Skills for Successful

Supervision

Presenter: Nicole McPherson Shaw

Date: February 14 – 16, 2012

Georgia Department of Human Services

 Vision, Mission and Core Values
Vision
Stronger Families for a Stronger Georgia.
Mission
Strengthen Georgia by providing Individuals and Families access to
services that promote self-sufficiency, independence, and protect
Georgia's vulnerable children and adults.
Core Values
• Provide access to resources that offer support and empower Georgians
and their families.
• Deliver services professionally and treat all clients with dignity and
respect. Manage business operations effectively and efficiently by aligning
resources across the agency.
• Promote accountability, transparency and quality in all services we deliver
and programs we administer.
• Develop our employees at all levels of the agency.
Skills for Successful Supervision
Day One:
A Primer of Basic Supervisory Skills and
Techniques
Introduction

Congratulations!!
Fundamental Supervisory Skills Class
– Some Review & Some New
– Group & Individual Exercises/Assessments
– Information/Discussion (& some practice)
• Participant Expectations Exercise
• Pre-Test
Agenda - Day 1
• “After All, You’re the Supervisor!”
• Elements of Successful Supervision
• Transition & Establishment Skills
• Communications & Relationships
• Planning and Prioritizing
• Problem Solving and Decision Making
• Delegation and Motivation
• Training and Team Building
Agenda – Day 2
• Ethics and Values
• Progressive Discipline
• Fact Finding
• Grounds for Disciplinary Actions
• Employment Law
• Employee Relations Policies
• Employee Relations Best Practices
• Case Studies
Agenda Day 3
New Performance Management Process
E-Performance Web Site
PMF Format
Performance Management Process Timeline
Core Competencies
Rating Scale
Coaching and Development
Employee Recognition
Objectives-Day One
• Be able to identify the keys to successful supervision
• Understand the basic elements of the problem solving
model
• Be able to identify the critical factors to consider
when making a decision
• Understand and be able to apply the steps of the
delegation process
• Understand the importance of motivating employees
and the positive impact it can have on the working
environment
Exercise

• Why do you want to be a supervisor?

– Please take 5-8 minutes to complete the
questionnaire
– Participate in discussion
Video
After All, You Are the Supervisor
Key Elements of Successful Supervision

• Transition and Establishment

• Communications and Relationships
• Planning and Prioritizing
• Problem Solving and Decision Making
• Delegation and Motivation
• Team Building
• Training
 Transition/Establishment Issues

• Going from buddy to boss

• Hard decisions / Hard circumstances
• Can’t: Always please, Have answer, Meet need

• Controlling staff members

– What is most difficult?
• Confronting employees
• Setting Limits
Transition/Establishment Issues

• Giving up old tasks

• Getting things done through others!

• Maintaining accessibility
• Managing by Walking Around

• Showing initiative
• Accepting responsibility
Transition/Establishment Issues (cont)

• Making your own decisions; confronting

challenges
• Learning the facts & being consistent
• Demonstrating a can-do approach
• Assessing staff members
 Earning Respect
• Listen to staff concerns
• Stand up for your staff
• Show confidence & express appreciation
• Make expectations clear and be honest
• Do not tolerate poor performance
• Do not apologize for being the boss
• Control yourself; do not bluff employees
• Control yourself; anticipate being “tested”
 Communication

• Activity: Just For Fun

– Review of handout
– What are the implications of this?
 Communication Mediums

• Face-to-face
• Telephone
• Written communication
– Memos and letters
– Electronic
• Group or Staff Meetings
 Passive/Active Listening Skills

• Listening for the content

• Listening for the feelings
• Responding to the feelings
• Noting the speakers verbal and nonverbal
cues
• Reflecting back what you think you are hearing
 Relating to Your staff members

• Learning styles
• Interpersonal styles
• Motivators
 Benefits of Boundaries
• Maintains focus on goals and objectives
• Reduces risk of favoritism and harassment
charges
• Facilitates objective decision-making
• Earns respect and credibility
• Creates foundation for building trust
 Exercise
• Defining Boundaries

• What Would You Do?

• Review and complete the questionnaire in your

packet and then we will discuss
 Conflict Resolution

1. Meet with both and give assignment

2. Parties meet and discuss assignment with
each other and resolve conflict
3. Supervisor holds joint meeting and processes
their meeting and action plan
4. Supervisor follows up to ensure compliance
 Relating to Your Boss
• Supportive and positive
• Demonstrate good work habits
• Willingness to learn
• Complete work assignments
• Cooperation with others
• Creativity
• Even temperament
• Say “No” appropriately
 Relating to Peers

• Deal directly with people you need help from

• Spread requests around
• Accommodate peers and make adjustments
• Don’t tolerate bullying
• Don’t pressure or bully
peers
• Return the favor
 Supervisor Loyalty Priorities
• The Agency – DHS: Support mission

• Your Supervisor: Support your boss & upper

level management

• Your staff members:

