Introduction

1

Why do we need this Toolkit? The skills managers need How this Toolkit will help How to get the best out of the activities How the activities are organised The activities at a glance

1

3

5

6

10

13

Off-the-shelf programmes

14

Further resources

17

Activities to sell the benefits

19

1 Are you a modern performance manager? 2 What’s in it for whom? 3 Part of the problem or part of the solution?

19

25

31

Activities to clarify performance expectations

39

4 5 6 7 8

Identifying key performance areas Clarifying high performance Agreeing objectives and standards Keeping track of performance Performance management and your

management style 9 The elements of good performance 10 When performance is difficult to quantify 11 Competencies and effective appraisal

39

50

54

60

Activities to assess performance

93

12 Assessing performance 13 Avoiding bias

65

75

81

88

93

100

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CONTENTS

Contents

CONTENTS

Activities in face-to-face skills

107

14 15 16 17 18 19 20 21 22 23 24 25

107

114

122

129

135

142

146

152

160

167

177

183

High-quality feedback I High-quality feedback II High-quality feedback III Assertive appraisal I Assertive appraisal II Resolving typical appraisal problems Improving as an appraiser I Improving as an appraiser II Agreeing role clarity Agreeing objectives and performance standards 360-degree feedback I (appraiser-led) 360-degree feedback II (appraisee-led)

Activities in managing poor performers

189

26 Deciding if you have a performance problem 27 Identifying the reasons for poor performance 28 Investigating and assessing a performance

problem 29 Writing performance-improvement plans

189

194

205

209

Activities in developing staff potential

215

30 31 32 33

215

220

228

236

Roles and responsibilities in staff development The ‘added-value’ approach to development Developing staff without really trying I Developing staff without really trying II

Activities for appraisees

247

34 Attitudes to appraisal and performance management 35 Self-appraisal

247

252

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sample documentation

257

36 Making the case for a coherent performance-

management process I 37 Making the case for a coherent performance­

management process II 38 Making the case for a coherent performance­

management process III 39 Designing an appraisal process to fit your

organisation 40 Draft appraisal documentation 41 Appraisal-briefing session 42 Evaluating your appraisal process

279

286

326

354

Handouts

359

1 2 3 4 5 6 7 8 9 10 11

359

361

364

366

368

370

373

375

378

381

387

Clarifying performance expectations Agreeing objectives and performance standards Monitoring performance Assessing performance Avoiding unintentional bias Giving constructive feedback How to be assertive in discussions with staff Tips for a good appraisal and FAQs Tailored action to help under-performers Developing staff ability to perform well Participant’s learning log

257

265

274

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CONTENTS

PowerPoint presentation for making the case and

Why do we need this Toolkit? ‘Performance management’ is a big subject with both a general and a specific focus, so before we go into this Toolkit, let’s look briefly at the subject as a whole. That way, the focus of this Toolkit will make more sense. The general focus concerns how an organisation integrates a range of processes to create a coherent and ‘joined-up’ high-performance strategy. The processes can include recruitment, induction, training and development, promotion, leadership style, compensation strategy, performance appraisal, competencies, grievance and disciplinary policies, staff representation, diversity policy and so on. As you can see, this covers a massive range of human resources (HR) and training activities. Producing a single toolkit on all these activities would result in an unwieldy, generalised package of minimal value. Consequently, CIPD has a range of toolkits covering several of these headings, leaving this Toolkit to cover the specific focus. The specific focus concerns the quality of performance discussions and actions between managers and their staff. Even though I have included some activities that will help you design a coherent general strategy towards performance management, the Toolkit’s main focus is on those manager–staff discussions. Why is this focus so important? There are three important characteristics of today’s workplace which qualify this focus for special attention from HR and Training: 1 The constant pressure to improve people’s performance. In the commercial world, competition is getting stronger and coming from new sources, both geographically and technologically. In the public sector, there is not only increasing adoption of commercial practices and concepts, there is also a huge pressure on costs. Similarly, the voluntary sector is trying to make scarce funds go ever further. 1

