1. Performance Management System
A Process Approach to Managing Employee Performance
HUMAN RESOURCES DEPARTMENT
City of Madison
Presented by
Brad Wirtz-Human Resources Director
Erin Stenson-Human Resources Analyst

2. Advantages of a Process Approach to Managing Performance
Provides consistency in
managing performance
Employees are aware of
expectations
Addresses problems when they happen, not at an annual review
Provides roadmap for supervisors on how to address problems when they occur

3. Objectives
Learn a process approach to managing employee performance incorporating discipline and performance improvement
Understand the differences between formal discipline and Performance Improvement Plans
Understand the role a Position Description plays when addressing performance issues
Learn one method of providing feedback to employees regarding performance
Understand when to impose Discipline or implement a Performance Improvement Plan

4. Performance Management
A process approach to managing employee performance
Starts before a job is filled
Expectations established based on position description
Training needs identified and provided
Constant coaching and counseling
Employees not performing may be
disciplined / placed on Performance
Improvement Plan (PIP)
“I’m glad that Michael is getting help.
He has a lot of issues and he’s stupid” Phyllis, The Office

5. Discipline
A consequence imposed on an employee for the purpose of correcting behavior
Generally follows a progressive pattern
Verbal Reprimand
Written Reprimand
Suspension
Termination
Just Cause often required
Imposed when an employee is capable of performing but refusing or neglecting to do work

6. Performance Improvement
A detailed plan of action designed to make an employee capable of performing the work
Incorporates a plan of action and regular meetings to monitor progress towards full-performance
Requires detailed expectations and a plan to reach those expectations within a specified period of time
Failure to meet expectations may result in removal from the position without going through the steps of progressive discipline

7. Performance Management
Setting the Stage
Performance Management

8. Position Description
Describes the specific duties, functions and responsibilities of a position and the percentage of time spent on each for each position
Defines specific jobs based on the needs of the organization, not the employees holding the positions
Allows supervisors to create performance expectations based on tasks of each position
Used to determine if positions are appropriately classified
Used to create a job announcement when filling positions

9. Establishing Expectations
In general, people need to know:
What is expected of them
How they are going to be measured
How they are progressing
Expectations created based on duties and responsibilities established in position description
Supervisors are responsible for establishing duties/responsibilities and creating related expectations

10. Clarifying Expectations
Expectations can be defined by four standard elements -
Quantity of Work - How much work needs to be done.
Quality of Work - How well work needs to be done.
Dependability - How dependable the employee is expected to be.
Interpersonal Relationships - Who, when, and how, employee is expected to build working relationships.

11. Identify Training Required Job Training
Establish based on expectations established for the position
Formal Certification
On the Job Training
Employer Sponsored Training
Continue to assess training needs as positions develop or as position descriptions change
Discipline is never appropriate for performance issues due solely to a lack of training

12. Communicating Expectations
Hold a meeting:
Review PD as soon as the employee is hired, when performance issues arise, and when PD changes.
Explain that the PD establishes the foundation for assessment of performance.
Acknowledge need for feedback.
Be descriptive.
Discuss potential training needs.
Document the meeting.
Remember that the PD is the foundation for discussions about expectations.

13. 8/31/2019 8:53 PM
The Model Employee
By developing a PD, hiring based on the PD, communicating the expectations of the position, and providing required job training to meet the expectations, supervisors are then able to help develop a model employee.
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

14. Feedback Regarding Expectations
Performance Management

15. Coaching and Counseling
Even model employees need consistent coaching and counseling
Essential with new employees
On-going process for positive and negative feedback
Requires one-on-one
meeting with employee
Several coaching and
counseling models exist

16. SBI Model (Situation-Behavior-Impact)
Describe the situation you have witnessed-tell the story.
Behavior
Describe specifically the things you have observed the person doing.
Impact
Describe how the behaviors impacted you and others in the situation.

17. 8/31/2019 8:53 PM
Situation
Describe the specific situation in which the behavior occurred
Give specifics regarding the incident to provide context
Location
Time
Behavior
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

18. Behavior Can be difficult to identify and describe.
8/31/2019 8:53 PM
Behavior
Can be difficult to identify and describe.
Most common mistake is communicating judgments by using adjectives the describe the person, but not the person’s actions
Include observations of the following:
Body language
Tone of voice
Speaking manner
Be aware of your words when describing behaviors
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

19. 8/31/2019 8:53 PM
Impact
Describe impacts on the department, other staff, customers, processes, and you.
Describe what reaction you had to the behavior
By communicating the personal impact, you ask the person to view the behavior from your perspective.
Use the classic feedback phrasing, “When you did (behavior), it caused (impact)…”
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

20. Coaching and Counseling Meeting
Not all feedback needs to be given in a formal setting
Preparing for a coaching meeting:
Set up a mutually agreed upon time
Hold the meeting in a private place
Do your homework on the issues you want to discuss and think about the next step
Be aware of your own emotions and motivations
Remember the power imbalance
Be open to hearing the other side of the story
Document the meeting

21. Even After All of This….
After creating the PD, hiring the employee, developing and communicating expectations, providing necessary training, and coaching and counseling the employee toward good performance, performance issues can and do exist.
It is essential to manage the performance of employees who are not meeting expectations.

