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360 Leadership Process John Kuhls, Director of Human Resources Linda D. Smith, Director Staff Development NC Department of Revenue Slide 2 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 Slide 3 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 Slide 4 This is Our Desired Culture 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 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 Accountability 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 Continuous Improvement Teamwork Continuous Learning Slide 5 What did we do? Defined leadership competencies Piloted 360 feedback survey Roll-out to Extended Leadership Team Slide 6 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 doesnt happen unless behavior changes Slide 7 7 NC DOR Leadership Framework Competencies & Levels Revised January 21, 2010 Slide 8 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 Slide 9 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 Slide 10 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. Butwe can each pick a few things to improve that will make a difference. The levels are cumulative. The second level assumes youve mastered the first level. 10 Slide 11 11 Optimal Leadership Focus Visionary Focus Shapes the organization and culture through vision, goal-setting, establishing accountability, selecting and developing key people Time horizon is 3- 5+ 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-leadershipProducer who builds competence in accomplishing functional tasks Partner who demonstrates respect for self and others, building partnerships that are mutually beneficial 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. Slide 12 12 Visionary Leadership Profile Accountability Own the Outcome Continuous Improvement: Drive Operational Excellence Teamwork: Develop Organizational Capability Continuous Learning: Guide through Change A. Provide Direction 1.Helps identify short term steps needed to achieve long-term strategic goals 2.Regularly updates and communicates goals and expected results 3.Leads resource planning and utilization efforts to ensure a sustainable future B. Drive for Results 4.Holds people accountable for delivering results 5.Tracks progress towards strategic goals 6.Makes important decisions in a timely way with sufficient input from key stakeholders 7.Creates a sense of urgency C. Build and Sustain Commitment 8.Prioritizes agency-wide needs regularly to balance short-term pressures with long -term goals 9.Is a positive, visible role model D. Execute Flawlessly 10.Empowers others to handle operational issues 11.Makes tough, timely decisions based on data 12.Sets expectations and deadlines, removes barriers 13.Uses influence more than control E. Create a Climate of Learning 14.Is an active learner 15.Ensure staff is focused on learning for the future 16.Takes an active role in leadership and management development 17.Uses errors as opportunities for learning and improvement F. Constantly Raise the Bar 18.Monitors agency-wide adherence to new mandates 19.Monitors and ensures the integrity of DORs performance management systems 20.Monitors and champions continuous improvement of performance standards 21.Challenges the status quo 22.Is passionate about organization-wide efforts to continuously improve the maturity and results of business processes G. Develop Others 23.Identifies, sponsors and develops future leaders by succession planning delegation and coaching for success 24.Anticipates and plans for improvements in staff skills H. Foster Teamwork 25.Meets regularly with direct reports and has regular team meetings to build cohesion, alignment, and confidence 26.Operates as a team member for the good of DOR I. Shape the Culture 27.Shapes the culture by acting from his/her values 28.Shapes the culture through selection and development of key people 29.Develops & drives reward and recognition that reinforce agency goals J. Communicates Effectively 30.Communicates with openness and candor 31.Skillfully influences peers as well employees 32.Communicates a crystal-clear vision with convincing reasons to embrace the vision 33.Communicates confidently using visual, written, and verbal methods K. Demonstrate Agency Acumen 34.Demonstrates a business perspective that is broader than one function, unit, process and deep across multiple areas of expertise 35.Zeros into the heart of complex issues L. Think Strategically 36.Balances time between looking ahead and working on urgent current issues 37.Works with external entities to acquire resources; represents DOR externally 38.Identifies and drives strategic change initiatives for the benefit of DOR as a whole M. Manage Disagreements 39.Surfaces and resolves conflicts early 40.Takes a stand on controversial and unpopular issues 41.Identifies and balances competing values effectively 42.Pushes decision-making down to the appropriate level N. Leverage External Networks 43.Brings new information from the outside about trends and events 44.Monitors and builds the talent pipeline to ensure sufficient bench strength for the