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INTRODUCTION

Introduction

INTRODUCTION

2 The fact that in most modern, knowledge-based organisations, performance improvement comes from developing people’s knowledge, skills, attitudes, perspective and relationships rather than simply improving the procedures and practices they follow. Even in organisations where a lot of activities are process-controlled, we know that better performance comes when people use initiative, communicate better, resolve conflict themselves and so on. 3 The increasing recognition that the people in ‘pole position’ to affect staff development are managers. Managers can have a huge effect on staff performance and, by giving them performancemanagement skills, HR and training professionals can exert a huge influence on the performance of the whole organisation. One way in which HR and training professionals can do this is to give managers a good performance-appraisal process. (These processes go by a variety of names so, for the sake of convenience, I’ll use the word ‘appraisal’.) Irrespective of how good these processes are, however, their effectiveness is often restricted by two hard facts. First, managers’ enthusi­ asm for appraisal rarely matches that of HR/training specialists. Second, despite some training, managers are usually more skilled at the technical­ ities of their function than at working with their staff to manage and develop their performance. How many times have you heard people comment that their managers pay lip-service to appraisal? How many times have you heard feedback from staff that managers talk about their development but do not actually do anything of consequence? What is it that makes the difference between situations like these and ones where managers regard perform­ ance management as a natural part of their job and formal appraisal as a useful part of that process? The difference is less to do with the design of the appraisal documentation and more to do with the managers’ attitudes and skills.

2

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performance, HR and training specialists have a central role to play. By recognising first that what an organisation achieves boils down to the cumulative performance of each individual in it and second that the biggest single influence on individual performance at work is the inter­ action between them and their manager, we can affect organisational performance by affecting manager–staff interaction. If managers are given the skills to enhance the performance of their staff and the motivation to use those skills, they will enhance that performance and thereby that of the whole organisation. They will also benefit them­ selves because where managers improve the performance of their staff it benefits their performance too. The attitudes encouraged by these activities and the skills they develop will encourage your managers to play their full part in managing and developing the performance of their staff. They are relevant to all sectors, private, public and voluntary; to all organisations, small, local, national and global; and to all ‘staff’ whether they are permanent, temporary or subcontractors. They will also encourage HR and training specialists to shift their focus from appraisal as an ‘event’, a ‘document’ and a ‘formal process’ to appraisal as a continuous process – a management style. The greater incidence of appraisal systems, their frequent link to remuneration, the growing trend towards linking them to personal development and the increasing acceptance of managers as performance facilitators make that a necessity. We need to think of ourselves as ‘performance technologists’, giving managers the atti­ tudes and skills they need to develop maximum performance from their staff. The skills managers need The performance-management skills managers need are based on a simple premise – the ‘people’ part of a manager’s job is to connect staff’s motiv­ ation and behaviour to the results the organisation needs to achieve. After years of working with managers in a huge range of organisations, I have found only one way of doing that. It has five parts. 3

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INTRODUCTION

In summary, to respond constructively to the ever-increasing emphasis on

INTRODUCTION

1 Establishing a clear understanding of expected behaviour and performance levels. Most managers want better performance from their staff, but they don’t know how to explain to staff what they mean by ‘better performance’. Left to their own imaginations, staff interpret ‘better performance’ as ‘working harder’ and understand­ ably resist. Clarifying performance expectations involves much more than job descriptions, corporate-produced broad-brush competencies and the use (or often misuse) of SMART objectives. It involves man­ agers being very clear in their own minds exactly what differentiates acceptable, better than acceptable and less than acceptable perform­ ance and communicating that clarity to staff in a way that enthuses them. 2 Monitoring and assessing performance. Monitoring can be formal and informal and done by managers, staff themselves or even third parties, but, above all, it needs to be timely, easy to do, accurate and accepted by staff. When monitoring is done badly, it demotivates staff. Where it is done well, it becomes a catalytic part of the performance-management process. 3 Giving staff the best-quality feedback possible. Feedback comes in two broad categories: observations about what met or exceeded expectations and information about what fell short of expectations. Both categories, delivered at the right time and in the right way, are essential for performance development, but too many managers are unskilled at giving feedback and helping staff learn from it and, con­ sequently, it becomes an uncomfortable process which people subconsciously avoid. When managers are skilled at giving feedback, however (and this involves much more than the outdated ‘praise sandwich’), not only does it have a beneficial effect on performance, but the process of giving feedback becomes a relationship-building activity. 4 Correcting performance shortfalls. Sooner or later, most managers encounter a staff member whose performance or behaviour is below par. Handling such situations positively is a crucial performancemanagement skill because how a manager handles an under­ 4