– Show positive concern and recognition
– Give developmental feedback
– Encourage innovative ideas
 Planning/Prioritizing
• Identify office/division operational goals
• Identify priorities
• Find a mentor
• Listen
• Ask questions
• Review written materials
• Observe the workplace
 Exercise
A Problem Solving Exercise:
Deserted Island
 Problem Solving/Decision-making
• Uses the same model
• Closely related
• May use some different strategies
• Decision-making more proactive
than problem solving
• Action plans and follow up are critical
• Determining who to involve is a key issue
 A Model

• Define the problem

• Determine the cause
• Generate and evaluate possible solutions
• Select and troubleshoot the chosen solution
• Develop and implement an action plan
• Follow up
Decision Strategies: Involving Others
1. Authority/Expert - No involvement
2. Authority/Expert - Data gathering
involvement only
3. Consultative - Input from individuals or
group
4. Majority
5. Consensus
Decision Strategies - Other Critical Factors

• Expertise and Access to Info

• Acceptance
• Time
• Importance
• Capability
 Criteria for Decision-making
• Multiple alternatives
• Well-defined criteria
• Assumption testing
• Dissent and debate
• Troubleshoot options
• Perceived fairness
Why You Must Delegate

Your responsibility

Your ability
 Why You Should Delegate

• Importance to the supervisor:

– Better time management
– Improved opportunity for promotion
– Develops others
• Importance to the employee:
– Increased qualifications
– Increased eligibility for advancement
– Increased confidence, motivation and self-esteem
 What to Delegate

• Routine tasks with clear objectives

• Low priority tasks you don’t have time for
• Problem-solving on low to medium priority
issues
• Developmental tasks
and projects
 Things You CANNOT Delegate

• Ultimate accountability
• Responsibilities regulated by law
• Selection of new employees
• Power to counsel, discipline
and maintain morale
 Things You CANNOT Delegate
• Evaluating performance
• Resolving conflicts or any duties involving
trust
• Formulating goals, strategies and policies
• Preparing or approving budgets (if you are a
manager)
 The Delegation Process
• Analyze and Plan: use SMART model

• S- Specific
• M- Measurable
• A- Attainable
• R- Relevant
• T- Time-limited & Target-driven
 The Delegation Process
• Select staff members & make assignments
• Be clear & tell them why
• Specify time and quality standards
• Don’t play favorites or delegate to punish
• Monitor - Supply supports and check progress
• Evaluate and give rewards/consequences
Exercise

Delegation Exercise

Are you ready to delegate?

Motivation: Pygmalion Effect
• Self-fulfilling prophecy
• Express confidence and
high expectations
• Don’t be surprised by high
performance
• Share the rewards
• Inspire others with “sight triggers”
 Level of Needs
1. Physiological: Pay
2. Safety/Security: Fringe benefits and seniority
3. Belonging/Social: Unions, informal work groups, offices, departments and task
forces
4. Self esteem/ respect: status symbols, recognition, influence
5. Self-Actualization: task competency, growth, achievement

5 Self-
Actualization
4
Self-Esteem
3 Social/Relationship

2 Security/Psychological

1 Survival/Physiological
When to Provide Training

• Employee:
– can’t do the job Show
ONLY
– can do the job, but not well the correct way
to do the
– is doing the job incorrectly task
When Training is Not the Answer
• Doesn’t know what is expected
• Doesn’t know how he/she is doing
• Lack of Support
• Lack of Willingness

These issues should be handled by coaching and

effective performance management which we
will discuss tomorrow
 How to Train Employees
• Step 1
“Tell me and I
– You tell them what to do forget…”
– You do it correctly
• Step 2
“Show me and I
– They tell you what to do
remember…”
– You do it correctly
• Step 3
“Let me and I
– They tell you what to do
understand.”
– They do it correctly - Confucius
 7 Winning Team Essentials

1. Sell Your Vision

2. Understand/balance your use of power
3. Understand/provide what your team wants
4. Give the team ownership
5. Encourage experimentation
6. Enlist members with complementary skills
7. Incentives for team members
 Team Maturity
• Organization ahead of personal agenda
• Knowledge and skills to consistently get the
job done
• Clear understanding of the group’s goals
• Diverse group of creative and innovative
employees focused on shared goal
• Each employee contributes
something unique
Review
• Elements of Successful Supervision
• Transition & Establishment Skills
• Communications & Relationships
• Planning and Prioritizing
• Problem Solving and Decision Making
• Delegation and Motivation
• Training and Team Building
Skills for Successful Supervision
Day Two:
Employee Relations
 Agenda

• Ethics and Values

• Holding Employees Accountable
• Effective Discipline
• Employment Laws & HR Policies
• Dispute Resolution
• Best Practices in Employee Relations
• Short Scenarios & Case Studies
Values and Ethics
DHS Employee Relations Values

