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

2. 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
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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.

3. Skills for Successful Supervision
Day One:
A Primer of Basic Supervisory Skills
and Techniques

4. Introduction
Congratulations!!
Fundamental Supervisory Skills Class
– Some Review & Some New
– Group & Individual Exercises/Assessments
– Information/Discussion (& some practice)
• Participant Expectations Exercise
• Pre-Test

5. 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

6. Agenda – Day 2
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Ethics and Values
Progressive Discipline
Fact Finding
Grounds for Disciplinary Actions
Employment Law
Employee Relations Policies
Employee Relations Best Practices
Case Studies

7. 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

8. 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

9. Exercise
• Why do you want to be a supervisor?
– Please take 5-8 minutes to complete the
questionnaire
– Participate in discussion

10. Video
After All, You Are the Supervisor

11. Key Elements of Successful Supervision
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Transition and Establishment
Communications and Relationships
Planning and Prioritizing
Problem Solving and Decision Making
Delegation and Motivation
Team Building
Training

12. 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

13. Transition/Establishment Issues
• Giving up old tasks
• Getting things done through others!
• Maintaining accessibility
• Managing by Walking Around
• Showing initiative
• Accepting responsibility

14. Transition/Establishment Issues (cont)
• Making your own decisions; confronting
challenges
• Learning the facts & being consistent
• Demonstrating a can-do approach
• Assessing staff members

15. 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”

16. Communication
• Activity: Just For Fun
– Review of handout
– What are the implications of this?

17. Communication Mediums
• Face-to-face
• Telephone
• Written communication
– Memos and letters
– Electronic
• Group or Staff Meetings

18. Passive/Active Listening Skills
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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

19. Relating to Your staff members
• Learning styles
• Interpersonal styles
• Motivators

20. 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

21. Exercise
• Defining Boundaries
• What Would You Do?
• Review and complete the questionnaire in your
packet and then we will discuss

22. 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

23. Relating to Your Boss
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Supportive and positive
Demonstrate good work habits
Willingness to learn
Complete work assignments
• Cooperation with others
• Creativity
• Even temperament
• Say “No” appropriately

24. Relating to Peers
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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

25. 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

26. Planning/Prioritizing
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Identify office/division operational goals
Identify priorities
Find a mentor
Listen
Ask questions
Review written materials
Observe the workplace

27. Exercise
A Problem Solving Exercise:
Deserted Island

28. Problem Solving/Decision-making
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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

29. A Model
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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

30. 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

31. Decision Strategies - Other Critical Factors
• Expertise and Access to Info
• Acceptance
• Time
• Importance
• Capability

32. Criteria for Decision-making
• Multiple alternatives
• Well-defined criteria
• Assumption testing
• Dissent and debate
• Troubleshoot options
• Perceived fairness

33. Why You Must Delegate
Your responsibility
Your ability

34. 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

35. 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

36. Things You CANNOT Delegate
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Ultimate accountability
Responsibilities regulated by law
Selection of new employees
Power to counsel, discipline
and maintain morale

37. 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)

38. The Delegation Process
• Analyze and Plan: use SMART model
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SMART-
Specific
Measurable
Attainable
Relevant
Time-limited & Target-driven

39. The Delegation Process
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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

40. Exercise
Delegation Exercise
Are you ready to delegate?

41. 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”

42. Level of Needs
1.
2.
3.
4.
5.
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
1
Security/Psychological
Survival/Physiological

43. 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

44. When Training is Not the Answer
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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

45. How to Train Employees
• Step 1
– You tell them what to do
– You do it correctly
• Step 2
– They tell you what to do
– You do it correctly
• Step 3
– They tell you what to do
– They do it correctly
“Tell me and I
forget…”
“Show me and I
remember…”
“Let me and I
understand.”
- Confucius

46. 7 Winning Team Essentials
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6.
7.
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

47. 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

48. 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

50. Skills for Successful Supervision
Day Two:
Employee Relations

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

52. Values and Ethics

53. DHS Employee Relations Values
• Handout: Employee Relations
Values
• Exercise: Identify the Values

54. 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

55. 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

56. EXERCISE
• Ethics Self Assessment

57. 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

58. 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.

59. Employees should be held accountable in the areas of:
• Attendance
• Conduct
• Performance
All three are necessary!

60. 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

61. 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

62. Performance
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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

63. Customer Service: always critical
• Team Georgia Categories
– Helpful
– Accessible
– Responsive
– Knowledgeable
– Courteous
• Faster, friendlier, easier

64. New Statewide Core Competencies
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Customer Service
Teamwork and Cooperation
Results Orientation
Accountability
Judgment and Decision Making

65. Discipline

66. Elements of Effective Employee Discipline
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Early Intervention
Communication
Coaching
Factual Integrity
Documentation
Consistency
Progressive Discipline
Employee Rights & Privileges

67. Early Intervention
• Intervene in all areas:
– Performance
– Attendance
– Conduct
• Critical to the progressive
discipline process

68. 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

69. Coaching
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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

70. Fact-finding
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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

71. Documentation
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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

72. 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

73. 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

74. Decision Factors
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Severity of the offense
Impact on clients
Prior disciplinary/corrective action
Performance evaluations
Length of service
Mitigating circumstances
Evidence of intent

75. Progressive Discipline
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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?

