Performance Management

Introduction

How to Use This Program

Performance Management Online is a training program for State of Idaho Supervisors and Managers, providing tools for the ongoing process of managing employee development, coaching, and feedback. Each of the four units has activities that can be completed online and printed, if desired. A Certificate of Completion is available upon completion of all four units. The program can also be bookmarked and used as an ongoing resource. Though intended for supervisors and managers, Performance Management Online can also be used by employees. For questions/information on the administration of the State of Idaho's Performance Management system (required rating levels, standards and definitions, and templates), contact the Idaho Division of Human Resources.

This "Introduction" provides information on the foundation of Idaho's Performance Management system including why we do performance appraisals, the supervisor's role, the appraisal process, employee and supervisory core performance standards and definitions, and an overview of features of the "Employee Appraiser" desktop program.

The four steps that complete the full cycle of Performance Management are:

1.) Setting Performance Expectations2.) Keeping Performance on Target3.) Realigning Performance 4.) Appraising Performance

Each state employee plays an important role in making their agency the best it can be. Performance Management Online provides ways to bring out the best in employees, ultimately helping agencies meet their goals. Good performance management establishes a year-round partnership between employee and supervisor while creating a shared understanding about the work that is to be accomplished and how that work is to be done.

Job responsibilities, expections, performance standards, and development activities should be identified and agreed upon during the performance appraisal process. These should be linked to agency goals so the employee understands how their work is connected to the agency's mission and success. Frequent communication provides the feedback and support the employee needs to know that his or her performance is on target. The focus in this program is on communication - communication about performance.

Why Do Performance Appraisals?

Idaho Code requires annual performance appraisals (I.C.67-5309(h)). Performance appraisals assist employees in developing their careers and being successful in their jobs. They describe expectations and standards for all state employees. They ensure the agency mission and vision are achieved by:

1. Motivating and encouraging employees to be productive contributors to the mission and goals of the agency.

Ensuring employee activities are linked to the goals and mission of the unit, division, and agency.

Discussing employee performance through feedback. Documenting communication regarding performance objectives

to employees. Establishing performance standards with stated goals and

objectives. Focusing on outcomes and results. Enhancing communication through continuous feedback and

coaching between employee and supervisor.2. The performance appraisal program promotes statewide consistency.3. The performance appraisal is a legal requirement and serves as a legal

document.4. The performance appraisal documents serve as resources to make

human resource decisions, i.e. recruitment, promotion, succession planning, training plans, and compensation.

The Supervisor's Role

Supervisors and Managers have a core performance standard describing their role and responsibilities in carrying out employee performance management. Included in those responsibilities are providing ongoing

communication, feedback, and support and recognizing and rewarding achievement while removing barriers impeding employees' success. The successful supervisor will recognize the value in modeling desired behaviors, and supporting the vision, goals, and expectations of the organization. Successful supervisors challenge their employees to reach their optimum level of performance and hold them accountable. Remember: "In order for you to be successful as a supervisor, your employees should be successful!"

The Appraisal Process

Following are elements that form the performance appraisal process. The process is ongoing throughout the review period.

1. Set expectations. Employees must know what is expected and how their job supports the agency's mission before the review period begins. Gain agreement on goals, performance standards and objectives. Review the goals with the employee periodically and make changes as needed.

2. Provide support. Arrange for training, provide resources, encouragement, and developmental opportunities so employees can meet their objectives and the objectives of the agency.

3. Provide feedback on employee performance that is: Timely Specific Honest Designed to help the employee be successful Reinforces effective behavior

4. Record significant employee performance events when they occur. Include both positive and negative performance issues. Use the Employee Folder in the Employee Appraiser Program to record specific events, or create an electronic or paper file to track employee progress.

5. Seek employee feedback on performance issues. Gather feedback and input from the employee. Communicate! Don't make assumptions. Get all the facts. Use open ended questions.

6. Prepare and review the performance appraisal prior to the due date. Gather feedback; ask the employee to complete self evaluation questions. Know your agency's policy/procedure on creating and delivering the performance appraisal document. Be timely - it really matters to the employee.

7. Communicate. It is the hallmark of good performance management. There should be no surprises. Communication should occur throughout

the review period and, most importantly, when the annual appraisal is delivered.

8. Use the final performance appraisal document throughout the year. A good supervisor will revisit the appraisal and goals with the employee at least quarterly. The document can also be used for human resource decisions such as promotions, transfers, dismissals, succession planning, and assessing training needs.

State Guidelines

There are six components of performance management in Idaho's Performance Management Program. These constitute the "State Guidelines".

1. Establish key job responsibilities. A critical element and first step in performance planning is to define the primary purpose and responsibilities of the position.

2. Review established performance objectives that gave the employee focus and direction for the current review period.

3. Review employee core performance standards. These have been established as critical work behaviors necessary for job success and are consistent across all agencies. They describe how the work is to be done. Standards exist for employees and for supervisors/managers. All state employees are to be evaluated on core performance standards. These core standards enhance performance and increase statewide consistency in the appraisal process. Additional standards may be added by agencies.

Below are two tables showing the core performance standards for employees and supervisors/managers, along with the accompanying definitions.

Employee Performance Standards

Standards Definitions

Customer Service Describes how well the employee works with internal and external customers to achieve desired results and maintain positive relationships.

Interpersonal Skills Describes how well the employee establishes and maintains effective work relationships. Demonstrates good communication and listening skills.

Dependability Describes how well the employee completes assigned work in a timely manner. The employee meets attendance requirements.