• Handout: Employee Relations

Values

• Exercise: Identify the Values

Ethics Definition
• Principles that define behavior as right, good,
and proper
• Learning what is right and wrong
• Making a choice to do what is:
• Right
• Fair
• Honest
• Legal
Three Rs of Ethics
• Respect: applied to people, the organization and the
environment

• Responsibility: to the organization, our customers,

our co-workers, and ourselves

• Results: the means to achieving the ends are as

important as the results
EXERCISE

• Ethics Self Assessment

 Creating an Ethical Environment
Model ethical behavior in order to:
– Increase pride, professionalism and productivity
– Increase employee willingness to report
misconduct.
– Improve trust and respect at all levels.
– Protect the positive reputation of the organization.
– Foster a positive work culture and improved
customer service
– Reduce pressures on employees to compromise
ethical standards
Holding Employees Accountable
• “Accountable” can be defined as: Accepts full
responsibility for self and contribution as a
team member; displays honesty and
truthfulness; displays a strong commitment to
organizational success and inspires others…
• Important function of your position as
supervisor is to hold your employees
accountable. See talent management definition
in PMP.
Employees should be held accountable in the areas of:

• Attendance
• Conduct
• Performance

All three are necessary!

Regular Presence at Work

• Most basic of all conditions of employment

• Considered one of the “essential functions” of
the job
• If an employee is not at work, then he cannot
perform his duties
• Employees have the right to earn leave but
may take it only with supervisory approval
Conduct
• Being responsive to supervisory direction and
feedback
• Avoiding argumentative, loud, rude and offensive
language and/ behavior
• Dressing in a clean and neat matter which is
appropriate for the setting
• Working cooperatively with colleagues
• Complying with all instructions from supervisors and
managers
Performance
• Accurate, complete and timely work products
• Appropriate interactions with clients
• Complying with performance standards
• Following programmatic policies and procedures
• Meeting deadlines
• Clarifying instructions and procedures
when appropriate
Customer Service: always critical
• Team Georgia Categories
– Helpful
– Accessible
– Responsive
– Knowledgeable
– Courteous
• Faster, friendlier, easier
New Statewide Core Competencies

• Customer Service
• Teamwork and Cooperation
• Results Orientation
• Accountability
• Judgment and Decision Making
Discipline
Elements of Effective Employee Discipline

• Early Intervention
• Communication
• Coaching
• Factual Integrity
• Documentation
• Consistency
• Progressive Discipline
• Employee Rights & Privileges
Early Intervention

• Intervene in all areas:

– Performance
– Attendance
– Conduct

• Critical to the progressive

discipline process
Communication

• N- Notice-clear statement of the problem

• E – Expectations-what it will take to

correct problem

• W – Warning- what will be the

consequences of non-compliance
 Coaching
•Use active listening skills
•Keep an open mind
•Take a collaborative approach
•Focus on win-win solutions
•Be courteous and respectful
•Respond, don’t react
•Help the employee to understand and commit to
necessary improvements
Will discuss management coaching model in depth
tomorrow
 Fact-finding

• Investigate all complaints

• Interview all involved
• Get written statements if necessary
• Review appropriate documents
• Determine witness credibility
• Get the employee’s side of the story
Documentation

• Complete, clear, concise, accurate

• Take , date and keep notes on counseling
• Use follow up memos
• Keep copies of all corrective and disciplinary actions
• Keep pertinent information as long as you keep the
employee
• Give productivity file to next supervisor
Importance of Documentation
• Accurate and complete documentation
supports challenges to the action:
– Classified appeal
– UI Hearing
– Litigation
– EEOC Charge
– Complaint to higher level
management or political representative
Consistency
• Fairness to everyone-apply ER values
• Treat employees with similar work histories
and similar offenses in a similar manner
• All issues should consistently be addressed
• Every case is different
• Consider individual circumstances
• Be consistent but not rigid
 Decision Factors
• Severity of the offense
• Impact on clients
• Prior disciplinary/corrective action
• Performance evaluations
• Length of service
• Mitigating circumstances
• Evidence of intent
Progressive Discipline

• What is it?
• What is its purpose?
• What are the steps?
• What should be the timing between each step?
• Do you have to use all the steps?
Progressive Discipline

• Begin with the least severe penalty

that will have the desired effect
• All the steps do not need to be followed when
offenses are severe
• Give sufficient time for improvement
• Move through the process quickly if expectations are
not met
• Remember that the purpose of discipline is to salvage
the employee
Corrective Actions
• Attendance Plan
• Unauthorized leave without pay
• Work Plan
• Memo of Concern and Expectations
• Denial of Salary Increase
• More frequent use of interim evaluations,
monthly or quarterly
Disciplinary Actions
• Written Reprimand
• Written Reprimand/Final Warning
• Suspension without pay *
• Disciplinary Salary Reduction*
• Demotion
• Separation/Dismissal
• * rarely used in unclassified service
Grounds for Disciplinary Action
• Negligence and inefficiency in the performance of assigned
duties
• Chronic tardiness or absenteeism
• Misconduct
• Conduct reflecting discredit on the department
• Failure to report for or remain at work
without justifiable cause
• Inability or unfitness to perform assigned
duties
• Insubordination
• Prohibited political activity
• Commission of a felony or crime of moral turpitude
Tips

