Monitor staff performance

Answers to written questions

1. In your own words describe what is meant by a 'staff performance management system'.
No model answer but response should address a performance management system can be seen as a set of
processes put in place by an organisation to:
 Identify and describe the type and standards of performance staff are required to deliver in nominated areas
 Monitor staff performance in areas covered
 Capture evidence-based data on actual staff performance measured against the defined standards
 Communicate results of staff appraisals to individual staff
 Generate action to maintain or improve staff workplace activities
 Reward, recognise, discipline, counsel and/or terminate staff regarding their performance as appropriate or
necessary.

1. Why is it important to examine/analyse the strategic plans for a business when developing
a staff performance management system?

Because this will:

 Provide direction to the business – in terms of where it wants to into the future
 Prioritise the goals/objectives – giving different weighting/importance to competing
achievements the company wants to attain
 Give insight to managers when they need to make business-related decisions – requiring the
decisions to align with the directions and priorities in the plan
 List the risks facing the business – as identified by a formal risk analysis.

2. What are the nine recommended steps for analysing the strategic and operational plans of a
business to assist with development of a PM system?

 Obtaining copies of all relevant documentation – which must include Plans, Policies,
Procedures/SOPs
 Verifying copies of documents obtained are current versions – and not out-of- date
 Noting when the plans were prepared – to get a perspective on their relevancy to the current
time
 Identifying names of those who developed the plans – as this can help provide context and
explanation for decisions taken and goals set and indicate people to talk to in order to obtain
additional information
 Allocating sufficient time for the process – realising it is a time-consuming activity and
cannot be done in five minutes
 Reading the plans – carefully and in detail, in a quiet location free from interruptions
and distractions
 Taking notes – as the plans are read regarding Questions which need to be asked, Matters
which need to be clarified, Topics about which extra detail/information is required
 Integrating details in the plans with other information known about the business
– to gain a fuller understanding and more comprehensive insight
 Following up as required after reading – to answer questions and gather additional
information.
3. Define ‘performance indices’ in relation staff management performance systems.

Performance indices are metrics which describe and measure/quantify actions and activities
implicit in workplace activities.

4. Give six areas to which an organisation might apply performance indices as part of its staff
performance management system.

 Productivity
 Punctuality
 Personal presentation
 Levels of accuracy in work
 Adherence to procedures
 Customer service standards
 Team interaction
 Response times
 Waste minimisation
 Cost minimisation
 Codes of conduct.
5. Outline the series of activities which combine to provide a practical platform to help managers
develop performance indices appropriate to every workplace.

 Start with a thorough understanding of the goals for the organisation as stated in their key
planning documents
 Gain a complete picture of the public statements the business has made about itself to the
general public
 Review the current performance of the business
 Gain a context for the operational environment in which the organisation is operating
 Obtain (if possible) sample industry performance/service delivery or product- related
standards
 Meet with senior management/owners to discuss their thoughts and/or
requirements in relation to performance
 Generate an overview of the individual organisation (or different departments/areas within
the business) in respect of all relevant factors which will impact on service delivery and/or
staff performance
 Develop draft performance indices incorporating information and input from all the above
listed sources ensuring indices are Specific, Rational, Measurable, Achievable
 Circulate the draft performance indices for comment and feedback
 Review and refine the draft performance indices as/if required on the basis of legitimate
feedback received and then circulate/communicate the finally developed and approved indices
to staff and for inclusion in internal SOPs (such as staff training, handbooks, induction and
orientation programs).

6. Identify five important points to note in relation to monitoring of staff performance.

 Many of the activities and processes involved in performance monitoring are also known as
performance appraisal
  Performance must be monitored in the work/areas staff were told they would be evaluated on
and not on areas about which they were not informed
 Monitoring needs to be ongoing
 Staff should be advised of how their performance will be monitored and evaluated
 Monitoring activities should not be covert or hidden
 All staff should have their performance monitored
 The standards identified for each work activity must be used/provide the metrics applied as the
basis of the monitoring process
 Hard evidence must be obtained as part of the monitoring process
 The data captured during the monitoring process must enable determination of the level of
individual performance of each staff member as distinct to providing evidence about a group
of workers or a department.
7. State the six steps identified in the notes which can be used/followed to develop a formal
performance management system.

Step 1: Identify dimensions for the job in question

Step 2: Determine methods of measuring actual performance
Step 3: Measure and compare actual performance with the required standard Step 4: Create
and maintain performance records
Step 5: Conduct staff appraisal/performance management interviews Step 6: Take
action.

8. If ‘what the person does in the job is important’ what types of performance management
system should be used?

Behaviourally Anchored Rating Scale or similar.

