not compulsory.		 2 months prior to TPP Session
TPP Preparation Pack The Professor will populate a Preparation Pack template that will capture key items relating to their Level E achievements, performance, and career aspirations. This document will be provided to the Panel Members in advance of the TPP meeting. 1 month prior to TPP session
Pre-Meeting –Head of School and Professor The Professor will meet with their Head of School prior to the TPP Panel Meeting. The purpose of this meeting is to ensure alignment between both parties regarding their performance over the past three years and development priorities and career aspirations for the coming three years. Prior to TPP session, after the preparation pack has been completed.
TPP Pack to Panel  Each College will coordinate and distribute the completed TPP Preparation Packs to the Panel members at least two weeks prior to the scheduled TPP discussion. 1 month prior to TPP session
Conduct TPP Discussion The 60-minute TPP discussion will be chaired by the College Pro Vice-Chancellor of the same College as the Professor. 

The participant will attend the TPP discussion along with their Head of School.

The TPP discussion will focus on the Professor's long term career aspirations, their goals for the forthcoming years, their academic achievements and progress towards their goals, their position description, their field of research, and the strategic priorities of their College and the University, all relative to opportunity. The Preparation Pack will assist in guiding the conversation.

The Professor and the TPP Panel are to agree on outcomes from the TPP discussion. If agreement on the recommended actions from the TPP discussion cannot be achieved, this is to be raised with the College Pro Vice-Chancellor for further advice.		  
Document TPP Discussion The Head of School (or their nominee) will document the recommended agreed actions from the TPP discussion. These actions will be recorded in Success Factors. The Professor should confirm their agreement with the actions and outcomes from the TPP discussion. Within 2 weeks post TPP session and completed by December
Ongoing review of TPP Actions The ongoing completion of actions from the professorial Planning and Performance discussion will be monitored by the Professor and their Head of School as part of the Academic Planning and Performance Process in the following 2 annual performance and development cycles. Ongoing

(45) The College Pro Vice-Chancellor will source benchmarked data to inform discussions at the TPP. This may be data from the Academic Dashboard, external data sources (such as Scopus or QILT), or other relevant data, sourced in confidence from Research Performance; Strategy, Planning and Performance; Human Resource Services or a similar source. The data gathered will be shared confidentially with the Professor and the Head of School, in advance of the meeting and the Professor will have the opportunity to update any missing or pertinent data in their preparation pack.

TPP Panel Requirements

(46) The TPP Panel, chaired by the College Pro Vice-Chancellor (PVC) from the participant’s College, includes at least the PVC and Head of School. The Professor may choose to add another Panel member to contribute to discussions about their career and performance. 

(47) The Chair of the TPP Panel (or their nominee) will document the recommended actions from the TPP discussion. Actions and outcomes from the TPP discussion may include:

  1. a recommendation to be nominated for Laureate Professorship (in accordance with the Appointment as Laureate Professor Procedure), to apply for awards, to seek certain fellowships or memberships, to apply for managerial responsibilities, or other career progression and recognition activities; 
  2. planning development activities including 360 surveys, coaching and other professional development activities such as attendance at conferences;
  3. a review of or change to academic loadings, HDR supervision levels, College responsibilities, or other adjustments to the participant’s role and activities including whether any performance improvement goals need to be set and agreed upon. 

(48) The TPP SharePoint page is available to support academic staff through the TPP process with detailed process information, guides and templates available.

Part F - Roles and Responsibilities

Table D - Roles and responsibilities 

Role Responsibility
Academic staff member Actively participate in their own APP/TPP and provide input on goal setting, performance and development planning.

Self-assess achievement against goals and leadership behaviours prior to mid-year performance discussion and end of year review and make every effort to ensure that performance and career planning goals are met.

Highlight any barriers to achieving goals to their supervisor when identified.
 
Academic supervisor / Advisor or their Nominee Ensure the APP/TPP Process is completed on time for all eligible academic staff who are a direct report. 

Ensure that performance and development goals align with strategic and operational objectives, as well as enhance individual career opportunities and promote organisational performance.

Facilitate APP discussions and provide recognition, coaching and mentoring to academic staff members in relation to their performance and career development, including to resolution of performance concerns. 

If applicable, the Academic Advisor/Nominee should facilitate the performance and development process on behalf of the Academic Supervisor. The Supervisor should periodically observe reviews and provide coaching to the Advisors/Nominees who are facilitating the conversations to improve their effectiveness.

If applicable, seek feedback and contribution from other leaders or stakeholders that have oversight of work such as special projects to ensure APP/TPP captures an academic staff member’s performance and contribution in other teams or projects if significant.
 