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member, the motivation of the rest of the team and the manager’s credibility. 5 Building on performance successes and developing people to their full potential. Good people-managers develop their staff to contribute better within their current role and, where appropriate, for more challenging roles. They tend to do this, not by over-reliance on courses but by capitalising on the learning potential that comes from work itself, by coaching and by making development a continuous theme throughout the performance-management process. I am sure you will agree that these skills are vital to both formal appraisal processes and to effective management generally. How this Toolkit will help This Toolkit contains practical, participative and proven activities that address attitudes, skills and techniques. You can use them in meetings, ‘away days’, courses and workshops. You can even link several activities together to form an ‘off-the-shelf’ course (see pp14–16). It also gives you tools to: •

make a strong case to senior decision-makers for this training and appraisal in general;

•

show senior managers the necessity of a coherent performancemanagement strategy;

•

convince managers and staff of the value of formal appraisal;

•

design an appraisal process which managers and staff will support.

5

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INTRODUCTION

performer can have a huge effect on the performance of the staff

Overview Sometimes managers accept poor performance for far too long, with serious consequences for overall team performance, their credibility and the effectiveness of remedial action. The purpose of this activity is to highlight the dangers of this tendency and to give participants an opportunity to determine whether or not they have a performance problem to address.

Trainer’s notes Resources and time needed •

One large room with separate work areas, or separate rooms for each syndicate.

•

One set of briefing notes for each participant.

•

Handout 9, ‘Tailored Action to Help Under-Performers’, for each participant.

•

One flip chart.

•

1 hour.

Plan 15 mins

Introduction and Task 26.1 Introduce the activity using the Overview as your guide. Arrange the participants in small groups and issue each group with two sheets of flipchart paper. Direct participants to Task 26.1. Suggest they save the space in the briefing notes for the finished version after you have reviewed their flip charts.

10 mins

Review Task 26.1 Ask participants to hang the first of their sheets of flip-chart paper on the wall and review why managers sometimes fail to address performance 189

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ACTIVITY 26

Deciding if you have a

performance problem

DECIDING IF YOU HAVE A PERFORMANCE PROBLEM

problems quickly. (Typical answers are that they are too busy to notice it; they kid themselves it is not as serious as it really is; they are afraid of the consequences of raising the issue; they hope it will rectify itself in time.) Ask participants how many of these suggestions might apply to themselves. Ask participants to hang the second of their sheets of flip-chart paper on the wall and discuss the consequences of not addressing a performance issue quickly. (Typical answers include: the problem will get worse; it will be even more difficult to rectify the longer it is left; the new level of performance becomes the norm; the lower standard spreads to the rest of the team; etc.) Check that they are fully aware of the effect of these issues on their credibility as managers and even on the morale of the team. 20 mins

Task 26.2 Ask participants, again working in groups, to tackle Task 26.2.

15 mins

Review Task 26.2 Ask the groups to hang their sheets of flip-chart paper on the wall. Then review the lists, asking participants to point out any duplications that you can delete. Check that their amalgamated list includes the following: •

staff member requires excessive supervision;

•

staff member’s work requires unacceptable or frequent rectification or completion;

•

manager avoids giving staff member certain tasks because he/she cannot be relied on;

•

staff member’s quantity or quality of work creates bottlenecks;

•

when the staff member is given a new task, performance deteriorates unreasonably;

•

staff member’s judgement, problem-solving, decision-making, initiative, motivation, communication, etc, is below par;

•

staff member unreasonably avoids unpleasant tasks; 190

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staff member passes the buck – does not ‘own’ problems;

•

staff member frequently misses deadlines;

•

staff member avoids cooperation;

•

staff member’s attendance, sickness or punctuality record is below par;

•

staff member frequently takes extended breaks;

•

staff member is missing when certain tasks need to be done;

•

staff member avoids his/her fair share of the workload;

•

staff member’s standard of behaviour towards other people is below an acceptable level;

•

staff member’s behaviour causes conflict;

•

staff member expresses negative opinions in a manner or with a fre­ quency that causes disruption.

