Office of the Commissioner for Public Employment COUNSELLING. for better work performance

Transcription

1 Office of the Commissioner for Public Employment COUNSELLING for better work performance Northern Territory Government

2 Contents Introduction Performance Management Page 1 Feedback Page 4 Moving from feedback to counselling Page 6 Counselling Checklist Page 10 Occupational stress arising out of feedback and counselling Page 12 Other relevant publications Page 13 Further information Page 13

3 I ntroduction While the Northern Territory Public Sector has undergone significant reform to its financial management and organisational structures in recent years, there is still much to be done towards achieving a working environment in the Public Sector which truly fosters and encourages innovation and flexibility. To reach the levels of performance needed to take us into the next century and beyond, effective strategies for managing people need to be an integral part of work place culture. Future strategies will need to incorporate the principles of occupational health and safety and look to the relationship between management systems, work processes and employees. Sometimes performance can slip below the required standard. Feedback and counselling are an integral part of addressing these problems if we are to achieve high performing organisations. Managers need to be aware of the link between feedback and counselling and occupational stress. The advantages of applying occupational health and safety principles as well as human resource management principles to the counselling process are twofold: fewer occupational stress claims, with consequent reductions in workers compensation liability; and greater opportunities for positive outcomes and future improved performance. This publication is intended to provide managers and supervisors with an outline of their responsibilities and with advice about best practice in relation to work performance counselling, including strategies to reduce the likelihood of employees experiencing a stress response as a result of counselling. This booklet deals primarily with performance counselling as a formal process in relation to assessment and monitoring of an individual s work performance, but also contains advice on how to provide effective feedback via an informal process. The term counselling is used in the sense of assisting employees to achieve and maintain a satisfactory standard of work performance and should not be confused with the type of counselling provided by professionally qualified counsellors. Managers and supervisors are not expected to be psychologists and they should not try to solve difficult personal problems which their staff may experience. The Employee Assistance Service is able to deal with such problems and managers and supervisors should make use of those resources where appropriate. I think you will find that this publication will help you to make the right moves in managing your team s performance. ( Original signed by D J Hawkes) D J HAWKES Commissioner for Public Employment February 1999

4 Performance M anagement Responsibilities of Managers Performance management, in the context of people management, is about helping employees to work more effectively and, by improving individual and team performance, increasing the overall effectiveness and productivity of your agency. Effective managers and supervisors are good people managers. It is your responsibility to foster a workplace culture which can maximise and maintain an optimum level of work performance. To do so, it is essential that you establish clear communication with your staff. Counselling and feedback are two very important tools that you can use in that process. As a manager, it is your responsibility to continually monitor the way your staff are performing and provide them with appropriate guidance and support. It is easy to take good work for granted and only provide negative feedback when something goes wrong. But if employees are to feel that their work has value their achievements must also be acknowledged. Regular, positive feedback can be a powerful tool to motivate staff and enhance performance. Characteristics of effective performance management Managers provide leadership and integrate performance management with other aspects of their work. That staff understand that their performance directly contributes to the ongoing success and viability of their agency. Individual and team responsibilities and their performance are clearly linked to the attainment of program and corporate goals and the needs of clients. Individuals and teams have a clear understanding of their work responsibilities and the standards of work expected of them. Individuals and teams meet the standards of behaviour expected of public sector employees. Managers monitor and assess the performance of their staff. Individuals and teams receive regular feedback on performance in relation to program and corporate goals. Page 1 Counselling for Better Work Performance

