Q & A: Performance Management and Correction

Transcription

1 Q & A: Performance Management and Correction October 20, 2016 Presented by: Darroch Campbell and Mark Slobin, CSSEA Community Social Services Employers Association of BC Suite 800, Two Bentall Centre, 555 Burrard Street Box 232, Vancouver BC, V7X 1M8 Tel Toll free Fax

2 1 Welcome Introductions Format of the session Materials Strong interest experiences?

3 2 Objectives and Takeaways Understand the causes of poor performance Understand when to performance manage and when to discipline Understand the benefits/costs of performance management vs discipline Understand the elements of performance management Practice some performance management skills Reflect upon your current experiences and confirm key areas of personal focus Understand the disciplinary process and how to conduct it effectively Know where to look for further resources

4 3 Agenda Review the Causes of Poor Performance Performance Management vs. Discipline Performance Management Cycle - Three Key Phases #1 Planning #2 Checking-In #3 Evaluating The Probationary Period Determine Your Performance Management Areas of Focus The Keys to Effective Discipline Wrap-up

5 4 Causes of Poor Performance List of causes:

6 5 Causes of Poor Performance For each cause, how should management respond?

7 The Performance Management Continuum 6

8 7 Performance Management A Definition Performance management is an ongoing process of communication between a supervisor and an employee that occurs throughout the year, in support of accomplishing the strategic objectives of the organization. The communication process includes clarifying expectations, setting objectives, identifying goals, providing feedback, and reviewing results. (University of California Berkeley)

9 8

10 9 Performance Management Cycle Planning Phase The Starting Point Establishing and Communicating Rules/Expectations Where are these rules/expectations found?

11 10 Planning Phase 1. Sources beyond the Employer: legislation, eg. o Human Rights Code o Workers Compensation Act and Regs o Employment Standards Act collective agreement, eg. o health and safety/respectful behaviour/harassment o probationary and trial periods o performance evaluations o Job descriptions

12 11 Planning Phase 2. Sources at the Employer-wide level: Mission, vision, values of Employer Strategic plans and objectives Policies and Procedures

13 12 Planning Phase Policies and Procedures in union setting, for policy to be enforceable it: 1) Must not be inconsistent with the collective agreement. 2) Must not be unreasonable. 3) Must be clear and unequivocal. 4) Must be brought to the attention of an employee before the employer can act on it. 5) Employees must be notified of possible consequences of a breach. 6) Must be consistently enforced by the employer from the time it is introduced. (KVP test)

14 13 Planning Phase 3. Sources at the employee level: Job Descriptions valuable communication tool Work routines/checklists, where they exist Employee specific work plans, eg: o o Previous performance evaluations/objectives Previous action plans/letters of expectation

15 14 Planning Phase 4. Regularly review and update all of the above elements (and communicate changes as needed). 5. Also, recommend review/development of a. recruitment checklists b. orientation checklists c. probation and trial period checklists d. performance evaluation checklists e. Performance documentation processes f. Management competencies and training needs

16 15 Self-assessment Self-assessment: refer to handout. In this phase, what are you doing well? What do you want to focus on?

17 16 The Performance Management Cycle Checking-In Phase Definition: ongoing process of performance feedback throughout the year Process involves: o Observation o Feedback and Coaching o Documentation

18 17 Checking-In Phase Feedback and coaching occurs as soon as reasonably possible after an event. Benefits: Discussion: Providing feedback and coaching is a key activity of an effective manager. In your experience, how do effective managers do this?

19 18 Checking-In Phase Effective managers engage in feedback and coaching activities normally by: observing performance providing feedback providing instruction providing encouragement recognizing excellent performance listening to employee concerns and ideas to remove barriers to performance Doing this continuously (even daily)

20 19 Checking-In Phase Feedback and coaching align with typical managerial core functions: manage both processes and people. Process responsibilities include activities such as: Work unit planning Work assignment Work implementation Monitoring work unit progress Evaluating results and problem solving Budgeting Scheduling

21 20 Checking-In Phase Performance management focuses more on the people responsibilities. People responsibilities include: Developing employee/team skills and capabilities Motivating employees Monitoring and providing feedback on day-to-day performance Conducting formal performance reviews (to be discussed later) Carrying out disciplinary activity as necessary (to be discussed later) Typical competencies required to deliver on this include: Coaching Managing conflict Communication Group leadership

22 Checking-In Phase 21

23 22 Checking-In Phase How much time do you spend on people responsibilities? Do you think it is enough? If you need to spend more time on people responsibilities, what are the barriers? Self-assessment - what barriers apply to you and what can you do to start to overcome them?

