Sue Duraikan
Managing staff performance
University of Cambridge
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
Performance
review
Set goals
Coach,
delegate,
monitor,
feedback
Jan
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•
•
•
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.
• 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.
• Manager/Supervisor to ensure regular progress meetings / discussions are
scheduled.
Induction – Guidance/Documentation
• HR Induction weblink:
http://www.hr.admin.cam.ac.uk/recruitment/stage-5-supporting-newemployees/induction
• HR22 - Induction Planning Checklist – for those responsible for induction to
use:
• http://www.hr.admin.cam.ac.uk/forms/hr22-induction-planning-checklist
• HR24 - Employee Induction Checklist – for the new employee to use
• http://www.hr.admin.cam.ac.uk/forms/hr24-employee-induction-checklist
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 – usually delegated to line managers/supervisors.
•
Responsibilities include monitoring performance, conducting 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/
----------------------------------------------------------------------------------------------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 individual 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 now have an online SRD system that departments can use to support the
process.
• Weblink - http://www.hr.admin.cam.ac.uk/policies-procedures/staff-review-anddevelopment
• 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.
___________________________________________________________
N.B. A review is being carried out in relation to the scheme that applies to
Academics
Flexible management styles
C
o
m
m
i
t
m
e
n
t
High
C
Low
Competence
High
Flexible management styles
High
C
o
m
m
i
t
m
e
n
t
Low
Short term goals
Direct, instruct
Encourage and support
Observe, listen and monitor
Feed back
Long term goals
Delegate
Challenge
Develop
Feed back
Light touch
C
Hands on
Short term goals
Direct, instruct
Encourage
Explore motivation: carrot or stick?
Observe, listen and monitor
Feed back
Future?
Short term goals
Explore motivation: carrot or stick?
Coach
Big picture
Help with prioritising
Monitor progress
Encourage self-review
Competence
High
Flexible delegation
Could you update the Excel
spreadsheets for Project Z
by Friday?
No problem.
That’s a quick
job.
Carmen
Yeah.
Whatever.
I’ll stay and do
that tonight. I’m
not great with
Excel. It could
take a while.
Excel! Oh help!
Project Z? What
on earth…?
Jenny
Boris
Jan
How do people learn their jobs?
70-20-10
M
Experience
Exposure
Education
Morgan McCall, Robert Eichinger,
Michael Lombardo, Center for
Creative 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
Follow up
Agree
goals
Promote
discovery
Encourage
reflection
Give
feedback
Why does it matter?
You
Staff
Motivation
Workload
Performance
Dept
External
Meet
targets
Meet
customer
needs
Reputation
Reputation
Development
Operate at
peak
performance
Job
satisfaction
Health and
well-being
Retain key
staff
Morale
Avoid legal
problems
Consistent
service
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