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PERFORMANCE MANAGEMENT Instructional Guide

Instructional Guide to Managing Performance

Performance Management System

CRJ’s Performance Management System is designed to retain the best qualified effective employees by developing their capabilities and supporting their personal and professional wellbeing . . . from our on-boarding process, through coaching, feedback, training, and evaluation.

CRJ’s Values and Treatment Philosophy represent the framework for our competency structure.

CRJ’s Values and Principles(Applicable to All Employees)

Organizational Values Treatment Philosophy Guiding Principles

Integrity Compassion Excellence Creativity

We Listen We focus on Behavior We offer Choices We welcome Change

Revised 3/18/13 Page 1

Performance Management Overview

On-boarding Process

Setting Expectations

Step 1- At acceptance of position – through email Hiring Manager provides the following (in response to candidate ’s acceptance):

o “Welcome” Letter o Benefits sheeto Job Description - employee sign-off

4 to 6 key critical “functional” job responsibilities either highlighted or noted o Core/ Management competencies - applicable to job (Performance Standards)o Written schedule for next two (2) weeks

Reporting date and location/access - (CRJ Orientation) Formal trainings – topics, dates, locations Work hours/schedule Contact information (including CRJ Directory) Support system – names and contact info of peer or management support employee can contact for

specific critical functional responsibilities

Step 2 - First Day of Employment New employee attends CRJ Orientation

Step 3 – End of First Week John Larivee - “Welcome Letter” mailed to new employee Hiring Manager makes appropriate formal announcement of new hire Site Orientation

Keeping Performance on Track

Step 4 – At 1 Month of Hire Manager and new employee completes IDP

o Goals/Objectives – based on time of year tie to strategic plan initiatives, department specific goals/objectives/projects

o Functional Trainings – certifications, mandated site trainings beyond 2 weekso Organizational Required Training – expected trainings applicable to all employeeso Check-in with employee about any additional support or resources needed at this time, provide coaching, and

discuss any other needs of the employeeo Communicate that any changes to the IDP can be addressed in their one-on-one meetings throughout the course of

the yearo Provide schedule – one-on-one meetings

Benefit Manager o Sends employee a Statement of Total Compensation - wage and worth of benefits

Step 5 – Before/at 2 Months Manager provides . . .

o Formal and Informal Feedback

Step 6 - Three Month Formal Review –“Initial Period of Adjustment” Complete 3 month review /check-in and discuss with employee Review the IDP – change if needed

Step 7 - One-on-One Meetings (to include at a minimum) At least quarterly Review IDP Provide coaching and feedback Check on any assigned trainings


Revise IDP if applicable (copy to employee)

Realigning Performance

Step 8 – Performance Improvement Plan● If and when needed● Documentation

Appraising Performance

Step 9 – At one year – Date of Hire Annual Performance Review

o Check e-Academy for any trainings o Review current IDP - Goals/Objectives & Development Plano Provide employee with self-evaluation form and discuss the three o Complete Employee’s Performance Evaluationo Set date for review and communicate to employeeo Provide completed evaluation to employee 1 to 2 days in advanceo Conduct evaluation meeting

Step 10 – At one year

Individual Development Plano Work with employee to complete new IDP

Note: Promotions or Lateral Moveso Complete a performance review/evaluation (pro-rated)o Repeat - New Hire On-boarding Process

The following steps represent an overview of the hiring manager’s responsibility from time of hire through first annual review of an employee.


There are six critical components of performance management in CRJ’s Performance Management System. These have been identified as vital to quality performance management and represent our guidelines.

Guidelines

1) Establish primary functional job responsibilities - A critical element and first step in performance planning is to define the primary purpose and responsibilities of the position, and identify the four to six key critical impacting

2) Review established performance objectives - This is a review of objectives that gave the employee focus and direction for the review period.

3) Review employee performance – Core competencies and performance standards are critical work behaviors that are necessary for job success and ensure consistency across CRJ. All employees are to be evaluated on these core competencies. The performance standards are expanded definitions of the competencies. There is one set of core competencies that are applicable to all employees and represents the base line of behavioral expectations that expand and detail CRJ’s Values and Treatment Culture Philosophy. These act as the foundation in building professional and management standards of development. There are four sets of management competencies from line management through to executive level (see framework below). Additional standards may be added by supervisors based on performance need or development.