76. 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

77. Corrective Actions
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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

78. Disciplinary Actions
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Written Reprimand
Written Reprimand/Final Warning
Suspension without pay *
Disciplinary Salary Reduction*
Demotion
Separation/Dismissal
* rarely used in unclassified service

79. 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

80. Tips
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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

81. *****
Do not allow your silence to give an
employee the mistaken notion that his
behavior or performance is acceptable
when it is not
*****

82. Case Study
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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.

83. Employment Laws

84. Key Employment Laws
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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.

85. 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

86. 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

87. 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

88. 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

89. 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?

90. 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

91. What They Have in Common
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Federal laws
Employee entitlements
Rigid complex rules
Little room for discretion
Violations cause liability to the Department
Can have negative effect on productivity

92. 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

93. 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

94. 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

95. 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**

96. 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?

97. 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

98. FLSA Management Responsibilities
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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 nonwork hours
• Review time sheets prior to end of work period-adjust
employee schedule if necessary

99. Accountability for FLSA Compliance
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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

100. HR Policy
Website Address:
http://www.odis.dhr.state.ga.us/1000_adm/1300_ohrmd/MAN1300.doc

101. Employee Relations Key Policies (in addition to Employment Laws)
Behavioral
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Standards of Conduct #1201
Leave # 1006
Assignment of Duties # 106
Official Work Hours and Schedules # 1002

102. Employee Relations Key Policies
Management Authority
• Leave #1006
• Leave of Absence #1007
• Assignment of Duties #106
• Official Hours and Work Schedules #1003
• Teleworking #111

103. 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

104. Some Key Points of #1201
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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

105. 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

106. 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

107. 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

108. 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

109. #101 and #1002 re: Management Authority
• Direct the workforce in accomplishing the
mission of the Department
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Determine work hours and job location
Assign duties and responsibilities
Give instructions and directives
Schedule leave
Evaluate performance
Take corrective/disciplinary action

110. Assignment of Duties
• Managers may :
– Assign
– Change
– Take from, add to, or eliminate entirely
Employee duties and responsibilities as
necessary

111. 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

112. Dispute Resolution

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

114. 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

115. Other Dispute Resolution Procedures
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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

116. 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!

117. The Secrets of Employee Relations (Employee Relations Best Practices)

118. 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

119. Communicate and Document
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Nip it in the bud
Tell it like it is
Warn the employee
Write it down and date it
Use the PMF

120. Carefully Consider
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Remember the mission
Operate out of DHS Values
Every case is different
What did you do before
Let the punishment fit the crime

121. Act!!
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Call us early and often
Be thorough
Do it promptly
Be progressive
Be aware

122. On-Line
Employee Relations Tool Kit
It’s About Time Module
Employee Relations Best Practices Module
Policy Website

123. Things to Remember
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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

124. Summary
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•
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

125. 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**

126. Discussion: The Performance Management Process
• What are the components of the process?
• What skills are necessary?
• How comfortable do you feel
with the process?

127. Agenda
• Performance Management Process
Overview
• 4 Phases of Performance Management

128. 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”

129. Review Handout
Performance Management Process Timeline

130. Performance Management
4-Phase Model
• Competencies
• Goals
Performance
Planning
Coaching and
Development
Establish
Desired Results
Create
Desired Results
Performance
Recognition
Performance
Evaluation
Acknowledge
Results
Measure
Desired Results
• Responsibilities
• Individual
Development
Plan
• Flexibility
• Achievement
• Personal
Growth
• Challenging
Work
• Observation
• 2-Way
Feedback
• Documentation
• Ongoing
Development
• Review
Documentation
• 5-Point Rating
Scale
• Management
Approval
• Annual Meeting

131. Phase 1: Performance Planning
Performance Management
4-Phase Model
Performance
Planning
Establish
Desired Results

132. 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

133. 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

134. 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

135. 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

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

137. 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

138. 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

139. 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

140. 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

141. 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

142. 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

143. Activity:
Clearing Up Fuzzy Language

144. “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

145. “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

146. 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

147. 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

148. 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

149. Phase 2: Coaching & Development
Performance Management
4-Phase Model
Performance
Planning
Coaching and
Development
Establish
Desired Results
Create
Desired Results

150. 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

151. Motivation
Determine what motivates your staff
– Work itself
– Advancement
– Responsibility
– Salary and benefits
– Social relationships
– Recognition
Phase 2: Coaching & Development

152. 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

153. 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

154. 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

155. 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

156. 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

157. 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

158. 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

159. 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

160. 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

161. 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

162. Phase 3: Performance Evaluation
Performance Management
4-Phase Model
Performance
Planning
Coaching and
Development
Establish
Desired Results
Create
Desired Results
Performance
Evaluation
Measure
Desired
Results

163. 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

164. 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

165. 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

166. 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

167. Evaluation Exercise
Case Study
Phase 3: Performance Evaluation

168. 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

169. 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

170. Phase 4: Recognizing Performance
Performance Management
4-Phase Model
Performance
Planning
Coaching and
Development
Establish
Desired Results
Create
Desired Results
Performance
Recognition
Performance
Evaluation
Acknowledge
Results
Measure
Desired Results

171. 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

172. 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

173. 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

174. 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

175. 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

176. 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