Leadership, Performance Management and Supervision · PDF file · 2016-08-20they are progressing toward an achievable goal. ... Supervise according to expressed objectives that are

Leadership, Performance

Management and Supervision

Chief Deputy Bob Ingram

White County Sheriff’s Office

706-865-5177

[email protected]

Supervision Every supervisor has an inherent responsibility to motivate their

subordinates by giving them positive incentives that will encourage them to achieve and maintain a high level of efficiency and effectiveness. Supervisors must provide employees an opportunity for personal and professional growth. Everyone needs to feel that they are progressing toward an achievable goal. Supervisors can help them by providing enlightened leadership. They must strive to overcome the inertia and dogma which impedes getting the job done. Supervisors will give a full measure of effort and careful attention to their duties whether or not they like or dislike them and whether their efforts are appreciated or not if they are firmly committed to the tenet of their profession. They must stand by their convictions in spite of obstacles and adversity. They must adhere to those high standards of a given profession regardless of a departure from them by others. Make no mistake supervision is difficult.

As a Supervisor, I will . . .

Control the behavior of my subordinates, when deemed necessary, in an objective, impartial and fair manner.

Supervise according to expressed objectives that are realistic and attainable.

Appraise the performance of my subordinates on a regular basis, with openness and objectivity.

Develop the professional talents of my team members to their fullest extent.

Behave, in fact and in deed, with integrity of mind and purpose.

Reflect a sense of optimism concerning the challenges at hand.

As a Supervisor, I will . . . Be especially alert to the social dynamics and individual need-

fulfillment.

Facilitate the communication of information within and between the organizational units.

Arrange and coordinate the activities of my team in such a manner that the accomplishments of the assigned tasks is promoted.

Enrich the work experience thus increasing job satisfaction and morale.

Resolve conflicts as soon as detected and with equity for all involved.

Pursue needed changes in the delivery of services as deemed appropriate.

Be a positive role model for everyone I work with on a consistent basis.

Management

The most important factor is respect for the individual. Each person has value. When you demonstrate this through how you handle employees it will be echoed back in your customer relationships and the service you provide to the public.

Too many workers are attempting to succeed without a clear, or any, definition of success. Low performers love it (ambiguity). Top performers leave because of it.

Supervisor Responsibilities

1. Develop a climate that allows employees

to unlock and release their potential

2. Recognize, reinforce, and reward good

performance

3. Confront, correct and change poor

performance

Contributions to Problems and Corruption

1. Bad Personal Habits

2. Absence of Good Character

3. Overexposure to Opportunity

4. Lack of Good Policy and Procedure that is

Enforced

5. Lack of Audits Inspections

6. Poor, Weak, or No Supervision

7 Habits of Highly Effective People

1. Be Proactive

2. Begin with the End in Mind

3. Put First Things First

4. Think Win / Win

5. Seek First to Understand then to be Understood

6. Synergize

7. Sharpen the Saw

Attributes of Good Supervision and Leadership

1. Declare your Expectations

2. Know your Stuff

3. Get out in Front

4. Expect Positive Results

5. Take Care of your People

6. Uncommon Commitment

7. Put Duty Before Self

8. Absolute Integrity

Leadership Characteristics

Understanding leadership and doing it are two entirely different processes.