4) Summarize Performance and Assign an Overall Rating - An overall summary and rating of the employee's performance during the evaluation period is completed for all employees. This allows supervisors to recommend successful completion of adjustment periods, to summarize performance, to support merit increases, and to identify employee development opportunities. 5) Establish Development Competencies for Next Rating Period - Supervisors provide comments on strengths and improvement needs for each performance standard rating that supports and justifies the overall rating. These are developed by the supervisor and mutually discussed with the employee, recorded and finalized. They provide focus on specific behaviors for improvement or development that support job expectations for the future and are noted in the employee’s Individual Development Plan. They link to goals and objectives of the employee, team, department, and the mission of CRJ.

6) Develop/Review Employee’s Individual Development Plan (IDP) - This component 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. For Senior and Executive goals and objectives are assigned and represent a critical area of the IDP.

Adjustment Periods and Performance Management

Performance Management Program components are required to be used for new hires, promotional and for performance issues. Adjustment periods are set by the Human Resources (HR) and Division/Directors of Departments for a period of 520 (3 months) for most positions up to 1,040 hours for executive or highly complex positions. Employees must be evaluated at a minimum of once during the adjustment period to determine if they have satisfactorily completed their adjustment period.

Adjustment periods are considered the time that supervisors confirm if their hiring decision was a good decision and the employee is a good fit for the position. This is the time the supervisor should expect a new employee to be putting their best foot forward. If there are problems such as attendance or reliability during the adjustment period, these typically increase if permanent status is granted. CRJ strongly encourages supervisors to carefully consider this decision before the end of the established adjustment period.

The new hire or promotional adjustment period may be extended. To request an extension, contact HR Employee Relations Manager. Employees must be evaluated annually after attaining permanent status based on Date of Hire (DOH). The only exception to this is the Executive and Senior Management level annual evaluation due June 30th and prorated the first year based on DOH. Evaluation notices are sent to department managers by Human Resource as part of the monthly Personnel Summary report. Late evaluation notices will be sent to the attention of the department director and should be noted in the supervisor's evaluation. Chronic late evaluations may be brought to the attention of the Division Director or CEO.

Performance expectations, responsibilities, and objectives of the job should be communicated throughout the adjustment period and reflected in the performance evaluation. The Job Description is referenced as a guide and resource for outlining these items. This will assist the employees to understand the requirements of the job and know whether they are meeting those requirements.

Five-Level Overall Rating

The Performance Management Program uses five overall rating levels as noted below:

(5) Exceeds expectations consistently; superior performance (4) Very good to excellent performance in most areas (3) Competent in all areas, very good in some (2) Competent in most areas, some needs improvement (1) Does not meet performance standards (Requires a Performance Improvement Plan)

Linking Merit Pay to Performance Considerations

The entire performance narrative and summary are a critical link to merit pay considerations for staff depending on funding and budget decisions. Compensation decisions may be made on an annual basis and communicated to employees and supervisors. The general guidelines for linking performance evaluations to merit pay are:

Consistency in comparing performance is attained by using same performance ratings (criteria) throughout the performance review. Rating evaluations should provide sufficient descriptive comments with examples to justify coaching and feedback discussions and

pay decisions. Performance evaluations must be completed and on file with HR. Copies may be retained at the site for easy reference throughout

the year, if needed.



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

Think about . . . new hire process

How you influence expectations from the time you first meet with a candidate through a job offer Your attitude, body language, and intonation Specifics about CRJ, the department, the job – what you emphasize or not Growth opportunities/trainings Hours/shifts

Remember: Communication is the key!

Defining Job Purpose

As a supervisor, defining an overall job purpose is the first step in setting performance expectations with an employee. The job purpose reflects the essential or main function of the job. In referencing the Job Description the Summary can be used for the job purpose when discussing this with the employee if it contains the “what” and “why” of the job. The employee receives a copy of the job description at the final interview and this is reviewed and signed by the employee during the on-boarding process. The job purpose is the summary of the critical functions of the job. 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 or business title.