Quality Describes the employee's work in terms of consistency, thoroughness, and accuracy.

Productivity Describes how the employee manages and completes workload expectations and demonstrates the knowledge and skills needed to do the job.

Adaptability/Flexibility Describes how well the employee adapts to change and is open to different new ways of doing things.

Work Environment/Safety

Describes how well the employee promotes a respectful workplace and complies with general conditions of employment, EEO, security, and workplace safety policies.

Supervisor/Manager Performance Standards

Standards Definitions

Managing Performance

Describes how well the manager provides employees with clear job expectations and feedback/coaching about performance. Deals firmly and appropriately with performance problems. Maintains timely employee performance evaluations.

Communication Describes how effectively the manager shares information, builds relationships, and influences positive outcomes.

Decision Making/Problem Solving

Describes how well the manager makes timely and rational decisions based on analysis of relevant information/data. Accepts responsibility for decisions and takes proper action when necessary.

Results Focus Describes how well the manager achieves expected outcomes that support organizational mission and goals.

Customer Focus Describes how well the manager fosters and models a commitment to customer service.

Work Environment/Safety

Describes how well the manager promotes a respectful workplace and complies with general conditions of employment, EEO, security, and workplace safety policies.

4. Summarize performance and assign an overall rating. A performance summary can be used to recommend successful completion of a probationary period, to summarize performance, to support a merit increase, and to identify employee development opportunities. Agencies may choose to rate each performance standard or can assign an overall rating inclusive of all the standards.

5. Establish performance objectives for the next rating period. These should be mutually developed and recorded by the employee and supervisor. The new objectives provide direction and outline job expectations for the future. They link to goals and objectives of the team and the mission of the agency.

6. Review employee development plans. This is the responsibility of both supervisor and employee. Together they develop strategies that allow development of skills, knowledge, and abilities that lead to improved job performance. Employee development provides avenues for increased job satisfaction and for reaching one's full potential within the job.

Other Uses for the Performance Management Program

The Performance Management Program components should also be used for entrance probationary employees. Responsibilities and objectives of the job should be communicated throughout the probationary period. To extend the entrance probationary period on an employee, contact the Division of Human Resources. When an employee's probationary period is over, complete a performance appraisal. The Performance Management Program is also strongly recommended for non-classified employees.

Four-Level Overall Rating

The Performance Management Program uses four overall rating levels. Those levels are:

Exemplary (EX) - This employee performs at a level that results in significant accomplishments that may not have been otherwise achieved.

Solid Sustained (SS) - This employee demonstrates good solid performance in managing work expectations; exhibits sustained support of organizational goals.

Achieves Performance Standards (APS) - This employee meets job expectations. OR This employee is developing new skills and gaining new knowledge.

Does Not Achieve Standards (DNA) - This employee's performance needs improvement and/or is inconsistent.

Detailed definitions for each level are available.

Guidelines are also in place to help supervisors deal with unacceptable performance. Performance is unacceptable for one of the following conditions:

This employee is being notified that immediate improvement to performance is expected and/or he/she is subject to discipline (e.g., suspension, demotion) up to and including dismissal (Rule 190).

This employee is being notified that opportunities to improve have been given and performance still remains unacceptable and therefore notice of intent to dismiss may be initiated (Rule 190).

This employee has performed an action or participated in an event or behavior serious enough to initiate a notice of intent to dismiss (Rule 190).

This employee is being separated for physical or mental incapacity in performing assigned duties (Rule 190).

This employee failed to meet Probation Requirements (Entrance, Promotion or Voluntary). (Rule 152).

Documentation and due process should be followed in accordance with Rule 200.06 for eligible classified employees.

Linking Merit Pay to Performance Considerations

The entire performance narrative and summary are critical links to merit pay considerations. Each agency determines merit increases. The general guidelines for linking performance appraisals to merit pay are:

1. The employee’s overall rating must be "Exemplary", "Solid Sustained", or “Achieves Performance Standards.”

2. Appraisals should provide sufficient descriptive comments with examples to justify and support pay decisions.

3. Performance appraisals must be completed and on file with DHR within the last twelve months.

4. Considerations for merit pay decisions may be based on: contributions to the organization outstanding or remarkable performance commendable efforts dedication to continuous quality improvement exceptional productivity exceptional reliability special accomplishments

The Employee Appraiser

Agencies may provide their supervisors with "Employee Appraiser", a Windows and Word based software. The Employee Appraiser software facilitates the performance appraisal process; it is not required. It assists supervisors in managing performance through documenting feedback plans and reviews. It is easy to use and customize to fit an agency's needs. It has the following features:

Writing Assistant: Provides descriptive phrases that closely describe an employee's performance. The writing samples are organized by topics related to appraisals. Each topic has three standard levels: improve, meets, and exceeds. These writing samples can and should be 'fine tuned' to a more specific performance description. The descriptive language on each employee's performance appraisal should be customized to that employee. Tuning the text upward creates samples that are more supportive for a job well done. Tuning the text downwards creates samples that are directed toward confronting performance issues. The samples should be edited to describe actual performance.

Coaching Advisor: Offers new ideas to motivate employees and problem solve performance issues. It suggests strategies and guidance that can be customized and included in the actual evaluation. It can also be printed and

used as a reference when conducting the person-to-person part of the appraisal process.

Employee Folder: Stores information about employees. It allows the manager to organize 'notes' and documents on performance issues throughout the evaluation period. This information, both positive and negative, can then be placed directly in the appraisal without having to be rewritten.

