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360 Leadership Process John Kuhls, Director of Human Resources
Linda D. Smith, Director Staff Development NC Department of Revenue
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What is 360 Feedback? Survey gathers anonymous feedback
Variety of perspectives Supervisor Peers Direct Reports Others Growth and Learning Plans Initial Coaching Ongoing coaching from Supervisor
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Why are we doing this? Business Transformation is the driver
To move from a siloed, hierarchical, top down organization To a process-based, collaborative organization with decision-making pushed down to all levels. Success requires Cultural alignment Enhanced leadership competencies
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This is Our Desired Culture
Side bar: Key inputs considered as we thought about what kind of culture we need: Results from the 2007 Summit: What to take and what to leave behind in our culture Results from the Employee Engagement Survey and managers forums, Summer, 2008 Results from the Change Readiness Survey and focus groups, January 2009 Feedback from strategy review sessions with the Extended Leadership Team, Summer 2009 Continuous Learning Teamwork Be open, honest, and candid Make sharing information and knowledge the norm Manage through influence and lead by example Get input before decisions are made Be willing to dialogue Use “failures” as opportunities to learn Benchmark against the best Follow the process, AND keep the end in mind: make a difference Take responsibility for your own career Continuous Improvement Accountability Fix the process Follow the process Measure what matters Get it done and get it right Own it: Be accountable Use it: Fact-based decision-making Earn it: Consistent respect 4
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What did we do? Defined leadership competencies
Piloted 360 feedback survey Roll-out to Extended Leadership Team
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Key Points Most organizations are feedback poor
Higher levels of management get less feedback 360 is an effective way to get candid feedback Leverage strengths and/or address weaknesses Growth and learning doesn’t happen unless behavior changes
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NC DOR Leadership Framework Competencies & Levels
Revised January 21, 2010 7 7
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Defining Leadership Competencies
Analyzed internal qualitative information Grouped behaviors around levels based on best practice models Organized competencies around the four quadrants Tested and refined language and groupings several times
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Leadership Competencies
The behaviors are grouped into competencies. A competency is a group of knowledge, skills, and abilities (KSA) that work together to achieve a result. Each competency lists a number of key behaviors that indicate a level of mastery appropriate to the level of leadership. 9
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The Leadership Framework
Outlines specific behaviors that each level of management at DOR can do to help build the desired culture and achieve the DOR vision and mission. The behaviors are organized according to the four quadrants of the desired culture. The behaviors describe an ideal person. No one is expected to demonstrate every behavior because everyone is unique. But…we can each pick a few things to improve that will make a difference. The levels are cumulative. The second level assumes you’ve mastered the first level. 10
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Optimal Leadership Focus
Each level of management has a primary focus. They may operate in multiple levels every day, but a healthy organization requires that each of these management and leadership functions are attended to. Visionary Focus Shapes the organization and culture through vision, goal-setting, establishing accountability, selecting and developing key people Time horizon is years Strategic Focus Runs the business by developing and implementing agency strategies to achieve agency goals within their organization Time horizon is 2-3 years Operational Focus Translates into end-to-end processes Integrates horizontally across boundaries to ensure process efficiency and effectiveness Time horizon is 1-2 years Supervisory Focus Manages the work and leads a team to accomplish functional tasks within end-to-end processes Time horizon is daily – quarterly Self-leadership Producer who builds competence in accomplishing functional tasks Partner who demonstrates respect for self and others, building partnerships that are mutually beneficial 11 11
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Visionary Leadership Profile
Accountability Own the Outcome Continuous Improvement: Drive Operational Excellence Teamwork: Develop Organizational Capability Continuous Learning: Guide through Change A. Provide Direction Helps identify short term steps needed to achieve long-term strategic goals Regularly updates and communicates goals and expected results Leads resource planning and utilization efforts to ensure a sustainable future B. Drive for Results Holds people accountable for delivering results Tracks progress towards strategic goals Makes important decisions in a timely way with sufficient input from key stakeholders Creates a sense of urgency C. Build and Sustain Commitment Prioritizes agency-wide needs regularly to balance short-term pressures with long -term goals Is a positive, visible role model D. Execute Flawlessly Empowers others to handle operational issues Makes tough, timely decisions based on data Sets expectations and deadlines, removes barriers Uses influence more than control E. Create a Climate of Learning Is an active learner Ensure staff is focused on learning for the future Takes an active role in leadership and management development Uses errors as opportunities for learning and improvement F. Constantly Raise the Bar Monitors agency-wide