• Seek advice
• Use common sense
• No good deed goes unpunished
• Anything the supervisor says or does can be
used against him/her
• Document everything, if it is not documented,
it is not done
 *****
Do not allow your silence to give an
employee the mistaken notion that his
behavior or performance is acceptable
when it is not

*****
Case Study

• Break into groups

• First review sheet titled “Case Studies – Process,” then review and
discuss case study.
• Document your responses on “Case Study Worksheet – Report Out
Questions.”
• Choose one person to report out.
• Each group will be asked to report out on different questions asked in
the “Case Study Worksheet – Report Out Questions.”
• For those group(s) not chosen to report out on a particular question,
still be prepared to respond to the question. You will be asked whether
you would have done/asked anything differently.
Employment Laws
Key Employment Laws

• EEO-Equal Employment Opportunity

• ADA-Americans with Disabilities Act
• Sexual Harassment
• FMLA-Family and Medical Leave Act
• FLSA-Fair Labor Standards Act

Non-compliance can result in liability to the dept.

Diversity

• DHS solicits, welcomes, includes and values the

contributions of all employees and creates and fosters
the rich diversity of its employees, community and
customers
• DHS is an Equal Opportunity Employer and does not
discriminate on the basis of race, color, age, sex,
religion, national origin or disability nor does it
tolerate retaliation against employees for engaging in
protected activity
Discrimination Complaints

Internal-OHRMD investigates
External-GCEO or EEOC investigate
Grounds: race, sex, age, color, national origin,
religion, disability, retaliation
OHRMD responds to all GCEO/EEOC
charges-very tight time frames
Reasonable Accommodation
• DHS position is to provide reasonable
accommodation to all employees when it does not
create an undue hardship
• Employee must be able to perform essential functions
of the position
• Dialogue with employee; specific time frames;
written request; documentation
• Management responds in writing
• Consult OHRMD Regional Manager
Sexual Harassment
• Management must act if they become aware of
an allegation
• Harassment must be unwelcome and
offensive to the complainant
• Harassment must be pervasive
• Often is misconduct when it
doesn’t fit harassment definition
• Consult OHRMD Regional Manager
 Short Scenario
An employee under your supervision walks into your office
and tells you he wants to discuss something with you in
confidence. He mentions that a female colleague has
continued to ask him out to dinner though he has repeatedly
declined her request; invited him over to her house so that he
can “get to know her better;” and touched his rear end on
several occasions but explain to him it was an accident. He
mentions that he doesn’t want anything to be done to the
colleague because he has handled the problems himself by
repeatedly making her aware that her actions are unwelcome.
He just wanted to vent.

Question: What do you do?

FMLA & FLSA

• What are they and why do they always give me a

headache?
• Compare the two policies
• Identify what type of policy each one is
• Generate a list of issues/problems that you have with
them
What They Have in Common

• Federal laws
• Employee entitlements
• Rigid complex rules
• Little room for discretion
• Violations cause liability to the Department
• Can have negative effect on productivity
FMLA Qualifications & Eligibility

• 12 months state service (not consecutive)

• Worked 1250 actual hours in last 12 months
• Qualifying Reason
– Pregnancy/ Adoption/Foster Child
– Serious health condition of: employee, child
under 18, spouse, parents
Approval Process

• Planned-30 days notice

• Unplanned-ASAP
• Conditional- approved contingent upon
certification of health care provider
• Designated- placed on FMLA leave
because employer is aware of need
• 3 day rule guideline only
Intermittent FMLA Leave

• May be required to transfer to an alternative

work schedule
• If intermittent leave does not allow EE to
perform the essential functions of the position,
then place on full-time FMLA Leave
• Must be returned to former or equivalent
position
Recent FMLA Law Changes
• Addition of qualifying reasons
– Family member’s call to active duty
– Care of an injured service member (up to 26
weeks)
– Spouse, son, daughter, parent
or nearest blood relative
– Must meet all other criteria
**Have gone from calendar
year to rolling year**
Short Scenario

• An employee under your supervision just submitted a

request for 12 weeks of FML to be with her adult
daughter who just had a baby. The documentation
does not indicate that there were any issues with
delivery that require the employee’s presence. The
documentation simply indicates that that daughter
gave birth recently and will need to be out of work
for the next eight weeks.

• What should be done in this situation?