1. Character- Talent is a gift; character is a choice

2. Commitment- Commitment always proceeds achievement

3. Communication- Develop your communications skills

4. Competence- Seek continuous ways to improve

5. Courage- Your life expands in proportion to your courage

6. Discernment- The ability to find the root of the problems

7. Focus- People who are really good at things, concentrate

8. Generosity- Develop a habit of giving

9. Initiative- Success is connected to action

Leadership Characteristics

10. Listening- People want to be heard

11. Attitude- Attitude determines your actions

12. Problem Solving- Good leaders anticipate problems

13. Relationships- Help people grow and develop

14. Responsibility- Successful people seek it out

15. Security- Secure leaders believe in themselves and others

16. Self-Discipline- Challenge your excuses

17. Servanthood- Serve others first

18. Teachability- When you are green, you are growing

19. Vision- Something you want to become

Long Term Incentives for Motivation

1. Achievement

2. 3 R’s- Recognition, Reinforcement, Rewards

3. Responsibility

4. Groom and Develop

5. Advancement- Career Development

6. Interesting Work

7. Training and Education (paid)

8. Treated with Respect and Dignity

9. Allowed to Participate in Decisions and Decision Making

10. Good, Open Communication

11. Pay, Benefits and Retirement

The top three make the employee feel better about themselves and raise self-esteem.

Critical Issues of First Line Supervisors

When supervisors perform effectively the

Department Mission is fulfilled, goals are

achieved, values upheld, a healthy

workplace created, and employees grow

and develop.

The quality of supervision is a major

concern for law enforcement executives.

First line supervisors are critical to the

overall success of any organization.

Management Concerns About Supervision

1. Lack of responsibility and accountability.

2. Failure to discipline.

3. Inability to evaluate and develop subordinates.

4. Unwillingness to make decisions.

5. Reluctance to reinforce mission and values.

6. Failure to develop teamwork.

7. Failure to support higher level decisions.

8. Do not view themselves as management.

The Leadership Secrets of Colin Powell

“When debating an issue, loyalty means

giving me your honest opinion, whether you

think I’ll like it or not. Disagreement, at this

state, stimulates me. But once a decision

is made, the debate ends. From that point

on, loyalty means executing the decision as

if it were your own.”

What Employees Want from Supervision and Management

1. Tell Me What to Do

2. Tell/Show Me How to Perform

3. Let Me Perform

4. Observe My Performance

5. Tell Me How I’m Performing

6. Help Me to Grow and Develop

7. Reward My Performance

8. Tell Me What the Organization Stands for and Values

What Employees Want and Need from Supervision

1. Recognition

2. Reinforcement

3. Rewards

4. Respect

5. Approval

6. Encouragement

7. Praise

8. Incentives

9. Opportunity

10. Responsibility

11. Good Communication

12. Trust

Situational Leadership

BOTTOM LINE: Diagnose the employee’s readiness level based on competence and commitment. From that you apply the appropriate amount of direction and recognition.

Done correctly, the following three things will lead to confidence in your employees:

1. Achieve- when employee does this

2. Recognize, recognition reward- when supervisor does this

3. Responsibility- supervisor does this and the employee can achieve again.

Employee Development Process:Diagnosing Readiness Level of Employee

L2- Supportive Style

High to Moderate Direction

Low to Moderate Recognition

1. Still involves directive behavior on the part of the supervisor.

2. Employee initiative is allowed in a limited manner

3. Recognition and reward used as appropriate

4. You are developing them but don’t want to do it too fast

5. You are beginning to see consistency in performance

L1- Directive Style

High to Moderate Direction

Low to Moderate Recognition

1. A lot of direction from supervisor

2. One-way communication down Chain

3. Employee must demonstrate that they know how to accomplish required tasks

4. Your are developing the employee

5. Close Supervision and Structure

Employee Development Process:Diagnosing Readiness Level of Employee

L3- Coaching Style

Moderate to Low Direction

Moderate to High Recognition

1. Consistent good performance is now and employee habit

2. Recognition and reward used liberally

3. Communications is conducted as a dialog rather than down the chain from the supervisor

4. This is a very good employee demonstrating their potential

L4- Delegating Style

Low Direction

Low Recognition

1. This is the outstanding employee. Knows what it takes to get job done and expects recognition when excels (job specific).

