COACHING, PERFORMANCE MANAGEMENT AND DISCIPLINE
PRESENTATION TO
MASSACHUSETTS COLLECTORS AND TREASURERS ASSOCIATION
AUGUST 2021
Presented by: Mary Flanders Aicardi
Human Resources Practice Leader
Collins Center for Public Management
Model: Performance Management Overview Adapted from Human Resources, Ohio State University
Performance Management is designed to promote ongoing communication between a supervisor and employee regarding the planning and achieving of workplace priorities as well as the identification of successes and of any areas for performance improvement. Good performance management uses a collaborative and developmental approach utilizing the following cycle:
Performance Planning Dialogue between a supervisor and
employee to establish clear, specific, performance expectations at the
beginning of the performance cycle.
Performance Review, Evaluation and Development
Summative two-way discussion and written documentation
focusing on employee performance: areas of excellence; progress on workplace priorities;
goals for improvement; and development needs.
Performance Feedback, Coaching, and Documentation
Regular two-way discussions between a supervisor and employee
focusing on work progress and quality. It also involves regularly
observing, monitoring, and documenting performance
throughout the year.
Organization’s Mission, Goals, and Department Strategic Plans Provide the context for performance management so that individual
performance is aligned with the organization’s mission and goals.
On-going Performance Management through Feedback, Coaching, and Documentation
Set a timeline for when you will review performance and check-in with the employee
▪ Both you and the employee should have clear understandings of how and when you will be holding conversations on their job performance.
▪ Review your own documentation of employee’s performance to date. ▪ Prepare and allow the employee to prepare for any conversations. ▪ Ask employee to think about feedback for you.
Ask employee to self-assess their current performance
▪ Have employee comment on own performance and progress to date on goals or priorities. ▪ Ask employee to share any materials/documentation they may have collected to demonstrate
their success. ▪ Ask employee to identify areas needing support from you, ideas for professional development
and areas needing improvement. ▪ Cover areas of success as well as areas for improvement.
Jointly discuss how to eliminate obstacles to success
▪ Clarify expectations as necessary. ▪ Listen to your employee’s feedback for you. ▪ Be open to hearing about obstacles or barriers. ▪ Work together to solve the problem, making sure the employee owns the solution. ▪ Identify supports that you can provide in helping employee be successful. ▪ Provide coaching as needed.
Revise performance expectations as appropriate
▪ Alter goals or priorities as appropriate considering obstacles and other challenges. ▪ Clarify new expectations as needed. ▪ Be clear on any performance issues and what the employee needs to do to improve. ▪ Involve the employee when setting new/different expectations.
Document the conversation as needed
▪ Provide the employee with appropriate follow-up information. ▪ Clarify any performance improvement plans in writing. ▪ Pay attention and adhere to any union contract provisions or department policies regarding
performance.
Performance Feedback, Coaching and Documentation Skill: Coaching Adapted from “We Need to Talk! Coaching Problem Employees” video, from Learncom
1. Encourage - Appreciate what employee does bring to the job. - Share how important it is to you that the employee be successful.
2. Invite Self-Appraisal
- Ask for the employee’s point of view on the situation and what they think of their own performance.
3. Question (Explore)
- Ask questions; inquire more deeply to understand fully.
4. Observe
- Notice verbal and non-verbal behaviors, reactions.
5. Reflect
- Be clear on what you are hearing the employee say. - Share your view of the situation.
6. Summarize
- Throughout the meeting, and at the end when reaching agreement and setting an action plan.
Performance Feedback, Coaching and Documentation Skill: Documenting Performance
1. Purpose for Documenting Performance:
Provides focus on what needs to be accomplished, and how and when.
Improves Performance and Processes This is a useful tool to capture areas of strength and needed improvement, including the next time the activity is repeated or something similar needs to be planned.
Enhances Communication The information can assist with recall for updating employees, co workers, or supervisors about interactions and activities that are important. Supports Decision Making More well-informed decisions can be made at all levels of an organization when there is documentation supporting the needs and choices.
Lays the Groundwork for Self-Review/ Annual Review Without this information being maintained on a regular basis it may be difficult or impossible to sit down and prepare to write a review of the past 12 months.
2. What is Important to Document? Collect information that will help answer: • What did they intend to do? • What were our actual results? • What were the differences? • What went well? • What did they learn?
Activities and progress toward meeting goals and objectives need to be tracked regularly. Note specific examples of what was accomplished, how much when and how. It may also include challenges and roadblocks. Expectations, Goals, and Objectives Track those that are successful and those that are unsuccessful or need to be done differently. Decisions Keep track of important decisions and what influenced them.