adherence to new mandates Monitors and ensures the integrity of DOR’s performance management systems Monitors and champions continuous improvement of performance standards Challenges the status quo Is passionate about organization-wide efforts to continuously improve the maturity and results of business processes G. Develop Others Identifies, sponsors and develops future leaders by succession planning delegation and coaching for success Anticipates and plans for improvements in staff skills H. Foster Teamwork Meets regularly with direct reports and has regular team meetings to build cohesion, alignment, and confidence Operates as a team member for the good of DOR I. Shape the Culture Shapes the culture by acting from his/her values Shapes the culture through selection and development of key people Develops & drives reward and recognition that reinforce agency goals J. Communicates Effectively Communicates with openness and candor Skillfully influences peers as well employees Communicates a crystal-clear vision with convincing reasons to embrace the vision Communicates confidently using visual, written, and verbal methods K. Demonstrate Agency Acumen Demonstrates a business perspective that is broader than one function , unit, process and deep across multiple areas of expertise Zeros into the heart of complex issues L. Think Strategically Balances time between looking ahead and working on urgent current issues Works with external entities to acquire resources; represents DOR externally Identifies and drives strategic change initiatives for the benefit of DOR as a whole M. Manage Disagreements Surfaces and resolves conflicts early Takes a stand on controversial and unpopular issues Identifies and balances competing values effectively Pushes decision-making down to the appropriate level N. Leverage External Networks Brings new information from the outside about trends and events Monitors and builds the talent pipeline to ensure sufficient bench strength for the future 12
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Strategic Leadership Profile
Accountability Continuous Improvement Teamwork Continuous Learning A. Provide Direction Ensures the division has a vision, mission and goals that support agency goals and strategic direction Regularly updates and communicates goals and expected results Translates agency directives into practical plans Prioritizes regularly to achieve strategic goals and manage time and stress B. Drive for Results Sets performance standards and meaningful metrics Holds people accountable for delivering results Tracks progress towards strategic goals Supports and coaches supervisors to manage poor performers to acceptable performance or out of the organization Eliminates barriers and distractions for the teams C. Build and sustain commitment Is a positive, visible role model Works with passion that inspires others to produce Recognizes and celebrates progress and results D. Execute Flawlessly Manages resource planning and allocation for multiple work units Stays informed of situations, trends, and issues Identifies relevant data and uses it to make decisions E. Create a Climate of Learning Participates in and sponsors lessons learned sessions, benchmarking ,and other learning experiences Incorporates results from lessons learned into plans and initiatives Delegates operational details to develop others and create time for strategic focus F. Constantly Raise the Bar Proactively solicits employee ideas for improvement Champions great ideas to completion Steps back to see the big picture in order to identify opportunities for process improvement efforts Brings together multiple stakeholders to analyze and improve processes G. Develop Others Develops future leaders for the agency Anticipates and plans for improvements in staff skills Identifies and mentors people with real promise H. Foster Teamwork Meets regularly with direct reports Interacts with all division employees regularly to build cohesion, alignment, and confidence Uses negotiation and persuasion to help others work toward a common goal Fosters unity; promotes “we are all in this together” thinking I. Shape the Culture Knows what s/he stands for; has a set of personal values. Selects, develops and rewards people in ways that build the desired culture J. Communicates Effectively Establishes regular two-way communication processes across the division Communicates confidently using visual, written and verbal methods K. Demonstrate Agency Acumen Demonstrates a full grasp of the business of the division Considers what is best for the agency first, and then the division L. Think Strategically Thinks from a constituent point of view so as to lead people to create value Encourages out-of-the-box thinking and innovation M. Manage Disagreements Builds trust and mutual respect so conflicts can be resolved timely Seeks out diversity of views before decisions are made Avoids needless escalation through open cross-boundary dialogue Develops staff ability to identify, analyze, and resolve or escalate issues productively N. Leverage External Networks Develops and maintains an external network for new ideas, trends and talent Stays current with what’s going on with external stakeholder groups 13
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Operational Leadership