24 23 Checking-In Phase Part of people responsibilities are to observe and assess employee conduct and understand the barriers to optimal performance. Not always easy to do; why? Exercise Part 1 Identifying Barriers to Optimal Performance

25 24 Checking-In Phase Coaching for Success Structuring the conversation. The key elements: Identify area of need based on observations/results/ behaviours, not personal attributes and generalities Identify standard/expectation Identify impact Actively listen to identify barriers/causes Create accountability on how to remove the barriers Provide support Confirm the action plan with SMART elements, clearly understood Schedule follow up Show confidence in the employee s ability to meet the standards/expectations

26 25 Checking-In Phase Note: Have performance-related conversations in private.

27 26 Checking-In Phase Developing an Action Plan Action Plans should be SMART. To know when a goal is achieved, the goal should have these elements:

28 27 Checking-In Phase Exercise Part 2 Switch roles Engage in a structured coaching session and develop a SMART Action Plan

29 28 Checking-In Phase Other ways to confirm feedback and coaching conversations: o Record in own notes o Letter of expectation Letters of expectation generally address less complex issues than an Action Plan Letters of expectation are not disciplinary o Purpose and tone to clarify expected behaviour; to coach and be supportive in assisting the employee to meet it o Contains the same elements as a coaching conversation

30 29 Checking-In Phase Letters of expectation vs letters of discipline Letter of Expectation Letter of Discipline Purpose to counsel and communicate, to identify or clarify expected behaviour in performance of job duties Intention and tone helpful, supportive Examples are used only as a means to clarify inappropriate or acceptable behaviour Support is offered by way of training and/or other resources; employee input into how to achieve expectations is welcomed Letter will not be referenced as basis for increased discipline; may only be referenced to show that employee was aware of expectations To correct poor performance or undesirable behaviour; assumes that discipline is needed to achieve correction Corrective consequences of further conduct are identified Examples are used to describe specific culpable employee conduct Better performance is expected and support offered as needed Letter will be referenced if future infractions and further discipline issued

31 30 Checking-In Phase Rewarding lower priority? Confirms alignment with employer goals Positive conditioning How can we get in the habit of providing positive feedback? Examples:

32 31 Checking-In Phase Document, document, document Store in personnel file

33 32 Self-assessment Self-assessment: refer to handout. In this phase, what are you doing well? What do you want to focus on?

34 33 The Performance Management Cycle Evaluation Phase Key Elements of the evaluation phase: Conduct in a performance review meeting Remind how work aligns with employer s broader purposes Summarize expectations delivered throughout year o no surprises (see your notes) Acknowledge accomplishments throughout year o no surprises (see your notes) Summarize challenges experienced throughout year o no surprises (see your notes) Modify current goals to address challenges and set new ones Back to planning phase

35 34 Evaluation Phase The performance review form aim for consistency Use job description as basis

36 35 Evaluation Phase The rating system no best one; some questions to consider: o What best fits organizational objectives? o What promotes conversation/continuous improvement? o What are ratings to be used for? Eg. Wage increase? o What ratings are easiest to prove?

37 36 Evaluation Phase Preparing for the performance review meeting Advise the employee of meeting; provide a self-evaluation form to return prior to the meeting Gather performance information (from your notes and documents) Write a draft review in advance using the template; leave areas blank where discussion on action plans will occur

38 37 Evaluation Phase Conduct the performance review meeting checklist: o Begin with purpose of review and the rating system used. o Reference the key points in mission, vision, values; strategic plan; job description. o Review the self-assessment form first to determine employee areas of focus. o Review your draft. o Summarize strengths/achievements; cite specific examples. o Summarize areas for improvement or stretching; cite specific examples. o Jointly establish mutually agreeable goals use SMART principles; include development goals where appropriate. o Remind employee of available support o Conclude on a positive note: gratitude and confidence

39 38 Evaluation Phase Establish follow up dates as necessary. Update the review form as needed; provide employee with copy. Give employee time to consider the review (1 week is ok) and sign. Note collective agreement provision (Article 24.14)

40 39 Self-assessment Self-assessment: refer to handout. In this phase, what are you doing well? What do you want to focus on?

41 The Performance Management Cycle Probationary Period 40

42 41 The Performance Management Cycle Probationary Period Short but critical period of employment microcosm of cycle Collective agreement test = suitability for continued employment If dismissing a probationary employee, the case law imports cycle principles necessary to support an employer decision

43 42 Probationary Period In order to justify dismissal for unsuitability, the following elements must be satisfied: 1) The employee was clearly advised they must complete a probationary period as a condition of their employment contract. 2) The employee was clearly advised of the performance expectations they would have to meet in order to satisfy the probationary review. 3) The performance expectations were reasonable.

44 43 Probationary Period (Con t) 4) The employee was advised of their performance shortcomings before the probation period expired and instructed on how to improve. 5) The employee was given a fair opportunity to demonstrate improvement and, in fact, failed to do so. 6) The employee was warned that failure to improve could lead to dismissal. Notes: The employee must be dismissed BEFORE the end of the probationary period. If insufficient time, option to extend - Article 11.8(d).