2. This employee is self-achieving

3. Achievement motivated

4. Requires very little direction or interaction from the supervisor in order to accomplish the job

5. Self-Reliant

Improving Effectiveness1. Hold Regular Reviews

2. Acknowledge Good Performance

3. Address Problem Immediately

4. Observe and Record Examples

5. Keep Communications Open

6. Actively Listen to Employees

7. Gather Input From Other People

8. Be Specific About Behavior

9. Avoid Employee Motive

10. Be Specific About Ways to Improve

11. Plan What You are Going to Say

12. Balance Positive and Negative

13. Emphasis in Problem Solving

14. Be Constructive

15. Review With your Manager

16. Focus Only on Job Performance

Criteria to Evaluate Employees

1. Adaptability

2. Communication

3. Public Service

4. Decision Making

5. Dependability

6. Initiative

7. Grooming & Appearance

8. Interpersonal Skills

9. Job Knowledge

10. Judgment

11. Personal Responsibility

12. Organization

13. Attendance

14. Problem Solving

15. Productivity

16. Improvement

17. Results

18. Teamwork

19. Resources & Equipment

20. Conduct & Demeanor

Criteria to Evaluate Supervisors

1. Evaluator Skills

2. Leadership Skills

3. Planning Skills

4. Developing Skills

5. Management Skills

Performance Evaluation Rating Definitions

(5) Superior

Consistently exceeds standards of job with overall excellent

performance.

(4) Outstanding

Often exceeds the standard requirements of the job.

(3) Good

Meets standards with acceptable performance.

(2) Needs Improvement

Performance standards only partially met.

(1) Unsatisfactory

Does not meet acceptable level of performance expectations.

Steps to Coaching Employees… And it is the Supervisors job to Coach

1. Recognize good performance and reward it

2. Confront poor performance and change it

3. Make performance expectations clear

4. Provide training to meet these expectations and give them more tools for their belt.

5. Remove obstacles that prevent good performance

6. GIVE REGULAR ACCURATE, SPECIFIC, TIMELY FEEDBACK

7. Handle problems when they arise

8. Disciple to correct and improve

9. Require employees to take responsibility

10. Provide support and encouragement

11. Do not provide recognition and praise until the employee demonstrates satisfactory job performance. Make sure that doing the job right makes a difference.

12. Recognizing good performance is as important as confronting poor performance.

Questions to Ask Yourself About Employee Performance

1. Did I tell the employee what to do?

2. Did I tell the employee how I wanted it done?

3. Did I give the employee good feedback?

4. Did I evaluate the employee accurately based

on performance?

5. Did I recognize and reward the employee if it

was done right?

6. Did I take corrective action immediately?

Strategies for Changing the Organizational Culture

1. What You Don’t Want: Characteristics of a

Negative Organizational Culture- WolvesA. Internal Focus- Politics and Positioning

B. An Agency of Loners and Cliques

C. No Accountability- Vertically or Horizontally

D. Informal Organization/Leaders Against

Management

E. Management Over, Not with Employees

F. Alienation/Hostility/Detachment with the Public

Strategies for Changing the Organizational Culture

2. What You Want: Characteristics of a Positive Organizational Culture- Geese

A. External Operational Focus

B. Group Cohesiveness/Identity- Team Philosophy

C. Accountability- Supervisors and Peers

D. Informal Leaders Working With Management

E. Management Who Works with Employees-Leadership

F. Cooperation/Interaction/Identification with the Community

Communication

Good clear communication requires a high level of trust in an organization. When trust is high, we communicate easily, effortlessly, and without hesitation. When trust is low, communication is difficult, exhausting, ineffective, and often does not occur.

Trustworthiness is based on character, what you are, and competence of what you can do.