Ask participants to copy the final list onto their briefing notes and then to review it and determine whether any of their staff performs or behaves in such a way as appears on this list. If so, ask them: •

what the performance or behaviour they observe is;

•

what they are currently doing about it.

Ask them to rate their proactivity in the situation on a 1-to-10 scale on which 1 represents ‘no action’ and 10 represents ‘the matter is fully under control and being addressed’. Point out that if they do not score at least 8 on that scale, they should consider whether they are doing enough to manage performance problems. Also point out that if they want to avoid the problems listed in Task 26.1, they may have to consider more positive action: •

what the outcome they want is;

•

what the action is that will get them there.

If they register no current performance problems, ask them what they will do to monitor the situation (especially if their staff are geographically separated from them).

191

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ACTIVITY 26

•

DECIDING IF YOU HAVE A PERFORMANCE PROBLEM

Briefing notes Task 26.1 In your group, list all the reasons you can think of to explain why managers leave staff-performance problems too long, and produce a second list describing the consequences of failing to address performance problems quickly.

Reasons managers fail to address performance problems quickly

Consequences of managers’ failing to address performance problems quickly

192 This document can be downloaded from www.cipd.co.uk/tsm © Terry Gillen. Originated by the Chartered Institute of Personnel and Development. Copyright waived.

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List as many ways as you can think of in which a performance problem (including behaviour problems) might manifest itself.

Ways performance and behaviour problems show up

193 This document can be downloaded from www.cipd.co.uk/tsm © Terry Gillen. Originated by the Chartered Institute of Personnel and Development. Copyright waived.

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ACTIVITY 26

Task 26.2

IDENTIFYING THE REASONS FOR POOR PERFORMANCE

Identifying the reasons

for poor performance

Overview Because managers have overall accountability for the performance of their staff, they are bound to encounter situations where performance is less than acceptable and where remedial action is required to get performance back on track. Doing so is easier if managers first understand the main reasons for under-performance so that they can take the most appropriate action. This activity enables them to understand what the reasons for under­ performance might be and to apply that understanding to case studies and, finally, to their own situations.

Trainer’s notes Resources and time needed •

One large room with separate work areas, or separate rooms for each syndicate.

•

One set of briefing notes for each participant.

•

Handout 9, ‘Tailored Action to Help Under-Performers’, for each participant.

•

One flip chart.

•

2 hours.

Plan 20 mins

Introduction and Task 27.1 Introduce the activity using the Overview as your guide. Ask participants what kind of situations they have encountered in which they have had to address a staff member’s under-performance. Ask them to speculate on the implications of accurately identifying the under-performance but then selecting inappropriate remedial action. 194

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understand the four main reasons for under-performance, will be able to identify the most appropriate remedial action for each reason and will be able to apply that information to their real-life situations. Arrange the participants in small groups and direct them to Task 27.1. 30 mins

Review Task 27.1 List each reason on a sheet of flip-chart paper and hang them on a wall. Allocate responsibility for one reason to each group and record their suggestions on the appropriate sheet, modified if necessary to comply with the information below:

Reason for poor performance

Indicators

Remedial action

He/she does not know what • past performance you want him/her to acceptable; achieve. • performance on other tasks acceptable; • current deterioration of performance coincides with new task; • frequency with which staff member checks with manager is relatively high; • no record of role clarity having been established.

This is a communication

He/she knows what you want him/her to achieve but lacks the ability or aptitude to achieve it.

This is a learning problem. Train and/or coach him/her. If he/she cannot perform after training/coaching and under close supervision, it is an aptitude problem. Consider redeploying the person or reallocating the task.