Conversations Since coaching can be both formal and informal this provides an on-going record of the desired results and concerns of both parties.
3. How to Document Performance? General Guidance While choosing the "right" format is not the priority; picking the most effective one for the situation can help ensure it is done thoroughly and easily. Include - Who, What, When, Where, Outcome/ Impact/ Learning Be honest. Don't sugarcoat or embellish. Facts only. Avoid opinions, feelings, perceptions, judgements, inferences or hearsay. Work-related only. Personal information such as beliefs, opinions, feelings, dimensions of diversity have no relevance to performance . Documentation storage/type
File Folders Checklists Minutes Journals Emails Tasks Lists Logs Computer folder Reports Copies of completed projects Thank you notes Word Documents
Claire Lew, “14 Questions to Ask an Underperforming Employee During a One-on-One”, Know Your Company.
Jim Bolton, “How to Turn Around Problem Performance in Five Questions or Less”, Change This, Feb 16, 2011.
As leaders, when an employee is underperforming it’s important to look both inward and
outward for the sources of underperformance:
- What are you, as the supervisor, doing to hold an underperforming employee back?
- And what is the underperforming employee doing to hold themselves back?
➢ Oftentimes, we think we know the answer to those questions. We have hunches about what’s
causing the underperformance: “It’s their perfectionist tendency getting in the way, obviously…” or
“It’s my lack of context I shared about the project, clearly…”
➢ Then, we just create a performance improvement plan based on those hunches and move forward.
Assuming what’s wrong doesn’t help you get any closer to finding out what actually is wrong.
➢ Discover the truth of what’s really holding an employee back when you ask, not when you assume.
Coaching a struggling employee to success begins with asking the right questions, not simply
arriving with the supposed answers.
➢ Avoid asking questions that are accusatory, e.g., “What do you think you’re doing wrong?” or
“What do you think I’m doing wrong?” Your goal is to reach a place of better understanding.
Manage an underperforming employee by
asking them the right questions during a
one-on-one meeting.
Performance Feedback, Coaching and Documentation Concept:
Turning Around an Underperforming Employee
Start with understanding the sources of the underperformance
Ask these questions to look inward You’re trying to understand:
“How have I been letting this person down? How have I been getting in the way?”
1. Is it clear what needs to get done? How can I make the goals or expectations clearer?
2. Is the level of quality that’s required for this work clear? What examples or details can I
provide to clarify the level of quality that’s needed?
3. Am I being respectful of the amount of time you have to accomplish something? Can I be
doing a better job of protecting your time?
4. Are my expectations realistic? What needs to be adjusted so it’s more reasonable?
5. Do you have the tools and resources to do your job well?
6. Have I given you enough context about why this work is important, who the work is for, or
any other information that is crucial to do your job well?
Ask these questions to look outward You’re trying to understand: “What on the employee’s end
is limiting them? What choices or capabilities of their own are keeping them from the results you
want to see?”
1. How have you been feeling about your own performance lately? Where do you see
opportunities to improve, if any?
2. What are you most enjoying about the work you’re doing? What part of the work is
inspiring, motivating, and energizing, if any?
3. What part of the work do you feel stuck? What have you been trying the “crack the nut” on,
but it feels like you’re banging your head?
4. What part of the work is “meh”? What tasks have you feeling bored or ambivalent about?
5. When’s the last time you got to talk to or connect with a patron who benefited from the
work you did? Would you like more opportunities to do that, and how can we make that
happen?
6. Do you feel you’re playing to your strengths in your role? Where do you feel like there is a
steep learning curve for you?
Commitment: How committed are you to the underperformer’s success? (If you’re not invested in the
employee’s success, if you’re just going through the motions or don’t have the time to do the process
justice, the turnaround will fail.)
1. Are you willing to give the person a chance to change?
2. Are you willing to manage the person differently?
3. Do you have enough information to act?
Ask yourself
1. Does the person know what’s expected?
Maybe your underperformer should know what’s expected, but what seems crystal clear to you
may not be clear at all to the other person. A performance agreement is your first step in turning
things around when expectations aren’t mutually shared or understood. It will serve you well to
make an explicit agreement out of what has been implicit. Confirm your expectations, make the
details clear and specific, and put them in writing.
2. Has the person performed to standard in the past?
It’s a fork in the road: if the answer is no, you can skip to question number four regarding
capability. If your answer is yes that means they’re capable of doing it, they have done it, and they
aren’t doing it now. Assuming they know what performance is expected, the next question
naturally follows.