FLSA-Time worked

• All time present at work station

• Breaks are work time
• Eating lunch is work time if it is not taken
away from work station and free of all duties
• All time employees are “suffered or permitted”
to work
• Unapproved overtime if actually worked
FLSA Management Responsibilities

• Monitor arrival and departure times

• Insure accurate sign-in and sign-out
• Give prior approval for overtime
• Discipline employees who work unapproved
overtime (but be sure to compensate)
• Do not allow occupation of work station during non-
work hours
• Review time sheets prior to end of work period-adjust
employee schedule if necessary
Accountability for FLSA Compliance

• Minimize the occurrence of overtime

• Insure use of comp time in lieu of annual leave
• Carefully monitor all overtime worked
• Insure good time management by employees so that
overtime is not necessary
• Equalize work-loads to prevent over-time
HR Policy

Website Address:
http://www.odis.dhr.state.ga.us/1000_adm/1300_ohrmd/MAN1300.doc
Employee Relations Key Policies (in addition to Employment Laws)

Behavioral
• Standards of Conduct #1201
• Leave # 1006
• Assignment of Duties # 106
• Official Work Hours and Schedules # 1002
Employee Relations Key Policies
Management Authority
• Leave #1006
• Leave of Absence #1007
• Assignment of Duties #106
• Official Hours and Work Schedules #1003
• Teleworking #111
Conduct: Insist on Professionalism Policy #1201

Standards of Conduct includes:

– Conflict of Interest
– Confidential information and disclosure
– Activities and relationships with clients
– Interactions with colleagues
– Conditions of employment
– Use of State Property
Some Key Points of #1201
• Do not accept gratuities
• Avoid even the appearance of a conflict of interest
• Comply with HIPPA & DHS Privacy Policies
• Do not release privileged or confidential information to
anyone who does not have a need to know
• Avoid sexual relationships with clients and subordinates
• Do not engage in any activities other than official
business during work hours
• Do not use privileged information for personal gain
Some Key Points (2)
• Avoid rude, argumentative, hostile, or otherwise
unprofessional behavior
• Be courteous, responsive and respectful to clients
• Comply with all supervisory instructions
• Report arrests or convictions within 5 days
• Do not falsify records or documents
• Avoid harassing, disrespectful, offensive or threatening
behavior with co-workers
• Do not sell, solicit or raise funds
• Do not display or transmit sexually oriented materials
• Cooperate fully with all investigations
Some Key Points (3)
• Do not use state cell phone for personal calls or make
non-business related long distance calls on work
phones.
• Do not work under the influence of or possess alcohol
or illegal drugs while on duty
• Do not wear any attire promoting a particular moral,
political, religious, personal or other opinion which is
vulgar, offensive or inflammatory.
• Restrict personal use of state computers and office
phones to infrequent use of short duration
Leave #1006

• Annual leave: not an entitlement, requires advance

approval except in the event of an emergency
• Annual leave may be denied, but not just because of a
low leave balance
• Sick leave make require documentation if there is a
pattern of excessive or abusive use of leave or the
employee is on an attendance plan.
• Call in procedures must be followed
Provisions of #103 & # 1006

Managers have the authority to:

– Establish and modify work hours and work
schedules at any time
– Schedule work hours based on the needs of
the organization
#101 and #1002 re: Management Authority

• Direct the workforce in accomplishing the

mission of the Department
– Determine work hours and job location
– Assign duties and responsibilities
– Give instructions and directives
– Schedule leave
– Evaluate performance
– Take corrective/disciplinary action
Assignment of Duties

• Managers may :
– Assign
– Change
– Take from, add to, or eliminate entirely
Employee duties and responsibilities as
necessary
A Word About Teleworking from the Commissioner’s Office

• All DHS supervisors who supervise teleworkers must

complete the on-line Teleworking Course
• Accountability is critical
• Demonstrated documented work products and results
• Management engagement and oversight
• Work-away program Best Practices are imbedded
• Appropriate foundational basis
• Review work away agreement once a year
• and employee
Dispute Resolution
Grievable Issues

Retaliation
Erroneous, arbitrary or capricious
interpretation or application of HR policies
Unsafe or unhealthy working conditions
Allegations of harassment
Non-Grievable Issues

• Performance responsibilities, expectations and

evaluations
• Changes in work hours and job duties
• Budget and organizational structure
• Corrective and disciplinary actions
• Internal security practices
• Selection and Relocation
Other Dispute Resolution Procedures

• Rebuttal of reprimands (unclassified)

• Reprimand review (classified)
• Review of performance plan
• Review of less than satisfactory rating resulting in
denial of annual increase
• Unlawful discrimination complaint
• Appeal to higher level management
Classified v Unclassified
• Unclassified – serve at will, no reasons for separation
given
• Classified - appeal rights, reasons for dismissal,
reprimand review
• Both may file grievances and EEO complaints
• Same management principles apply

Same ER Values Apply!

The Secrets of Employee Relations (Employee Relations Best Practices)
What are Best Practices?

