1. Managing Employee Performance Tamara Thomas, Assistant Director Stanislaus County Department of Child Support Services Presenter: Creating Effectiveness and Efficiency in the Workplace

2. Agenda ■Introduction ■Supervisory Observation and Perception ■Setting Expectations: Three Phases of Performance Management ■Evaluating Performance

3. Outcomes As a result of this session, you will: ■Understand how to develop and communicate performance expectations. ■Learn how to coach and counsel employees. ■Learn methods for monitoring and measuring performance.

4. Outcomes ■Learn how to deal with situations with your staff that are confrontational, difficult or complex. ■Learn and understand the corrective action process. ■Learn how to prepare and give effective and meaningful performance evaluations, including constructive feedback.

5. Perception ■Definition ✷ The representation of what is perceived; basic component in the formation of a concept. Ever been wrong based on a faulty perception?

6. Perception What do you see in this image?

7. There are no gray spots in the corner of the squares.

8. Perception Assumption ■Things aren’t always what they seem ■Think about a supervisory situation in which you saw or observed something and later learned you were not correct.

9. Perception at Work ■A supervisor perceives an employee performing variations of good or bad ✷ Are these variations accurate? ✷ Does your employee know the perception you have of him/her? ✷ How does an employee know? ■An employee perceives and evaluates their own performance ✷ Is employee’s perception the same as the supervisor’s? ✷ How do we check for gaps?

10. What are your goals?

11. Expectations for Supervisors Managing Performance Deficiencies ■Supervisors are responsible for accomplishing the work of their unit through their staff. They must assess the value of the work. ■Supervisors have the accountability of protecting the resources dedicated to hiring and training employees. ■Supervisors must recognize each employee is important to the agency. ■Supervisors have the mantle of authority to enact and enforce all rules within their scope of authority.

12. How to Eliminate Perception Pitfalls? Set Expectations!! ■Communication is the most valuable skill a supervisor can possess. ■It is the responsibility of the supervisor to communicate with staff and ensure that assumptions and misconceptions are eliminated. ■The employee should always know what is expected of them.

13. Communication is Key ■Provide Expectations ■Coach / Train / Mentor ■Meet on a regular bases and provide ongoing feedback ■Correct / Provide further guidance ■Evaluate performance on schedule ■Keep communication open

14. Communicating Expectations ■Explain to the employee how he/she “fits” into the organization’s goals, plans, and organizational chart – “Big Picture” ■New Employee Welcome – global expectations are communicated (mission, philosophy, customer service, team approach) which must be reinforced throughout the organization ■Make position – specific expectations clear ■Ensure people understand these expectations

15. Take Preventative Action ■You cannot prevent the birds of sorrow from flying over your head, but you can prevent them from building nests in your hair. Chinese Proverb

16. Written Expectations

17. Expectations May Include ■Written standards for the position ■Specific objectives for the individual employee ■State and Federal guidelines ■Behavioral Expectations ■Performance Goals ■Consequences

18. Performance Standards Important! Many departments have developed performance standards for each classification and/or position. If your department does not already have performance standards, ask why? If you can, work closely with your executive team and Employee Relations in developing them. Performance Standards should be: 1.Measurable and observable 2.Realistic

19. Written Expectations ■Have you identified what you expect from your staff in the following areas: ✷ Attendance ✷ Team communication ✷ Outcomes ✷ Dress Attire ✷ Behavior ✷ What determines poor performance

20. 3 Phase Performance Management System 1. Preventative  Proactive steps taken by the supervisor to minimize the types of problems that require corrective action 2. Corrective  When preventative actions fail to improve the employee’s performances to an acceptable level or to prevent continued misconduct 3. Formal  Disciplinary actions taken in response to an employee’s continued failure to meet standards, objectives or rules

21. Preventative One on One Conferencing

22. ■Regularly scheduled ■Get updates on work in progress ■Two-Way communication ■Surface issues ■Solve problems ■Identify training / skill development needs ■Plan for changes ■Provide feedback ■Keep notes

23. Preventative Coaching and Mentoring ■Identify strengths and skill- improvement areas with each employee ■Recognize and reinforce strengths ■Address skill-improvement areas ■Give feedback

24. Preventative 7 Step Conferencing Model ■Step 1 - Why we are here (article, quote, etc)? ■Step 2 - Review administrative communication (changes). ■Step 3 - Provide feedback on a positive aspect that you observed (performed)? ■Step 4 - Feedback on issues that need improvement (challenges). ■Step 5 - Follow-up on previous issues (pending). ■Step 6 - New items for discussion (assignments). ■Step 7 - Set time for next meeting.