3. Have you already addressed the performance problem more than once?
Whether the performance problem is a recurring one will determine the tone of the turnaround
conversation you’ll choose. Consider these three options:
Problem Resolution: If the answer is no, your path is toward problem solving. Listen particularly for
obstacles that might be blocking performance. Do they have the resources they need to be effective?
Are competing priorities creating confusion? If possible, help the performer solve the problem rather
than giving him or her your right answer. Be a sounding board, direct them toward better options,
but don’t do it for them. They’ll be more committed to their plans than they will be to yours.
Recommitment: If you’ve addressed the issue once or twice already, the person’s commitment might
need to be shored up; a recommitment discussion is in order. As with the problem solving
conversation, start as a listener: ask the person what’s getting in the way of keeping the agreement
on track. Problem solve as necessary, and make sure they hear a good WIIFM (What’s In It For Me) or
two before you wrap up.
With that understanding, determine how best to
approach your turnaround process with the employee
Confrontation: If the person can do and has done the task, and you’ve addressed it more than three
times, then you have a significant performance issue that requires a more difficult confrontation
conversation. If you do a good job getting up-front agreements, discussing and resolving issues
before they become problems, and following-up regularly to make sure the person’s performance
and commitment are where you need them to be, these conversations will be rare. Still, there are
times when you’ll need to confront members of your team about broken agreements. The goal of a
confrontation discussion is not to punish the other person, but to get the original performance
agreement back on track.
Assuming you reach a common and satisfactory understanding about how the other person will
achieve his or her performance goals, then you’re back to the beginning of the process. If the person’s
performance continues to suffer and you determine that the person isn’t coachable (see below), then
you need to consider the person’s fit in the role or initiate disciplinary action. Either way, you’ve done
what you can to turn the person’s performance around. But you can’t make people change if they
don’t want to.
4. Does the person have the capability of performing to standard?
If you’ve been dealing with underperformance and the person hasn’t yet performed to standard,
you’ve got to ask: can the person do the job or this part of it? You hope the answer is yes: if he/she
is capable, coaching may be the answer. But if your response is no, you must look at a difficult
truth. If you can separate the task and assign it to someone else, this is the time to do that. If it’s a
bigger issue or you can’t reassign the task, you have a job fit problem: the person doesn’t have the
skill, ability—or perhaps the aptitude—needed to do the job. While it’s difficult to tell a person that
he or she is in the wrong job, it doesn’t serve you, the underperformer, or your team to allow the
situation to continue. And it only gets more difficult if you let the situation drag on.
5. Is the person coachable?
Assuming you have determined that the person is capable of doing the job, the final question
assesses coachability. Generally, coachability involves two ingredients: a willingness to participate
in the learning process and a commitment to apply and refine what has been learned. If the person
is coachable, there is room for improvement in his or her performance. A coaching conversation
can get that process started. But if the person isn’t open to learning or is unwilling to change the
behavior, your options are limited. You’re back to the job fit conversation or disciplinary action,
depending on the circumstances.
Performance Feedback, Coaching and Documentation Outline:
Performance Improvement Plan (PIP) Outline Society for Human Resources Management (SHRM), Sept. 16, 2015
PIP Outline Step 1: Document Performance Issues Step 2: Develop an Action Plan Step 3: Review the Performance Plan Step 4: Meet with the Employee Step 5: Follow Up Step 6: PIP Conclusion
Step 1: Document Performance Issues Document the areas of the employee’s performance that need improvement. Be objective, factual and specific and provide facts and examples to further clarify the severity or pattern of performance concerns. The format of the performance improvement plan will vary by employer and should include the following components:
• Employee information.
• Relevant dates.
• Description of performance discrepancy or gap.
• Description of expected performance.
• Description of actual performance.
• Description of consequences.
• Plan of action.
• Signatures of the manager and the employee.
• Evaluation of the plan of action and overall performance improvement plan.
Step 2: Develop an Action Plan Next, the supervisor should establish a provisional action plan for improvement, which may be adjusted based on employee feedback in the meeting. Making the process collaborative can help in identifying areas of confusion or misunderstanding on the employee’s part and can encourage ownership of the issue by the employee. This action plan should include specific and measurable objectives that are accurate, relevant and time-bound (SMART goals). When developing a performance improvement plan, it would be useful to draw on the job description and HR policies to clearly identify the performance or behavioral issues and expectations. SMART goal examples:
• In May, June and July, Jane Doe must have less than 3 percent quality errors per month and produce at least 150 units per month.