• Put ER values in operation

• Principles which serve as guidelines in
determining and implementing corrective and
disciplinary actions
• Practices which facilitate the accomplishment
of the mission and goals of DHS
Communicate and Document
• Nip it in the bud
• Tell it like it is
• Warn the employee
• Write it down and date it
• Use the PMF
 Carefully Consider

• Remember the mission

• Operate out of DHS Values
• Every case is different
• What did you do before
• Let the punishment fit the crime
Act!!
• Call us early and often
• Be thorough
• Do it promptly
• Be progressive
• Be aware
On-Line

Employee Relations Tool Kit

It’s About Time Module
Employee Relations Best Practices Module
Policy Website
 Things to Remember
• Focus on DHR mission and goals
• Use DHS Employee Relations Values
• Always consider the consequences
• Remember, “It depends”, “similarly situated”
and “factual integrity”
• Focus on documented behavior & make job-related
decisions
• Use ER Best Practices & comply with the law
• Be able to articulate reasons for your actions
• Assume the action will be challenged
Summary
• Ethics & Values: the basis for all our actions
• Importance of accountability
• Discipline: fact-based, honest, progressive
• Key Employment Laws: compliance reduces liability to the
department, must know these
• HR Policies: complete guides to appropriate action, essential
knowledge for supervisors
• Dispute Resolution Procedures: opportunity for employees to
respond to management actions
• Best Practices: puts the ER values in action, quick guide to
Employee Relations
 Skills for Successful Supervision

Day Three:
Performance Management

**Note: Much of the info used in this presentation was taken from the “PMP Manager’s Guide”
found in the Manager’s Toolkit on the State Personnel Administration Website**
Discussion: The Performance Management Process

• What are the components of the process?

• What skills are necessary?

• How comfortable do you feel

with the process?
Agenda

• Performance Management Process

Overview
• 4 Phases of Performance Management
Performance Management Process Overview

• Definition of the Performance Management

Process
• Importance of Supervisors taking PMP training
• DHS and the PMP
• 2 measures of success:
The “what” and the “how”
 Review Handout

Performance Management Process Timeline

Phase 1: Performance Planning
Phase 1: Performance Planning
• Key Components of Planning
– The Performance Plan (handout)
– Identify Goals
– Align state and agency goals
– Identify competencies
– Agree on responsibilities, tasks and projects
– Create an individual development plan (IDP)

Phase 1: Performance Planning

Phase 1: Performance Planning

• The Performance Plan

– Who gets a performance plan?
– The role of the employee and the supervisor in the
planning process
– The Reviewing Manager’s process
– Elements of the performance plan

Phase 1: Performance Planning

Elements of the Performance Plan

• Statewide core competencies

• Individual goals and competencies
• Job responsibilities
• Individual development plan (IDP)
• Weighting of each section
except for the IDP

Phase 1: Performance Planning

Section 1: Statewide core competencies

• What are competencies?

• Defining behavioral competencies
• Statewide core competencies required of all state employees:
– Customer service
– Teamwork and cooperation
– Results orientation
– Accountability
– Judgment and Decision Making
• Definition of “critical”

Phase 1: Performance Planning

 Competencies
Statewide Core and Leadership Competencies
Core Competencies Leadership Competencies
 Customer Service  Accountability  Talent Management
 Teamwork and Cooperation  Judgment and  Transformers of Government
Decision Making
 Results Orientation

Additional Behavioral Competencies

 Communication  Flexibility  Project Management
 Conflict Management  Initiative  Teaching Others
 Creativity and Innovation  Negotiation and Influence  Team Leadership
 Cultural Awareness  Professional Development

Phase 1: Performance Planning

Section 2: Individual Goals and Competencies

• Definition of goal
• Sources of goals
– Aligned goals/cascaded goals
– Individual goals
– Job responsibilities
• Optimal number of goals
• Writing goals (ABC’s of Writing Performance Goals)

Phase 1: Performance Planning

ABC Goal Writing Model

A. Result or specific outcome

B. Written in clear language
C. Uses one or more of the following
measurement criteria:
• Quantity
• Quality
• Timeliness
• Cost

Phase 1: Performance Planning

Section 3: Job Responsibilities

• On the evaluation, job responsibilities are automatically

generated based on state job descriptions
• Do not have to use these, add or delete as necessary
• When writing job responsibilities, the ABC model can
also be used.
• Limit to between 5-7 responsibilities per employee
• Focus on responsibilities that are most important to the
employee’s success in the position
• Changing responsibilities during a performance period

Phase 1: Performance Planning

Writing Responsibility Statements
• For some supervisors, the responsibilities that are generated on the
evaluation may only require minor tweaking to be suitable. Job description
for trainer’s position:
• Plans and develops curricula and materials for training programs and
conducts training in area of specialty.
– Performance plan for trainer’s position: Plans and develops curricula and
materials for employee relations training and learning programs, and
conducts employee relations training.
• If deciding to use responsibilities not listed in the description or to re-word
to make a responsibility more clear, remember to: Stay objective and use
concrete terms
– Use the active voice
– Avoid jargon, statements should be clear and concise
Writing Responsibility Statements
• Steps to remember when writing responsibility statements
– Step 1: Begin with an action verb:
• Reviews…
• Participates…
• Types…
– Step 2: Continue with an object describing what is
done:
• Reviews all invoices…
• Participates in the selection of…
• Types letters and reports…

Phase 1: Performance Planning

Writing responsibility statements
– Step 3: Add explanatory phrases:
• Reviews all invoices for the purchase of office materials.
• Participates in the selection of office equipment to ensure it is
compatible with agency standards.
• Types letters and reports using proper format, grammar,
punctuation, and spelling.