Manager's Resource Center: Provides documents that assist in writing job descriptions, performance objectives, and development plans which helps with employee recognition and in writing coaching memos.

Go to Step 1: Setting Expectations >>

Setting Expectations

Setting performance expectations is the foundation and first step in performance management. By setting performance expectations early, the employee knows what is expected and the supervisor has specific performance criteria to measure quality and productivity.

Remember: Communication is the key!

Defining the Job Purpose

As a supervisor, defining an overall job purpose is the first step in setting performance expectations. The job purpose reflects the essential function of

the job. On the Employee Appraisal form, this is the first item under Key Responsibilities. The job purpose is mutually agreed upon and understood by the supervisor and employee ensuring that both are clear on the overall job expectation. It also provides a fair basis for appraising performance.

To write a clear and meaningful job purpose, use the following formula:

"Job title" is the title of the job. This may be the classification job title or the agency-specific working job title.

"What" describes the main function of the job. It is not the place to list all job tasks.

"Why" explains why the job is done. This should be written very clearly to avoid confusion. When an employee understands the why of their job, they are more likely to be motivated and to understand their role in the organization.

Some examples of clearly written job purposes:

Defining the Job Purpose

Determining Key Responsibilities

The next step is to identify the key responsibilities that make up the job. Key responsibilities are the main components or key results of the job. Three to seven key responsibilities will ensure a list that represents a good overview of the job. These are listed under Key Responsibilities along with the job purpose on the Employee Appraisal form. These are used for developing standards in the section Additional Employee Performance Standards on the Employee Appraisal form. Note that these key responsibilities represent results from doing a job, not a listing of tasks that one performs.

Determining key responsibilities:

Defines for the employee what they are expected to achieve; Provides an objective basis for the appraisal; and Provides a framework for the job.

The formula for identifying key responsibilities looks like this:

"Job title" is the title of the job.

"Verb" describes the action the employee will take. 

"What" describes the end product.

"How" describes how the work will be done. It provides techniques that measure quality, quantity, and time factors.

Examples of a clearly written key responsibility for each of the following positions are:

Remember: Most positions have three to seven key responsibilities!

Determining Key Responsibilities

Performance Standards

The Job Purpose Statement and Key Responsibilities deal with "the what" of an individual's performance. In this section, we look at performance standards which tell "how" or "how well" a job is done. "How" deals with quality. Idaho's Performance Management system has established qualitative core performance 'standards' that are consistent across all agencies. These standards are applied to each individual's performance and appear in the performance appraisal document. Additional standards may be developed by agencies and are applied to the entire agency or to all employees in a specific classification. Standards should align with the agency's values, mission, and goals.

State of Idaho Performance StandardsFollowing are the core performance standards for which all State of Idaho employees are evaluated. These standards represent critical work behaviors necessary for job success. There are two lists of standards, one for employees and one for supervisors and managers.

Employee Performance Standards

Standards Definitions

Customer Service Describes how well the employee works with internal and external customers to achieve desired results and maintain positive relationships

Interpersonal Skills Describes how well the employee establishes and maintains effective work relationships. Demonstrates good communication and listening skills.

Dependability Describes how well the employee completes assigned work in a timely manner. The employee meets attendance requirements.

Quality Describes the employee's work in terms of consistency, thoroughness, and accuracy.

Productivity Describes how the employee manages and completes workload expectations and demonstrates the knowledge and skills needed to do the job.

Adaptability/Flexibility Describes how well the employee adapts to change and is open to different new ways of doing things.

Work Environment/Safety

Describes how well the employee promotes a respectful workplace and complies with general conditions of employment, EEO, security, and workplace safety policies.

Supervisor/Manager Performance Standards

Standards Definitions

Managing Performance

Describes how well the manager provides employees with clear job expectations and feedback/coaching about performance. Deals firmly and appropriately with performance problems. Maintains timely employee performance evaluations.

Communication Describes how effectively the manager shares information, builds relationships, and influences positive outcomes.

Decision Making/Problem Solving

Describes how well the manager makes timely and rational decisions based on analysis of relevant information/data. Accepts responsibility for decisions and takes proper action when necessary.

Results Focus Describes how well the manager achieves expected outcomes that support organizational mission and goals.

Customer Focus Describes how well the manager fosters and models a commitment to customer service.

Work Environment/Safety

Describes how well the manager promotes a respectful workplace and complies with general conditions of employment, EEO, security, and workplace safety policies.

Setting Job Objectives

Performance objectives are written to describe the measurable results an employee needs to achieve within each key responsibility area. Performance objectives should be tied to the strategic mission and goals of the agency. Goals and objectives are nearly synonymous and are often used interchangeably. To differentiate between the two remember this:

“The goal is where we want to be. The objectives are the steps needed to get there.”

Setting objectives creates employee motivation and should help the employee connect the job to the mission of the agency.Objectives clarify the performance expectations within each key responsibility area and describe how they will be met and measured. Objectives provide guidance for the employee and help keep performance focused throughout the evaluation period. When objectives are discussed and written, the supervisor and the employee

have a thorough understanding of what performance is expected.

Three components create a clear objective:

Performance – what the individual is to be able to do. Criteria – the quality or level of performance that will be considered

acceptable, often described in terms of speed, accuracy and/or quality. Conditions – conditions under which the performance is expected to

occur.

An example of a clearly written job objective incorporating these components could be written as follows:

The employee will write reports for the department at the end of each week

while the legislature is in session.