• During this 90-day performance evaluation, John Doe must have perfect attendance, with the exception of approved medical or family absences. This means that he must clock in and be ready for work by the start of each scheduled shift, return from all scheduled breaks on time and remain at work for his entire shift.
The supervisor should determine if the employee may need any additional resources, time, training or coaching to meet these objectives. The plan should identify exactly what management will do or provide to assist the employee in achieving these goals. This action plan should help set performance expectations and should include a statement about the consequences for not meeting those objectives. If termination is a possibility, it should be clearly communicated in the plan document.
Step 3: Review the Performance Plan Prior to meeting with the employee, the supervisor should seek assistance from his or her manager or an HR professional to review the PIP. This third party should ensure the documentation is stated clearly and without emotion. The third party can also review the suggested action plan to make certain it is specific, measurable, relevant and attainable within the PIP timeline (PIP timelines are commonly 60 or 90 days in length).
Step 4: Meet with the Employee During this meeting, the supervisor must clearly lay out the areas for improvement and plan of action. The supervisor may need to modify the action plan slightly after receiving the employee’s input and feedback. After changes to the plan are made, the supervisor and the employee should sign the PIP form. Step 5: Follow Up The employee and supervisor should establish regular follow-up meetings (weekly, biweekly or monthly), which can be outlined in the PIP. These meetings should discuss and document progress toward objectives. But ultimately, it is best when an employee is provided the opportunity in follow-up meetings to ask questions and seek guidance or clarification on performance expectations. The supervisor should ensure that any potential roadblocks are discussed, and that the employee has been provided the necessary tools and training. Successful progress made toward the goal should be recognized as a means of motivating the employee to continued improvement. Step 6: PIP Conclusion If an employee is unable to improve or refuses to commit to the PIP, or if his or her performance actually worsens, then the employer should close the PIP and consider a possible reassignment, transfer or demotion or terminate employment based on the specific circumstances. When the employee does show some improvement but is unable to achieve some or all of the established action plan objectives within the PIP timeline, there are a few options:
• If the employee is doing his or her best but just cannot meet one or more objectives, the employer may agree to extend a PIP for a few more weeks or months.
• If the employer determines in retrospect that the objectives were too hard or not completely within the employee’s control, the employer may decide to either extend the PIP or end the PIP due to the progress that was observed.
• If the employer determines the employee is not a good fit or is not really trying to improve even after all this effort, then the employer should consider job reassignment, transfer or demotion or progressive discipline based on the specific circumstances.
When the employee has responded positively by meeting the objectives, the employer should formally close the PIP and allow the employee to continue employment. This may occur prior to the deadline outlined in the PIP document. This should be a positive occasion for the employee, but the supervisor must be sure the employee understands that continued good performance is expected.
Performance Feedback, Coaching and Documentation Tool: Performance Improvement Plan Society for Human Resources Management (SHRM), Sept. 16, 2015
Employee Name:
Title:
Department:
Date:
1. Description of performance discrepancy or gap: (Be objective, factual and specific; provide facts and examples to further clarify the severity or pattern of
performance concerns/discrepancies.)
2. Description of expected performance: (Be specific in stating the level of the work performance expectation and that it must be performed on a
consistent basis.)
3. Actions and resources to assist with improvement: (List the goals and activities the employee will initiate to improve performance. Include skill
development and changes needed to meet work performance expectations.)
4. Target date for improvement:
5. Expected results: (List measurements where possible.)
6. Dates to review progress by the employee and supervisor:
7. Progress at review dates:
Employee Signature:____________________________________________ Date:_______________
Supervisor Name: ______________________________________________
Supervisor Signature:____________________________________________ Date:_______________
NOTE: When reviewing the employee’s progress, the supervisor can determine if the PIP needs to be
extended or to conclude. Contract language may play a role in timing. Check with HR. Documentation
for this stage is highly recommended.
Examples of narrative for extension or conclusion of PIP
Extending the PIP: “The employee was interactive in the training and appreciated all of the
advice and coaching from quality assurance and the supervisors. The employee exceeded
departmental expectations in the first and last months but had a quality errors rating of 3.2
percent in the second month, which is just above the departmental expectation. The employee,
unfortunately, was using a new technique taught to her the day before but did not realize until
too late that this new technique works with only one product model and not all. She did notify
her supervisor and quality assurance as soon as she realized her mistake. Due to the employee’s
attitude, hard work and ability to exceed expectations in the other months, the PIP will be
extended for an additional 30 days with the same expectations.”
