Managing staff performance

University of Cambridge

Sue Duraikan

Objectives • Understand your responsibilities in performance

management• Understand University policies on Induction,

Probation, Capability and SRD • Know how and why to set clear goals and standards• Know how to use delegation and coaching to

motivate and develop individuals• Be able to give feedback constructively

Employee Lifecycle 1 Induction

Probation

Extend Confirm Terminate

Employee Lifecycle 2

Set goals

Coach, delegate, monitor, feedback

Performance review

Jan• 19 years old• Joining next week• First full time role• Not native English

speaker

Carmen• 25 years old• Joined 3 months ago• Brilliant at IT• Quiet and reserved

Jenny• 35 years old• Joined 5 years ago• Good performer• Resistant to change• Can snap easily

Boris• 53 years old• Joined 13 years ago• ‘Safe pair of hands’• Takes ownership• Tends to take on too

much

INDUCTION

Induction - Aims

Effective integration of new employees into/across the Institute/Department/Organisation by:

• giving new employees an understanding of the University and its policies and procedures as well as the specific Department / Faculty / Institution they are working in.

• aiding better understanding of the role

• ensuring greater understanding of the role

• enabling new employees to demonstrate skills and abilities – helping ensure suitability to the role

• helping build first good impression.

Induction - Benefits

• New employees integrated into the workplace quickly = increased effectiveness

• Builds positive relationships

• Establishes communication channels

• Provides clarity of expectations – increases levels of competency and security

• New employees feel valued & supported

• Increases job satisfaction

• Research shows tailor made induction programmes increase retention

• Promotes the Department / Faculty / Institution / University in a positive light – reputational impact

Induction

What it should include:

• Introductions to colleagues/workplace

• Formal responsibilities of the job & standards required

• Practical issues including health and safety

• Line management, support and monitoring

• Training

• Potentially assigning a mentor.

• General University induction event.

Induction – Who is responsible?

• Head of Institution

• Actual responsibility delegated to the Departmental Administrator / Principal Investigator / Line Manager / Supervisor / Team Leader.

• Ensure regular progress meetings / discussions are scheduled.

Induction – Guidance/Documentation

• HR Induction weblink:

http://www.hr.admin.cam.ac.uk/recruitment/stage-5-supporting-new-employees/induction

• HR22 - Induction Planning Checklist – for those responsible for induction to use:

http://www.admin.cam.ac.uk/cam-only/offices/hr/forms/hr22/

• HR24 - Employee Induction Checklist – for the new employee to use

http://www.admin.cam.ac.uk/cam-only/offices/hr/forms/pd24/

Checklists contain weblinks for training and development (PPD) & online training (Equality and Diversity, Induction and Health and Safety)

N.B. Remember Equal Opportunities

PROBATION

Probation – not just an easy option!

Probation

• Heads of Institutions are responsible for ensuring probation periods are carried out/monitored. Line managers/supervisors usually have delegated responsibility for monitoring performance, conduction meetings, providing guidance.

• Formal Arrangement with review meetings at appropriate intervals, completed documentation and CHRIS updated.

• Aim is to assess and review employees performance, capability, and suitability for the role.

• Purpose is twofold – identify progress and any steps taken to resolve any difficulties

Probation

• Review meetings should be constructive, helpful and positive

• Opportunity to provide immediate feedback

• Reviews must be documented

• Unsatisfactory performance – outline specific concerns, improvements needed, how will these be achieved

• Final Review – May be accompanied by trade union representative or work colleague

• Full employment rights – two year’s continuous service

• Still important for those transferring roles within the University

Outcomes at end of probation

• Satisfactory completion

• Extension:

o Use of extension of probation should only be used in exceptional circumstances

o The intention of the extension is to bring the employee’s performance up to a standard where their probation can be confirmed

Two possible outcomes after an extension:

• Progress Reviews are satisfactory in which case the probation can be confirmed

• Progress Reviews are unsatisfactory in which case the Head of Institution must make a recommendation/decision that employment be terminated.

Outcomes at end of probation

• Termination

o If an employee’s performance is clearly unsatisfactory the probation may be curtailed to enable early termination – always consult HR

o A formal review meeting must be held as appropriate and the employee must be given the right to be accompanied

o Right of appeal

Full details of policy/procedure on HR website:

http://www.admin.cam.ac.uk/cam-only/offices/hr/probation/

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N.B. Current probation policy is under review. General principles unchanged, although length of probation periods will be changing. There will also be more guidance made available with regards to managing probation.

Managing Performance after the probation

• In the event performance concerns arise following the completion of the probation procedure these may need to be addressed through the Capability policy - http://www.admin.cam.ac.uk/offices/hr/policy/capability/

• It is a manager's responsibility to identify underperformance and to seek to address this at the earliest opportunity.

• Supportive process that enables manager to deal with performance concerns in a fair and consistent way.

• There is a need to treat all capability issues with care and sensitivity and to identify and (where appropriate) address the underlying causes.

• Guidance from HR should be sought at the earliest opportunity.