9. Identify one traditional performance management scheme and describe its implementation
including advantages and disadvantages.

Answer will depend on the model identified.

10. Describe six planning and preparation activities managers might undertake in relation to
workplace staff appraisals.

 Determining the techniques to be used and the type of evidence which will need to be gathered
 Scheduling the appraisal activities
 Diarising the appraisal times
 Reviewing any previous discussions and/or decisions made in respect of the individual being
appraised
 Reviewing the personnel file/staff appraisal file for the worker
 Obtaining necessary secondary data
 Generating or acquiring necessary documentation to record data
 Ensuring appraisals occur across all staff.

11. List five key things a manager must ensure when undertaking staff appraisal activities.
  Reflect the particular performance management system/s used by the organisation
– as required by individual schemes
 Use the designated evidence recording tool/s – as appropriate for each individual
observation/appraisal event
 Capture the evidence deemed necessary for each employee – in accordance with the
requirements of the performance indices for each job and as was explained to every
employee being appraised
 Obtain sufficient and appropriate to date to ensure suitability of the
evidence/data – in terms of being Reliable, Indicative, Relevant
 Demonstrate support, sensitivity and empathy – for any staff member whose work is being
observed first-hand to obtain primary data: it must be remembered many staff will become
anxious when they know they are being watched and assessed for the purposes of a staff
appraisal, fearing their job may be at risk
 Never interfere with service delivery/provision – to internal or external customers.

12. Describe four key activities/actions managers need to engage in prior to sitting down with
individual employees to discuss the results of their staff appraisals.

 Verify the appraisal has been conducted honestly – and with necessary attention having been
paid to due process
 Ensure they have captured sufficient, objective relevant data – on which to make useful and
valid decisions about the employee
 Make sure they understand the methods of interpreting performance data – as they apply to
the individual scheme being used and the nature of the particular performance indices being
applied to the evidence
 Consider and analyse the primary and secondary data they have gathered, captured and/or
researched – prioritising results and understanding the data within individual contexts
 Conduct follow-up appraisals or activities where required – for example to:
 Obtain additional/supplementary data/evidence
 Clarify issues and/or ambiguities
 Discuss difficult decisions with peers
 Convene/arrange a meeting to discuss performance with individual staff – at a mutually
acceptable time within paid working hours
 Invite any other persons who may need to attend the session – which may be required
where:
 A witness is required to make a statement about something
 A witness is required to observe/note the giving of a verbal warning
 A person is required to be advised of their role in providing assistance to the staff member.

13. Differentiate between ‘‘confirming’ or ‘corrective’ feedback as a result of staff appraisals.

 ‘Confirming’ feedback is positive feedback to reinforce and reward desired behaviour to

encourage it to be repeated
 ‘Corrective’ feedback is feedback designed to address specifically identified deficiencies in
performance.

14. List four key points managers must bear in mind when providing staff with feedback on the
 results of their most recent appraisal.

 Keep the mood positive – even where a negative comment needs to be made or some
unsatisfactory performance needs to be addressed
 Make reference to actual evidence as the basis for the feedback given
 Focus on the performance of the person as was indicated to them when the staff
performance/appraisal scheme was explained to them
 Make specific reference to three groupings of performance for each staff member –
that is, indicating exactly where, when and how:
 Performance was below expectations, standards or requirements (stated performance
indices for each task)
 Performance met/matched expectations, standards or requirements (stated performance
indices for each task)
 Performance was above/exceeded expectations, standards or requirements (stated
performance indices for each task).
 Involve the staff member in the discussion – by:
 Asking questions
 Seeking their input
 Asking if they agree or disagree with results/findings – and if how/why
 Make sure the staff member knows where they stand as a result of the feedback session – it is
vital they leave the session knowing (for example/as appropriate):
 Their performance is acceptable – and everything is good
 Where their performance is not acceptable – and:
 What has to be done to retrieve it – see next section
 The support to be provided by the organisation
 Consequences of continued lack of adequate performance
 The next staff appraisal period and what will be assessed.

15. When taking action on the basis of individual staff appraisals list four considerations
managers must always take into account.