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


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"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:

Determining Key Functional Responsibilities

The next step is to identify the key functional responsibilities that make up the job. Key functional responsibilities are the critical components or results of the job. Three to six main key functional responsibilities will ensure a list that represents a good overview of the job and are considered the most impacting. These are listed under Functional Responsibilities on the Employee Evaluation form. Think of this section as developing key standards for areas of responsibility that could determine an employee’s ability to perform his/her job at an acceptable level. Note that these key responsibilities represent results from doing a job, not a listing of tasks that one performs.

Determining key functional responsibilities:

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

The formula for identifying key functional 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 six key functional responsibilities!

Performance Standards

The Job Purpose Statement and Key Functional 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. The Performance Management System has many established performance 'standards' that are consistent across all departments. These standards are applied to each individual's performance and appear in the performance evaluation document. Additional standards may be developed and are applied by managers to address past performance or future development. The established Performance Standards align with CRJ’s values, strategic vision and goals and build on each level up through management positions across the organization.

CRJ’s Performance Standards

The following are the core performance standards (core competencies) establishing a baseline for employee performance and development, building better leadership through enhanced management performance contributing to better organizational results. These standards represent critical work behaviors and qualities necessary for job success. There are several lists of standards, one for all employees and additional sets for different levels of management as noted below:

Core CompetenciesApplicable to all Individual Contributors and acts as the foundation of the management building blocks

Customer Focus Communication Skills Team Effectiveness Problem Solving & Decision Making

Adaptability/Cooperation Continuous Development Initiative Process Improvement


Management CompetenciesLeadership Building Blocks

Line Management Mid-Management Senior Management Executive

All Core Competencies plus:

Flexibility Interpersonal Skills Self-Direction Coaching & Feedback Diversity Technical Credibility Resourcefulness

All Basic Leadership Competencies plus:

Resilience Team Building Influencing/Negotiating Staffing & Development Performance Management Accountability Collaboration/Partnering

All Mid-ManagementCompetencies plus:

Building High Performance Commitment to Results Financial Management Project Management Workforce Planning Collaborative Problem Solving Decision Making

All Senior Management Competencies plus:

Strategic Skills Vision Business Perspective Financial Accountability Managing Complexity

Setting Performance Goals and ObjectivesPerformance goals and objectives are written to describe the measurable results an employee needs to achieve within each key responsibility area. Performance goals and objectives should be tied to the strategic mission and goals of CRJ through established department goals and objectives. 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 Goals and Objectives

Setting objectives creates employee motivation and should help the employee connect the job to the mission of CRJ.

Objectives clarify the performance expectations within each key/functional responsibility area, referenced in the job description, (and in the case of management also includes goals and objectives set through the strategic planning process listed separately) 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 goal and objective:

1. Performance - what the employee is expected to do (goal). Steps or measurements needed to meet or clarify goal:

2. Criteria - the quality or level of performance that will be considered acceptable, often described in terms of speed, accuracy and/or quality (time frames).

3. 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 HR Representative will run the Personnel Summary Report for department distribution after the last pay period of the month and before the next pay period of the following month.

1. Performance:The first component, performance, helps communicate 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 HR Representative will run the Personnel Summary Report for department distribution after the last pay period of the month and before the next pay period of the following month, for department distribution.

2. Criteria and QualityThe second component, criteria, describes the quality, level, and timeliness standards by which the performance should be accomplished. The criteria of the example job objective are highlighted below. The HR Representative will run the Personnel Summary Report for department distribution after the last pay period of the month and before the next pay period of the following month.

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.

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

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

The HR Representative will run the Personnel Summary Report after the last pay period of the month and before the next pay period of the following month, reviewed by the HR Director before department distribution.

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

To ensure success, make the Individual Development Plan a living document. Take it out at least quarterly during the one-to-one meetings, and review with the employee the job goals and objectives and consider the following:

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

Ask about obstacles and take action to eliminate them.

Learn more about how to Create S.M.A.R.T. goals (Specific Measureable Achievable Relevant Timely) [see Appendix]


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

Passive Verbs Action Verbs

To understand To write

To really understand To recite

To appreciate To identify

To fully appreciate To sort

To grasp the significance of To solve

To enjoy To construct

To believe To build

To have faith in To compare

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 know how to problem solve customer issues 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 Performance On Target

Keeping Performance on TargetLooking back at "Setting Performance Expectations", it is imperative that employee goals and objectives 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 an ongoing process. It's all about creating a positive, productive work environment through constant communication.

