MODULE 5 PERFORMANCE APPRAISALS & PROGRESSIVE DISCIPLINE

Transcription

1 MODULE 5 PERFORMANCE APPRAISALS & PROGRESSIVE DISCIPLINE 5.1. Clarifying Expectations 5.2. Performance Appraisals 5.3. Feedback & Progressive Discipline Naslund Consulting Group Inc.

2 Module 5.1. Clarifying Expectations 5.1 Clarifying Expectations In addition to explicit expectations in employer-employee relationships, such as salary, compensation and job duties, there exist unacknowledged and unspoken expectations that make up a psychological contract between employee and employer. (A psychological contract is an unwritten agreement that sets out what employers expect from employees and what employees expect from employers.) Too often, these expectations are not stated until an expectation is not met, which will result in absenteeism, poor performance and costly employee turnover. Expectations don t get stated for a couple of reasons: 1. We often don t know what our expectations are until we have been disappointed by them not being met. 2. The need to discuss expectations is relatively new. We are working in diverse organizations with differing values and priorities. We cannot assume similar perspectives on what is important and how things get done. Watch this Video Satisfaction & Great Results Come with Servant Leadership- Ken LEAD Presented by HR.com 73 P age

3 Module 5.1. Clarifying Expectations 5.1. Exercise Identifying Expectations Clarifying expectations with staff is important for building and sustaining strong relationships. These expectations are often not covered in policy and should be consistently applied to all staff you supervise. Develop a list of what should be included in supervisory expectations. 1. You need to be on time for work, which means be ready to start your shift at 9:00 AM. Furthermore, if you are going to be late, you are to call the person on shift and let them know AS SOON AS you know you will be late END OF VIDEO 5.1. PROCEED TO NEXT VIDEO WHEN READY 74 P age

4 Module 5.2. Performance Appraisals 5.2 Performance Appraisals There are two general types of appraisals: Quantitative (uses numerical scales to rate employees on pre-set areas of job performance) Qualitative (identifies goals met, skills acquired, improvements noted, areas of excellence and areas for improvement) The two types can also be combined Why Do Appraisals Appraisals are to be positive and informative. They give opportunity for the supervisor and staff to connect on job performance with the outcome being a development plan. Appraisals shouldn t be a history lesson of all that has gone on over the last year. Advantages of performance appraisals: They provide a document of employee performance over a specific period of time. They provide a structure where a manager can meet and discuss performance with an employee. They allow a manager the opportunity to provide the employee with feedback about their performance and discuss how well the employee goals were accomplished. They can provide a structured process for an employee to clarify expectations and discuss issues with their manager. They can provide a structure for thinking through and planning the upcoming year and developing employee goals. 75 P age

5 Module 5.2. Performance Appraisals Disadvantages of performance appraisals: If not done right, they can create a negative experience. Performance appraisals are very time consuming and can be overwhelming to managers with many employees. They are based on human assessment and are subject to rater errors and biases. Can be a waste of time if not done appropriately. They can create a very stressful environment for everyone involved. Four Q & A s on Performance Appraisals 1. Why include a self-evaluation? 2. When do you do appraisals? 3. What do you tell the employee to help him prepare? 4. When should you not do appraisals? END OF VIDEO PROCEED TO NEXT VIDEO WHEN READY 76 P age