22. Handling Performance Problems
Performance Management

23. Reasons We Avoid Dealing With Performance Problems
Lack of training
Fear of retaliation
All alone
Guilt
Loss of friendship
Time loss
Fear of losing temper
Rationalization
Image
Knowledge that employee has personal problems
No one has bothered to take care of it before

24. Reasons to Resolve Poor Performance
Over-all unit efficiency.
Morale of staff.
Setting a standard for other employees.
Reduces potential liabilities of poor performance.
Saves time in the long run!

25. Assessing Performance Deficiency
Prior to identifying a means for improvement, supervisors must properly assess how, when, and why the employee is not meeting expectations.
Supervisors should be able to identify specific examples of when performance fails to meet expectations (Situation)
Identify examples of when performance does not meet the expectations established by the supervisor and outlined on the PD.
Establish frequency of performance issues.

26. Assessing Performance Deficiency (cont.)
Next define how performance is not meeting expectations (Behavior)
Quantity of work
Quality of work
Dependability
Interpersonal relationships
Finally, outline the impacts of each incident
On the department
On other staff
On the customer
On processes
On you!

27. ? The Critical Question WHY is the employee not meeting expectations?
8/31/2019 8:53 PM
The Critical Question ?
WHY is the employee
not meeting expectations?
Is the employee capable of performing
at an acceptable level?
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

28. Performance Related Discipline
Performance Management

29. Is the Employee Capable? YES!
Common indicators that the employee is capable of meeting expectations include:
Little to no effort
Was able to meet expectations prior
Explicit refusal
Personal business on duty
Violations of other work rules
If the employee is capable, proceed to performance related discipline.

30. Performance Related Progressive Discipline
It is essential to first identify the rule violated because, for example, violations of insubordination may be deemed more severe than violations of negligence.
Notice is provided in your initial expectation meetings and follow-up letters.
There should be a clear delineation between when training has ended and when the employee will be facing discipline for failure to meet expectations (Letter Of Instruction).

31. Performance Related Progressive Discipline
Steps of discipline
Gather information
Send pre-determination letter
Hold pre-determination meeting
Ensure 7 elements of just cause
Notice (1) of a reasonable work rule (2).
Reasonable level of discipline (3) related to severity and with equal treatment (4) for all violators.
An investigation (5) is done which is fair (6) and unbiased.
You have adequate proof (7) of the violation.
Issue discipline—Consult with HR or Labor Relations

32. Performance Improvement Plans
Performance Management

33. Is the Employee Capable? NO!
Common indicators that the employee is not capable of meeting expectations include:
Adequate effort
Rarely demonstrated capability
Training is ineffectual
Difficulty with related tasks
Work innovations difficult to grasp
Discipline is counterproductive to improvement
If the employee is not capable, proceed to implementation of a PIP

34. Performance Improvement Plans
PIP Implementation
Provide notice of unsatisfactory performance including:
Statement of problem
Previous activities
Impacts
Initial meeting information
EAP information
Hold an initial meeting.
Explain the performance deficiency and provide related expectations
Ask clarifying questions
Develop ideas for improvement

35. Expectation/Progress
8/31/2019 8:53 PM
PIP Implementation
Create PIP and issue with follow-up letter including:
Meeting information (typically every two weeks)
Issues identified
Previous activities and impact of poor performance
Consequence of failure to improve
DATE
Tasks
Status
Expectation/Progress
Deadline
Aug. 28, 2010
Timesheets.
TARGET
Inc.
Excessive errors on each timesheet. Should have no more 1-2 per year.
No more than 1 error per payroll.
2/28/11
9/10/10
Payroll.
Payroll >1 day late 75% over prev. 2 months, should be 1 day early.
Payroll on time.
Call Duties.
Avg. of 20 dropped calls per week. Should be 1-2 dropped per week.
Avg. of 10 dropped calls per week.
PPC (Payroll Processor Certification)
Have not received Payroll Processor Certification.
Pass PPC Exam
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

36. Expectation/Progress
8/31/2019 8:53 PM
PIP Implementation
Hold follow-up meetings and issue follow-up PIPs and letters.
DATE
Tasks
Status
Expectation/Progress
Deadline
Aug. 28, 2010
Sept. 10, 2010
Timesheets.
TARGET
Inc.
Excessive errors on each timesheet. Should have no more 1-2 per year.
Had 6 errors in last payroll.
No more than 1 error per payroll by target deadline.
2/28/11
9/24/10
Payroll.
Payroll >1 day late 75% over prev. 2 months, should be 1 day early.
Payroll completed on time.
Complete payroll 1 day early
Call Duties.
Avg. of 20 dropped calls per week. Should be 1-2 dropped per week.
Avg. of 14.5 dropped calls per week.
Avg. of 10 dropped calls per week.
PPC (Payroll Processor Certification)
Has not received Payroll Processor Certification.
Failed PPC Exam
Passed PPC Exam
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries.
The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

37. PIP Conclusion Satisfactory performance
Employee is provided notice that they are no longer on a PIP
Revert to constant coaching and counseling
Unsatisfactory performance
Employee is terminated or otherwise removed from the position
Often takes approximately 6 months from start to finish
Involve Human Resources throughout the performance improvement process.

38. Performance Management
Questions???
Performance Management