Accountability Continuous Improvement Teamwork Continuous Learning A. Provide Direction Supports agency and division goals while also maintaining independence of thought and action Connects horizontally to ensure integration of work flows and decisions where needed Ensures consistency across units B. Drive for Results Holds people accountable for delivering results Coaches and empowers supervisors to make timely decisions Ensures that new employees are oriented and well-trained quickly Supports and coaches supervisors to manage poor performers to acceptable performance or out of the organization C. Build & Sustain Commitment Is a positive role model Helps the team manage time and stress through resource allocation and planning Takes a stand and voices concerns appropriately D. Execute Flawlessly Designs work flows for optimal efficiency and effectiveness Monitors work processes to ensure they deliver results mandated by legislation (eg. NC 242) Ensures that SOPs are updated and coordinated across boundaries as needed E. Create a Climate of Learning Participates in problem-solving sessions with peers to identify and remove barriers across organizational lines Ensures that important knowledge is documented and accessible to others who need it F. Constantly Raise the Bar Identifies operational opportunities for improvement Manages process improvement projects Incorporates results from lessons learned into process improvements Champions promising innovative ideas upward G. Develop Others Holds periodic skip-level meetings so as to better support and develop supervisors and encourage upward communication Develop others through coaching, instruction and delegation H. Foster Teamwork Has regular one-on-one meetings and team meetings that build the confidence and cohesion of the team and alignment with division goals Fosters unity; promotes “we are all in this together” thinking Works effectively across division lines as needed for the good of DOR I. Shape the Culture Fosters a productive, positive work environment Rewards free exchange of knowledge and information that results in improved processes and results J. Communicates effectively Develops compelling , fact-based ways to sell ideas Uses effective verbal communications in one-to-one and group settings Writes clearly and concisely, using appropriate style, format, grammar ,and tone K. Demonstrate Agency Acumen Develops breadth beyond a single area of expertise Is a respected thought leader, influencing beyond own work Shares knowledge and information freely to build agency knowledge base L. Think Strategically Translates division goals and change efforts into daily work flows, processes, and SOPs Challenges existing ways of working to create capacity for innovation and change Encourages employees to come forward with innovative ideas M. Manage Disagreement Takes a stand and voices own views constructively Escalates only as necessary – Seeks out possible solutions with others first Seeks to understand implications of solutions that go beyond the immediate work group(s) N. Leverage External Networks Seeks opportunities to gain professional recognition outside DOR 14
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Supervisory Leadership
Accountability Continuous Improvement Teamwork Continuous Learning Provide Direction Sets clear goals and expectations with the team Helps people see how the work of the unit contributes to agency strategy B. Drive for Results Makes decisions timely without unnecessary escalation Facilitates and supports team decision-making appropriately Does not tolerate ongoing poor performance or behavior. Manages poor performers to acceptable performance or out of the organization C. Build and sustain commitment Is a positive role model Helps team members manage time and stress Knows what motivates each team member and works to match their needs with the work D. Execute Flawlessly Helps people see their job as part of a larger process Understands the upstream and downstream process steps and teaches this to employees Sets performance standards E. Create a Climate of Learning Provides effective performance feedback Looks for ways to fix the process rather than just fixing errors or blaming individuals Uses mistakes and errors as opportunities for team learning Makes it safe for people to ask for help F. Constantly Raise the Bar Initiates and participates in sponsors lessons learned sessions to improve processes Negotiates performance goals and standards that stretch the team beyond today’s performance G. Develop Others Knows their employee’s goals and helps them build the skills to get there Organizes the work to make the most of people’s strengths H. Foster Teamwork Fosters unity; promotes “we are all in this together” thinking Has regular one-on-one and team meetings that build clarity, confidence, and cohesion of employees Helps team members see the best in each other Balances focus on the task with focus on relationships I. Shape the Culture Fosters a productive, positive work environment Looks for people doing things right and praises them J. Communicates effectively Passes on decisions, changes, and other relevant information to the right people at the right time with the right amount of detail Actively listens and demonstrates understanding K. Demonstrate Agency Acumen Has mastered at least one area in depth Empowers staff by teaching them the business of the agency L. Think Strategically Helps the team understand the reasons for change Helps the team adapt to changes quickly M. Manage Disagreement Recognizes and helps the team resolve conflicts timely; conflicts do not fester and linger Is insightful about personal mistakes and failures; learns from them and moves on Identifies and analyzes issues and possible solutions that may affect other units Allows staff to vent and then steers the conversation to a productive resolution N. Leverage External Networks Seeks out and incorporates leading edge practices in the team’s functional area Participates in associations or external learning and networking opportunities to build professional expertise 15
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Continuous Improvement