future Slide 13 13 Strategic Leadership Profile AccountabilityContinuous Improvement TeamworkContinuous Learning A. Provide Direction 1.Ensures the division has a vision, mission and goals that support agency goals and strategic direction 2.Regularly updates and communicates goals and expected results 3.Translates agency directives into practical plans 4.Prioritizes regularly to achieve strategic goals and manage time and stress B. Drive for Results 5.Sets performance standards and meaningful metrics 6.Holds people accountable for delivering results 7.Tracks progress towards strategic goals 8.Supports and coaches supervisors to manage poor performers to acceptable performance or out of the organization 9.Eliminates barriers and distractions for the teams C. Build and sustain commitment 10.Is a positive, visible role model 11.Works with passion that inspires others to produce 12.Recognizes and celebrates progress and results D. Execute Flawlessly 13.Manages resource planning and allocation for multiple work units 14.Stays informed of situations, trends, and issues 15.Identifies relevant data and uses it to make decisions E. Create a Climate of Learning 16.Participates in and sponsors lessons learned sessions, benchmarking,and other learning experiences 17.Incorporates results from lessons learned into plans and initiatives 18.Delegates operational details to develop others and create time for strategic focus F. Constantly Raise the Bar 19.Proactively solicits employee ideas for improvement 20.Champions great ideas to completion 21.Steps back to see the big picture in order to identify opportunities for process improvement efforts 22.Brings together multiple stakeholders to analyze and improve processes G. Develop Others 23.Develops future leaders for the agency 24.Anticipates and plans for improvements in staff skills 25.Identifies and mentors people with real promise H. Foster Teamwork 26.Meets regularly with direct reports 27.Interacts with all division employees regularly to build cohesion, alignment, and confidence 28.Uses negotiation and persuasion to help others work toward a common goal 29.Fosters unity; promotes we are all in this together thinking I. Shape the Culture 30.Knows what s/he stands for; has a set of personal values. 31.Selects, develops and rewards people in ways that build the desired culture J. Communicates Effectively 32.Establishes regular two-way communication processes across the division 33.Communicates confidently using visual, written and verbal methods K. Demonstrate Agency Acumen 34.Demonstrates a full grasp of the business of the division 35.Considers what is best for the agency first, and then the division L. Think Strategically 36.Thinks from a constituent point of view so as to lead people to create value 37.Encourages out-of-the-box thinking and innovation M. Manage Disagreements 38.Builds trust and mutual respect so conflicts can be resolved timely 39.Seeks out diversity of views before decisions are made 40.Avoids needless escalation through open cross-boundary dialogue 41.Develops staff ability to identify, analyze, and resolve or escalate issues productively N. Leverage External Networks 42.Develops and maintains an external network for new ideas, trends and talent 43.Stays current with whats going on with external stakeholder groups Slide 14 14 Operational Leadership AccountabilityContinuous Improvement TeamworkContinuous Learning A. Provide Direction 1.Supports agency and division goals while also maintaining independence of thought and action 2.Connects horizontally to ensure integration of work flows and decisions where needed 3.Ensures consistency across units B. Drive for Results 4.Holds people accountable for delivering results 5.Coaches and empowers supervisors to make timely decisions 6.Ensures that new employees are oriented and well-trained quickly 7.Supports and coaches supervisors to manage poor performers to acceptable performance or out of the organization C. Build & Sustain Commitment 8.Is a positive role model 9.Helps the team manage time and stress through resource allocation and planning 10.Takes a stand and voices concerns appropriately D. Execute Flawlessly 11.Designs work flows for optimal efficiency and effectiveness 12.Monitors work processes to ensure they deliver results mandated by legislation (eg. NC 242) 13.Ensures that SOPs are updated and coordinated across boundaries as needed E. Create a Climate of Learning 14.Participates in problem-solving sessions with peers to identify and remove barriers across organizational lines 15.Ensures that important knowledge is documented and accessible to others who need it F. Constantly Raise the Bar 16.Identifies operational opportunities for improvement 17.Manages process improvement projects 18.Incorporates results from lessons learned into process improvements 19.Champions promising innovative ideas upward G. Develop Others 20.Holds periodic skip-level meetings so as to better support and develop supervisors and encourage upward communication 21.Develop others through coaching, instruction and delegation H. Foster Teamwork 22.Has regular