Three character traits essential to trustworthiness1. Integrity

2. Maturity

3. Abundance

Communication

Clear and effective communication starts

by demonstrating a clear understanding of

alternative points of view different from

our own. Understanding others is the key

to having influence over others.1. Assume Good Faith

2. Care About Relationships

3. Open to Influence

Managing Problem Employees

1. Hire Quality People

2. Set Clear Expectations

3. Review Employee Progress and Give Feedback

4. Address Problems Immediately

5. Document

6. Remain Flexible

7. Follow Procedure

8. Set Personality Aside

9. Be Willing to See it Through

10. Review What You Did, Good or Bad

Problem EmployeesI. Three Categories

A. Attendance1. Tardiness, sick leave abuse

2. You can identify a pattern of sick leave in 90 to 180 days

3. Develop a plan to address attendance a. Ask if there is a reason for tardiness, absence

b. Explain the effect their tardiness or absence has on the workplace and fellow employees

c. Require doctor’s statements

4. Review Expectationsa. Show up on time

b. Ready to go to work

c. Work productivity for the entire shift

d. Anything less is unacceptable

e. Anything other than that, supervisor needs advance notice

5. Show the employee their pattern of sick leave abuse

6. Monitor and take disciplinary action if it continues

7. Document all areas

Problem Employees

B. Conduct- Misbehavior; goal is compliance 1. Determine if there has been a violation of

rules/regulations; policy/procedures; law

2. Gather the case facts and all relevant information

3. Interview the employee to hear their side of the story or their explanation

4. Check to see if there is a history of this action by the employee; other or similar violations; is employee a good or bad employee

5. Look at mitigating circumstances or factors and aggravating factors

6. Administer consequences

Problem EmployeesC. Performance- goal is commitment

1. Confronting poor performancea. Don’t base evaluations on personal opinions

b. Identify specific causes of poor performance

c. Set specific performance goals and objectives

d. Discuss with employees how to reach their goals and give them the steps to take

e. Don’t give high ratings unless they are deserved

f. Don’t discuss pay and promotion during performance review

g. Put evaluation in writing

h. Don’t’ send mixed messages

2. Dealing with poor performancea. Motivate employees; use every motivational tool available

b. Give them all the assistance and training available

c. Career counsel and coach them

d. If these courses fail, you must take action or lose respect

Troubled Employee The troubled employee can be one with personal problems, attitude

problems or in difficulty.

I. Troubled EmployeeA. Changes in behavior

1. Chronic/Long Term

2. Out of Character

3. Persistent

B. Strained work relations

C. Increase in tardiness/absenteeism

D. Increased use of sick leave

E. Irregular job performance

F. Increase in mistakes

G. Emotional outbursts

H. Cannot concentrate

I. Overly sensitive

J. Continuous

Troubled EmployeeII. Attitudes

Focus on behavior, don’t try to diagnose and counsel. Be encouraging, state specific problem and allow employee to come up with a solution/remedy that you can both live with. BE ADAMANT THAT BEHAVIOR MUST STOP IMMEDIATELY. Remind employee that the attitude that is brought to the job each day is a choice. Changing attitudes requires an investment and you must attempt to understand and listen.

A. Determine if the attitude is affecting the job performance of the work unit.

B. Identify the specific behaviors that are unacceptable (example: the inability to control temper, the use of name calling, argumentative and confrontational).

C. Tell employee how the attitude is affecting others in the work place (is disruptive, hostile, creates dissention, anger and agitation).

D. Hear from employee whether there are any explanations, reasons for attitude.

E. Talk to the employee and tell them that the behavior must stop.

F. Monitor behavior and take corrective action if necessary.

G. Document and follow up on what you do.

Troubled Employee

III. Personal Problems A. Do not diagnose

B. Collect facts

C. Interview employee

D. Focus on job performance

E. Gather resources

F. Express concern

G. Need employee’s plan to resolve problem

H. Do not attempt to solve problem or give advice

I. Personal problems refer to EAP, legal, HR, medical

J. Follow up on progress

Troubled EmployeeIV. Things to Remember about Personal Problems

A. Everyone has personal problems

B. When we have them, most of us deal with them

C. With some employees, it is one problem after another

D. Some employees will transfer those problems to the supervisor if allowed

E. For some employees, everything in their personal life is a crisis and everything in their professional life is a crisis

F. Some employees use personal problems as a reason to be out sick and not perform

G. Troubled employees may be a 3, 6 or 1 employee

H. Something occurs that causes their performance to be affected

I. We intervene when it affects the job performance or the work unit in an effort to return them to satisfactory performance

Questions Asked at Personnel Hearing

1. Were job description, duties and responsibilities and expectations clearly stated and understood?

2. Were problems and unacceptable performance brought to the employees attention?

3. What steps were taken to correct the poor performance and unacceptable behavior (PIP)?

4. What progressive action was taken if problems not corrected?

5. What good and bad examples of performance do you have?

6. What documentation exists that support all of the above?

Burden of proof lies with the employer not employee.