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


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Feedback and Coaching

FeedbackFeedback is one of the most important ways people 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, 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. The challenge is that much of communication today is done through email, texting, and other on-line social medias that supervisors forget that face-to-face is needed and should be expected when providing formal feedback to employees.

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

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."

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

Focused on behavior or performance - Focus on the result of the behavior, not on the person! Intended to help - Not intended to control. Authentic - Be sincere, not condescending. Frequent and informal communication - is a continual process. Take the time to let

your employee know you are dedicated to this process. Involves an action plan - Clearly communicate what needs to happen next. 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: o Who - Start an employee performance file o What - Write a brief description of the performance, whether positive or negative. o Why - Describe why the performance is Exemplary, Solid Sustained (Exceeds Expectations), Achieves Performance

Standards or Does Not Achieve Standards, note any extenuating or contributing factors. Describe consequences and results.

o Where and When - Describe the time and place of the performance. o Follow up - What is the action plan to either reinforce the performance or redirect it?


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:

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


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:

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.

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


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 Okay 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! It's a great idea to ask the employee to suggest actions/solution/ideas to resolve issues or concerns. Then, set a follow-up meeting to reinforce agreements, check progress and to test those agreed upon action(s) to check if the outcome/actions/agreements are working as originally planned and anticipated and to see if it is being carried out as instructed or per agreement. This creates accountability.

Coaching

Coaching takes feedback and builds on it. It focuses on developing collaborative relationships and mutually supportive partnerships in the work environment. Whereas feedback is often a one-time event related to a specific issue, coaching is an ongoing process.

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.



The "Coach" vs. "The Manager"

There are differences in how the "coach" and the "Manager" function in the workplace. There are situations that require the characteristics found most readily in the supervisor. There are many 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, interest 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 CoachingCoaching is an excellent tool to enhance employee growth and performance, and to promote individual responsibility and accountability. It is not just for problem solving.

Coaching can be formal (a designated time and place) or informal (a simple conversation). Coaching is an ongoing process; it is not a singular event. 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 relationships 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 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 can be difficult. Redirecting those behaviors is even more challenging. Using coaching can greatly assist in this area.


Coaching ModelThere 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 the key component 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 (noted below).

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 (noted below) can assist in this area.

Clear policies and instruction: - Make sure CRJ and department policies, procedures and process instructions are available and clearly communicated first; or employee is instructed and given time to read, understand and ask questions.

Motivating for Success - Workplace motivation is an ongoing 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 – what are his internal motivators. Sometimes this is easiest achieved through the use of open-ended questions leading to some self-discovery.

Creating a plan of action or Performance Improvement Plan - 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, many of us become frustrated. The key to working with sidetracks and obstacles is to recognize them as existing realities and 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 plan.

Committing to the Action/Plan - Once a action or Performance Improvement Plan 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 or informal coaching.

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

Supportive Behaviors

Support is the cornerstone to building a relationship of trust between supervisor and employee. It’s easy to say, “I’ll try to be more supportive”, but really, what does supportive behavior mean?

What does supportive behavior look like?

Active Listening

Positive body language

Leaning forward

Eye contact

Offering resources (help, tools, people, programs, advice, etc.)

Creating opportunities for discussions to occur between supervisor and employee

Creating an environment that is conducive to listening and talking

What does supportive behavior feel like?

Non-threatening


Open

Collaborative

Partnering

It’s okay to take risks

SincereExample: “Chris, tell me your thoughts on the Collaborative Project; where do you see us going with the proposal?” This is a non threatening question that invites the other person’s ideas. It invites the other person to be part of the plan or the solution creating more of a partnering relationship.

What does supportive behavior sound like?

Open ended questions that seek to understand

Using paraphrasing techniques

Summarizing the conversation from the other person’s vantage point Validating, or acknowledging, feelings that exist

Example: “I understand that you are busy, Sue. Your team is always very busy this time of the year (validation). Do I understand that from your vantage point the order can’t be filled primarily because we don’t have the inventory available (summarizing from the other person’s vantage point)? Help me understand why that piece of the process would stop the entire order (open ended question seeking to understand)."