one-on-one meetings and team meetings that build the confidence and cohesion of the team and alignment with division goals 23.Fosters unity; promotes we are all in this together thinking 24.Works effectively across division lines as needed for the good of DOR I. Shape the Culture 25.Fosters a productive, positive work environment 26.Rewards free exchange of knowledge and information that results in improved processes and results J. Communicates effectively 27.Develops compelling, fact- based ways to sell ideas 28.Uses effective verbal communications in one-to-one and group settings 29.Writes clearly and concisely, using appropriate style, format, grammar,and tone K. Demonstrate Agency Acumen 30.Develops breadth beyond a single area of expertise 31.Is a respected thought leader, influencing beyond own work 32.Shares knowledge and information freely to build agency knowledge base L. Think Strategically 33.Translates division goals and change efforts into daily work flows, processes, and SOPs 34.Challenges existing ways of working to create capacity for innovation and change 35.Encourages employees to come forward with innovative ideas M. Manage Disagreement 36.Takes a stand and voices own views constructively 37.Escalates only as necessary Seeks out possible solutions with others first 38.Seeks to understand implications of solutions that go beyond the immediate work group(s) N. Leverage External Networks 39.Seeks opportunities to gain professional recognition outside DOR Slide 15 15 Supervisory Leadership AccountabilityContinuous Improvement TeamworkContinuous Learning A.Provide Direction 1. Sets clear goals and expectations with the team 2.Helps people see how the work of the unit contributes to agency strategy B. Drive for Results 4.Makes decisions timely without unnecessary escalation 5.Facilitates and supports team decision-making appropriately 6.Does not tolerate ongoing poor performance or behavior. Manages poor performers to acceptable performance or out of the organization C. Build and sustain commitment 7.Is a positive role model 8.Helps team members manage time and stress 9.Knows what motivates each team member and works to match their needs with the work D. Execute Flawlessly 10.Helps people see their job as part of a larger process 11.Understands the upstream and downstream process steps and teaches this to employees 12.Sets performance standards E. Create a Climate of Learning 13.Provides effective performance feedback 14.Looks for ways to fix the process rather than just fixing errors or blaming individuals 15.Uses mistakes and errors as opportunities for team learning 16.Makes it safe for people to ask for help F. Constantly Raise the Bar 17.Initiates and participates in sponsors lessons learned sessions to improve processes 18.Negotiates performance goals and standards that stretch the team beyond todays performance G. Develop Others 19.Knows their employees goals and helps them build the skills to get there 20.Organizes the work to make the most of peoples strengths H. Foster Teamwork 21.Fosters unity; promotes we are all in this together thinking 22.Has regular one-on-one and team meetings that build clarity, confidence, and cohesion of employees 23.Helps team members see the best in each other 24.Balances focus on the task with focus on relationships I. Shape the Culture 25.Fosters a productive, positive work environment 26.Looks for people doing things right and praises them J. Communicates effectively 27.Passes on decisions, changes, and other relevant information to the right people at the right time with the right amount of detail 28.Actively listens and demonstrates understanding K. Demonstrate Agency Acumen 29.Has mastered at least one area in depth 30.Empowers staff by teaching them the business of the agency L. Think Strategically 31.Helps the team understand the reasons for change 32.Helps the team adapt to changes quickly M. Manage Disagreement 33.Recognizes and helps the team resolve conflicts timely; conflicts do not fester and linger 34.Is insightful about personal mistakes and failures; learns from them and moves on 35.Identifies and analyzes issues and possible solutions that may affect other units 36.Allows staff to vent and then steers the conversation to a productive resolution N. Leverage External Networks 37.Seeks out and incorporates leading edge practices in the teams functional area 38.Participates in associations or external learning and networking opportunities to build professional expertise Slide 16 16 Self Leadership AccountabilityContinuous Improvement TeamworkContinuous Learning A. Provide Direction 1.Sets personal goals for learning 2.Stays focused on a goal to produce results B. Drive for Results 3.Meets deadlines consistently 4.Meets performance standards consistently 5.Accepts responsibility for outcomes C. Build and Sustain Commitment 6.Manages time and stress well 7.Is a positive influence on the team; leads by example 8.Identifies personal goals and needs and finds ways to achieve them while accomplishing agency goals D. Execute Flawlessly 9.Manages personal performance to achieve goals 