Discipline I. Discipline with Punishment

A. Progressive Discipline

1. Began in 1930’s because unions demanded that a progressive system be developed to protect employees from being terminated without warning.

2. Includesa. Verbal reprimand

b. Written reprimand

c. Suspension

d. Demotion

e. Termination

3. The thought is to discipline to:

a. Correct behavior

b. Improve behavior

c. Change behavior

4. Supervisors were reluctant to use this system

5. Viewed as a mechanism to build a case against someone they intended to terminate

6. No benefit other than to give employee due process before firing

7. Did not:a. Develop employees

b. Make them productive

c. Make them well and self-disciplined

8. Act must be followed by punishment

Discipline B. Why Progressive Discipline with Punishment is Ineffective

1. Does not make an employee motivated, self-disciplined or more productive

2. Not everyone has the ability to perform at a high level and not everyone has self-discipline therefore a supervisor has to provide more time for the employee and training

3. Supervisors should treat all employees with dignity and respect

4. Discipline with punishment deals with conduct to gain compliance

Supervisors must bring to the attention of the employee the differences between what is expected and what is delivered and give the employee the attention (time), the direction, the guidance, the tools and the incentive to close the GAP. Supervisors have a responsibility not to allow an employee to stay in a position where others are required to take up the slack.

Discipline

II. Discipline without PunishmentA. Designed to get commitment and deals with

performance

B. Goal is to create a system of discipline that develops commitment in an employee

C. If a person fails to perform, you need a progressive system

D. The only similarity between the old and new system is that they are progressive

E. The old is redesigned so that the personal responsibility and the decision making is transferred from the supervisor to the employee

Discipline III. Steps in Discipline without Punishment

A. Positive Contact1. Recognize a positive performance, reinforce it, be specific and say something to the employee

about it.

B. Coaching

1. Give the employee the time, training, and tools to perform and do the job

2. Create a climate where people can be motivated and achieve

3. Make their expectations clear (job duties and responsibilities)

4. Remove all barriers and obstacles so they can perform

5. Give regular, specific and timely feedback to the employee- both good and bad

6. Handle problems immediately when they arise- early intervention

7. Make sure the employee is performing properly thru observation and recording what they do

8. The 3 goals of coaching are:a. To improve and develop an employees performance

b. Keep employees from self-destructive behavior

c. Getting employees to do things on their own without close supervision

Discipline

C. Oral Reminder1. Job duties and personal responsibilities, goals and

objectives, and the standards and expectations set out and reviewed with employee

2. Personal responsibility to do all of the above is the employee’s, not the supervisor’s, co-workers, or agency

3. The decision and choice to perform or not to perform is totally the employees decision

4. Document all

The employee is told that if in the next (set time period) there is not re-occurrence of this infraction or any other infraction, the oral reminder will be removed from the file. Explain that “right now” it isn’t serious but it’s headed in that direction if the unsatisfactory performance continues.

Discipline

D. Written Reminder1. A written agreement with the employee that outlines

everything we’ve done up to this point- positive contact/coaching/oral reminder.

2. Enter into an agreement that this is the last time “this” will be discussed with the employee (it’s the 3rd time) and that all areas of unacceptable performance will not happen again.