 Must align predominantly with the feedback provided – in terms of whether it was
‘confirming’ or ‘corrective’ (see previous section)
 Needs to be considered managers before the appraisal feedback session – so suitable a
suitable course of action can be discussed and agreed as part of the feedback
 Must specifically address the identified needs of the individual employee based on the objective
evidence captured as part of the appraisal process – so there is a distinct connection between
remedial/corrective action and the need for same
 Should involve input from the staff member – who should be
allowed/encouraged to:
 Contribute/suggest a course of action they believe would effectively/best address
identified need
 Discuss suggestions/proposals from managers which were developed prior to the
feedback session
 Agree the proposed course of action is appropriate for identified need and will actually
 address/resolve the issue/s requiring attention
 Should be documented – so a record of the arrangements is available to give to the staff
member, relevant others and for future reference
 Must always make staff aware of consequences which are a possible outcome from the
appraisal – for example:
 Making it clear they their employment is not at risk/threat – when an acceptable
outcome has been achieved
 Stating clearly when and why counselling is or may be required
 Clearly explaining if and why disciplinary action might flow from what has already
transpired
 Must be undertaken with great sensitivity and empathy – as they always have the potential
to trigger strong personal emotions within individuals
 Must reflect what has previously been stated to staff regarding the overall staff performance
system/performance appraisal scheme/s – if the organisation has held itself out as being
‘supportive and encouraging’, the action taken needs to mirror those statements and not
indicate to staff management say one thing but do another
 Must be undertaken in a timely manner – the sooner known outcomes have been
developed, the sooner action should be taken.
 Do not delay or defer the process of meeting with employees to discuss what has to/needs
to be done.
 Must include advice to employees about what they can do if they believe their appraisal is
inaccurate or unfair – according to any internal or legislated complaint resolution (or similar)
procedures
 Must include realisation that while management is obliged to keep staff appraisals confidential,
staff often do not – so it is important to understand what is said and what occurs as part of this
phase of the process will often be shared by an employee with other members of staff and can
quickly become ‘public knowledge’.

16. List six actions managers might take to underpin attainment of revised targets for staff on the
basis of their individual appraisal.

 Proving necessary support to the individual targeted to identified and agreed need – this
may involve:
 Mentoring
 Coaching
 Training
 More or different resources
 Provision of or access to more or different information
 Providing support for out-of-work problems encountered by staff – such as:
 Introducing workers to professional external assistance – for relevant issues such as
relationships, health, financial matters
 Making staff aware of government funded/subsidised staff assistance schemes
 Preparing rosters in a way which will help relieve pressure or help
accommodate assistance for identified problems
 Re-allocating work-related matters – such as:
 Re-distribution of duties and/or responsibilities
  Re-determination of targets to more achievable (or realistic) levels
 Revision of product and/or service standards to different levels/standards
 Adjustment of workload
 Re-organisation of work practices
 Providing formal counselling – as appropriate to agreed needs identified by the outcome of
the appraisal
 Making a conscious decision to take no action – where the results of the appraisal are
deemed to be acceptable
 Promoting the person – where their results on an ongoing basis have indicated their
potential/capacity for higher-level responsibilities and positions, and the individual has
expressed a desire for advancement
 Agreement on short-term goals for improvement – by creating a formal plan for the staff
member setting actions and dates for achieving sub-sets of the main objective which needs to
be attained as identified by the appraisal
 Raising the standards and/or targets – for workers who achieved the previous goals set for
them as a way of acknowledging their achievement and keeping their work challenging and
interesting
 Moving a staff member to another role – this may be applicable where:
 Their current performance in a role remains unacceptable despite genuine effort to
improve and where the organisation believes the staff member is a real asset to the
business
 The individual has expressed a wish to be transferred to another role – and such a position
is available and appears to be a logical response to the given situation
 Setting a different focus for subsequent staff appraisals – so the skills, knowledge and
attitude of the staff member are evaluated in a different area and/or for a different skill set
 Using a staff member who has achieved outstanding results within the organisation –
as:
 Role model for others
 A coach or mentor
 A workplace trainer.

17. Identify six points which need to be taken into account when developing reward and
incentive schemes for workplaces.

 The need to identify exactly who is entitled to which rewards – in some businesses there
may be certain staff who are not eligible, and in other cases certain staff are only eligible for
some rewards but not others
 The nature/type of reward – stating and describing exactly what the incentive is
 Approvals which have to be obtained before the reward can be given
 Limitation to rewards
 Time-frames may apply to the application of rewards
 Records which needs to be completed when issuing a reward
 Ways in which rewards and incentives are communicated
 Protocols for celebrating awards – internally and externally.
 18. Rewards and incentives must be of value in the eyes of the staff/people they are aimed at:
discuss.

No model answer.

19. Give five examples of generic rewards and incentives which may be used to motivate
employees.

 Financial compensation and benefits

 Verbal praise
 Certificates and letters
 Free product/services
 Promotions
 Time off
 Encouraging/allowing attendance at events
 Promoting industry nomination.

20. Describe six effective and efficient ways for organisations to communicate their rewards and
incentive schemes to employees.