Co-Planner Provide input to an academic staff member’s APP/ TPP in Success Factors if they are not in their direct reporting line. This could be suitable if the academic staff member has worked with them on a project or they have previously been the direct supervisor of the academic staff member in the current APP/TPP cycle. 
Head of School

(49) Provide guidance to Leaders and academic staff on goal setting to ensure it is aligned with School and University objectives.

Ensure all eligible academic staff in their area of responsibility complete the APP/TPP process in the timeframes required by this procedure.

Support Supervisor/Advisor or their Nominee to prepare for the APP/TPP discussion as needed, and with any post-discussion support requirements if they arise. 

Complete the Year End Review form for any academic staff members that have had their APP supervised by an advisor once the final year end review has been completed.

Monitor participation and completion rates.

Periodically observe reviews and provide coaching to the Advisors/Nominees who are facilitating the conversations to improve their effectiveness.

Contribute to additional talent review processes and cascade up to senior leadership any learning and development needs and themes to support with organisational planning activities.

Ensure that academic staff development goals and any associated training is reviewed against operational budgets for approval. Ensure any academic staff requests for development is equitable across the broader School staff cohort and aligned to operational requirements.

Source and provide to supervisors benchmarked data to inform discussions during APP. This may be data from the Academic Dashboard, external data sources (such as Scopus or QILT), or other relevant data, sourced in confidence from Research Performance; Strategy, Planning and Performance; Human Resource Services, or a similar source.
Pro Vice-Chancellors, Deputy Vice-Chancellors, College General Managers Provide guidance to Supervisors and academic staff in their areas of respnsibility on goal setting to ensure goals are aligned with School and University objectives.

Ensure all eligible academic staff in their area of responsibility complete the APP / TPP process annually. Provide recognition, coaching and mentoring as part of individual APP / TPP development planning and talent review processes. 

Contribute to additional talent review processes and cascade up any learning and development needs and themes to support with organisational planning activities.

Oversee the development, implementation and continuous improvement of the APP / TPP procedure and process. Provide benchmarked data to inform the process. Provide support to all parties involved in the process.
Human Resource Services The People Experience team will coordinate the implementation of the APP / TPP process including system support, maintaining training resources, communication and education.

Human Resources Business Partners will provide advice to the PVCS, Heads of School and Academic Supervisors/Advisors and staff to prepare for and conduct APP / TPP sessions and on any performance management/improvement matters as needed.

The Human Resources Information Systems team will provide leaders with access to a Human Resources dashboard that provides completion data on the APP / TPP cycle.
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Section 4 - Definitions

(50) In the context of this document the following definitions apply:

Term Definition
Advisor A nominee of an academic supervisor who will supervise the APP for designated staff.
Co-Planner This is the descriptive name that is assigned to a user in Success Factors, the University's online tool used to document the APP process. A co-planner is a leader who may contribute to a staff member’s APP but is not their direct supervisor. An example of this would be if a staff member has performance and development goals relating to a project, and the project lead is not the staff member’s direct supervisor. The project lead could contribute to the APP as a co-planner.  An alternate suitable use of this contributor type is if a staff member changes reporting lines or roles in the calendar year, and the previous supervisor provides feedback, goal progress and achievement as this user type, whilst still enabling the current supervisor to complete their role.
Equity Cohort A specific group of individuals within a community, organisation, or institution who share characteristics that are associated with disadvantage, underrepresentation, or inequity in access to opportunities, resources, or outcomes. For the University, information on our equity cohorts is available on the website.
Gender Bias A person’s tendency to hold men and women accountable to different standards.
Perception Bias The tendency to form stereotypes about certain groups that make it impossible to make an objective judgement about members of those groups.
Confirmation bias Seeking out and interpreting information in a way that supports your preconceptions or hypotheses.
Unconscious bias A judgement made quickly without being aware of doing so.
Disability In accordance with the Disability Discrimination Act 1992, disability can encapsulate a range of identities, experiences and conditions including mental and chronic health conditions, neurodivergence, physical, sensory, learning, neurological and intellectual disabilities. The right of people with disability to access reasonable adjustments at work is protected under the Disability Discrimination Act 1992 (the Act). Carers and parents of people with disability who need adjustments to care for a person with disability are also protected under the Act. Not all people with disability or caring responsibilities may identify as having a disability and may not wish to access supports.  
Relative to opportunity The principle of assessing an individual’s achievements and contributions in the context of their access to opportunities, taking into account any personal circumstances, challenges, or structural barriers that may have impacted their ability to achieve outcomes.
Performance Goal Performance goals focus on what an academic staff member needs to achieve in their role, such as delivering outcomes aligned with organisational priorities, strategic plans and delivering work activity that aligns with their position description.
Development Goal Development planning and goals are focused on how an academic staff member can reach their full potential, enhance their skills and knowledge and gain development that will support career progression.