Performance Generating PDPs for all Employees Generating Performance Development & Improvement Plans for all Employees 1. Continual improvement A critical part of the PDPR process is the continual focus on realising the full potential of our workforce through effective and focused employee development. Employee development should not be seen as something that only new employees or employees that are struggling or underperforming need. A highly effective organisation would recognise that identifying development needs aimed at individual improvement is positive and not negative, it is also not only linked to in role, as a highly effective individual would also be pushing their own career development to maximise their personal potential for the future. 2. Maximising employee potential Managers/reviewers should clearly communicate employee s current levels and discuss how they will support the employee to achieve their potential. The following development matrix is designed to support managers/reviewers identify the appropriate development needs to maximise employee potential. Development Matrix Rated 1 in the review showing exceptional Rated 2 in the review showing good in role Rated 3 in the review showing areas where significant improvemen t is required Consistent - leverage skills These employees will have good to excellent skills and may specialise in their particular area. We do not see them having the potential to progress at this point, but should help them maximise the use of their skills in order to keep them motivated (job related development) Manage improvement These employees should have development plans aimed at developing them to maintain the required overall standard of the role Manage improvement These employees should have development plans aimed at developing them to the required overall standard of the role. Target promotion or progression We should identify key development positions/opportunities for these people to maximise their potential and retain them in the University. In R&T areas, we should be readying these employees for promotion in APM/other areas, this could be improving the chances of internal employees being recruited for more senior posts Target Development These employees will possess the necessary skills and knowledge to deliver, are exhibiting the right behaviours and have the potential to progress in the future. Development should be targeted around the relevant areas to help them accelerate potential and/or improve delivery to help them progress over a period of time Identify Issues Find out what is preventing these employees with potential from performing and take action to help them improve Potential Demonstrates the potential and motivation to develop, role model behaviours in current role Demonstrates the potential and motivation to developing current role and progress to the next at a future time Demonstrates the potential, motivation, capabilities and experience to perform successfully in a bigger or more complex role within 12 months
The matrix illustrates the relationship between the two factors of rating and potential, which enables focussed support to be offered in the form of tailored personal development plans, to our high fliers and/or those requiring help to meet the expectations of the role. For example: An employee who has shown good in their role and demonstrates the potential and motivation to develop Target Development will be required, focussing on helping them to accelerate their potential in order to progress in the future. For employees identified within the Manage Performance Improvement section of the matrix, clear plans and objectives should be put into place to ensure the employee recognises the shortfall and appropriate changes are required (see Para 5 Managing improvement of this document for further guidance). 3. Personal development plans Personal Development Plans (PDPs) provide a powerful, flexible way to link employees' professional and sometimes personal development with the development of the University. PDPs can vary considerably in focus (see matrix above). A plan may concentrate purely on development needed to perform better in the current job (which tends to be primary focus of most development plans) it may extend to development required for the next career step (e.g. linked to the academic promotion process); or, it may take a 'person based' approach encouraging the individual to consider their personal effectiveness and a correspondingly wider range of development needs. It is important that the focus of development is appropriate for the level of resources available. If you underestimate the resources required, you risk not being able to fulfil proposed development plans, thereby damaging the morale, productivity and trust of employees. Useful questions when discussing PDPs with the role holder might include the following, but beware of raising expectations which you cannot meet: What do you want to get out of work? What are your strengths and which parts of your work would you like to improve? Where would you like more responsibility? What is preventing you developing as you would like? Which abilities would you like to develop? Which new skills, or improved skills, would enhance your work? How do you learn best? What skills or experience would allow you to feel more confident at work? In agreeing development objectives you may need to compromise with the employee between what best suits the University and what best suits the individual because unless the employee genuinely accepts the objectives, and believes they are worth striving for, the PDP will not lead to change. Limit the number of objectives to three or four and as resources are limited, prioritise them with the role holder. With short-term objectives in particular, make each objective SMART (see PDPR Guidance on Objective Setting ) and, as with other objectives, agree the action points needed to achieve them.