Open Ended Questions

Open ended questions seek information and invite collaboration (working together). They are intended to help bring clarity into a conversation. They bring to light new data and create solutions when the direction is unclear.

Open ended questions often start with a phrase similar to:

Help me understand…Example: Help me understand the purpose behind filing the EEO report annually.

What do you think…?Example: Chris, what do you think about the role quality plays in our licensing procedure and how that could figure into employee performance?

Tell me about…Example: Sue, tell me about your working relationship with Jane.

What are your thoughts about…?Example: Karen, what are your thoughts about the value of individual performance within a team environment?

Describe the situation between…Example: Describe the situation, Jim, between your program and John’s. Help me understand the issues.

What are your impressions about…?Example: What are your impressions about the proposed new compensation plan and how it may affect motivation, James?

If you were to design a solution, what would it look like?Example: Bob, if you were to design a solution to this, what would it look like…where would you start?


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 ChallengesThere 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.

Learn More aboutCoaching

Contact: HR Employee Relations Manager

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 PerformanceYou 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, 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; and Hoping it will all just go away. Or thinking the problem will go away if the employee is given praise instead of confronting

the issue directly.

When entering into this area of performance management, it is a good practice to gather and review all of your information about the employee (e.g., performance expectations, feedback). Then make an appointment to discuss the situation with your manager or HR/ Employee Relations Manager.

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, performance improvement plans, or progressive discipline. Your goal as a supervisor is to help employees succeed.


Discipline without PunishmentSupervisors 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 two categories:

Dealing with Unacceptable Attendance Dealing with Unacceptable Performance

Dealing with Unacceptable Attendance


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Unacceptable performance due to short notice non-FMLA (Family Medical Leave) absenteeism and tardiness costs CRJ money and can create additional problems in productivity and teamwork. Supervisors must, however, be careful of protected absences such as FMLA. Please work with your HR Benefits Manager in advance of leave as best as possible.

Discipline progressively and always evenhandedly. Inconsistent enforcement is the leading cause of employment lawsuits concerning absenteeism and tardiness. Always ask CRJ’s Employee Relations Manager to review your plan or request prior to taking action. This ensures compliance with policies, laws, and ensures employee rights are protected.

Dealing with Unacceptable Performance

Supervisors have two objectives regarding performance:

1. To recognize and reinforce positive performance. 2. To confront and correct negative performance (this includes unacceptable behavior or conduct).

The feedback and coaching sections offer guidance in these two areas. Supervisors need to confront and correct performance deficiencies to achieve organization objectives and because they owe it to the great majority of good employees who are forced to shoulder the burden created by non-contributing employees. 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 results (including behavior and conduct) 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.

Performance problems that result in disciplinary actions are addressed by the supervisor in conjunction with CRJ’s Performance Improvement Plan practice outlined by the Human Resources department, and serve as basis for disciplinary action in the areas of unacceptable attendance, performance, and/or conduct.

Documenting Performance Problems


Supervisors can keep an "incident" journal or calendar to help take quick notes regarding employees' performance. Incident notes should document both positive and negative actions.

Documentation should focus on the performance or behavior specifics 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 as 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). It involves the following "FOSA" steps:

1) Facts - Facts include who, what, where, and when. They should be specific about the performance and focus on the performance 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 help the employee meet the objective. They can be suggestions such as new processes or additional steps, 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, involuntary demotion, salary deduction, 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 disciplinary action up to and including dismissal action becomes necessary.


Appraising Performance

Conducting a Performance Evaluation Meeting

A performance evaluation 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 evaluation 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. Evaluations naturally lead directly in to employee development discussions.

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

Setting performance expectations and key responsibilities of the job;


Communication

Support


Keeping Performance

On Target


e


e

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 Individual Development Plan (IDP) – Setting Performance Expectations (cycle continues)


Get Ready Get Set

Before starting any performance evaluation 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 – until the appraisal delivery time.

