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Handling performance issues & difficult conversions
This document provides guidance to managers at Fujitsu on addressing performance issues and having difficult conversations with employees. It outlines a five-stage performance improvement process (PIP) that includes early recognition of issues, notification to employees, observation, warnings, and potential conclusive action like termination. The document also discusses providing regular feedback, clarifying expectations, and using a PEER methodology of planning, expectations, engineering solutions, and review when managing performance. Managers are advised to properly document all conversations and use a structured process to identify, address and monitor any unsatisfactory behavior or performance.
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Handling performance issues & difficult conversions
- 1. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Handling Performance Issues & Difficult Conversations Managing@Fujitsu Program Facilitator
- 2. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Workshop objectives To identify when and how to address performance issues Benefits of providing regular feedback, planning to address, conducting the review, establishing performance measurement, monitoring for success Your role as a people manager in the performance management process The tools available INTERNAL USE ONLYINTERNAL USE ONLY Copyright 2010 FUJITSU1
- 3. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Groundrules Participate fully Confidentiality Keep to time Ask, challenge, bring your ideas - be aware of others Have fun INTERNAL USE ONLYINTERNAL USE ONLY Copyright 2010 FUJITSU2
- 4. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Introductions Name Current position and business group How long in the manager role What are some of the key performance issues you have had to deal with in your role? INTERNAL USE ONLYINTERNAL USE ONLY 3
- 5. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Agenda Introductions Last session review Performance issues Providing feedback Performance measurement Issue identification DISC consciousness Stages of recognition including PEER methodology Performance Improvement Process 4
- 6. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Clarifying Performance Expectations What is the KPI? What value does it have to the organisation? Priority of the KPI? Actual measurable goal? What data source is used to measure? What resources are needed? 5
- 7. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Providing Constructive Feedback Get into the habit Its about behaviour not the person Be specific Prepare with the purpose to improve performance State your positive intentions State the impact (business or personal) that the behaviour had At this point ask questions of the employee on how the situation can be improved 6
- 8. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Team Dysfunction Patrick Lencioni has identified the 5 dysfunctions of a team as follows: (The Five Dysfunctions of a Team – a Leadership Fable, 2002) 7 Inattention to results Avoidance of Accountability Lack of commitment Fear of conflict Absence of Trust
- 9. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU8 To provide clear objectives and priorities so everyone knows where we are going as an organisation To provide an environment where employees know exactly what is expected of them To provide the opportunity for early intervention in performance issues To ensure compliance with relevant legislation To foster a high performance culture where poor performance is addressed expediently Why we manage unsatisfactory performance
- 10. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Performance Issues What type of issues can exist? Unsatisfactory performance Unsatisfactory behaviour Serious misconduct What are some examples of performance issues you have dealt with? 9
- 11. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU10 Failure to complete tasks or allocated work within reasonable specified times Failure to abide by Fujitsu’s policies and procedures Making representations that impact Fujitsu’s reputation Failure to consistently produce a satisfactory quality of work Failure to meet standards set out in performance criteria Failure to respect the well being of other employees What is unsatisfactory performance?
- 12. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU What is unsatisfactory behaviour Insubordination Excessive lateness/absenteeism Rudeness Unwillingness to perform certain tasks as directed Underperformance 11
- 13. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU What is serious misconduct? Serious misconduct may include (but is not limited to): Theft Assault Fraud Being intoxicated at work; or The employee is refusing to carry out a lawful instruction that is consistent with the employee’s contract of employment. Serious breaches of Health and Safety policy 12
- 14. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Why Provide Regular Feedback? What are the 3 types of feedback? Positive, Negative and None Why should we give feedback? Feedback needs to be outcome or process oriented When can/should we give feedback? The importance of recognition 13
- 15. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Drucker Theory Peter Drucker discusses Pillars of management that incorporate staff to have: Responsibility Authority and Accountability for their actions, best described below 14 Above the line behaviour Accountability Responsibility Ownership Below the line behaviour Excuses Denial Blaming others
- 16. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Leadership Style What’s your disc profile? Do you need to adapt your style to tailor your approach to the individual? Increase your effectiveness and communication? 15 D Direct Dominant Decisive 25% of Population I Influencing Interactive Inspiring 25% of Population C Correct Cautious Conscientious 25% of Population S Stable Steady Secure 25% of Population
- 17. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Case Study 16
- 18. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Chinese word for crisis Danger Opportunity Distress Harmony 17
- 19. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU PEER System Methodology 18 P • Planning Performance review and preparation E • Expectations and measurement E • Engineering mutual solutions R • Review and monitor
- 20. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU PEER System – Planning and Preparation Planning performance review meeting and preparation Gather evidence in respect to the performance issue Prepare to focus on the employee’s behaviours, not his or her personality, while delivering development feedback. Protect their self image. Validate your perspective with tangible examples. Focus on consistent behaviours and frequent incidents rather than one-off examples Accompany negative feedback with suggestions for doing the job better Maintain a structured flow during the conversation, and cover one topic at a time to ensure clarity. Include a short introduction, and avoid using jargon or obscure words to describe strengths and development areas 19