6 Module 5.2. Performance Appraisals Nine Principles for Performance Appraisals 1. Practice no surprise appraisals. Deal with performance issues as they arise and unless the issue remains a problem, do not rehash it during the appraisal interviews. 2. To create employee ownership, involve the employee in each step of the process. This can include: Reviewing job descriptions, standards and outcomes. Reviewing performance objectives, goals and achievements since the previous appraisal. Identifying strengths and areas for improvement. Establishing goals for the future. 3. Complete appraisals: A few days prior to the end of the three-month probationary period. On or about the anniversary date. More frequently when employees change jobs or when new tasks are assigned or new skills are being acquired. Less frequently (e.g., once every 2 years) for long-term stable employees. 4. Begin preparation at least one month in advance: Meet with, or talk to, the employee and discuss the steps of the appraisal process. Set a date, time and location for the appraisal interview. Describe what will take place in the interview (e.g., information sharing, discussion, goal setting); emphasize that there will be no surprises! 5. Choose a comfortable, neutral, private setting for the appraisal interview. Invite the employee to begin the interview by sharing their accomplishments and strengths: Reinforce the areas you have also identified as strengths and add these to your own observations. Ask the employee what areas require improvement, training or coaching. Confirm the areas that you have also identified and add any other areas requiring development. END OF VIDEO (Principles 1-5) PROCEED TO NEXT VIDEO WHEN READY 77 P age

7 Module 5.2. Performance Appraisals 6. Discuss (negotiate) goals for the upcoming year (with quarterly time frames): Identify indicators (outcomes or results) for each goal so both you and the employee will know when the goal has been reached. Identify timelines for each goal (these may be adjusted during the year at the request of the employee). Discuss what resources or support the employee will require from co-workers, you and the organization. Remind the employee that it is his/her responsibility to ensure the goals are acted upon. 7. Summarize the appraisal results in writing within a week of the interview: Give the employee a copy. Place a copy on the employee s personnel file. The appraisal may be signed by the employee and by you. 8. A week or two after the appraisal interview, ask the employee for feedback about the process. Integrate suggestions into future appraisals. 9. Never combine appraisals with any form of disciplinary action. END OF VIDEO (Principles 6-9) PROCEED TO NEXT VIDEO WHEN READY 78 P age

8 Module 5.2. Performance Appraisals Three Month Goals According to First Break All the Rules (pg. 226) Research suggests holding three-month performance review meetings with a clear agenda and preparation by staff. Staff need to answer these questions which should spur discussion between the supervisor and staff person. About 10 minutes reviewing the past three months: 1. What actions have you taken? And what stood in your way? (Employees are held accountable for their development): These should be details of his/her performance over the last three months. 2. What discoveries have you made? (Employees are tracking their own learning): Discoveries made in training classes. New insights. Discoveries made during Job-shadowing session. Insights from books read. 3. What partnerships have you built? (Employees are taking responsibility for building their group of support: Relationships formed. o Could be internal or external. o Could be professional or personal. About minutes looking forward to the next three months: 1. What is your main focus? What are your primary goal(s) for the next three months? 2. What new discoveries are you planning? 3. What new partnerships are you hoping to build? Write down what is said and keep it as documentation for the annual appraisal meeting. Staff feel a higher degree of satisfaction because the goals are relevant and meaningful and they experience success throughout the year. END OF VIDEO PROCEED TO NEXT VIDEO WHEN READY 79 P age

9 5.3. Feedback & Discipline The Ins & Outs of Feedback & Discipline Feedback comes in two forms: Positive Constructive critical (a combination of identifying a mistake and instructing the person how the mistake can be corrected or prevented). The intent of feedback is to improve an employee s performance or behavior. It must build up, not break down, the employee-supervisor relationship. Avoid the Sandwich Technique This is when criticism is sandwiched between two positive comments. This sugar coats the feedback and may confuse the employee about what the real message is. Why Not? Staff are confused by this delivery. Am I good? Not good? What do I focus on? The next time you want to give only positive feedback, staff are waiting for the other shoe to drop and miss the compliment. Be Direct We do it because of our CHICKEN GENE END OF VIDEO PROCEED TO NEXT VIDEO WHEN READY 80 P age