5 Managers make use of the potential of all their staff and develop their skills by encouraging individual career planning. Improved and valued performance is recognised and rewarded. Managers seek to improve poor performance and address continuing poor performance. Establishing effective and regular communication with your staff will enable you to assist them to identify any training they may require to improve their work performance and will also provide you with the opportunity to assist in their career development. A personal development plan can be a useful tool to help your staff to realistic training and development goals. Performance problems can sometimes result from factors other than the capacity or willingness. Limited resources, inappropriate job design and inefficient or outmoded procedures are among a range of things that may contribute to poor performance. Regular discussions with your staff will give them the opportunity to bring such factors to your attention, and they are likely to be more willing to accept the measures taken to address such problems if they have been able to participate in developing solutions. The purpose of both counselling and feedback is to provide your staff with the information, advice and assistance they need to contribute fully to the achievement of your organisation s objectives. How an employee performs in the future will often be influenced by feedback on the way in which they have performed in the past. Where the required contribution is not met you need to demonstrate that you have made an appropriate effort to assist them. Feedback is generally informal and involves you and your staff member exchanging information in a broad range of situations about how you can best work together to achieve the goals of your organisation. Feedback ranges from verbal comments on performance to written reports, such as probation, performance management or referee reports. Counselling is a formal process, initiated when an employee has not responded to advice and assistance you have provided on a less formal basis, and will usually involve you taking the following steps: advise in advance that a discussion about their work performance or conduct is to be held at a given time and place, with sufficient notice to enable you both to come to the discussion prepared; arrange for the meeting to be held in private, a support employee may be present, as well as someone you may have asked to attend as an observer; and keep a written record of the meeting. Many situations involve a combination of the two, or a progression from feedback to counselling. For example, when assessing how a probationer is performing, you are expected to provide feedback to communicate clearly what is expected in terms of work performance and conduct and regularly inform the extent to which those expectations are met. Counselling for Better Work Performance Page 2

6 You also provide written feedback by completing probation reports. If however, despite having given the probationer an appropriate level of advice and assistance, you identify a problem with work performance or conduct, you may also need to initiate counselling. The following are particular situations where counselling and/or feedback may be appropriate: as part of a regular system of performance feedback; assessing the performance of a probationer; in the context of performance appraisal; assessing staff training and development needs; in connection with a referee s report; after a selection process; if an employee is planning to retire or resign from the service; where there is a decline in work performance; where the standard of conduct is not being met; where there has been particularly good performance; where a difficulty has been overcome; or to maintain continuing good performance. While it is important to encourage improved performance in those not functioning to the required standard, you should try to adopt a balanced approach by also recognising and rewarding good performance. Formal performance appraisal schemes provide an opportunity to recognise and reward good performance but there are many other informal opportunities, such as annotating an employee s work with positive comments, especially if those comments will be seen by senior management; taking a few moments at a meeting to acknowledge good work; allowing an individual to take on more challenging and responsible tasks; or praising good work in the presence of senior management. Motivating your staff is an essential part of the job of managing. Recognition can be an important element of motivation. When stress becomes an issue All workers experience some degree of stress. Whether occupational stress causes illness however, depends on a range of factors, including how their workplace is managed. Research by the Work Health Authority suggests that while feedback and counselling can be important tools to reduce occupational stress, if these processes are poorly managed, claims for workers compensation can arise. Page 3 Counselling for Better Work Performance

7 Feedback To be fully effective, feedback should be: based on open, two-way communication; timely and regular; factual and specific; understood; honest and constructive; and followed up. Open, two-way communication A feedback discussion should be a two-way process giving an employee the opportunity to express their views on their own and on your performance. You need to receive upwards feedback from your staff in order to accurately gauge how well you are fulfilling your own responsibilities. By giving consideration to upwards feedback you can reinforce the message that individual contributions to team performance are considered. If you have a concern about work performance it is usually more effective to work with the employee to develop a solution rather than attempt to impose one from above. A co-operative, corrective approach will frequently achieve the best result. If feedback is balanced and constructive, your staff are more likely to respond to concerns about their performance with an effort to improve. Timely and regular Feedback is more effective if given on a regular, continuing basis. It need not, and should not, be limited to structured processes. Any concerns you have about performance or conduct should be addressed promptly. Early intervention can often prevent more serious problems developing. Similarly, good performance should be promptly recognised. Factual and specific You should focus on measurable performance. Avoid making unsubstantiated judgements. Give tangible, specific examples whenever possible rather than generalising. You should also ensure that any information that you provide is accurate. Counselling for Better Work Performance Page 4