- 21. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU PEER System – Expectations Review KPI’s Fujitsu expectations Setting goals and targets Training needs analysis Providing empowerment 20
- 22. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU PEER System – Engineering solutions They must be mutual It could be training or mentoring It could be more support or resources Give the employee a few minutes to reflect on the feedback once you have delivered the review, and ask for questions or thoughts End the discussion on a positive note with a summary of the performance review 21
- 23. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Peer System Methodology - R Regularly monitor Inspect what you expect Provide feedback If no change in performance have a further discussion • Refer back to original informal discussion • Confirm that the employees performance or actions are still not acceptable • Emphasise consequences 22
- 24. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Performance Improvement Process (PIP) 23 Stage 1 Early recognition Stage 2 Early notification Stage 3 Observation and documentation Stage 4 Warnings Stage 5 Conclusive action
- 25. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU (PIP) Stage 1 - Early Recognition Recognising there is an issue Taking action to address the issue How would Inaction be interpreted? What are some examples of activities that can indicate poor performance? Why do you think we sometimes delay? 24
- 26. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU (PIP) Stage 2 – Early notification 25 As soon as a performance problem has been recognised bring it to the attention of the employee in question. Do not wait until a performance review What are the benefits?
- 27. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU How to conduct an effective conversation Informal discussion. Discussion may include addressing: Problem Other factors contributing to the problem Clear and concise explanation Opportunity to respond Solutions and actions Arrange follow-up discussion (if appropriate) Consequences Document the conversation 26
- 28. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Do’s and Don’ts 27 Identify behaviour or performance that is unsatisfactory Ask employee for their input/response Listen to their response Ask what you can do to help Provide an opportunity to improve Document discussions Jump to conclusions Take action before getting their side of the story Have discussions in an open environment Have conversation on a Friday (unless it is serious misconduct which should be addressed immediately) Behave inappropriately Do Don’t
- 29. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU (PIP) Stage 3 Observation and documentation Issue has been discussed Time frame has been given Opportunity for correction provided Continued observation Feedback supplied Improvement occurs/does not occur 28
- 30. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU29 (PIP) Stage 4 Warnings Investigate (confidentially) Arrange formal meetings Adequate notice and details Witness Put allegations to the employee (including all evidence Opportunity to respond Review mitigating circumstances or new evidence Decision verbal or formal written
- 31. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU30 (PIP) Stage 4 Warnings – Verbal or written Decide on an outcome – decision Refer back to previous file notes/discussions (if applicable) Actions to be taken (by each party) Arrange review date (if applicable) Consequences Complete documentation Sign the Record of Discussion Give the employee a copy Send copy to HR Central for filing
- 32. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU31 (PIP) Step 4 – Further Formal Warning Similar to second formal counselling, except: Ensure that both in the written record and during the interview, specific reference is made to the fact that “continued unsatisfactory performance / behaviour / actions / misconduct may result in termination of employment” It is essential that this be mentioned so that the employee is aware of the consequences of continued poor performance or misconduct If the problem is not being remedied be sure to consider carefully, why not… You may need to change your approach to the issue.
- 33. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU32 (PIP) Stage 4 Warnings - Further Formal Process is the same as the before If termination is a possibility Make decision Reconvene meeting – provide employee with further opportunity to respond • No further comments – Termination if appropriate • Further comments – Review this information
- 34. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU33 (PIP) Stage 4 Warnings - First and Final A first and final warning may be appropriate in circumstances where an incident does not fall into the category of ‘serious misconduct’ but is so serious that any further instances of it would result in termination. Process is the same as outlined previously. The first and final warning should make it very clear that failure to improve or a repeat of the conduct will result in termination of employment.
- 35. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU34 (PIP) Stage 5 Conclusive action Make final decision: • Termination • Advise employee and explain reasons • Should termination occur be sure the Record of Discussion, the PCR Termination, timesheet and any other paperwork is completed immediately to ensure final payments are made in a timely manner. OR • Further formal counselling (note that although the decision in this instance was not to terminate, further poor performance may result in termination of employment • Complete the Record of Discussion • Give the employee a copy
- 36. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Case Study and Role Play 35
- 37. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Performance Improvement Process Guide for Managers Read it Practice it Use it Always ask for help if unsure 36
- 38. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU Continuing the process Edwards Deming Ongoing continuous improvement process 37
- 39. INTERNAL USE ONLYINTERNALUSE ONLY Copyright 2010 FUJITSU
Editor's Notes
- #2 This should be up when participants come into the room.Once you are ready to begin welcome everyone to the courseMove quickly to the next slide
- #3 Go through the objectives fairly quicklyThis is not an easy topic, positive in some parts, difficult and awkward in others and even litigious in others.It is however all about achieving better performance outcomes for you, your team members and Fujitsu.