10. Uses process documentation and SOPs to accurately perform work 11.Develops credibility and a reputation for competent work 12.Adheres to workplace rules and behavioral expectations E. Create a Climate of Learning 13.Asks for help 14.Helps others willingly 15.Avoids blaming self and others by looking for ways to fix the process that led to an error F. Constantly Raises the Bar 16.Identifies process improvement issues and opportunities 17.Shares process improvement ideas and solutions with management effectively 18.Seeks out and responds well to performance and development feedback G. Develops Self 19.Prepares for and uses one-on- one meetings with supervisor effectively to improve performance and develop self 20.Takes the initiative to learn and grow H. Fosters Teamwork 21.Recognizes others for good work; catches people doing things right 22.Resists playing the victim by building partnerships based on win-win solutions 23.Speaks up constructively when a conflict needs to be resolved I. Build the Culture 24.Shares information about how things work freely 25.Has open, honest and candid conversations J. Communicate Effectively 26.Respects those with who s/he may disagree 27.Keeps supervisor and team members informed K. Demonstrate Agency Acumen 28.Is curious about how things work in own unit and others 29.Demonstrates competence in his/her area of expertise L. Think Strategically 30.Bounces back quickly from disappointments 31.Looks for opportunities for self-development and greater contribution as things change M. Manage Disagreement 32.Seeks out accurate information to counteract rumors and negative thinking 33.Doesnt take things personally 34.Stays open-minded by seeking to understand things from different points of view 35.Brings solutions instead of complaints N. Leverage External Networks 36.Takes charge of own career by networking 37. Seeks opportunities for contributing outside immediate workgroup Slide 17 Derailers 17 AccountabilityContinuous Improvement TeamworkContinuous Learning 1.Lack of integrity 2.So caught up in activity that is unable to achieve results, Showed up at the game but didnt play 3.Takes the easy way out, avoiding good judgment and accountability by saying Weve always done it that way 4.Failing to clarify expectations at the beginning of the PEP cycle so that the rating at the end is too subjective 5.Failing to give employees ongoing, timely feedback or failing to ask for this; the PEP should not be a surprise 6.Not making decisions; sitting on the fence; being and/or choosing to stay neutral or apathetic 7.Too comfortable with the status quo 8.Narrow, myopic thinking that doesnt take into account the bigger picture, where the agency is headed, the overall process that needs to be improved, and logic 9.Lack of courage to have open, candid conversations. Too many A-C conversations 10.Failure to respect others 11.Inability to adapt and move on from situations that are difficult or unavoidable, whines, stays negative, doesnt offer any solutions. 12.Hoarding information 13.Cant communicate with staff 14.Disparages DOR in A-C conversations 15.Protects his/her turf at the expense of whats best for DOR as a whole 16.Avoids giving his/her superior bad news 17.Being too internally focused; unaware of whats happening at the Legislature or other external entities that impact DOR 18.Unwilling to learn, try, push oneself 19.Put others down because of perceived lack of ability; wont give others the opportunity and coaching needed to grow and develop These are behaviors that can damage ones ability to be successful at DOR. These behaviors can derail your career at DOR. Slide 18 DOR Leadership Framework Accountability: Own the outcome Continuous Improvement: Drive operational excellence Teamwork: Develop organizational capability Continuous Learning: Guide through change 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 Creating the Feedback Survey Slide 19 360 Questionnaire Standardized method for gathering feedback Based on NC DOR Leadership Framework 18 statements representing strategic leadership dimensions and key behaviors 1. Does this very well 2. Does this well 3. Does this OK 4. Doesnt do this well 5. Doesnt do this at all well 6. (N/A) 19 statements representing derailers 1. Strongly agree 2. Agree 3. Neither agree nor disagree 4. Disagree 5. Strongly disagree 6. (N/A) Open-ended questions: Continue, Stop, Start Slide 20 Feedback Survey 360 Feedback tool Slide 21 Slide 22 Slide 23 Slide 24 Slide 25 360 Feedback Process Kick-off session Growth and Learning session Feedback Report session One to one Coaching session Feedback from Pilot group Slide 26 6. Tracking Returns Slide 27 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 Slide 28 Whats 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 Whats different? Formal training of feedback givers Coaching by DOR Slide 29 What else? Management Essentials training Leading People Managing Work Review trends from 360 feedback to identify other training and development needs of managers Slide 30 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 Slide 31 Questions?