• performance on other tasks acceptable; • task is new to employee; • no record of training or coaching on this task; • performance on other tasks acceptable; • task is new to staff member; • performance below required standard despite training or coaching.

problem. Take him/her through the key-area approach (see Activity 4, pp39–49) and agree objectives and performance standards (see Activity 6, pp54–59).

195

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ACTIVITY 27

Explain that by the time they have completed this activity they will

IDENTIFYING THE REASONS FOR POOR PERFORMANCE

Reason for poor performance

Indicators

Remedial action

He/she knows what you want him/her to achieve and has the ability to achieve it but lacks control over significant factors affecting performance.

• performance on other tasks acceptable; • staff member usually responds to new tasks; • staff member dependent on other people for all or part of task; • task or procedures changed recently.

This is an interference problem. Find out what the problem is and tackle it.

• performance on other tasks acceptable; • no record of role clarity having been established; • behavioural evidence of lack of understanding;

This is a communication problem (see remedial action above).

He/she knows what you want him/her to achieve, has the ability and control to achieve it, but does not want to achieve it. This could be because: (a) he/she does not understand why it is important;

(b) he/she holds views, • behavioural evidence of values or beliefs contrary to contrary views, values or those necessary for effective beliefs; performance;

This is an attitude problem. Check to see if he/she can perform acceptably under close supervision. If he/she can, it is an attitude problem – he/she does not want to perform! Counsel him/her, point out the consequences of under-performance and let him/her try again.

(c) he/she is suffering outside-work problems which he/she cannot help but ‘bring to work’ with them.

This is a personal problem. You may need to seek skilled counselling. Contact your HR manager.

• past performance acceptable; • performance deterioration has happened relatively quickly.

196

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Task 27.2 When participants understand these reasons, indicators and remedial actions, move on to Task 27.2. Explain that some performance problems are clear-cut while others are less straightforward. For that reason, you are going to ask them to examine four scenarios, and for each one to: •

state what kind of performance problem it is;

•

explain how they would know it is that kind of problem (if it could be more than one type of problem they should describe what they would do to check which it is);

•

describe remedial action they would recommend.

(Note: participants will find it helpful if you run through the first case study as a demonstration, leaving them to tackle the remaining three.) Ask them to stay in groups and to tackle Task 27.2. 20 mins

Review Task 27.2 Allocate one case study to each group and ask a spokesperson to describe their conclusions. Ask the other groups to explain any differences of opinion. Summarise the situation for each scenario using the following notes as a guide: 1 Chris

Chris has done the job well in the past and so is known to have the ability and aptitude. If checks for interference and outside-work problems reveal nothing, we have to assume that the likely cause is disappointment at not being promoted to office manager. It is, therefore, an attitude problem.

2 John

Judging by his success in his previous job and the assessment at the

end of the six-week course, John knows what to do.

It is unlikely to be an interference problem because no other inspectors

are affected.

There are no indications of any outside-work problems.

We probably have to conclude that John’s practical ability or aptitude is

lacking.

On-the-job observation of John and demonstration by him will reveal

which it is.

197

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ACTIVITY 27

20 mins

IDENTIFYING THE REASONS FOR POOR PERFORMANCE

20 mins

3 Phil

Customer care is a new requirement, and Phil has never been asked to work this way before – in fact, his outstanding technical ability is reaffirmed time and time again. There is no reference to any customer-care training or briefing. The likely cause is that he does not know that his job requirements have effectively changed. We can check this by asking him. If it is confirmed, we will have to either communicate it to him or train him in this new requirement.

4 Fiona

Fiona’s technical knowledge is good.

The communication side of the job (a new requirement to her) appears

to be lacking.

Check to see if this is the area of incompetence.

Coach her and see if she can then demonstrate the right

communication skills.

If not, it is an aptitude problem and you may have to redeploy her.