8 Understood Your staff need to understand why you are giving them feedback and that their individual performance is linked to the achievement of corporate objectives. It is also important if you identify an aspect of performance that requires improvement, that you make the employee clearly aware of the established standards and in what way you consider that they are not being met. When you talk to staff about their performance you should clearly articulate your reasons for doing so and outline possible action that may result if there is no improvement. Problems may arise if managers and staff place differing interpretations on a discussion. In some cases a manager may feel that they have counselled an employee while that employee is under the impression that nothing more than a routine discussion had taken place. Inform the employee prior to any discussion what issues you wish to discuss with them and give them an opportunity to discuss it immediately or make another time (although you should not allow the discussion to be deferred for an unreasonable period). Constructive You should be honest, but not coercive or offensive. Frame the discussion around ways to improve performance rather than focusing solely on problems or perceived shortcomings. In many cases, even experiencing performance problems, there will be a particular task or tasks which are performed well. If you open the discussion by touching upon these positives, and then move on to the areas which require improvement, frequently a more constructive outcome can be achieved. Follow up Little will be achieved if feedback is not followed up. You need to continually monitor and evaluate the performance of your staff. When, following a feedback discussion, you agree on a course of action to improve performance, e.g. to investigate the possibility of providing training or developmental opportunities, it is important that you follow up on your commitment. lt is equally important for staff to be committed to improvement and to follow up on the actions to which they have agreed. By acknowledging the achievements of your staff, and ensuring that they have as much information as possible about the work they do and what is required to do it better, you should be able to increase their motivation to perform well. Page 5 Counselling for Better Work Performance

9 Moving from feedback to counselling When to counsel Determining at what point a decline in work performance or a failure to observe the appropriate standard of conduct warrants formal counselling is a matter for your judgement. It is not always easy to decide when to move from providing informal comments to a more formal approach. However, when you do decide to take that step, make sure that you begin documenting the steps you are taking to address the situation. By intervening at an early stage you can often prevent a problem escalating and requiring more serious and possibly disruptive action further down the track. If you encourage a free flow of information in the workplace and open two-way communication is the norm, it will be easier for you to identity performance problems when and if they do arise and deal with them promptly. A good management style will not eliminate performance problems, but good workplace communication should help identify some problems early, so you can do something about them. Who should give the counselling In most cases it is your responsibility as a manager or supervisor to provide counselling to your staff in relation to work performance and conduct. However, in circumstances where performance is affected by factors outside the workplace, for example if an employee has difficulties in their private life, it may be appropriate, after an initial discussion, to refer the employee to a counsellor at the Employee Assistance Service (EAS). EAS is a free, confidential counselling service to assist in resolving personal and work issues that are affecting work performance. EAS has offices in Darwin, Katherine and Alice Springs. Counsellors regularly visit Tennant Creek, Jabiru, Groote Eylandt and Nhulunbuy. Telephone counselling can be arranged in other locations. For more details phone EAS on Counselling for Better Work Performance Page 6

10 A referral to EAS should be arranged only with the individual s consent. This does not mean that you should back away from the problem, but you should focus on ways to improve performance at work and not attempt to solve problems that may be occurring in the individual s private life. In most cases, managers or supervisors are not qualified to take on such a role. If you are faced with having to give critical feedback about performance and you feel uncertain about your approach, you may wish to consult a more senior manager or contact your human resources area to obtain advice on how to best frame the discussion. Where should you counsel and who should be present Generally, people should be praised in public and criticised in private. However, some may be embarrassed by unexpected public praise, and so you need to be aware of this and use your own judgement when delivering positive feedback. It is advisable to first let the employee know they have done a good job and then, for example, tell them that you intend to mention this at the next staff or management meeting. Where formal counselling is to be done, the discussion should ideally be held in a place which is private and free from distractions. Your office may be appropriate but depending on the situation, a more neutral meeting place away from the immediate work area may be preferable. Where possible, a suitable time for the discussion should be agreed in advance and sufficient notice given to allow both yourself and the employee to prepare adequately. While it is desirable to give sufficient notice to prepare for a counselling session, there may be occasions when you decide that behaviour warrants immediate action, particularly when the behaviour is causing disruption to other staff. A counselling discussion usually involves a manager or supervisor and a staff member, but in some situations you may find that an employee requests the presence of a support employee or independent observer. You may also wish to have an observer present. An employee or persons attending a session in this capacity would not normally take part in the discussion and their presence and role should be clarified before the session commences. The importance of agreed outcomes To achieve the best results, counselling, like feedback, should be based on open, two-way communication. You should work together to generate an agreed plan of action establishing and articulating the needs of both the manager and the staff member. Focus on future outcomes rather than dwelling too much on what has happened in the past. Your aim is to produce an improvement in performance or conduct and for this to happen you have first to agree that an improvement is required and then on the steps which should be taken to achieve it. It is also important that you establish a time frame to achieve the agreed goals and then to review the success of your strategy. Recording the discussion If you initiate a counselling session in relation to poor work performance or conduct you should keep a formal record as evidence for both parties of what has occurred and as a basis for future action (e.g. training and development) or to show that counselling has taken place if a formal process is later commenced. Page 7 Counselling for Better Work Performance