 As part of the standard induction and orientation given to new workers

 As a topic for internal staff training
 By including the procedures in the Staff handbook
 By including the procedures on the internal organisational intranet facility
 By using workplace posters
 By holding special meetings
 Making regular mention of the schemes at standard staff meetings
 Sending emails to staff
 Distributing hard copies of rewards and incentives
 Including an article in an internal staff newsletter.
21. Describe five key actions for managers to take to properly and fairly implement
approved reward and incentive schemes.

 Know the policies and the schemes thoroughly

 Ensure without doubt and without exception all staff who are eligible for the rewards and
incentive have been properly advised in relation the schemes
 Take action to make sure the performance/results of staff in relation to the subject
(topic/focus) of the scheme is actively tracked and monitored
 Make sure the schemes and the rewards and incentives are kept ‘front of mind’ in the minds
of staff
 Ensure the rewards and incentives are issued in accordance with promises made about
them
 Celebrate all rewards and incentives which are provided
 Discuss the scheme with employees and senior management after it has been operational for
some time.
22. Discuss the context of workplace counselling of staff.

Answer must address:

 Workplace counselling is concerned with discussions and analysis of personal and work-
related problems which affect an employee's work performance in an attempt to find a
solution
 Discipline by contrast can be defined as a direct statement by a manager of what is wrong
and a directive to the employee to improve: in effect it is a warning
 Counselling is about problem solving and as such must come before any disci- plinary action
 The employee should be told clearly in a counselling session that it is a counselling
session, not a disciplinary session.

23. Identify four opportunities provided for by workplace counselling for employees.

 Correct actions requiring attention

 Rebuild skills, knowledge, attitudes and/or confidence
 Improve unsuitable, unsatisfactory or unsafe conditions
 Change the working environment, policies, procedures and/or protocols
 Solve existing problems which have been raised/identified
 Prevent future problems which can be predicted/foreseen
 Build trust and consolidate relationships between employees and their supervisors
 Communicate the goals and objectives of the organisation and individual departments.
24. What are the three important generic reasons managers must learn counselling
skills?

 Legal
 Organisational
 Individual.

25. Counselling is not a 'friendly chat': discuss.

Answer must address:

 Counselling requires the use of skills, knowledge and a special attitude
 The counselling session has a structure and it has a structured follow-up or action plan as
its result
 For example, the effective manager/counsellor is aware of notions such as stereotyping,
personal bias, victimisation, individual personalities and similar.
 The supervisor/counsellor must be able to separate the person from the behaviour.

26. What are the three reasons managers might initiate a counselling session?

 Poor work performance

 Breach of policy – poor behaviour
 Information sharing.

27. Identify five counselling techniques and strategies which have proven to be effective for
workplace managers.
  Applying informal but structured discussions between management and staff
 Implementing application of suitable counselling strategies to meet individual and company
needs
 Recording/documenting the counselling sessions
 Requiring the employee to sign-off on the decisions reached during the counselling
session
 Providing the appropriate level of support during the counselling commensurate with the
issues being dealt with
 Referring the staff member to external professional services
 Scheduling the delivery of counselling in a timely manner.

28. Give five good reasons for documenting staff counselling sessions.

 Industrial relations legislation or relevant employment instruments may require it

 It demonstrates sound management practice
 Documenting the conversation serves to highlight to staff who are part of the process the
session is being taken seriously
 It provides solid details of the discussion
 It generates a permanent record of the discussion
 When shared with the staff member who was participating in the discussion it helps remind
them of what was discussed.
29. Describe four protocols which might apply to the sharing of information/records generated
as a result of a staff counselling sessions.

 Shared with the staff member who was part of the counselling session – they are
traditionally given a copy of the record which they are asked to sign as a ‘true and correct
account of what occurred in the session
 Staff are given a copy of the signed record to keep for their own purposes and a signed copy is
kept on file, as proof of what took place within the counselling session
 Provided to a designated staff member – who is functioning as a staff
advisor/representative throughout the process
 Forwarded to designated senior managers/management – in accordance with internal
policies regarding staff management practices
 Sent to central administration/HR department – for inclusion in the personnel file of the
individual staff member
 Given to any worker within the organisation who has been allocated responsibility under the
plan designed to address identified individual staff need
– in most cases an edited version of the record could be provided to certain co- workers,
supervisors and/or training officers.

30. What three objectives must a manager achieve before a counselling session concludes?

 Identify the action to take to address the requirements which are the basis of the counselling
 Gain agreement from the worker about the action to be taken – agreeing:
 The proposed course of action will actually effectively address/resolve the identified
problem or issue
 The intended course of action is a legitimate response to the problem/issue and does not
place any unfair obligations on the staff member
  The worker will commit to genuinely engaging with proposed activities – to help
resolve/solve the issue
 Set a date, time and venue for the next counselling session.