Task 27.3 When you have reviewed Task 27.2, move on to Task 27.3. Suggest to the participants that examining fictitious scenarios can illustrate important points and that, to capitalise on their learning, you will now ask them to apply what they have been considering to their own reallife situations. Explain that there are alternative ways to do that, such as: •

to examine a current situation involving a poor performer and determine what action you will take to pinpoint the cause of the poor performance and remedy it;

•

to examine an old situation involving a poor performer and describe the action you took (indicate what you did that was correct and specify what you would do differently next time);

•

to identify any potential performance problems in your team and determine what you will do to act early and solve them before they materialise.

Leave the choice to individual participants and direct them to Task 27.3. 198

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Review Task 27.3 Review a selection of participants’ proposed actions to check they are planning to implement what they have learned.

199

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ACTIVITY 27

10 mins

IDENTIFYING THE REASONS FOR POOR PERFORMANCE

Briefing notes Task 27.1 Listed below are the four main reasons for poor performance. In your groups, determine: •

how, in a problem situation, you would identify the correct cause (what questions would you ask, what would you check, etc);

•

the most appropriate remedial action for a manager to take once each cause has been identified.

Reason for poor performance

Indicators

Remedial action

1. He/she does not know what you want him/her to achieve.

2. He/she knows what you want him/her to achieve but lacks the ability or aptitude to achieve it.

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Indicators

Remedial action

3. He/she knows what you want him/her to achieve and has the ability to achieve it but lacks control over significant factors affecting performance.

4. He/she knows what you want him/her to achieve, has the ability and control to achieve it, but does not want to achieve it. This could be because: • he/she does not understand why it is important; • he/she holds views, values or beliefs contrary to those necessary for effective performance; • he/she is suffering outsidework problems which he/she cannot help but ‘bring to work’ with them.

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ACTIVITY 27

Reason for poor performance

IDENTIFYING THE REASONS FOR POOR PERFORMANCE

Task 27.2 Consider the scenarios listed below and • identify the reason behind the poor performance; • identify the remedial action you would recommend.

Scenario

Recommended action

Chris is an administrative assistant in an office. He has been in the job for 15 years and, because of his knowledge and job performance, was widely regarded as being the natural successor to the office manager when he retired. Instead, on the office manager’s retirement, the divisional director appointed a young woman, Anne, from another department, to manage the office. That was three months ago, and Chris’s performance and behaviour have both deteriorated to an unacceptable level. John has been promoted from an office role processing safety inspectors’ reports to being an inspector himself. This means he now has to visit small firms within a defined territory, evaluate their adherence to relevant safety legislation, compile a report on his findings, gain the proprietor’s agreement to implement improvements and, where appropriate, pursue matters through the courts. John received the six weeks’ training for new inspectors (which is regarded as generous for people promoted from within). He passed the final assessment and then took over his territory. At the threemonthly review, his manager noticed that his output has been less than any other inspector’s, a surprisingly high number of court cases failed, and the number of complaints from proprietors is higher than usual.

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Recommended action

Phil is an on-site repair engineer rectifying faults in gaming machines rented to pubs and clubs. He is one of the most technically competent of the engineers, has a quick mind and loves problems – the more technically complex the better. Other engineers frequently call him in to help with problems they cannot solve themselves. Three months ago the company began sending satisfaction questionnaires to customers. Apparently, satisfaction ratings for most of the engineers are poor, and for Phil in particular they are dreadful. Yet his manager regards him as his best engineer. Fiona joined the technical support team of a computer company six weeks ago with good references from the programming department. She now provides technical support to customers over the telephone. The manager tested her technical knowledge and was impressed. In the past few weeks there have been an increasing number of poor satisfaction ratings from customers all relating to Fiona. During a coaching session with her manager, it was plain that she knew her stuff technically but was unable to put it across verbally, causing her to become increasingly flustered and frustrated that customers could not understand her.

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ACTIVITY 27

Scenario

IDENTIFYING THE REASONS FOR POOR PERFORMANCE

Task 27.3 Now is the time to apply what you have learned so far in this activity to your jobs. There are alternative ways to do that. The main ones are: •

to examine a current situation involving a poor performer and determine what action you will take to pinpoint the cause of the poor performance and remedy it;

•

to examine an old situation involving a poor performer and describe the action you took (indicate what you did that was correct and specify what you would do differently next time);

•

to identify any potential performance problems in your team and determine what you will do to act early and solve them before they materialise.