PIP conclusion: “The employee successfully met all PIP requirements during the PIP extension.
Due to the training received and the employee’s drive to improve, she has pulled herself out of a
poor performance situation and into one in which she can see and appreciate her own successes.
The performance improvement plan is formally closed, although the employee is expected to
continue to consistently perform at or above current department expectations. Additional
performance issues may result in discipline up to and including termination of employment.”
Performance Review, Evaluation, and Development Skill: Writing Performance Reviews
Before Writing the Review
✓ Request an Employee Self-Assessment if part of your system and any documentation that the employee has on their performance.
✓ Gather and review own documentation to support the written review. ✓ Review overall job performance, goals and/or priorities from the year.
Writing the Review ✓ Use appropriate forms relevant to the job classification and union contract agreements. ✓ Include documented facts and first hand observations – NO SURPRISES. ✓ Focus should be job related behaviors, actions and results – not personal behaviors or attitude. ✓ Assign rating that reflects performance and write specific comments that support the rating. ✓ Comments should be free from bias or discrimination.
Additional Tips for Writing Reviews
✓ Several reviews to conduct? Start with the easiest – the best performers. ✓ When in doubt read again the next day. ✓ Review draft with supervisor for support and general agreement before sharing with employee. ✓ Make sure you are following all department policies and union contract. Language particularly
related to reviews that are receiving low ratings and need to include performance improvement plans.
✓ Your staff deserves your honesty and clarity. ✓ We all want our staff to succeed, and honest feedback is critical for that.
Writing Tips: What to Do & Not to Do
General Guidelines
• Provide specific examples or quantitative, measurable
information.
• Use different examples for each goal, expectation or
competency.
• Keep your comments descriptive and succinct (focus on facts and
measures).
• Use correct grammar, punctuation, spelling; or a bulleted list of
accomplishments if there are several instead of a narrative paragraph.
Avoid generalities, personal judgments, labeling, biases, commenting on personality traits, abrasive language. Ratings: “Aren’t we all above average?”
• Employees deserve honesty.
• We can help the employee see where their strengths are and where they need to improve.
• It’s important to the documentation of the performance. Limit the Effect of Rater Bias
• Recency effect: Reviewing only the most recent performance and not taking into account events
throughout the year.
• Leniency error (halo effect): Allowing excellent performance in one area to overshadow the
review of performance in other areas.
• Harshness error (horns effect): Allowing unsatisfactory or marginal performance in one area to
overshadow the review of performance in other areas.
• Central tendency error: Selecting a "middle of the road" or average rating to describe all
performance without regard to actual data and observations.
• Low Tolerance Error: Rating everyone low because of excessively high standards.
• High Tolerance Error: Rating everyone high because of wanting to avoid conflict or hurt
anyone’s feelings.
“Say What?!?!?”
• “This young lady has delusions of adequacy.”
• “Works well when under constant supervision and cornered like a rat in a trap.”
• “He brings a lot of joy whenever he leaves the room.”
• “Got a full six-pack but lacks the plastic thing to hold it together.”
Avoid Personal Judgments:
• Example: “I have noticed that you have a problem checking your reports for accuracy.
Obviously, you do not care about how we look to other departments and have no regard for our
reputation on campus.”
o Improved version: “I have observed that your reports to the department head have
contained inaccuracies three times in the last month. It is important that the reports you
submitted are accurate. I am very concerned at how your inaccuracy reflects upon the
professionalism of this office.”
• Example: “Mark is absent more than he is in the office and he’s always
late. He is always blaming his lateness on train problems; if the MTA
knew about this, they would sue him for defamation.
o Improved version: “Mark has frequent issues with lateness and
attendance. He is regularly absent on Fridays and is consistently
late by 10-20 minutes most mornings. It is Mark’s responsibility
to arrive at work on time, regardless of the mode of
transportation he uses.”
Only Negative?!
• Example: “Fails to follow customer request instructions which causes customer problems.”
o Improved version: “Needs to read all information on request form and obtain customer
confirmation of plan before executing event details.
Vagueness
• Example: “Disorganized and does not multi-task well.”
o Improved version: “Filling items by project name and on department drive will enable
faster retrieval and updates by Pat despite phone and people interruptions.”
Performance Review, Evaluation, and Development Outline: Four steps to writing comments for performance improvement
1. Describe the performance issue. Example: “There have been several times when customers have received inaccurate information regarding in-take procedures.”