The first component, performance, helps in communicating what the employee is expected to perform. The performance is usually written using a verb that describes the action of the performance. Using the example from above, the performance of this objective is highlighted below.

The employee will write reports for the department at the end of each week

while the legislature is in session .

The second component, criteria, describes the standard by which the performance should be accomplished. The criteria of the example job objective is highlighted below.

The employee will write reports for the department at the end of each week

while the legislature is in session .

The preceding example described criteria in terms of timeliness. Another way to describe the criteria for a performance objective is to use accuracy measures. This can be expressed using a percentage. For example:

The employee will write reports for the department with zero grammatical errors

while the legislature is in session.

Quality of performance is another critical criterion. Sometimes quality, timeliness, and accuracy are important. All characteristics may be addressed in the objective.

The third component, condition, describes the situation and the environment in which the performance is to occur. The conditions of the example job objective is highlighted below.

TThe employee will write reports for the department at the end of each week while the legislature is in session.

Objectives may be one or several sentences in length. Several sentences may be required to communicate the intent clearly.

To ensure success make the performance evaluation a living document. Take it out at least quarterly and review the job goals and objectives with the employee.

Prioritize goals and objectives.

Build flexibility into goals and objectives to ensure adaptability as changes occur in the job or agency.

Ask about obstacles and take action to eliminate them.

Create S.M.A.R.T. goals

Helpful Tip: When writing goals and objectives, use action verbs; they are much easier to measure!

Action Verbs

Passive Verbs

To writeTo reciteTo identifyTo sortTo solveTo constructTo build

To knowTo understandTo really understandTo appreciateTo fully appreciateTo grasp the significance of

To compareTo contrast

To enjoyTo believeTo have faith in

Sample objectives for Customer Service:

Reduce the average time for resolving customer service issues from (xx) minutes to (xx) minutes by the end of the calendar year.

Improve customer service satisfaction ratings by (xx)% by the end of the calendar year, as determined by customer satisfaction surveys.

Increase the number of people who visit our customer service web site to (xx) by the end of June.

Decrease employee turnover to (xx)% before the end of the calendar year by ensuring adequate breaks, flexible scheduling, and opportunities for growth and development.

Keeping on Target

Looking back at "Setting Expectations" remember, it is imperative that employee goals describe what quality performance should look like. If the supervisor can't define what quality performance looks like, how is the employee expected to know? Performance management is all about creating a positive, productive work environment through ongoing communication.

Once setting performance expectations has occurred, the supervisor's goal is to keep performance on target. (See the graphic at right.) Understanding how to use feedback and coaching will help make that happen.

Feedback

Feedback is one of the most important ways we learn. In the workplace, employees need regular feedback to adjust their performance. Two-way feedback is critical.

Feedback comes in many forms, from subtle to obvious. It is easy to overlook less obvious forms. Consider the following: verbal comments, non-verbal gestures and cues, letters and memos, 'strike-throughs' and corrections on written work, raises and bonuses, silence, appraisals, criticism, certificates, email, group praise, and 'drop-in' visits. All of these are forms of feedback.

93% of communication is based on non-verbal cues. Only 7% of the meaning is based on the words people use. Body language can speak volumes.

Leadership effectiveness is dramatically affected by giving, asking for, responding to, and following up on feedback. Understanding types of feedback is the first step in making feedback more effective. Ask yourself the following questions:

What type of feedback do you typically give your employees? Are you giving the feedback you want to give? Do your employees know when their performance is on or off target?

Meaningful Feedback

Feedback should be meaningful in order to reinforce, improve, and adjust performance. Feedback is meaningful when it is:

1. Specific. Specific feedback: "Chris, this written report was thoroughly researched and documents our company's progress very well." Nonspecific feedback: "Chris, this written report was good."

2. Timely and/or immediate. Most feedback should be given in 24 to 48 hours of the event. Sometimes "timely" means immediate, other times it means waiting.

3. Focused on behavior. Focus of the result of the behavior, not on the person!

4. Intended to help. Not intended to control. 5. Authentic. Be sincere, not condescending.

6. Frequent and informal. 7. Involves an action plan. What needs to happen next? 8. Well documented. Performance documentation should be a record

that fairly represents the employee’s performance over time. When recording feedback, be sure you note the basics:

Who? Start an employee performance file, e.g., Employee Appraiser.

What? Write a brief description of the performance, whether positive or negative.

Why? Describe why the performance meets, exceeds, or fails to meet expectations; note any extenuating or contributing factors. Describe consequences and results.

Where and When? Describe the time and place of the performance.

Follow up! What is the action plan to either reinforce the performance or redirect it?

Remember: Communication is the key!

 Types of Feedback

Before Giving Feedback: PREPARE!

Prepare by reviewing performance standards and goals, thinking of specific examples of the behaviors you will be discussing, and identifying the specific job behaviors you wish to see as a result of your feedback. Good feedback doesn't just happen, you must prepare! Always ask yourself, "As a result of this feedback, what do I hope to see happen?"

There are several types of feedback. The two types most commonly used in Performance Management are:

1. Reinforcement of behaviors - job related behaviors that contribute to organizational goals

2. Redirection of behaviors - job related behaviors that do not contribute to organizational goals

These two types of feedback can be "scripted". Scripting language is a tool to use when preparing either of the two types above. The first script below is used when reinforcing, recognizing, or appreciating performance. The second script below is used when redirecting or adjusting performance.

1. To reinforce, recognize, or appreciate behaviors the following script can be used:

The "verb" describes how you feel about the behavior.

The "behavior" describes the performance of the employee.