Self Leadership Accountability Continuous Improvement Teamwork Continuous Learning A. Provide Direction Sets personal goals for learning Stays focused on a goal to produce results B. Drive for Results Meets deadlines consistently Meets performance standards consistently Accepts responsibility for outcomes C. Build and Sustain Commitment Manages time and stress well Is a positive influence on the team; leads by example Identifies personal goals and needs and finds ways to achieve them while accomplishing agency goals D. Execute Flawlessly Manages personal performance to achieve goals Uses process documentation and SOPs to accurately perform work Develops credibility and a reputation for competent work Adheres to workplace rules and behavioral expectations E. Create a Climate of Learning Asks for help Helps others willingly Avoids blaming self and others by looking for ways to fix the process that led to an error F. Constantly Raises the Bar Identifies process improvement issues and opportunities Shares process improvement ideas and solutions with management effectively Seeks out and responds well to performance and development feedback G. Develops Self Prepares for and uses one-on-one meetings with supervisor effectively to improve performance and develop self Takes the initiative to learn and grow H. Fosters Teamwork Recognizes others for good work; catches people doing things right Resists playing the victim by building partnerships based on win-win solutions Speaks up constructively when a conflict needs to be resolved I. Build the Culture Shares information about how things work freely Has open, honest and candid conversations J. Communicate Effectively Respects those with who s/he may disagree Keeps supervisor and team members informed K. Demonstrate Agency Acumen Is curious about how things work in own unit and others Demonstrates competence in his/her area of expertise L. Think Strategically Bounces back quickly from disappointments Looks for opportunities for self-development and greater contribution as things change M. Manage Disagreement Seeks out accurate information to counteract rumors and negative thinking Doesn’t take things personally Stays open-minded by seeking to understand things from different points of view Brings solutions instead of complaints N. Leverage External Networks Takes charge of own career by networking Seeks opportunities for contributing outside immediate workgroup 16
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Continuous Improvement
Derailers These are behaviors that can damage one’s ability to be successful at DOR. These behaviors can “derail” your career at DOR. Accountability Continuous Improvement Teamwork Continuous Learning Lack of integrity So caught up in activity that is unable to achieve results, “Showed up at the game but didn’t play” Takes the easy way out, avoiding good judgment and accountability by saying “We’ve always done it that way” Failing to clarify expectations at the beginning of the PEP cycle so that the rating at the end is too subjective Failing to give employees ongoing, timely feedback or failing to ask for this; the PEP should not be a surprise Not making decisions; sitting on the fence; being and/or choosing to stay neutral or apathetic Too comfortable with the status quo Narrow, myopic thinking that doesn’t take into account the bigger picture, where the agency is headed, the overall process that needs to be improved, and logic Lack of courage to have open, candid conversations. Too many A-C conversations Failure to respect others Inability to adapt and move on from situations that are difficult or unavoidable, whines, stays negative, doesn’t offer any solutions. Hoarding information Can’t communicate with staff Disparages DOR in A-C conversations Protects his/her turf at the expense of what’s best for DOR as a whole Avoids giving his/her superior bad news Being too internally focused; unaware of what’s happening at the Legislature or other external entities that impact DOR Unwilling to learn, try, push oneself Put others down because of perceived lack of ability; won’t give others the opportunity and coaching needed to grow and develop 17
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Creating the Feedback Survey
DOR Leadership Framework Accountability: Own the outcome Continuous Improvement: Drive operational excellence Teamwork: Develop organizational capability Continuous Learning: Guide through change Visionary Provide Direction Drive for Results Build and Sustain Commitment Execute Flawlessly Create a Climate of Learning Constantly Raise the Bar Develop Others Foster Teamwork Shape the Culture Demonstrate Agency Acumen Think Strategically Manage Disagreements Leverage External Networks Strategic Operational Supervisory Self-
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360 Questionnaire Standardized method for gathering feedback
Based on NC DOR Leadership Framework 18 statements representing strategic leadership dimensions and key behaviors Does this very well Does this well Does this OK Doesn’t do this well Doesn’t do this at all well (N/A) 19 statements representing “derailers” Strongly agree Agree Neither agree nor disagree Disagree Strongly disagree Open-ended questions: Continue, Stop, Start
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Feedback Survey 360 Feedback tool
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360 Feedback Process Kick-off session Growth and Learning session
Feedback Report session One to one Coaching session Feedback from Pilot group
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6. Tracking Returns
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Feedback Reports Average rating for each behavioral statement
Broken out by category (self, supervisor, direct report, etc.) Rollovers to preserve rater anonymity Written comments Self and Supervisor comments separated out, all others lumped together
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What’s next? Cascade to remaining 275 managers By tiers of management
Using same process Kick-off session Growth and Learning session Feedback Report session One to one Coaching session What’s different? Formal training of feedback givers Coaching by DOR
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What else? Management Essentials training
Leading People Managing Work Review trends from 360 feedback to identify other training and development needs of managers
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Results? Good start Not enough data Challenges?
Difficult to change a culture – takes a long time of concerted effort Change in leadership Could have new vision, different ideas
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Questions?
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