11 Matters raised in a counselling discussion should be treated confidentially. You should inform the employee that you will be making a recording of the discussion, for what purpose and who will have access to it. You should make the record as soon as possible after the meeting while your recollection of the events is still fresh. It will depend on the seriousness of the situation under discussion how much detail you record but you should include relevant facts, such as the names of those present, the date and location, the reason for the discussion and the main points covered including the positives, and any agreed actions or outcomes, including time frames. You should not include unnecessary details about an employee s private life. Both you and the employee should sign the record, unless the employee believes that the record is not an accurate reflection of the discussion, in which case they may attach their own signed version of the meeting. If others are present as observers you should also ask them to sign. Disclosure and storage of records You are responsible for storing the record securely, using an in-confidence file and preventing any unauthorised access. You should generally inform an employee if you are disclosing or referring a record of counselling to a third party except where this is for a routine purpose or where explained at the time of counselling. If you consider that a formal process such as discipline or inability may be necessary, you may need to pass counselling records to your agency s human resources area. If, while reviewing an employee s conduct or work performance, the responsibility for their supervision passes to another manager, it will usually be appropriate to pass on your records. This is particularly important in cases involving misconduct or inefficiency as in these cases there is a need to clearly establish what counselling and feedback has taken place. The processes can be unnecessarily prolonged if changes in supervision result in a lack of continuity in the recording of such action. You should be aware that any records of counselling that you create may be required to be produced in appeal or legal proceedings. What are the options if counselling doesn t achieve the expected outcome The expected outcome of counselling is in most circumstances an improvement in work performance or conduct. If conduct or work performance does not improve in response to counselling there are a number of options available. These include: rearranging duties; transfer to an area where skills may be better utilised; voluntary transfer to a lower designation; inability procedures; or disciplinary action, in cases of misconduct / breach of discipline. Counselling for Better Work Performance Page 8

12 If you are considering inability or disciplinary action you should first read Employment Instruction No.6, Inability to Discharge Duties and Employment Instruction No.7, Discipline, and you should contact the human resources area of your agency for advice on any additional procedures which may be relevant to your agency. It is essential to address problems with performance or conduct when they arise. Used appropriately the formal processes can be effective in dealing with under performance and misconduct and produce an outcome which is efficient both in terms of maintaining productivity in your workplace and in reducing the negative effects of a protracted, unsatisfactory work situation. There needs to be a balance between treating people fairly and equitably and your responsibility for maintaining the effectiveness of your workplace, bearing in mind the impact poor performance may have on others. Counselling and Inability Inability is distinct from discipline, as the performance problem may be due to factors outside of the employee s control. Indications of inability usually occur over a period of time whereas breaches of discipline usually arise from specific acts or omissions. If you believe performance is not meeting the required standards you should: make clear where work is below standard and set goals for improvement over an agreed period; make records of counselling sessions, signed by both parties; and provide the opportunity to explain any reasons for poor performance. You must use your own judgement to determine how long a period to allow for improvement once you have identified a performance problem but it is best to deal with the issue in a pro-active way. Counselling and Misconduct If you believe that conduct does not meet the required standard you should first raise the issue informally. Drawing attention to the problem may be all that is required. If however, the behaviour in question does not subsequently improve it may be necessary to arrange a more formal discussion to ensure that the employee clearly understands what the expected standards are and how he or she may have fallen short of those standards. You should also make the employee aware of the possible consequences if there is still no improvement, i.e. disciplinary action. In arranging such a discussion the points listed in the preceding paragraph may be a useful guide. Note that this does not apply to serious misconduct where you must take discipline action immediately. Page 9 Counselling for Better Work Performance