All supervisors are required to develop formal performance evaluations for their employees once a year. Newly appointed or promoted classified employees must serve a “Period of Adjustment.” The employees are required to have a 3-month evaluation.

Remember, you can request an extension of an entrance or promotional probationary period, but this MUST be requested PRIOR to the employee completing their 3 month period. Ask the Human Resource Employee Relations Manager about this process.

Performance appraisals are legal documents. The timing of the actual performance evaluation meeting is important, not just from CRJ’s perspective but from the

employee’s perspective. Choose the time and environment that will create the most successful dialogue. Remember, formal performance evaluation documents are used to make employment decisions.

Specific expectations include:

Use CRJ’s Performance Evaluation form appropriate to the position. We use the same evaluation document template for all employees other than management employees, but supervisors should check with their reporting manager or HR to ensure consistent practice for the same title/job.

Check with your Department Director to determine the process preferred or required. For example, many managers support the draft evaluation be reviewed by second level supervisor or department director prior to finalizing with employee. Be sure to address any content requirements.

CRJ typically receives signatures from the first and second-level supervisors. This gives managers an opportunity to coach supervisors on content, goals, and perceived biases.

CRJ’s distribution process for the final appraisal document is as follows: original copy is sent to Human Resources, one copy given to the employee, and one for the manager's file.

Know your employee's review cycle. Employees are reviewed annually based on their Date of Hire (DOH) except for senior managers and the executive level, who are reviewed annually as of June 30 th to coincide with CRJ’s budget and year end results. All newly hired or promoted employees are reviewed at three months to decide if the employee is competent in the key areas of responsibility expected by the end of this period.


Go!The Process

1. Know Yourself!

Respect employees’ diversity in ideas and approaches. There are many ways to achieve a goal. Be aware of how your own value system may affect the evaluation document - positively or negatively.

Establish the performance goals. Don't dictate the method - it can stifle creativity and productivity. Maintain objectivity throughout the evaluation process and the evaluation document. Watch for 'rating biases' or personal

perceptions that can creep into the performance evaluation 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, second level supervisor, management, or HR Employee Relations Manager can point out potential biases.

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

Waterfall EffectThe employee receives good evaluations for a long time then suddenly is hit with a negative evaluation without having a clue there was something wrong.

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

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

2. Gather Information and Feedback

Gather all your information before starting the performance evaluation. 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.) 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 evaluation? Once you have that in mind, you can go forward.

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

When appropriate, get input from other sources about the employee's performance. For example, you may want to ask your manager or others that the employee comes in contact frequently. This could be accomplished via CRJ’s email using CRJ’s standard employee feedback form or providing a hard copy. It is important to ensure that their input will be used appropriately to support the development of the employee (ask about timely, accurate, and ask for examples of projects or work completed).

3. 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 achieve 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.

.

Review the section on effective listening and feedback

4. Set the Stage


Choose a day and a time to deliver the performance evaluation 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 board or meeting 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 performance evaluation meeting so he/she can be prepared. Again, eliminate the element of surprise.

Allow for adequate time to deliver the performance evaluation, to set expectations, and to answer questions. Consider bringing in another staff member if you know the evaluation will be difficult to deliver or receive. Consider

consulting with your Human Resource Employee Relations Manager.

5. Complete the Evaluation Document

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

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


6. Deliver the Performance Evaluation

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

Plan to have the employee read the full draft evaluation and provide a copy of the employee’s current Individual Development Plan prior to the discussion period (at least a day in advance of the meeting).

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

Work to gain and maintain rapport throughout the evaluation meeting. Good rapport enhances clear communication. Employee participation is the key to successful communication during the performance management process.

Learn More about Writing Performance Statements

Contact: HR Employee Relations/Training Development Manager

There are some evaluations that are more difficult to deliver.

What about the difficult to deliver evaluation?

Contact: HR Employee Relations/Training Development Manager

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.

DefinitionTwyla 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 ManagersThe following checklist is designed for managers with responsibilities for managing, motivating, and developing staff at a time when organizational structures and processes are undergoing continual 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 you 3. Know what motivates your staff 4. Walk the job (be sure you understand the work, expectations and performance) 5. Remove de-motivators 6. Demonstrate support and provide recognition 7. Decide on an action (positive, focused on the future) 8. Manage change 9. Understand learning styles & preferences 10. Provide feedback 11. Create opportunities for achievement and accomplishment 12. Provide opportunities for learning and growth 13. Increase the amount of challenge 14. Help answer the question: How does the individual relate to the department or CRJ’s mission?