31. Give three reasons every counselling session is unique.

Each session:
 Will address an individual problem
 Involve a certain staff member
 Occur at a different/certain point in time
 Be surrounded by a range of dynamic factors.
32. Describe six options available to managers to include in ‘actions and
directions’ they could include in a planning document designed to help a staff member improve
their workplace performance as a result of a counselling session.

 Providing formal training

 Introducing job rotation
 Allowing internal transfer
 Bringing in job sharing
 Resourcing
 Reformulating documentation
 Refining the work role
 Altering the motivational factors applicable to the individual
 Changing the work hours of the staff member
 Requiring attendance at nominated sessions/events.

33. Identify the steps/processes to follow when developing disciplinary or termination

procedures.

 Obtain copies of similar policies and procedures from similar business

 Contact employment-related authorities to obtain their input in relation to
relevant/mandatory legislated obligations which must be complied with
 Convene a workplace team to develop the workplace policies and procedures
 Develop draft policies
 Develop draft procedures
 Circulate the draft policies and procedures for discussion and feedback
 Refine and/or revise the draft policies and procedures into final form on the basis of
feedback and/or as necessary
 Obtain formal management approval for all policies and procedures
 Circulate the final/approved policies and procedures.

34. Give four examples of possible workplace disciplinary procedures.

 Verbal warnings
 Demotions
 Reduction in job-related ‘privileges’
 Reduction of work hours
 Imposition of non-negotiable requirements
 Provision of written description of workplace requirements and standards.
35. Give four examples of possible workplace termination procedures.

 Evidence suitable other action has been undertaken prior to the decision to terminate the
staff member
 Advice to the employee their employment is to be terminated – either in writing or in front of
an appropriate witness
 Identification of termination payments to be paid to the person – and how these are to be
calculated
 Notification of relevant termination information – such as cause of termination, date of
termination, payment of wages
 Advice in relation to a range of allied issues as/if appropriate – such as return of keys and
uniform, participation in exit interview, completion of final paperwork, escorting from
premises.

36. What are the two constant mandatory requirements when applying disciplinary
procedures?

 Enterprise policies and procedures must be observed

 Host country legislation must be complied with.

37. Give six examples of situations which may give rise to legitimate implementation
of approved disciplinary procedures.

 Failure of employee to meet performance standards required by the organisation

 Failure by staff to behave/act in ways required by the organisation
 Failure by employee to meet identified personal presentation standards
 Failure of worker to meet performance and/or productivity target/s
 Failure by an employee to follow/implement required safety protocols in the execution of
their job
 Inappropriate actions or conduct in the workplace and/or towards other people (staff,
management and/or customers)
 Wilful misconduct in the workplace including deliberate insolence and/or verbal abuse
 Disobedience of a lawful directive/instruction
 Breach of certain terms and conditions as spelled out in individual contracts of
employment/employment instruments.

38. Identify five situations which may give rise to legitimate implementation of approved
termination procedures.

 Deliberate and intentional damage to workplace equipment

 Fighting and/or violence in the workplace
 Harassment or unacceptable treatment of and/or dealings with others in the workplace
 Intoxication in the workplace
 Theft/stealing of any kind in the workplace
 Making threats.
39. Describe six ways for organisations to communicate their disciplinary and termination
procedures with employees.

 As part of the standard induction and orientation given to new workers – where verbal
 explanations supplemented by handouts may be provided
 As a stand-alone topic for internal staff training – required as a mandatory component
for all employees
 By including the procedures in the Staff handbook – provided to all staff
 By including the procedures on the internal organisational intranet facility – so all staff have
access
 By using workplace posters – located in common staff areas such as staff rooms, change
rooms, meal rooms
 By holding special meetings – to highlight, explain and disseminate new or revised
procedures
 Making regular mention of the procedures at standard staff meetings – such as team
meetings, briefings and de-briefing sessions
 Sending emails to staff – with attachments containing new or revised procedures
 Distributing hard copies of procedures – for example at staff meetings and briefings
and/or in pay envelopes.

40. What are the five steps identified in the notes to follow when implementing disciplinary and
termination procedures?

 Step 1 – staff should be counselled about their behaviour and/or performance

 Step 2 – time and resources should be provided to allow staff to comply with requirements
 Step 3 – failure to meet requirements may result in disciplinary action being taken
according to the type and severity of the issue
 Step 4 – further time and resources should be provided to allow staff to comply with
requirements
 Step 5 – continued non-compliance results in implementation of termination of the
employee.