- #4 Go through these quickly. Set a positive tone for the session.
- #5 You are all here because you lead and supervise team members and are responsible for many aspects of their performance.Get each participant to introduce themselves and their area of responsibility and afterward pose to the group the question.
- #7 This a review of the past session on Clarifying Performance Expectations and how it links into this session.When considering KPI’s you should be able to give the following information to the person to whom you are assigning them:What is the KPI: Define the Major Responsibilities (activities, tasks, projects, training individual development items) What value does it have to the organisation (this is key to show how their work connects to the bigger picture!) What is the priority of the KPI (If you give them a number of KPI’s they should know which are most important) What is the actual measurable goal? What data source will be used to measure success? What resources, individuals, tools or strategies can the individual refer to that would assist them? Leaders and Managers need to ensure that they are keeping their staff aligned with the core organisational values and beliefs, whether they are actually written into a Code of Conduct or assumed as unwritten rules within Fujitsu.
- #8 This is a review of the past session on Providing constructive feedbackGet into the habit of giving regular feedback give as soon as feasibleIts about the behaviour not the person(leave out “You” as much as possible) Be specific Set yourself up mentally to deliver feedback with the purpose to improve performance State your positive intentions State the impact (business or personal) that the behaviour had At this point ask questions of the employee on how the situation can be improved What other take-away’s do you recall from the course and how have you applied your learning
- #9 Patrick Lencioni, renowned international author and leadership, team and organisational expert has listed the 5 dysfunctions of a team and the leaders role in overcoming these.Managers need to be aware of the dysfunctions that can eventuate within a team and further investigate causes, then determine suitable options to solve the problems raised by a team member or the problems within the team itself. If a team member is operating with one of the dysfunctions this has the potential to effect the whole team Conduct a discussion surrounding which ones from the list they deem the most relevant in their experience and why?
- #10 Ask the group the question “Why do we need to manage unsatisfactory performance?”Write the answers on the white board, solicit discussion and then go through the slide Managers are responsible for guiding and managing the performance of employees, both as individuals and as a team. Managers need to set performance objectives, provide feedback, appraise performance, guide development and ensure employees are rewarded for good performance.
- #11 Discuss with your partner and write in your work book what you think the types of issues are and then share an example they have had to deal with to each other Then ask to share types and ask for examples around the room of performance issues they may have dealt with in the past
- #12 Now discuss with your partner and write in your workbooks what are some of the key elements you believe constitute unsatisfactory performance? So what do you think happens if we do not address unsatisfactory performance as soon as we identify it?
- #13 Discuss these individually and ask the group for examples
- #14 Discuss these individually with the group and ask for examples
- #15 What are the 3 types of feedback? Positive, Negative and None, which do we like most positive, second negative, (most answer none but we would rather know bad news than not all, use examples of waiting to hear of a job application or home loan etc.) discuss each one.Why should we give feedback? Answers could includeTo acknowledge effortSo bad habits don’t form Because your team expects you toIf performance not addressed results in low team morale and lack of trust in managementFair distribution of workManagers need to be able to give feedback in a manner that is:Outcome – Team members need to know whether the task was achieved and whether the result was acceptableProcess – Team members need to know whether the way the task was achieved was acceptable Use examplesIts important to have regular conversations with staff and provide feedback – including positive and constructiveThis can prevent most serious performance issuesGet the group to list the when should we give feedbackMethods of providing feedback include:Team meetingAnnual reviewHalf yearly reviewRegular one-on-onesTimely ad-hoc feedback More formal methods includeProbation periodRegular meetingsPerformance reviewsRecognition is the most powerful form of employee feedback. Timely appropriate recognition to an employee is feedback that reinforces actions you want to see more of from the employee.
- #16 Peter Drucker, international management consultant, educator and author talks about staff having the following and that their behaviour will always be above the line or below the line.Discuss with the group
- #17 Discuss previous results of employee’s disc profile from Intro to M@F and how this can assist in by knowing your profile and the other staff member can result in a better outcome.