The "impact"describes the specific effect the behavior had.

The "appreciation"expresses what you are going to do about the behavior.

Here is an example of a clearly written script that reinforces behaviors:

2. To redirect or adjust behaviors the following script can be used:

"Verb" describes how you feel about the behavior.

"Behavior" describes the inappropriate performance of the employee.

"Consequences" describe the specific effect the behavior had.

"Change/result" describes the appropriate behavior. 

"Describe need to problem solve" identifies what actions will be taken to help improve the performance.

It is important in this script that after every section you pause and listen for verbal and non-verbal feedback from the employee. This allows for two-way communication or dialogue. This script is future oriented. Its purpose is not to dwell on past. 

Here is an example of a clearly written script, involving two-way dialogue, that redirects behavior:

Scripting Language

The Value of Feedback

Remember, feedback is best when it is based on:

Mutual respect An atmosphere of learning - "We are in this together. It is OK to give

me some tips too!" The desire to eliminate surprises Honesty

When delivering feedback create the right environment, watch for the need for privacy, and eliminate interruptions. 

If you are not getting feedback, ask for it!

Coaching

Coaching bumps feedback up a level. It focuses on developing collaborative relationships and supportive partnerships in the work environment. Coaching is 'ongoing' in nature, whereas feedback is often a one-time event related to a specific issue.

Coaching takes the relationship between two workers . . .

co-worker to co-worker, supervisor to employee, manager to supervisor, employee to supervisor,

...and emphasizes partnering, collaboration, guidance, and modeling. Coaching requires dialogue, balance, and accountability in relationships to be successful.

Remember: Communication is the key!

The Coach vs. The Boss

There are differences in how the coach and the boss function in the workplace. There are situations that require the characteristics found most readily in a 'boss' and other times when coaching characteristics would be more effective

Characteristics that may describe a coach could include: role-model, spontaneous, descriptive, listening, non-judgmental, open, questioning, supportive, inspiring, flexible, caring, interested in the employees' success, comfortable with diversity and ambiguity

Characteristics that may describe a boss could include: on task, direct, event focused, analytical, dogmatic, driven, bottom-line focused, decision maker, problem solver, complex, investigative, and controlled

Are there situations in your work environment that could benefit from Coaching?

Uses of Coaching

Coaching is an excellent tool to enhance employee growth and performance, and to promote individual responsibility and accountability. Coaching can be formal (a designated time and place) or informal (a simple conversation). When coaching is done well, it creates accountability without creating defensiveness. Coaching may be valuable in the following situations:

Creating Relationships - Coaching is a great tool to use when welcoming new staff on board and when building relationship between people who will be working together

Progress Review - Coaching provides a process that employees and supervisors can use to check, revise, or redirect the status of work in progress. Coaching allows more opportunity for creativity and alternative solutions to be discovered

Skill Development - When potential for an employee’s growth is identified, coaching can be used to help identify, plan, and develop the new skills

Problem Solving - Confronting work behaviors that are not contributing to the mission of a work group is difficult. Redirecting those behaviors is even more challenging. Using coaching can greatly assist in this area

Coaching Model

There are many types of coaching models. The purpose of a model is to provide a framework that can be placed around an issue or a challenge. It is the process used to work through an issue. Many coaching models have similar elements, some of which may include:

Building Trust - Trust is key to coaching. The employee and supervisor relationship must have some level of trust for coaching to work. A mutual interest in the success of the other is critical. Trust can be built incrementally through use of supportive behaviors

Defining the Issues - The supervisor should seek information from the employee to better understand the issue or performance in question. The emphasis is not on proving who is right or wrong, but on gathering information in a non-judgmental manner. Using open ended questions can assist in this area

Motivating for Success - Workplace motivation can be a challenge. Taking employees from compliance to commitment can be difficult. Finding or creating that motivation means helping the employee get in touch with what matters to him – the internal motivators. Sometimes this is easiest achieved through the use of open ended questions leading to some self discovery

Creating a Plan of Action - For the purpose of buy in and commitment any action plan should be created jointly by the supervisor and the employee. The plan should be simple, measurable, and attainable

Working with Sidetracks - When confronted with sidetracks, obstacles, resistance, and excuses, it's easy to become frustrated. The key to working with sidetracks and obstacles is to recognize them as existing, refocus on the issue at hand, and move forward. Sometimes real issues can appear as obstacles. Be careful to recognize those issues and deal with them as they can derail the larger plan

Committing to Action - Once a plan of action has been worked out, assign roles and timelines. Get verbal commitment to the overall plan as well as the next step. This is a great opportunity to tie up loose ends and clarify expectations

Following Through- Coaching is an ongoing process. Don’t leave the relationship to chance. Continue to follow through with formal and informal coaching

Whatever coaching model you choose be sure it is simple, flexible and easy to remember. Remember, coaching focuses on building collaborative relationships.

How is Feedback Different from Coaching?

Feedback is a part of coaching. Coaching takes feedback and builds a relationship with it. Supervisors can use coaching in many situations, e.g., for successful or unsuccessful performance, change in direction, new projects or new team members.

Approaches to Feedback and Coaching

Feedback Coaching

Listen to respond Listen to understand

Point out specific information Ask clarifying, open-ended questions

Can control outcomes Respect, value, collaborate, and partner with others

Commitment to things being right

Commitment to learning

Can be one-sided, closed Positive exchange of information, open

Change others' behavior Support others

Defend position Disclose

Compliance Commitment

Coaching Challenges

There are challenges to coaching. Some of those challenges may include: lack of a coaching model, lack of time, heightened emotions, fear of losing control of the situation, indifference, or the hope that "this too shall pass.