2. Provide specific examples. Example: “I have given verbal feedback on three occasions to correct the misinformation.”
3. State the impact or the results of the performance issue. Example: “Not giving the correct information results in a back-log in our office systems and results in a time-delay for our customers to receive prompt responses for appointments.”
4. State the performance expectations for improvement. Example: “The expectations are to communicate the correct in-take procedures to all
customers. Consult with your supervisor for any clarification of details of the procedures.”
Sample Phrases for Writing Performance Reviews
Focus Area Outstanding Exceeds Expectations Meets Expectations Needs Improvement Unacceptable
Communication Skills, Written
▪ Exceptional communicator ▪ All writing is free of punctuation
or grammatical errors ▪ Clear, concise, error-free
writing ▪ Excellent at persuasive writing ▪ Wrote bids that gained business
7 out of 10 times ▪ Regularly receives positive
feedback on clarity of writing
▪ Written communication easily understood
▪ Writes quickly, clearly, and correctly
▪ Uses resources when unsure of proper spelling, punctuation, or grammar
▪ Uses formatting effectively to highlight key information
▪ Documentation is consistently understood
▪ Translations of documentation were free of confusion
▪ E-mails and memos are clear and to the point
▪ Can express self clearly in written communication
▪ Competent writer ▪ Makes few grammar or
punctuation errors ▪ Spelling usually correct ▪ Conveys information reasonably
clearly ▪ Writes professional
communications, including e-mail
▪ Point of written communication not always clear
▪ Hard to understand focus in written communications
▪ Makes grammatical and punctuation errors frequently
▪ Takes a long time to get to the point
▪ Written communications sometimes lead to misunderstandings
▪ Many people were confused about report X
▪ Poor writer ▪ Numerous errors and lack of
organization make understanding difficult
▪ Writing fails to meet organization standards
▪ Writing represents our company poorly
▪ Many customers failed to understand Report X
▪ Poor written communication resulted in errors costing $...
Customer Relations
▪ Relates to customers exceedingly well
▪ Has developed an incredibly loyal customer base
▪ Wonderful at customer relations
▪ Resourceful in finding solutions to problems
▪ Always delivers on promises ▪ It’s no wonder we have as many
satisfied customers as we do ▪ Relates well to corporate and
individual customers
▪ Has won us customer loyalty many times
▪ Graceful and tactful under pressure from customers
▪ Customer relations a strength ▪ Always patient, competent,
and professional with customers
▪ Solves customer problems with speed and accuracy
▪ Represents our organization very well
▪ Usually competent and professional with customers
▪ An able representative ▪ Courteous and knowledgeable ▪ Professional presentation ▪ Manages all but the most
challenging customer situations ▪ Handles customer relations
responsibilities well
▪ Gets annoyed by customers with a lot of questions
▪ Sometimes gets sarcastic ▪ Presents a sloppy and
uncaring image ▪ Customer relation skills
need improvement ▪ On several occasions has
lost temper with customers ▪ Conducts personal phone
conversations while customers wait
▪ Frequently impolite ▪ Very weak customer relation
skills ▪ Condescends to customers ▪ Ignores customers ▪ Chews gum while speaking
with customers ▪ Shouted obscenities at a
customer
Financial
Management
▪ Anticipates financial problems before they occur
▪ Provided meaningful information to decision makers
▪ Involves staff in financial improvement initiatives
▪ Implements prudent risk analysis
▪ Gets the most from scarce resources
▪ Implemented measures for financial accountability
▪ Uses accounting information to make decisions
▪ Actual expenditures within 10% of budget projections
▪ Understands and uses standard accounting practices
▪ Prepares budget projections on time
▪ Translates raw financial data into information for others
▪ Follows standard financial practices ▪ Stays current on financial issues
during year ▪ Prepares appropriate year-end
statements ▪ Accurately reports financial status
▪ Exceeded budget by 20% last year
▪ Loses financial big picture ▪ Could control expenditure
better ▪ Difficult to understand “the
books” ▪ Financial reports tend to
gloss over bad news
▪ Often runs to deficit mode ▪ Uncooperative with auditors ▪ Does not inform superiors of
potential problems ▪ Has ignored serious
accounting errors ▪ Financial reports are
intentionally misleading ▪ Does not accept
responsibility for financial problems
Focus Area Outstanding Exceeds Expectations Meets Expectations Needs Improvement Unacceptable
Knowledge of
Job
▪ Has complete mastery of job ▪ Has a great wealth of
knowledge about all job facets ▪ Level of knowledge is