The Human Moment at Work


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 management system and with these insights regarding motivation and conducting performance evaluations become easier.

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. Checking-in with employees and new hires about what motivates them in particular helps managers better understand how to keep their work interesting and challenging. Topics should include what frustrates employees? What are their challenges? What are their learning goals?

Learn More: Morale, Motivation, Job Satisfaction Contact: HR Employee Relations/Training Development Manager

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. Working with the employee to complete their Individual Development Plan for the upcoming year is critical to encouraging better performance and provides more opportunity for employee development:

Individual Development Plan (IDP) addresses the following:

Used to establish organizational goals and objectives for management levels, and potential opportunities for other employees to be involved in projects or developmental activities.

Used for short-range goals in one to four critical competency performance areas. Used to focus an individual's work experience and training on short and long-term organizational needs and personal

interests.

IDP Assist to:Revised 3/18/13 Page 26

Solve performance problems by turning difficult performance discussions into positive action. Retain high-potential individuals by identifying new challenges and ongoing opportunities. Prepare employees for promotions and other major new responsibilities. Also helps employees adapt to organizational

change. Motivate employees to reach personal as well as professional goals. Improve employee morale by focusing attention on the value of individual contributions. Enhance and support the employee’s opportunity to advance and contributes to CRJ’s succession planning within an

organization.

Activities to Consider When Developing Individual Performance Plans: Below are examples of some typical activities which could be considered appropriate for employee development or job enrichment.

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 workshops, conferences, or teleconferences Internships Self-study or reading assignments Online learning Attend meetings for you or with you Participation in special projects Participation in specific committees

Moving Toward a More Motivating WorkplaceAccording to Leigh Branham, author of "The 7 Hidden Reasons Employees Leave," the following are the reasons capable employees start questioning their decision to join a company, start thinking of leaving, eventually disengage, and, finally, leave:

Reason #1: The job or workplace was not as expected. Reason #2: A mismatch between job and person. Reason #3: Too little coaching and feedback. Reason #4: Too few growth and advancement opportunities. Reason #5: Feeling devalued and unrecognized. Reason #6: Stress from overwork and work-life imbalance. Reason #7: Loss of trust and confidence in senior leaders.

Answer these questions:

How do employees become 'disconnected' in your workplace? How does acknowledgement look or feel in your workplace? What are your top three motivators? Why do you stay in the job you are in? List the names of at least one half of the employees you supervise. Next to each name, write at least one thing that motivates

that employee.

Leadership Means . . .• Establishing an environment conducive to excellence.• Managing for performance• Taking all opportunities to support individual and organizational achievement and growth.• Communicating Expectations clearly and concisely• Holding employees accountable

Acknowledgment: Use of pictures/images and some cited materials were taken from Boise University’s program materials.

Activity for Motivating for Success


Morale, Motivation, Job Satisfaction: What People Want From Their Jobs

How would you rank your employees' personal motivators? Rate 1-10 (1 being most important)

___ High wages

___ Job security

___ Promotion in the company

___ Good working conditions

___ Interesting work

___ Personal loyalty of supervisor

___ Tactful discipline

___ Full appreciation of work done

___ Help on personal problems

___ Feeling of being in on things

Answers for Motivating for Success

According to a study conducted by the Harvard School of Business, the following list contains the actual ranking of the majority of employees' surveys. (1 being most important). These results have been consistently true in like surveys as well.

1.) Full appreciation of work done

2.) Feeling of being in on things

3.) Help on personal problems [work/life balance/ EAP]

4.) Job security [job satisfaction]

5.) High wages

6.) Interesting work

7.) Promotion in the company

8.) Personal loyalty of supervisor

9.) Good working conditions

10.) Tactful discipline


Documents

Performance Management System - CRJ STAFF …crjustice.org/pg_docs/Managing Performance... · Web viewIt is not just for problem solving. Coaching can be formal (a designated time