Coaching takes time and a commitment to relationship building. Remember, coaching is not for every situation. Serious, blatant, and/or ongoing employee performance problems may need to progress to the next level: "Realigning Performance.

Remember: When helping others prepare for change, developing staff in new areas, carrying out process improvement, increasing the potential for retention, facilitating growth, building commitment or working to change the organization’s culture, coaching may be the tool to use.

Coaching

Take a Minute to Reflect

Does coaching fit your supervisory style?

If yes, what one thing do you plan to do to create coaching relationships with your staff?

Realigning Performance

You have learned about setting performance expectations and the importance of keeping performance on target through feedback and coaching. Even with the best efforts, sometimes performance goes into a downward spiral. When clear performance expectations and feedback and coaching no longer work in getting the desired performance, it is time to look at realigning performance.

The process of realigning performance can be difficult. It is often "put off" or avoided for many reasons, including:

Lack of knowledge or structure on how to realign performance Lack of willingness to confront Fear of losing control Fear of hurting the person's feelings Sympathy Hoping it will all just go away

When entering into this area of performance management, it is good practice to gather and review all of your information about the employee (e.g., performance expectations, key responsibilities, feedback). Then make an appointment to discuss the situation with your manager or your agency's Human Resource staff, before meeting with the employee.

Realigning performance builds on skills gained in the preceding sections. The skills you will learn revolve around "disciplining" without punishment, dealing with performance problems, documenting performance, and progressive discipline. Your goal as a supervisor is to help employees succeed.

Remember: Communication is the key!

Discipline Without Punishment

Supervisors are responsible to provide positive recognition, coaching, and feedback for employees who perform well and meet the organization’s expectations. They are also responsible to administer consequences for those who choose not to fulfill their job responsibilities. Before supervisors can hold employees responsible for doing a good job, they must hold themselves responsible for creating conditions that allow their employees to be successful.

Disciplinary problems usually can be divided into one of three mutually exclusive categories:

Dealing with Unacceptable Attendance

Dealing with Unacceptable Performance Dealing with Unacceptable Conduct

Dealing with Unacceptable Attendance

Unacceptable performance in absenteeism and tardiness costs the organization money and can create additional problems in productivity and teamwork.

Discipline progressively and always evenhandedly. Inconsistent enforcement is the leading cause of employment lawsuits concerning absenteeism and tardiness.

Dealing with Unacceptable Performance

Supervisors have two objectives regarding performance:

1. To recognize and reinforce positive performance 2. To confront, correct, and/or realign negative performance

The feedback and coaching sections offer guidance in these two areas. Supervisors need to confront and correct performance deficiencies in order to achieve organizational objectives. They also owe it to their high performing employees who are shouldering the burden created by non-contributing co-workers. If supervisors ignore the poor performers, the majority of good employees may become resentful and may become poor or unmotivated performers.

The fundamental purpose of confronting and correcting performance deficiencies is to build individual responsibility and re-inspire commitment; it is not to punish. Every disciplinary transaction should be a coaching session.

The critical step in correcting an employee performance problem is to DEFINE clearly the gap that exists between desired performance and actual performance. The responsibility for defining and communicating this gap rests with the supervisor. The responsibility for closing the gap rests with the employee. The primary objective of a performance improvement/disciplinary conversation is to gain

the employee’s agreement to change their behavior, close the gap, and return to fully acceptable performance. Written performance expectations can assist in defining the desired behavior.

Dealing with Unacceptable Conduct

Conduct problems consist of inappropriate behaviors in the work environment. Rule 190 (Administrative Rules of the Division of Human Resources) outlines the causes for disciplinary action for classified employees in the areas of unacceptable attendance, performance, and/or conduct:

Failure to perform the duties and carry out the obligations imposed by the state constitution, state statutes, or rules of the department or the Personnel Commission.

Inefficiency, incompetence, or negligence in performing duties. Physical or mental incapability for performing assigned duties, if no

reasonable accommodation can be made for the disabling condition. Refusal to accept a reasonable and proper assignment from an

authorized supervisor. Insubordination or conduct unbecoming a state employee or conduct

detrimental to good order and discipline in the department. Intoxication on duty. Careless, negligent, or improper use or unlawful conversion of state

property, equipment, or funds. Influence. Use of any influence which violates the principles of the

merit system in an attempt to secure a promotion or privileges for individual advantage.

Conviction of official misconduct in office, or conviction of any felony, or conviction of any other crime involving moral turpitude.

Acceptance of gifts in exchange for influence or favors given in an official capacity.

Habitual pattern of failure to report for duty at the assigned time and place.

Habitual improper use of sick leave. Unauthorized disclosure of confidential information from official

records. Absence without leave. Misstatement or deception in application for employment. Failure to obtain or maintain a current license or certificate lawfully

required as a condition in performance of duties. Prohibited participation in political activities.

Documenting Performance

Supervisors can keep an "incident" journal or calendar to keep quick notes regarding employees' performance. Incidents noted in the journal should include both positive and negative actions.

Documentation should focus on the behavior of the employee and not the employee's character traits. It should be objective, accurate, factual, fair, and consistent. It should be specific about the employee's performance and the supervisor's actions regarding the performance.