- #18 Introduce the first case study.In groups, get them to write in their workbooks how they would approach the situation, acknowledging that we haven’t gone through the process yet. When they share their answers this will gauge where participants are up to in issue handling and get a group representative to share and discuss their approaches
- #19 Like the Chinese word for crisis, which combines the symbols for danger and opportunity, difficult conversations can lead to either distress or harmony.We usually anticipate distress because difficult conversations often become emotional, leading us to confront, freeze, bolt or gloss over the issues. But we should choose to expect harmony instead
- #20 Address the slide and go through each step
- #21 People mostly dislike confrontationOne of the key ways to overcome this is strong, detailed and orderly preparation, this is one of the most important steps, do this step well and the other steps become easier
- #22 Informal discussion. Discussion may include addressing:ProblemOther factors contributing to the problemClear and concise explanationOpportunity to respondSolutions and actionsArrange follow-up discussion (if appropriate)ConsequencesDocument the conversation
- #23 Go through each of these points and discuss individually with them asking for real examples
- #24 If you don’t regularly review then it will perceived that you don’t care, are not serious and it will reflect on you as a leader.
- #25 This is the Fujitsu methodologyThese stages deal with all the possible scenarios and as we move through each the situation is becoming more serious and obviously comes with greater consequencesIdeally, the more positive, constructive action taken in the initial stages will prevent the issue escalating
- #26 Recognising that there is a performance issueTaking action to address the issueInaction will be interpreted as acceptance by the employeeWhat are some examples of activities that can indicate poor performance?Why do we delay? Don’t like confrontation, believe it will right itself, too busy etc.
- #27 DiscussAs soon as a performance problem has been recognised bring it to the attention of the employee in question. Do not wait until a performance reviewBringing the performance issue in question to the attention of the individual provides the opportunity for:The employee to be given the opportunity to realise a performance issue exists. The employee may be totally unaware of how off track they are with their performanceThe people manager to communicate the facts relating to the performance issues, to reiterate performance expectations, identify any contributing factors, identify any remedial action required and listen to the individuals perception of the situation
- #28 Discuss each point and the need for documentation, ask why?
- #29 Go through them individually and ask if any questions or comments.
- #30 Discuss and seek contribution, asking why? for each point
- #31 No one wants to hear that their performance is less than expected. After counselling and coaching from a Manager yield no improvement, however, written disciplinary action must begin – to protect Fujitsu’s interests – and those of the employee. Investigate – how?Adequate notice. Why? (in writing)Provide witness Why?Allegations - For ongoing issues include the process to date to attempt to resolve. (In some instances, i.e. policy breach, it may be necessary to ask the employee to explain their understanding of the policy)
- #32 What options do you think you have in respect to Actions? PIP, training, increased supervision, change of hours/start times.You all can run through to the First Formal Warning without HR’s personal attendance. More than happy to discuss in preparation and review but need you to take responsibility, with your managers, to this point.Points to note:Emphasise that the purpose of counselling is resolving the issue/improving their performance NOT punishment.Make sure that you undertake a full and thorough investigationIf a follow-up date is set, make sure that you undertake a further review by that time. (Even if the issue has been resolved some record of the follow-up should be kept, i.e. file note)Always advise the employee that the issue is totally confidential and that under no circumstances should they discuss it with any other person whether involved in the issue or not.
- #33 Go through and refer to more detail in the PIP
- #34 Process is the same as the previous formal counselling session until you reach the decisionShould termination be a possible outcome you must have a HR representative present and HR EGM approval before dismissalMake decision - If it appears that the employee may be dismissed, advise them that the company is considering terminating their employment and ask them for any reasons why this should not occur, then suspend (with pay) for 24 hours whilst you consider what action you wish to take
- #35 You need to apply a full process in all cases except where the issue you are dealing with is extremely bad. In this case we consider as an outcome immediate termination. Does anyone know how we would classify a breach whereby immediate termination may be considered? Serious and Wilful Misconduct.
- #36 We’ll take a look at Termination in a second. Termination should be viewed as a separate process despite the fact that the counselling/investigation in some cases leads to Termination in the same conversation.You may need, only in the cases of very serious breaches, to go through to a First and Final warning. Can you think of some examples where this might be the case? Fighting, abusive behaviour, harassment etc.
- #37 Second case study, in groups of 3Using what they have learned today.Firstly defining the stages and process as a group and then working in groups of 3 role play with participants acting as the manager, staff member and an observer to provide the feedback on conclusion.np
- #38 Go through hand outUse this as a summary to pull together the whole workshop
- #39 Explanation of Edwards DemingEdwards Deming, college professor, author, lecturer, leader of the Japanese resurgence in the 1950’s and inventor of the Quality management system that still exists today discusses that:Part of the continuous improvement process as a Leader and Manager involves an ongoing system of performance measurement, providing feedback and dealing with performance issues.This acronym of PDCA can help with this processPLAN – Planning when and how to give feedback consciously, regularly and immediatelyDO – Executing the planCHECK – Checking the actual outcomes and results and monitoring the performanceACT – Taking action to improve the process, fine tuning the plan, identifying further opportunities for improvement.This process in continual and never ends