SMART goals

• Specific• Measurable• Achievable• Relevant• Time-limited

Why give feedback?Staff need it so they…• Are motivated• Keep on track• Know what’s acceptable

… or not!• Learn how to do things

differently/better

You need to give it in order to… • Maintain individ and team morale• Clarify and reinforce standards• Improve performance• Show you’re in touch• Avoid recrimination• Nip problems in the bud

What is effective feedback?• Regular• Timely• Specific• Positive/negative but

always constructive• Honest• Private/public• Face-to-face/in writing

Negative feedback• Clarify what you

expected• Explain how it looks to

you• Discuss• Agree an action plan• Review

Causes of poor performance• Competence• Commitment• Communication• Change• Conflict• Organisation• Other (health, external

factors)

Capability Policy

• Introduced in July 2013

• Applies to all University employees who have a contract of employment except for University Officers whose procedures are contained in the Statutes & Ordinances

• Provides a framework for managing underperformance in a fair and consistent way

• Emphasis on supporting employees – helping them to identify potential causes of underperformance

• Helps decide what practical steps can be taken to improve performance, i.e. training, coaching, mentoring etc

• Helps consider whether there are mitigating factors

• Policy supplemented by detailed guidance document & toolkit

• http://www.admin.cam.ac.uk/offices/hr/policy/capability/

STAFF REVIEW AND DEVELOPMENT

Staff Review and Development (SRD)

• Responsibility of Head of Institute or their nominated representative

• Purpose – to enhance work effectiveness and facilitate career development

• All staff should be included in their Institutions SRD scheme

• SRD meetings should include: Positive, constructive feedback; action; training needs; identification of difficulties / obstacles; balancing needs

• Benefits of SRD:

o Improved communication – more open style of management

o Formal opportunity to review progress; clarify roles/responsibilities/aims & priorities; plan for future activity/development

o Formal record of experience/learning over time – CPD activity

o Allows Institutions to better target training & development

o Enhanced performance through more motivated staff

Stages of the Review Process

• Three key stages:

• 1) Preparation – staff member to think about successes; difficulties, personal and professional plans; obstacles that may need to be removed in order for these to be achieved; training needs.

Reviewer to arrange a date for review, assess progress, request staff member to bring relevant documentation (C.V., list of duties etc).

• 2) Discussion – Review meeting between staff member and reviewer.

Discuss training and development needs; two way open discussion; meeting can take place external to Institution, conversation can be kept confidential

• 3) Recording – Achievements, training / development needs, agreed targets recorded.

• Forms to be used: PD25 & PD26

• Formal record will be used at subsequent review meeting.

Staff Review and Development

• HR weblink :

http://www.hr.admin.cam.ac.uk/recruitment/stage-5-supporting-new-employees/staff-management

• Forms can be found at :

http://www.hr.admin.cam.ac.uk/forms/pd25-pd26-and-pd27

Appraisal returns are required on an annual basis

• For Contract Research Staff see Career Management and Employment Scheme : http://www.cam.ac.uk/research-staff/employment-and-career-management

___________________________________________________________

• The SRD scheme is currently under review (consideration is being given to online reviews and a review is being carried out in relation to the scheme that applies to Academics)

C

Flexible management styles

Competence

Commitment

Low High

High

C

Flexible management stylesShort term goalsDirect, instruct Encourage and supportObserve, listen and monitorFeed back

Long term goalsDelegateChallengeDevelopFeed backLight touch

Hands onShort term goalsDirect, instructEncourageExplore motivation: carrot or stick?Observe, listen and monitorFeed backFuture?

Short term goalsExplore motivation: carrot or stick?CoachBig pictureHelp with prioritisingMonitor progressEncourage self-review

Competence

Commitment

Low High

High

Flexible delegationCould you update the Exel spreadsheets for Project Z

by Friday?

Yeah. Whatever.

No problem. That’s a quick job.

I’ll stay and do that tonight. I’m not great with Exel. It could take a while.

Exel! Oh help! Project Z? What

on earth…?

Jenny

Carmen

Boris Jan

M

How do people learn their jobs?70-20-10

ExperienceExposureEducation

Morgan McCall, Robert Eichinger, Michael Lombardo, Center forCreative Leadership, North Carolina

What is coaching?

‘Unlocking a person’s potential to maximise their own performance. It is helping them to learn rather than teaching them.’

Timothy Gallwey, The Inner Game

‘A manager’s job is simple – to get the job done and grow your staff. Time and cost pressures limit the latter. Coaching is one process with both effects.

Sir John Whitmore, Coaching for Success

Stages of learning

A good coach….• Plans each coaching

session• Adapts coaching to the

individual• Communicates clearly

and openly• Listens well

A good coach….• Is patient• Is enthusiastic• Expects mistakes• Shows total respect for

the learner• Gives constructive, timely

feedback

Process of coaching

Agree goals Promote discoveryEncourage reflection

Give feedbackFollow up

Why does it matter?Workload

Reputation

Job satisfaction

You

Motivation

Performance

Development

Health and well-being

Morale

Staff

Meet targets

Operate at peak performance

Retain key staff

Avoid legal problems

Dept

Meet customer needs

Reputation

Consistent service

External

Why does it matter?‘Put simply, employees leave managers, not companies.’

Graeme Buckingham, Gallup Organisation

‘As a manager you cast a long shadow.’Dina Pyron, Ernst & Young