The goal of a supervisor is to help the employee succeed. There is a four step system that can

help guide supervisors in documentation. It is called F.O.S.A. and it is based on a model presented in the film "Documenting Discipline" (America Media Incorporated, see Resources). It involves the following steps:

1) Facts. Facts include who, what, where, and when. They should be specific about the performance and focus on the behavior of the employee.

2) Objectives. Objectives tell the employee what is expected of them. They are positive and specific about what the supervisor expects them to do.

3) Solutions. Solutions should involve strategies to help the employee meet the objective. They can be suggestions such as taking classes for skill building or a mentor to help guide the employee.

4) Actions. Actions describe what will happen if the objectives are not met. They can range from coaching, counseling, or written warnings to leave without pay or dismissal.

Documenting discipline is, hopefully, not a paper trail for dismissal. It should be viewed as a tool to help employees improve their performance. However, careful and thorough documentation is important if realignment efforts are not successful and dismissal action becomes necessary. Remember, you have a strong resource available to you in your Human Resource Office. Use them.

Appraising Performance

A performance review meeting involves a dialogue with the employee. The dialogue sets the tone and promotes a shared understanding of goals and expectations – for both the employee and the supervisor. The supervisor’s relationship with each employee is unique; the performance review document should be customized to the employee each review period.

The most important goal of a performance review is to guide the employee into the future. At the end of the review, an employee should have a clear understanding of the performance expectations for the next review period. As changes occur over the review period, make adjustments and document changes to the objectives. Reviews lead directly to employee development discussions.

A performance review allows you and your employee to communicate about:

Setting performance expectations and key responsibilities of the job Reviewing how effectively performance expectations have been met in

the past Discussing how to meet or exceed performance expectations in the

future Establishing an employee development plan

Remember: Communication is the key!

Get Ready, Get Set

Before starting to write any performance appraisal document, consider the following points:

The employee should understand the performance review process and who, what, when, and where it will happen. Eliminate surprises! Ideally, this should be communicated early in the employment relationship.

All supervisors are required to develop formal appraisal reviews for their employees once a year.

Performance appraisals are legal documents. The timing of the actual appraisal meeting is important, not just from

the agency’s perspective but from the employee’s perspective. Choose the time and environment that will create the most successful dialogue.

Remember, formal appraisal review documents are used to make employment decisions.

Your agency may have specific expectations:

Check to see which performance review document your agency uses. Be sure to address any content requirements your agency has. For

example, there may be specific performance standards your agency requires in addition to the statewide core performance standards.

Your agency may recommend that management and the immediate supervisor review the document together before the employee reviews it. This gives managers an opportunity to coach supervisors on content, goals, and perceived biases.

Be aware of your agency’s method of distribution for the final appraisal document.

Know your agency’s review cycle. There may be specific expectations concerning when the performance evaluation should be completed.

Go!The Process

Know Yourself!

Respect employee's diversity in ideas and approaches. Establish the performance goals. Don't dictate the method - it

can stifle creativity and productivity. Maintain objectivity throughout the appraisal process and the

appraisal document. Watch for 'rating biases' or personal perceptions that can creep into the performance appraisal document and discussion! A bias can be anything that can affect the way you evaluate someone's performance, but does not reflect actual performance outcomes. Many times a second level review (e.g., with management) can catch biases.

When evaluations are based on facts, the following situations can be avoided:

Approaches to Feedback and Coaching

Waterfall Effect The employee receives good appraisals for a long time then suddenly is hit with a negative appraisal without having a clue there was something wrong.

Halo Effect One positive item overshadows everything else during the rating period. The employee is always seen in a positive light, regardless of performance.

Horns Effect One negative situation overshadows all positive performance aspects during the rating period. The employee is perceived negatively, regardless of performance.

Gather Information and Feedback

Gather all your information before starting to write the appraisal document.

Consider asking the employee for input. For example, “What achievements are you most proud of this year?” and “Are there obstacles to your success on the job?” (See Self Evaluation Questions. PDF 55 KB)

Think of the BIG picture or ‘core message’ you want to give your employee. Ask yourself, “What is the single most important message I want to communicate about the individual’s performance through this appraisal?" Once you have that in mind, you can go forward.

If your agency has the Employee Appraiser software, use it to fine tune your writing. The software has tools that give examples of higher or lower language to describe behaviors.

Rather than copying the examples, write them to fit the employee.

Give actual examples of the employee’s behaviors whenever possible. Match examples to performance expectations.

Communicate

If you have an issue with part(s) of an employee’s performance, take the courage to confront it with respect and dignity. Hinting, hoping, or inferring won't acheive the success you are seeking.

Before meeting with the employee, review the communication tips in this program. Remember, people tend to do what is measured.

Listen.

Listen, Give Feedback!

Set the Stage

Choose a day and a time to deliver the appraisal when energy will be high. Monday morning and Friday afternoon may not be the optimum time, depending on the work environment.

Choose an environment that allows for privacy and discussion. An office is often more conducive to conversation than a meeting or board room. Eliminate distractions such as walk ins, phone calls, and emails. Sit with the employee rather than across the desk from the employee.

Give the employee advance notice of the appraisal meeting so he/she can be prepared. Again, eliminate the element of surprise.

Allow for adequate time to deliver the appraisal, to set expectations, and to answer questions.

Complete the Appraisal Document

Employees appreciate receiving descriptive comments. Take the time to develop comments that have meaning, provide examples, and give direction.

Descriptive comments provide historical data for future supervisors who need to understand the context in which behaviors occurred.The significance of good documentation builds over time!