– Step 4: Use adjectives and adverbs to clarify:

• Statistical reports
• Monthly analysis
• Mathematical formulas
 Activity:
Clearing Up Fuzzy
Language
“Critical” Designation

• Only statewide core competencies clearly marked as critical.

Now, have to show importance of a section by the weight that
it is given in comparison to the other sections.

• Question to ask yourself when determining the importance of

a section: Are the responsibilities/competencies listed so
essential for the success of the position that failure to
perform/carry out adequately would most likely result in
unacceptable job performance?

Phase 1: Performance Planning

“Critical” Designation

• Factors to consider when determining the

importance of a section:
– Consequences to customers, organization or to
the public
– Health or safety implications
– Financial or budgetary implications
– “Political” considerations
– Proportion of total work time spent
Phase 1: Performance Planning
Weighting

• By section based on state & department guidelines

and importance of the section
• Weight first three sections, do not weight IDP
• Section 1: minimum of 25%
• Section 2: 0%-75% (default is 50%)
• Section 3: 0%-75% (default is 25%)
• Must be determined & communicated up front

Phase 1: Performance Planning

 Section 4: Individual Development Plan
• Action plan: goals, activities, projects, etc to further
development
• All employees should have one
• Critical to developing and retaining an excellent
workforce
• Focus
– Current role
– Expansion of skill sets or knowledge
– Preparation for future roles

Phase 1: Performance Planning

Performance Plan Meeting
• Thoroughly discuss performance expectations
• Identify actions and behaviors necessary to meet the
expectations-what successful & exceptional performance
looks like.
• Communicate how performance will be measured.
• Review the method of tracking,
monitoring, or observing
• Discuss activities, target dates,
& progress measurement for IDP

Phase 1: Performance Planning

Phase 2: Coaching & Development
Phase 2: Coaching and Development
Coaching Definition

• Providing direction, guidance, and training

to help staff achieve performance goals
• Includes using motivators, facilitating
development, mentoring, corrective actions,
feedback
• Is the essence of supervision

Phase 2: Coaching & Development

Motivation
Determine what motivates your staff
– Work itself
– Advancement
– Responsibility
– Salary and benefits
– Social relationships
– Recognition

Phase 2: Coaching & Development

Giving Positive Feedback
• Recognize good performance promptly
• Be specific
• Describe why behavior or result is important
• Relate to goals
• Praise in public
• Mean what you say
• Encourage continued
good performance

Phase 2: Coaching & Development

Giving Corrective Feedback
• Address problems ASAP
• Be specific about deficiencies
• Use opportunity to improve skills
• Describe the effect on goals
• Aim at commitment
• Protect the employee’s self-esteem
• Avoid public correction
• When it is over, it’s over

Phase 2: Coaching & Development

Management Coaching Model
• Tell the employee the significance of the discussion
• Share important specific details about the situation
and the desired outcome
• Use open-ended questions to help the employee
brainstorm to reach the desired outcome (use active
listening skills)
• Agree on an outcome and summarize actions to be
taken (focus on win-win solutions)
• Set up a follow up meeting and assure the employee
that you have confidence in their ability to resolve
the issue

Phase 2: Coaching & Development

Coaching Role Play
• Break into groups of three
• One person will role-play the supervisor
• One person will play the employee
• One person will be an observer
• “Supervisor” creates a hypothetical situation and
meets with “employee” to discuss
• Employee reacts as he/she sees fit
• Observer watches to evaluate quality and
effectiveness of interaction and to insure that all the
steps of the coaching model are followed
Now focusing on the development aspect of phase two…

Development
• Enhance employee strengths
• Decrease deficiencies
• Improve program performance
• Improve retention
• Increase employee satisfaction
• Meet other organizational needs
• Part of DHS employee engagement focus
Phase 2: Coaching & Development
Development Activities

• Training not always the answer to

performance problems
• Be sure there is a real training need rather
than a need for accountability
• Use veteran employees for some of the on
the job training & encourage mentoring
• Foster professional growth whenever
possible
• Demonstrate competencies and model
professional behavior

Phase 2: Coaching & Development

Mentoring

• Usually not done by the supervisor

• Developmental relationship with a more
experienced “expert”
• One on one confidential relationship
• Fosters employee growth and confidence
• Less formal structure
• Requires skilled communicator

Phase 2: Coaching & Development

Monitoring
Important aspects of Phase 2 overall:

• Move around the workplace & observe

• Regularly review reports & work products
• Use data generated in the course of job
• Evaluate compliments and complaints
• Use interim evaluations when necessary
• Let the employee know where he/she stands
• Focus on quality, quantity, and timeliness

Phase 2: Coaching & Development

Documentation

Important aspects of Phase 2 overall:

• Write clearly, concisely and promptly

• Be precise, specific and succinct in your descriptions
• Use behavioral and job-related language
• Date all entries and documents
• Describe discussion with employee (if held)
• Have witness statements if necessary

Phase 2: Coaching & Development

Documentation (cont)

• File in an easily retrievable place

• Include pertinent materials already developed
• Delineate circumstances and context
• Include copies of group directives
• Summarize and/or use chronology if appropriate
• Insure that documentation is sufficient to support
ratings

Phase 2: Coaching & Development

Phase 3: Performance Evaluation
Phase 3: Evaluating Goals & Responsibilities

• Achievement of results or behaviors from

performance plan
• Appropriate cost of efforts
• New and innovative methods
of working
• Satisfied customers
• Work completed in a timely manner
• Acceptable methods or manner of performance

Phase 3: Performance Evaluation

Reviewing the IDP

• Compare actual performance to goals

• Note which were achieved and which were not and
why
• Consider extenuating circumstances
• Put unachieved goals on next IDP
• Communicate any ramifications
of failing to achieve goals

Phase 3: Performance Evaluation

Rating Levels

• 5- Exceptional: exceeded all performance expectations. Exceptional contributor to

the success of State & agency-demonstrated role model behaviors.
• 4- Successful plus: met all and exceeded most (more than 50%) of the established
performance expectations.
• 3 - Successful: met all performance expectations and may have exceeded some
(less than 50%). Solid contributor to the success of State & agency
• 2 – Successful minus: met most (more than 50%), but failed to meet some (less
than 50%) performance expectations. Needs to improve in one or more areas of
expected job results or behavioral competencies.
• 1 – Unsatisfactory: did not meet all or most (more than 50%) of the established
performance expectations. Employee needs significant improvement in critical
areas of expected job results or behavioral competencies.

See handout

Phase 3: Performance Evaluation

Calculation of Ratings

• Assess each goal, competency or responsibility

individually
• System calculates over-all rating for the section
• System than calculates an overall rating based on the
weights

Phase 3: Performance Evaluation

Evaluation Exercise

Case Study

Phase 3: Performance Evaluation

Evaluation Meeting

• Be prepared
• Explain purpose
• Take notes
• Two-way exchange
• Some problem-solving and goal setting
• Review expectations and definitions
• Discuss self evaluation

Phase 3: Performance Evaluation

Evaluation Meeting (cont’)

• Review ratings and cite examples

• Obtain agreement on action plans
• Summarize major points
• Give employee opportunity to make any other
comments
• Express confidence that employee can maintain
and/or improve performance
• Forward to and/or meet with manager

Phase 3: Performance Evaluation

Phase 4: Recognizing Performance
Phase 4: Recognizing Performance

• Monetary & non-monetary rewards

• On-going, year round recognition
• Pursuit of state goals:
– Transition from an entitlement-based culture to a
performance based culture
– Become “best managed” state in the nation
– Provide a comp. and benefits framework that
motivates our work force to excel

Phase 4: Recognizing Performance

Benefits of Employee Recognition

• Re-enforced behavior tends to re-occur

• Encourages others to excel
• Increases productivity when done genuinely, fairly
and frequently
• Helps to create a cohesive work team
• Increases organizational commitment
• Gains employee respect for manager

Phase 4: Recognizing Performance

Non-monetary Rewards
• Flexibility
– Tele-work and flexible schedules
– Freedom in approach to work
• Achievement
– Stretch goals
– Additional roles and responsibilities
• Personal Growth
– Developmental opportunities
– Ways to gain marketable skills
• Challenging Work
– Interesting/visible projects
– Opportunities to improve/innovate
see handout

Phase 4: Recognizing Performance

Consequences

• Be sure to follow through with actions necessary to

reward or correct the behavior
• Focus on job related, not personal issues
• Understand that employee has earned the reward or
correction and were given a fair opportunity to meet
expectations
• Don’t approve salary increases except for truly
satisfactory performance

Phase 4: Recognizing Performance

Performance Evaluation Tips
• Clarify expectations and evaluate
employees based on expectations
• Monitor all areas of behavior
• Define the review period
• Use interim evaluations more frequently

Be sure that rating is consistent with discipline and

any need for performance, conduct, and/or
attendance improvement is expressed
Common Performance Evaluation Mistakes

• Giving satisfactory rating when there have been

disciplinary action(s) during the period
• Failing to weigh the importance of the action (s)
against the rest of the performance
• Failing to evaluate performance based on the whole
rating period
• Failing to have adequate
documentation to justify ratings