Select one of these ways and explain it to the other members of your group. There is space for notes below. When they are explaining their ways to you, ask questions to explore their thinking – that will help them fine-tune their actions.

Notes

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Overview For managers to know in their hearts that a performance problem exists is not enough. They need to be certain that one exists, and they need to be able to prove that certainty. To be fair to their employer, themselves and their staff and to prove that they have acted reasonably, they need to be able to show that they have investigated and assessed a performance problem thoroughly and accurately. This activity shows them the extent of the information they need to assess.

Trainer’s notes Resources and time needed •

One large room with separate work areas, or separate rooms for each syndicate.

•

One set of briefing notes for each participant.

•

Handout 9, ‘Tailored Action to Help Under-Performers’, for each participant.

•

One flip chart.

•

50 minutes.

Plan 5

mins

Introduction and Task 28.1 Introduce the activity using the Overview as your guide. Ask participants what might happen if a poor performer is given a performanceimprovement plan, or even disciplined, without the manager having first carried out a thorough investigation of all the relevant facts. (The performance-improvement plan is unlikely to be accepted, disciplinary action may cause a formal grievance to be initiated – with a negative 205

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ACTIVITY 28

Investigating and assessing a performance problem

INVESTIGATING AND ASSESSING A PERFORMANCE PROBLEM

effect on manager–staff relationships – and, should the matter reach an industrial tribunal, the manager will have a much weaker case.) Explain that a lot of the information we need to investigate and assess is no more than common sense if we stop and think about it, so that is what you want them to do – stop and think about it. The result will be that in situations where they have to improve someone’s poor performance, they will be confident that they are acting professionally, thoughtfully and fairly. 15 mins

Task 28.1 Arrange the participants in small groups and ask them to tackle Task 28.1. Ask them to produce their list on a sheet of flip-chart paper.

30 mins

Review Hang the sheets of flip-chart paper on a wall and ask participants to tell you which items to delete to avoid duplication and which to rephrase to make the action more precise. Suggest any items you feel they may have missed (from the list below), and ask them what might be the consequences of not including those items. Ask participants about their experience of situations in which performance problems have been insufficiently investigated or assessed, the consequences of that insufficiency and what might have happened if the manager had used this checklist. Ask participants how they will use the checklist.

When investigating and assessing situations of poor performance, managers should check the following points: •

Has the role-clarity process taken place and been documented?

•

Is performance feedback adequate and timely?

•

Has training and coaching been documented?

•

Has the staff member demonstrated acceptable performance on other tasks or at other times?

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Does the member of staff have the ability and aptitude to perform adequately?

•

How has this been demonstrated?

•

How serious and frequent is the problem, and what are its consequences?

•

Are there any unusual circumstances affecting this member of staff?

•

How long has this member of staff been employed in the organisation and in this job?

•

What is his/her track record?

•

What action has been taken in the past within the organisation when similar problems have arisen?

•

To what extent can the member of staff have sufficient control to perform satisfactorily (eg, time, authority, tools and resources, information, procedures)?

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ACTIVITY 28

•

INVESTIGATING AND ASSESSING A PERFORMANCE PROBLEM

Briefing notes Task 28.1 Create a list of items that managers need to check when investigating and assessing poor performance situations to ensure that any actions they take subsequently are fair, reasonable and appropriate.

When investigating and assessing situations of poor performance, managers should check the following points:

208 This document can be downloaded from www.cipd.co.uk/tsm © Terry Gillen. Originated by the Chartered Institute of Personnel and Development. Copyright waived.

A free sample chapter from Performance Management and Appraisal by Terry Gillen. Published by the CIPD. Copyright © Terry Gillen 1999, 2007 All rights reserved; no part of this excerpt may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission of the Publishers or a licence permitting restricted copying in the United Kingdom issued by the Copyright Licensing Agency. If you would like to purchase this book please visit www.cipd.co.uk/bookstore.