Use the tools in the Employee Appraiser software to help you customize the document (e.g., the descriptive comments) to the employee

Deliver the Appraisal

The appraisal document is an opportunity for a dialogue between supervisor and employee. Simply handing the appraisal document to an employee and asking him/her to read and sign it, is not effective.

Whenever possible, plan to have the employee read the full draft appraisal prior to the discussion period with the supervisor.

Remember, the appraisal shouldn’t contain surprises! Significant events or behaviors in the document should have been discussed with the employee during the review period.

Work to gain and maintain rapport throughout the appraisal meeting. Good rapport enhances clear communication.

Employee participation is the key to successful communication during the performance management process.

Writing Performance Statements

What About the Difficult to Deliver Appraisal?

The Geographically Distant Employee

The Employee With More Technical Expertise Than the Supervisor

The Passive/Aggressive Employee

The Employee in Denial

The Employee in Non-Agreement

Motivating for Success

In today's turbulent, often chaotic work environments, success depends on employees making full use of their own strengths and talents. Managers play a key role in providing a motivational climate for employees to use their strengths. However, they often view motivation as a mystery because it is extremely complex and personally driven. The complexity of motivation is influenced by both external and internal factors (communication, interpersonal relationships - especially with the supervisor, culture, etc.) and the fact that individuals are motivated by different things in different ways.

Definition

Twyla Dell writes of motivation, "The heart of motivation is to give people what they really want most from work. The more you are able to provide what they want, the more you should expect what you really want, namely: productivity, quality, and service." (An Honest Day's Work, 1988)

Advantages

A positive motivation philosophy and practice by managers will improve productivity, quality, and service. A motivational environment helps people:

achieve goals gain a positive perspective create the power to change build self-esteem and capability manage their own development and help others with theirs

Action Checklist for Managers

The following checklist is designed to help managers who have responsibilities for managing, motivating, and developing staff during organizational change:

1. Read the gurus (Herzberg's hygiene theory, McGregor's X and Y theories, and Maslow's hierarchy of needs)

2. Know what motivates you3. Know what motivates your staff4. Walk the job5. Remove demotivators6. Demonstrate support and provide recognition7. Be wary of cash incentives8. Decide on an action (positive, focused on the future)9. Manage change10. Understand learning styles & preferences11. Provide feedback12. Create opportunities for achievement and accomplishment13. Provide opportunities forlearning and growth14. Increase the amount of challenge15. Help answer the question: How does this individual's job relate to

the agency's mission?

Other important ideas for motivating employees include minimizing rules and policies and ensuring employee involvement whenever possible in decisions which affect their work parameters and their work environment. In other words, engage employees in setting realistic goals and expectations, and then set them free to achieve incredible results!

Through consistent application of the eight steps in the performance amangement system and with these insights regarding motivation, our jobs continually become easier - people look for new challenges to motivate themselves!

Motivation and Communication

"More of/Less of " Motivation List - A simple way of identifying what employees want more of in their jobs (and what they want less of) is to ask each employee what job and environmental factors they wish to have increased and decreased. Done quarterly, this process gives managers a chance to understand what employees want. Surveying employees and new hires about what motivates them helps

managers better understand how to keep them excited. Topics should include: what frustrates you? What challenges you? What are your learning goals?

Morale, Motivation, Job Satisfaction

Moving Toward a More Motivating Workplace

As you consider the motivation level in your workplace among the employees you supervise, it may be helpful to know that capable, high performing employees can start questioning their decision to join a company, start thinking of leaving, eventually disengage, and, finally, leave because:

The job or workplace was not as expected.

A mismatch between job and person.

Too little coaching and feedback.

Too few growth and advancement opportunities.

Feeling devalued and unrecognized.

Stress from overwork and work-life imbalance.

Loss of trust and confidence in senior leaders.

So, ask yourself these questions:

How do employees become 'disconnected' in your workplace?

How does acknowledgement look or feel in your workplace?

What are your employees' top motivators?

Why do you stay in the job you are in?

What can you do to get and keep your emplyees connected and motivated?

Putting it All Together

Ideas to Grow & Develop People

Managing performance more and more often means encouraging an environment that enables individuals to manage their own performance through learning and career options. Consider using one of the following tools:

Performance Development PlanThis type of development plan is used for near-term improvement in one to three performance areas.

Career Development Plan This type of development plan is used to focus an individual's work experience and training on long-term organizational needs and personal interests.

Development Plans Assist With:

Solving performance problems and turning difficult performance discussions into positive action.

Retaining high-potential individuals by identifying new challenges and ongoing opportunities.

Preparing employees for promotions and other major new responsibilities. Also helps employees adapt to organizational change.

Motivating employees to reach personal as well as professional goals.

Improving employee morale by focusing attention on the value of individual contributions.

Can be used to enhance and support succession planning within an organization.

Activities to Consider When Developing Performance Plans:

Examples of activities employees could be involved in which could be considered appropriate for employee skill development:

On-the-job training, cross-training, job shadowing College course work or certificate programs Attending or participating in professional organizations Coaching or consulting Individual career counseling New employee orientation Working with or as a mentor Management development programs Attending teleconferences Internships Self-study or reading assignments Online learning projects Attend meetings for you or with you Participation in special projects Training classes

Good Performance Management Means . . . Establishing an environment conducive to excellence and

the creation of employee success Managing for performance

Taking all opportunities to support individual and organizational achievement and growth

You have completed the State of Idaho's Division of Professional-Technical Education Performance Management Online Program. If you would like a Certificate of Completion for this program, print, complete, and mail this form. (Requires Adobe Acrobat Reader.)