45 44 Probationary Period Checklist of activities include: Provide (* and review) the mission, vision, values and strategic plan Provide* the policies and procedures and any administrative documents Provide* the employee with a clear, current job description Provide* clear performance standards that can be measured - SMART Explain when the employee will be evaluated/probation period duration Schedule a new employee orientation with checklist of information to be covered Schedule follow-up sessions as often as necessary to improve engagement, adjustment, and to monitor progress, and to provide support Observe, feedback (and encourage), document continuously; develop action plans as needed Evaluate the employee's performance prior to the end of the period

46 45 Probationary Period Self-assessment: Do you have a complete checklist for the probationary period? Do you follow it closely?

47 46 The Performance Management Cycle Overall Self-Assessment Review all your notes. What are you doing particularly well? Congratulations! What are your top 3 priorities to focus on back at work?

48 47 Discipline Management response to culpable conduct in not meeting workplace rules/expectations Rules/expectations must be reasonable; often challenged (see KVP test above) Purpose is to correct, promote compliance with the rules/expectations Response is proportional; usually progressive Summary dismissal sometimes appropriate

49 48 Discipline To support discipline, must meet the standard of just cause in unionized setting To support dismissal, must meet the William Scott test 1) Has the employee given just and reasonable cause for some form of discipline? Is there a factual basis? 2) If so, was the employer's decision to dismiss the employee an excessive response in all of the circumstances? 3) If the arbitrator considers discharge excessive, what alternative measure should be substituted as just and equitable?

50 Discipline 49

51 50 Discipline Investigation Onus on employer to defend action Onus on employer to prove relevant facts, evaluate facts, appropriately respond The way to prove is via investigation Must be prompt, thorough and impartial Must have due process and offer representation Attendance: direct supervisor +1; witnesses; employee + steward

52 51 Discipline Investigation Essentials. Must collect and consider: Precise details of the alleged misconduct Details of who, what, where, when, why, and how? How will you prove? Eg. Who are the witnesses who will provide first-hand details Relevant policies, rules, collective agreement, statutory provisions Employment history; personnel file Aggravating and mitigating factors Challenge: have you collected sufficient relevant information and assessed it properly?

53 52 Discipline Exercise

54 53 Discipline Investigation Essentials Must be impartial One reason that investigations fail is investigator bias

55 54 Discipline Investigation Essentials Do we see what we want to see? Do we probe deep enough? Understand that we are all susceptible to missing things Keep a curious mind; resist jumping to early conclusions Other considerations: Article 11.9 Employee Investigations

56 55 Discipline Making Your Decision. Considering and assessing the facts. You have determined that there are sufficient facts to support some form of discipline Are there mitigating factors? What are they? Are there aggravating factors? What are they?

57 56 Discipline Confirming the Disciplinary Decision Confirmation of discipline by letter Letters all contain the same key elements: o Confirmation of discussion o Review of events/impact o Previous problems/discipline o Expected standard o Employee commitment o Employer confidence/follow up where appropriate o Consequences of future conduct Suspension letter also contains confirmation of length and return to work date Present letter at disciplinary meeting

58 57 Discipline Discipline is necessary in appropriate circumstances Important to complete assessment of causes of poor performance via checking-in phase Enables an informed choice of whether to apply the cycle or discipline Note the hybrid cases contact CSSEA

59 Discipline 58

60 59 Discipline Benefits of discipline: o clarify expected behaviour to align with employer goals/objectives/rules/expectations o corrective action will change behaviour and bring alignment

61 60 Discipline Risks of discipline: o Emphasis on it can contribute to an adversarial culture o the more adversarial, the more reluctance to address issues Avoidance? o discipline disputes take time to resolve; issues fester? o considerable employer (and union) time spent on discipline cases: investigating, considering; issuing, defending

62 61 Discipline CSSEA statistics over past 5 years: 48% of all cases referred to hearing involved disciplinary matters. In past year, the top 5 matters referred to hearing were: o discipline 52 o job posting/selection 10 o harassment 8 o discrimination 7 o hours of work 6 If necessary, arbitration is time consuming, expensive, has uncertain outcomes.

63 62 Discipline Case study

64 Wrap-Up Review of Objectives and Takeaways: Understand the causes of poor performance Understand when to performance manage and when to discipline Understand the benefits/costs of performance management vs discipline Understand the elements of performance management Practice some performance management skills Reflect upon your current performance management experiences Confirm key areas of personal focus when back at work Understand the disciplinary process and how to conduct it effectively Know where to look for further resources: Reminder: Executive Coaching Program deadline October 31,

65 64 Questions, comments?

66 65 Thank you!