Skills for Successful Supervision

Skills for Successful Supervision
Presenter: Nicole McPherson Shaw Date: February 14 – 16, 2012 Georgia Department of Human Services

Vision, Mission and Core Values
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!! Participant Expectations Exercise
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

After All, You Are the Supervisor
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

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
Authority/Expert - No involvement Authority/Expert - Data gathering involvement only Consultative - Input from individuals or group Majority 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

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 Physiological: Pay
Safety/Security: Fringe benefits and seniority Belonging/Social: Unions, informal work groups, offices, departments and task forces Self esteem/ respect: status symbols, recognition, influence 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 can do the job, but not well is doing the job incorrectly Show ONLY the correct way to do the 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 You tell them what to do
You do it correctly Step 2 They tell you what to do Step 3 They do it correctly “Tell me and I forget…” “Show me and I remember…” “Let me and I understand.” Confucius

7 Winning Team Essentials
Sell Your Vision Understand/balance your use of power Understand/provide what your team wants Give the team ownership Encourage experimentation Enlist members with complementary skills 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 Ethics in government is critical to maintaining the trust of the public and failure to behave in an ethical manner is a common criticism of politicians and others in the public sector. Ethical behavior is essential to the accomplishment of the DHS mission and the maintenance of the integrity of our organization.

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 Attendance is not only a basic term and condition of employment it may also be considered an essential function of the job. If an employee is not regularly at work, the employee cannot be a “good” employee no matter how technically competent he or she is. If an employee who is frequently absent still manages to get all of his or her work done in a timely and satisfactory manner, then it is possible that the employee is not assigned a sufficient amount of work.. It is always important to ask, “Who does the work when that employee is not here”. Turnover rate is often negatively impacted if other employees often have to cover for absent ones. All full-time DHR jobs should require a minimum of forty (40) hours of work per week to be done (with reasonable amounts of time off); if they don’t, they need to be restructured or additional duties should be delegated.

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

Question: What do you do?
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 Time worked by non-exempt FLSA employees is specifically defined in the Act. Any time employees are present at their workstations, they are considered to be working and must be compensated. Any allowed breaks an employee takes are also work time. Lunch is not work time but must be If employees “work through lunch”, they must be compensated for the time. If employees take work home or work overtime without permission, they must still be compensated for the time worked, but they should be disciplined for doing so without permission.

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 Management has a number of responsibilities related to FLSA. Arrival and departure, the accuracy of sign in and sign out, and prior approval for overtime should be monitored. Working unapproved overtime, while it must be compensated, should not be allowed to go un-punished. Do not allow employees to be at their work stations before or after work or during a lunch break. Look at the time sheets before the end of the work period to be sure that overtime is not being earned. Supervisors need to know where their employees are and be able to testify to the accuracy of their time-sheets. Non-exempt employees should not be allowed to eat at their desks during lunch breaks nor should they be interrupted for work duties during lunch unless absolutely 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 Managers are held accountable for compliance with the FLSA and DHR FLSA Policy. Minimizing the occurrence of overtime, insuring that comp time is used before annual leave, monitoring overtime, insuring that work is organized so that overtime is not necessary are all areas where managers are accountable. Managing the work time of non-exempt employees is not only critical for FLSA compliance but for the prevention of financial liability to the department because of overtime payments and fines for FLSA violations. Supervisors always need to insure that employees are using their time wisely to accomplish the goals of the unit and this includes monitoring FLSA time.

HR Policy Website Address:

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 Establishing work hours in accordance with departmental and local needs and policies and modifying these hours when necessary is a management prerogative. It’s great when employee needs and management needs coincide. It can truly foster productivity. However, the needs of management as they relate to the accomplishment of the mission must always be primary. Offices must be covered from at least 8:00 am to 5:00 pm Monday through Friday. Many of our offices and facilities have expanded hours and/or function 24 hours a days, seven days a week. This means that employees will not all work the same work days or work hours. Within the frame work of Federal and State laws and policies, and the guidelines of the organization, you, as a supervisor have the freedom to set work hours for your staff. Individual employee needs may always be considered but the bottom line has to be what facilitates the effective and efficient operation 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 As a supervisor, your job is to get work done through others in order to accomplish the DHR Mission of strengthening Georgia’s families. In order to do this you have been given authority. This authority is in the areas of: work hours, job location, duties and responsibilities, instructions and directives, leave, performance evaluation and discipline. Managing the time and attendance of your employees is one of your primary responsibilities.

Assignment of Duties Managers may : Assign Change
Take from, add to, or eliminate entirely Employee duties and responsibilities as necessary The assignment of duties to employees is one of the key functions of a supervisor. Employees are generally hired to perform a specific set of duties and responsibilities, but these are always subject to change. Managers have the responsibility to get the work done with the staff available, so modifying job duties is often a necessity. If duties deviate considerably from the performance management plan and will be performed by the employee on a regular basis, it may be necessary to modify the PMF plan.

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
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”

Performance Management Process Timeline
Review Handout Performance Management Process Timeline

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

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 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 Result or specific outcome
Written in clear language 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…
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 Write clearly, concisely and promptly
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 Phase 3: Performance Evaluation
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

Skills for Successful Supervision

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Skills for Successful Supervision

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