Also remember: The more input your employee has into their PDPs, either deciding on their objectives or deciding how they are going to achieve their objectives, the more committed they will be To review PDPs regularly That many PDP objectives can be achieved through learning in the workplace 4. Personal development plans for underperforming employees 4.1 When falls short of expectations If employees are under performing in the role and have been given the appropriate development and support, the University has procedures to support managers/reviewers in these difficult situations. There are many reasons why people's sometimes falls short of expectations and a variety of actions that managers/reviewers can take to rectify the situation and generate a positive outcome all round. However, each situation needs to be judged on its own merits and personal knowledge of what works best for different people will also need to be taken into account. Contact your HR Business Partner when deciding on the right course of action. There are a variety of options to address a issue; training, coaching, counselling and formal disciplinary action. It is worth bearing in mind that the action should reflect the situation in most cases this would mean appropriate development and training, However It may be acceptable to go straight to disciplinary action if the issues demands it e.g. if an individual puts other members of staff at significant risk (health and safety) through failing to follow basic procedures. When thinking about how to address poor you will need to establish the cause. It may help to consider the following: Previously demonstrated ability - Has the person previously demonstrated an ability to perform to the required standards? Review - standards - Does the person clearly understand what is required of them? Do they have a standard? Are objectives and measures clear and are they descriptive of what is sought? Have discussions about already been had? Review personal factors - What external factors may be affecting the person? Is a lack of resources giving rise to frustration? Are objectives unclear or priorities changing therefore causing apathy or confusion? Are there interruptions and distractions, self-made or imposed, pointing to lack of concentration/interest? Are University policies/procedures impeding? Is your management style appropriate? Relationships with others? Job design not appropriate? Domestic/personal issues? Review motivation factors - Does the person want to succeed in their job? Do they feel able to use their talents? Does the behaviour required of them conflict with their values? Are their needs being satisfied? Are they aware of the consequences of continued under? Do they need more praise/recognition of their efforts? Is reward linked to? Is the job appropriate for this person? Review training issues - Does the person know how to do the job? Have they got the right knowledge and skills? Is there a need for on the job training; skills courses; guided experiences? Do they have background knowledge?
Review coaching issues - Does the person need coaching and support? If they do, set goals, agree reality of current, explore options, decide on action, establish willingness, then observe the person carrying out activities or demonstrating how to use the skill. Praise and encourage the person's efforts at improvement. 4.2 Improving If it is identified that an individual is under performing, the manager/reviewer should use the PDPR process to document this and set the necessary improvement objectives. This could happen at any time during the review year and the manager/reviewer should not wait until the formal review at the end of the year to raise issues if they have been identified beforehand. If under is identified the manager/reviewer must: Collate the appropriate evidence to demonstrate to the employee that their is not at the required standard Inform and demonstrate to the employee that their level is unsatisfactory and that it is not in the normal range Document the evidence that is not at the required standard Document and set objectives for required improvement and agree an appropriate plan to meet them (development needs, change of focus, clearer expectations) Set and agree a realistic review period for improvement contained within the objectives set Inform the employee that if improvement is not made it may impact future PDPR reviews and could lead to disciplinary action being taken 4.3 Improved If the cause has been diagnosed and addressed and has improved and been demonstrated, then the employee should be monitored to maintain this standard and no further action is necessary. 4.4 Consider formal action If has not improved, despite appropriate corrective actions, or the individual repeatedly drops into periods of under, then formal action should then be considered, but before taking action check: That you have undertaken reasonable management/support and have documented evidence that you have done this That formal action is reasonable - is formal action what the person can reasonably expect in the situation? Have precedents been set in similar situations? Is the person being treated objectively and fairly? Note: The process of developing personal development plans for Underperforming Employees is demonstrated in Appendix 1.