3. Every area of job performance is listed, and include any time frames.

4. Continue to give the employee the benefit of the doubt to change performance.

5. This document is signed by both the employee and supervisor.

Discipline

E. Decision Making Leave (requires policy)

1. Send employee home for the day with pay to think about this issue.

2. This tells the employee that this is serious and their job is in jeopardy.

3. The employee is given the day to decide if they want to work in the agency, they will choose to stay or leave.

4. The employee comes back with a detailed plan describing each area of performance with timelines of what they will do if they choose to return to work and correct the problem.

5. They design the plan or don’t come back to work.

6. If they violate the agreement- terminate employee.

7. The decision they make is to come back with a plan or leave for a more suitable job.

8. They can resign from their employment.

Discipline

F. Discipline without Punishment1. Transfers anger to guilt and it makes people responsible for

their own behavior and performance and nobody else.

2. It eliminates the need for you to help the employee save face.

3. It gives the employee time to think and deliberate.

4. It is legally defensible and gives the employee the benefit of the doubt.

5. It does not take money from the employee.

6. It’s tough but fair.

7. It is demanding and requires employee to take personal responsibility and make a decision.

Core Activities of a Manager

Managers need to do these 4 activities well to be effective:

1. Select the right people based on knowledge, skills, and talent.

2. Set clear expectations that define outcomes (results).

3. Motivate people by focusing on strengths and managing around weaknesses.

4. Develop people by spending most of your time with your good employees.

Highly Effective Managers

Great managers help employees turn talent into

top performance by not being too controlling or

providing too much instruction.

Great managers allow employees who are

productive to develop their talents by utilizing their

own style.

Great managers spend most of their time with

their best most productive employees because

other time is often wasted.

Talents vs. Weaknesses

Trying to fix employee weaknesses is very

frustrating. Directing all of your efforts toward

fixing non-talents is self-destructive. You do not

bring out the best in people by focusing on

weaknesses but that is often what managers

focus on. Many managers are well-intended but

often preoccupied with non-talents and how to

eradicate them. Persistence focused on non-

talent is often wasted. Most people are wired to

do some things well but not all things.

Responsibility

There is only one person responsible for the outcome of your life

and the quality of your life, and that person is you.

You have to take responsibility for every facet of your life:

Your achievements

Your productivity

Your results

Your relationships

Your health

Your income

Your debt

Your feelings

Everything

Responsibility

Each person is responsible for what he or she does with

their own life.

The cold, hard truth is that you are living at this very

moment, the results of your past choices and your past

decisions.

One of the most important aspects of taking

responsibility for all various components of your life will

be your own willingness to confront obstacles,

circumstances, people, and personal challenges that lie

between you and the goals you have set for yourself.

Responsibility

The challenges of life are the things that make

most people quit and the things that become

excuses.

Most people want to change for the better. But

you cannot change what you’re not responsible

for.

The biggest demon for most people is their

unwillingness to realistically confront their

excuses.

Responsibility

You have to give up your excuses, your victim mentality,

your reasons why you can’t do something, and all the

stories you keep telling yourself.

Everything you do is a matter of choice.

You cannot control people or circumstances, but you

can control how you respond you will always have

control over your thoughts, words, and actions.

The choices you make regarding these three ongoing

areas of your life will determine the outcome and quality

of your life.

Attitude Dealing with negative attitudes in the workplace is one

of the biggest challenges facing businesses, managers,

and employees. A person with a negative attitude has

the same power to influence others as a person with a

positive attitude. The difference appears in the results.

Positive attitudes in the workplace help improve

communications and teamwork. Positive attitudes keep

up morale and help increase productivity. The opposite

can be said for negative attitudes. They dismantle

teamwork, increase stress, and cripple productivity.

Effectiveness

Leaders must create an organization where

employees are excited to come to work, zealous

about getting mission-driven results, and

empowered to take skilled initiative. This

workplace is where constant learning and

improvement exemplify the culture of the

organization. This special organization is rich

with frontline employees cherishing the

philosophy of teamwork, information sharing,

problem solving, and mutual accountability.