outstanding ▪ Is an expert in the functioning
of system X ▪ Has authoritative
understanding of job responsibilities
▪ Is source of information for others in department
▪ Has kept XYZ certification current for 10 years in a row
▪ Gained certification in XYZ
▪ Understands all aspects of job ▪ Strong level of job knowledge ▪ Knowledge exceeds what is
required to perform well
▪ Level of job knowledge appropriate to perform required tasks
▪ Understands X and Y very well ▪ Maintains knowledge through
seminars and courses ▪ Knows most of the systems
necessary to succeed ▪ Keeps up to date through reading
industry periodicals
▪ Needs to learn more to perform job satisfactorily
▪ Often runs into situations where don’t know what to do
▪ Is out of date with knowledge
▪ Needs to improve job knowledge
▪ Infrequently has the job knowledge to know what to do
▪ Needs to ask for help on many projects
▪ Makes more errors than average
▪ Needs to lean much more to perform job satisfactorily
▪ Is many years out of date with knowledge
▪ Rarely had the job knowledge to know what to do
▪ Needs to ask for help on every project
▪ Makes many more errors than average
Planning & Scheduling
▪ Overcomes delays caused by others
▪ Copes well with problems beyond control
▪ Helps others stay organized and on time
▪ Others regularly rely on his/her scheduling abilities
▪ Excellent contingency planner
▪ Does not over commit self ▪ Has never created scheduling
conflicts ▪ Plans practical and doable ▪ Anticipates where plans can
go wrong
▪ Develops both long- and short-term plans
▪ Anticipates needs of project ▪ Using planning tools effectively ▪ Makes use of automated
scheduling tools
▪ Can’t see big picture in planning
▪ Doesn’t consult others when required
▪ Avoids panning responsibilities
▪ Leaves planning until last minute
▪ Cannot schedule for others ▪ Fails to plan for any
contingencies ▪ Creates unworkable
schedules ▪ Neglects to tell others of
schedule changes
Problem Solving
▪ Highly proficient and creative at solving problems
▪ Identifies problems in own area and develops resourceful solutions
▪ Weighs cost/benefit of many solutions to a problem
▪ Always addresses root causes in solutions
▪ Anticipates problems and solves before they develop
▪ Analyzes problems thoroughly and takes appropriate action
▪ Recognizes similarities among situations and appropriately addresses them
▪ Thorough in analyzing and developing solutions
▪ Knows when a problem warrants solving
▪ Always makes recommendations when a problem surfaces
▪ Develops alternative solutions to problems
▪ Satisfactory problem-solving skills ▪ Can analyze facts, information, and
evidence logically ▪ Solutions to problems go beyond
surface causes ▪ Recommends solutions to
problems ▪ Sometimes will anticipate problems ▪ Uses good judgment and
information in solving problems
▪ Generates solutions that don’t always solve problems
▪ Knows solutions but doesn’t recommend them
▪ Fails to identify underlying or systemic problems
▪ Fails to completely analyze problems
▪ Doesn’t recognize trends in recurring problems
▪ Has insufficient problem-solving skills
▪ Weak problem-analysis skills ▪ Solutions address only
surface problems ▪ Finds problems but doesn’t
solve them ▪ Doesn’t generate solutions
for problems ▪ Defers to others to find and
fix problems
Performance Review, Evaluation, and Development Outline: Performance Review Conversation
1. Prepare for the conversation
• Complete forms/paperwork as appropriate.
• Ask the employee for information about preferences (Pre-Performance Review Preparation).
• Tell the employee what you need them to complete for the meeting. 2. Establish the proper climate.
• Schedule the meeting in advance and stick to it.
• Locate a private space and guard against interruptions.
• Create a sincere, open, and constructive atmosphere.
• Allow enough time to discuss the review. 3. Create a shared conversation.
• Listen and ask for the employee’s opinion.
• Pay attention to body language that might send the wrong cues
• Try to understand your employee’s point of view. Working together is better than being at odds.
• Be willing to modify the performance review form to reflect what is discussed and agreed upon at the meeting.
4. Discuss areas of success and challenges for the performance review period.
• Review goals, success criteria, or standards set.
• Discuss obstacles and roadblocks that affected performance achievement.
• Discuss projects that might continue in the coming year.
• Allow the employee to ask questions give input 5. Review the ratings given on the performance review form.
• Be clear about how you think about the ratings.
• Be willing to explain any of your decisions on ratings.
• Be willing to hear the employee’s input.
• Be clear what an employee would need to do to get a higher score. 6. Discuss plans for growth and development
• Discuss the employee’s developmental and career goals.