4.5 Conduct or Capability? It can often be difficult to decide whether a person's poor should be handled as a conduct or capability issue. In some cases, a problem may appear at first to be a conduct issue, but later transpires to be one of capability or vice versa. Either way, the University manages issues relating to conduct/capability/under within the same formal University disciplinary procedure. Note: it may be necessary to change between a disciplinary on the grounds of conduct to a disciplinary on the grounds of capability and vice versa if facts suggest that a different treatment of the situation is appropriate. The following comparison may help you decide: Capability Either: The person is making an effort, but is not achieving the required improvement. They have received relevant training, but they do not appear to have acquired the necessary skills. They admit that they are not achieving the required standards or do not understand the requirements made of them. They cannot obtain relevant qualifications. They do not seem able to get there. Low output of work. Long term sickness. Conduct Or: The person does not make enough effort. They are not applying skills they have. They do not agree on the problem identified. They are not interested in obtaining relevant qualifications. They are not willing to get there. They do not seem interested in improving. Unauthorised absences. Within the University; capability and conduct are both managed within the formal disciplinary process, although how a manger may approach each issue may be different (get advice from your HR Business Partner before beginning). Whilst it is important that you do not miss any stages out, the timeframe may alter according to individual circumstances. Before entering a formal process you would be expected to demonstrate that improvement and development plans have been in place as part of the PDPR process and that formal notification has been given to the role holder that failure to improve will result in formal disciplinary proceedings. However, as stated above It may be acceptable to go straight to disciplinary action if the issues demands it e.g. if an individual puts other members of staff at significant risk (health and safety) through failing to follow basic procedures). (See University Disciplinary Procedures at: http://www.nottingham.ac.uk/hr/guidesandsupport/atwork/disciplinaryprocedures /index.aspx)
Appendix 1a: Process for non-academic staff Generating Personal Development Plans for Underperforming Employees Reviewer uses personal knowledge to judge situation independently to decide right course of action and contacts HR Business Partner Establish cause of poor through documentation of regular 1 to 1s, review meetings or informal discussions [see guidance notes] Use PDPR (link to Personal Development Plan) process to document under and set the necessary improvement objectives. NO Collate appropriate evidence: - Inform and demonstrate to employee that their level is unsatisfactory - Document the evidence that is not at the required standard - Document and set objectives for required improvement and agree an appropriate plan to meet them - Set and agree a realistic review period PDPR Process Inform employee if improvement is not made it may impact future PDPR reviews and could lead to disciplinary action YES After review period has passed, has the employee s improved? Cause diagnosed and addressed - has improved and been demonstrated. Employees should be monitored against maintaining this standard and no further action is necessary. NO Designated person to consider formal action [see guidance notes]. Has reasonable support been made to support improvement? YES Disciplinary process. Disciplinary action may be taken. Employee advised to this effect.
Appendix 1b: Process for academic staff Generating Personal Development Plans for Underperforming Employees Performance issue identified and Head of School (HoS) is informed. HoS to contact HR Business Partner. Designated person with line management responsibility (HoS or other) is identified to manage issue. Establish cause of poor through documentation of regular 1 to 1s, review meetings or informal discussions [see guidance notes] Designated person to use PDPR (link to Personal Development Plan) process to document under and set the necessary improvement objectives. NO Collate appropriate evidence: - Inform and demonstrate to employee that their level is unsatisfactory - Document the evidence that is not at the required standard - Document and set objectives for required improvement and agree an appropriate plan to meet them - Set and agree a realistic review period PDPR Process Inform employee if improvement is not made it may impact future PDPR reviews and could lead to disciplinary action YES After review period has passed, has the employee s improved? Cause diagnosed and addressed - has improved and been demonstrated. Employees should be monitored against maintaining this standard and no further action is necessary. NO Designated person to consider formal action [see guidance notes]. Has reasonable support been made to support improvement? YES Disciplinary process. Disciplinary action may be taken. Employee advised to this effect.
Appendix 2: Some Options for Learning Open less structured, informal interactive Structured, interactive, less formal face-to-face Directed, structured, formal face-toface Diagnostic Consulting Assignments Briefings/ demonstrations, presentations Action reviews Counselling Buddying Workshops Appraisal & reviews Critical friend Coaching/ mentoring Electronic/ & packaged Computerbased training Distance learning & packages/cd ROMS Courses Assessments elearning (including blended learning) Solo activities Learning logs Learning resource centres Reading Delegation Dialogue Business games Audits Reflective learning Deputising acting up Discussion Role play Benchmarking Tape video, audio, DVD Job rotation (job enlargement, redesign, enrichment, sharing, swap) Induction Case studies Development centres Writing MBWA management by walking about Observation and listening Questioning, asking Role models Shadowing Travel Video feedback Volunteering Large group interventions Interviewing Meetings Projects Research Supervision Task groups/ working parties Open learning Psychometric tests and instruments 360 degree feedback Peer review See learning recommendations contained within the PDPR Behavioural Competency Reference Guide for more job related ideas to development.