25. Preventative Informal Coaching/Counseling ■Meet regularly ■Address concerns early and often ■Document in Drop File Log notes ■Follow up to ensure progress ■Tell employee how they are doing ■Give employee a chance to ask questions

26. Recognition Opportunities ■During one-on-one meetings ■At staff meetings ■During department recognition events ■In their performance evaluations ■Giving special merit increases / project pay ■Employee of the Month ■Newsletter

27. Corrective Action and the Evaluation

28. Evaluation ■Evaluations should be an annual, structured meeting in which you summarize the employee performance based on what the employee already knows from your ongoing communication and feedback.

29. Evaluations should: ■Give positive attention to accomplishments throughout the entire year ■Discuss areas for improvement based on job expectations ■Have goals for the upcoming year based on a project or unit goals ■Have a discussion related to employee career goals and how they evaluate their own performance. Have a review of policies signed

30. Evaluations should never: ■Have surprises ■Leave the employee feeling lost and hopeless ■Focus only on one-side of the performance, either positive or negative issues ■Only focus on the current behavior of employee ■Be delivered without a discussion ■Be forgotten!

31. Evaluation Outcome ■At a minimum - Areas below satisfactory or excellent should have a narrative written to explain and justify the rating ■Recommend Step Increase ■Recommend Permanent Status ■Extend Permanent Status

32. Effective Record Keeping ■Importance of consistency with all staff ■Importance of documentation ■Keep a drop file ■Drop file log notes

33. Supervisor Drop File ■Copy of the previous evaluation ■Notes on individual goals and objectives as discussed with employee ■Copies of notices or correspondence ■Dated log notes on ongoing observations and discussions with employee (Note: include outcome of agreements and disagreements) ■Any letters or certificates of recognition

34. Drop File Protocol ■The file should be cleaned out after each evaluation ■Pending issues should be addressed in evaluation or copied to personnel file ■Drop file should move to new supervisor when employee transfers ■For supervisor use only

35. Drop File Pitfalls ■Liabilities when drop file kept as ongoing, multi-year file ■Drop files are NOT personnel files ■Employees do not have access to the file, therefore any documents not placed in the personnel file are not considered, “official” (Except under POBR) ■Job related information only

36. Probationary Period ■Should be an extension of the “selection process” ■Be aware of your own agency’s requirement ■Many problem employees did not perform during their probation, but were still allowed to gain permanent status ■Know your agency’s probation extension or perm status granting policy

37. Performance Deficiencies  When should you start dealing with a performance problem?  Why do some supervisors ignore the issues?  Perception check!

38. Take Action “ Houston we have a problem.” Be…  Sure  Ready  Quick  Responsive Supervising is about influencing action. The action of people and the action of information.

39. When to Start Corrective Action  Preventative measures fail  Rule, directive, or policy breached  “Bad” performance is severe  Repetitive

40. Progressive Discipline Employee should be given every opportunity to improve and be successful. Steps include: 1. Informal Coaching/Counseling (preventative) 2. Corrective Action Plan (corrective) 3. Reprimand (corrective) 4. Formal Discipline (formal)* *Always copy to personnel file

41. Corrective Action Plan (CAP)  Use if verbal coaching and counseling is not improving performance  Generally technical in nature, can be behavioral  It requires prospective changes in the following areas:  Performance deficiencies. Be specific!!  The expectation to improve performance  An offer of supervisor support  Timeframe for completion and follow up  Length of average CAP is 90-120 days

42. Reprimand  Formal written letter detailing performance deficiencies  Work with management and HR  Should be given immediately after incident or repeated misconduct  Generally the last step in corrective discipline  Often used for failure to meet items in CAP, or written warnings, or records of discussion

43. Formal Discipline  Work with your agency’s and department HR to determine the appropriate type of formal discipline  Formal Discipline means you are taking away some employment right or benefit in the form of money, rank or position:  Suspension (money)  Step Reduction (money)  Demotion in Classification (position/rank/money)  Termination (position)  Understand your MOUs and agency policies

44. Refer to Higher Manager:  When you notice a change in behavior or performance  When an employee reports an incident or misconduct  Work with HR in Manager’s absence to resolve any emergency or immediate concerns

45. Supervision is hard work

46. Supervisors  You can make a difference in an employee’s life!  Remember, employees don’t leave jobs, they leave their boss!  You have the mantle of responsibility to take action!  Be a coach and a mentor and help develop your county’s future!

47. Stump the Chump Questions???

48. Your Turn!!! ■What commitment to a new way of handling the performance of your staff will you make? ■What tool will you use that you hadn’t thought of using before today’s training? ■What action will you take to improve your own supervision?