• Explore ways there may be opportunities for growth and development within the current role.
• If performance issues exist, discuss plans for improvement. 7. Wrap-up and Next Steps
• Give time for the employee to ask any additional questions.
• Offer opportunity to discuss further if necessary. Clarify next steps on the paper work completion.
Self-Assessment: Evaluating Your Performance Management Skills
PERFORMANCE PLANNING
Never Sometimes Regularly
I explain the reasons for performance management to employees, emphasizing benefits to the organization and the individual.
I check employees’ understanding of their job and review their job description and overall performance expectations with them.
I align employee’s goals and job expectations with the overall strategic plan, departmental goals and job description.
I work with employees to identify goals and performance criteria based on observable behaviors and measurable results.
I explain the steps in the evaluation process from the setting of standards and the use of forms to the actual evaluation session.
FEEDBACK, DOCUMENTATION & COACHING Never Sometimes Regularly
I have regular meetings with employees where I review progress towards goals and modify goals if needed.
I address performance concerns as they emerge using feedback and coaching as appropriate.
I document performance related conversations, noting any corrective action was agreed upon.
I observe the employee in action throughout the year and make my notes on my observations.
REVIEW, EVALUATION & DEVELOPMENT Never Sometimes Regularly
I give myself time to prepare the evaluation document with thought and care.
I give employees the time and the opportunity to do self-evaluations before the joint session.
I plan the evaluation sessions, setting it for the most productive time and place, and create a comfortable, inviting climate at the evaluation session.
I spend a few minutes initially in the session talking with the employee to break the ice and open communication.
I provide feedback about employees’ performance and listen openly to an employee’s preferred way to develop skills and abilities.
I discuss professional development needs and interests and an employee’s preferred way to develop skills and abilities.
I remain objective and non-defensive in the session.
I am willing to modify my evaluation, incorporating ideas and comments from the employee’s self-evaluation.
Progressive Discipline
Introduction The purpose of progressive discipline is to discourage employees from engaging in offensive or inappropriate conduct. Progressive discipline works by imposing increasingly more severe penalties on an employee each time a given offense is repeated.
Types of Offenses
1. Extremely Serious Offenses (i.e., stealing, drug use on the property) ➢ Usually justify summary discharge without any attempt at corrective or progressive discipline. ➢ Arbitrators are more willing to recognize the need for enforcing penalties that meet the
seriousness of the offense.
2. Less Serious Offenses (i.e., tardiness, absence without permission) ➢ Usually not punishable by discharge but call for some penalty. ➢ Arbitrators continue to apply progressive discipline, exercise leniency, and modify disciplinary
penalties imposed by management when there are mitigating circumstances that lead the arbitrator to conclude that the penalty is too severe.
Questions to Consider When Implementing Progressive Discipline:
Fairness and Consistency in the Process 1. Is progressive discipline necessary? 2. Was the employee adequately warned of the
consequences of his/her conduct before disciplinary action was taken?
3. Did the employer make earlier efforts to educate/rehabilitate the person causing the problem?
4. Did management investigate before administering the discipline? 5. Was the employer's investigation conducted fairly and objectively and was it fully completed
before disciplinary action was taken? 6. Was the employee given an opportunity to give his or her side of the case? 7. Did the investigation produce substantial evidence or proof that the employee had committed
the offense?
Previous Record of the Employee 1. How long has the employee worked for the organization, and what was the quality of performance? 2. Have there been other discipline problems in the past, and over how long a time span? 3. Is the current problem part of an emerging or continuing pattern of discipline infractions?
Types and Progression of Discipline: ➢ Verbal Warning ➢ Verbal Warning with Notation to the File ➢ Written Warning ➢ Suspension ➢ Termination
The Seven Tests of Just Cause
1. Reasonable Rule or Work Order. Is the rule or order reasonably related to the orderly, efficient, and safe operation of the business?
2. Notice. Did the employee receive adequate notice of the work rule or performance standard and the possible consequences of failure to comply?
3. Sufficient Investigation. Did you conduct an investigation before making a decision about taking disciplinary action?
4. Fair Investigation. Was your investigation fair and objective?
5. Proof. During your investigation, did you find proof of misconduct or of a performance discrepancy?
6. Equal Treatment. Have you dealt with your employees equally, without discrimination?
7. Appropriate Discipline. Is the discipline appropriate considering all facts and circumstances?
TOPICS TO COVER
• Past Practice
• Loudermill Rights
• Weingarten Rights