13 Counselling Checklist The following points may be a useful reference when undertaking counselling. Before the counselling discussion Assess the situation. Establish in what way performance does not meet the required standard. You will need to first identify the duties to be performed and the standards against which performance is to be measured, e.g. timeliness, quantity of output, standard of written work, etc. You should also ensure that these standards are applied equitably across your work area. Gather factual information to support your assessment, including specific examples if possible. Determine to the extent possible, whether there are factors outside the workplace which may be causing the problem. Consider your approach. Think of some open-ended questions which will encourage the employee to discuss the problem. If you are not confident of handling the counselling, you may need to seek guidance, e.g. from your agency s human resources area. Arrange a venue suitable to the employee and yourself, bearing in mind the need for confidentiality. Notify the employee of the arrangements, giving them sufficient time to prepare for the discussion, including, where possible, sufficient time to arrange for a support employee to be present. Depending on circumstances, provide them with copies of any relevant written material you intend to discuss. During the counselling discussion Explain the reason tor the counselling. Explore the possible relevance of factors outside the workplace. You should bear in mind that an employee may, for a variety of reasons, choose not to disclose such factors, in which case you can only base your assessment on available evidence. You should, however, encourage disclosure if it will assist in achieving a positive outcome. Advise the employee what (if any) records are to be kept and for what purpose they will be used and who will have access to them. Counselling for Better Work Performance Page 10

14 Discuss During the discussion: focus on work related issues; ask open questions you can keep the discussion moving by asking questions that invite an employee to talk rather than closed questions that can be answered yes or no ; be constructive look to the future and means of improvement; communicate and listen actively; and discuss possible solutions. Closing the counselling discussion Summarise briefly, in your own words, what you think are the salient points of the discussion. This lets the employee know whether or not you understand what they are saying. Agree on a plan of action. Agree on a timetable for implementing that action and reviewing the results. Make a record of the discussion, including any action agreed upon and time frames. Invite the employee to sign the record if they agree with the content, or to make comments or submit additional comments regarding the meeting if they do not. Keep the record in a secure place. After the counselling discussion Follow up on any action which has been agreed upon, either by undertaking action yourself (i.e. assisting with on-the job training or exploring training opportunities) or monitoring and reviewing action to which the employee has agreed. Page 11 Counselling for Better Work Performance

15 Occupational stress arising out of feedback and counselling Providing negative feedback to, and counselling staff, can be stressful on both employees and managers. Being prepared in advance for possible staff reactions to feedback and counselling can greatly assist the effective management of staff. Planning the discussion and trying to anticipate the staff member s reactions and your response can be helpful. If the employee becomes distressed you should have a strategy to manage the situation. Your human resources area can provide advice and guidance on such strategies, e.g. help from EAS and in particular difficult cases of conflict, using a skilled mediator. If the employee does not attend work on the following day it is essential that the organisation implement an early intervention strategy, such as referral to the EAS or, a further meeting to address unresolved issues. Workers compensation claims for occupational stress arising out of counselling and staff feedback Claims for workers compensation for occupational stress can arise out of counselling and feedback sessions particularly where there has been: failure to afford procedural fairness to the employee (including not giving an employee an opportunity to present their reasons for poor performance); inadequate communication between supervisors and staff on expectations; failure to adequately explain to an employee what the issues of concern are before imposing penalty; or conflict between supervisors and an employee on a variety of issues including differing expectations on performance. The Work Health Authority has produced a booklet called Managing Stress in the Workplace, A Practical Guide for Managers. The booklet provides information on the causes and consequences of excess stress in the workplace, and it also details control measures aimed at reducing risks. Counselling for Better Work Performance Page 12

16 Other relevant publications Public Sector Employment and Management Act Employment Instruction No.s 2. Probation 3. Natural Justice 4. Performance Management 5. Medical Incapacity 6. Inability to Discharge Duties 7. Discipline Office of the Commissioner for Public Employment Publications Information Series No.s 1. Workplace Stress 3. Giving and Receiving Feedback Work Health Authority Publications Managing Stress in the Workplace - A Practical Guide for Managers Further information For further information please contact the Office of the Commissioner for Public Employment Telephone: (08) Facsimile: (08) ccmail: website: commissioner.public_employment@nt.gov.au Public_Employment Commissioner Page 13 Counselling for Better Work Performance

17 Acknowledgment is given to the Public Service & Merit Protection Commission Comcare Australia & the Department of Prime Minister & Cabinet AGPS for the original development of this material, Counselling for Better Work Performance: Advice for Managers published 1997, Commonwealth of Australia copyright reproduced by permission.