10 (Cont.) The Discipline Process Informal Constructive Critical Feedback re: Performance or Behavior Verbal Warning(s) Written Warning(s) Dismissal for Just Cause What is Just Cause Dismissal? Employers have the right to terminate employees but must give notice that the employment is ending. An exception to the notice requirement applies where the employer can prove just cause. Just cause refers to conduct that is of such a serious nature or extent that it essentially breaks the employment relationship. Dismissing an employee may be necessary when: o An employee has not corrected performance issues identified in verbal and written reprimands o An employee has committed a documented or witnessed act that is illegal or unethical (e.g., abuse, theft, fraud) An employee has deserted or abandoned his/her position An employee has refused to follow his / her supervisor s direction, assuming that this direction is: o o o Legal, ethical and/or moral Within employee s skill/competence Given with reasonable time/notice 81 P age

11 The following are some examples that may constitute just cause: o Theft o Dishonesty o Violence o Wilful misconduct o Habitual neglect of duty o Disobedience o Conflict of interest Without Just Cause Dismissal Requires Notice of Termination Notice of termination is the period of time an employee or an employer is required to give the other before ending employment. Employees continue to work their regular hours and perform their regular duties at the same rate of pay during the notice period. In summary: Follow your policy regarding progressive discipline Keep Human Resources and your supervisor informed when concerns arise around an employee s performance Address issues promptly using the checklist provided in this course Document, document, document when concerns require a more structured response Don t downplay concerns During the performance review rate staff honestly and be clear and descriptive of your expectation. When necessary, put an improvement plan in place that includes who, what, when, how and why. Include how you are going to support the person. END OF VIDEO (Cont.) PROCEED TO NEXT VIDEO WHEN READY 82 P age

12 Informal Constructive Critical Feedback Let's review Performance Appraisals: Positive in nature. Prepare in advance. Don't wait to discuss problems. Set reasonable goals that are detailed and regularly review progress on the goals. Progressive Discipline: Sandwich technique and how it results from the "Chicken Gene". Steps of progressive discipline do not need to happen in order since it depends on the seriousness of the infraction. If giving feedback makes you uncomfortable, prepare by practicing with a trusted colleague, family member, or your manager. 1. Give feedback as close in time to the actual performance of a task as possible. 2. Give constructive critical feedback in private. 3. Make the feedback meeting short (15 minutes or less). 4. Make feedback specific to the task, behavior or activity. Ensure you: Use I statements rather than you statements. This helps prevent defensive reactions to criticism Keep the tone positive, professional, and calm. Ensure the employee understands giving feedback is your job and it is a routine part of how you will work together; the feedback is important but don t make a federal case of it. CHECK OUT THE FOLLOWING ACRONYM TO HELP YOU REMEMBER HOW TO GIVE FEEDBACK 83 P age

13 Use DESC for giving feedback write it out and deliver it! D Describe the behavior, issue, problem, mistake, etc. E - Identify the impact and/or effect of it on organization, clients, co-workers, etc. S Specify your expectation what needs to change and how? C Identify the positive result of the change Tom, when you were talking with Sue earlier today, I observed your lack of willingness to hear what she had to say by cutting her off midsentence and talking over her which led to her frustration. I expect staff to work as a team which requires open, honest and respectful communication. You can demonstrate this by listening to others and acknowledging their perspective. My suggestion to you is, take a breath and listen, then ask questions or make a comment. This response will encourage positive interactions and clarity in communication. 84 P age

14 5. Describe exactly what went wrong with the task or activity (the criticism ) and identify specifically what needs to improve and how (the constructive ).Have a discussion about how the employee could go about improving their performance: Ask questions to increase ownership and explore solutions. 6. Ensure the employee understands your expectation is for immediate and ongoing performance improvement (i.e. short-term change in performance followed by deterioration is not acceptable): Negotiate how you or other team members will provide assistance; ensure training, mentoring or coaching is offered to address issues that are skill-related. Seek the employee s commitment to put forward his/her best effort in the future. If the employee argues your point: Ensure you have your facts straight; if you need to check further, then end your meeting, get more information and meet again with the employee. Restate your feedback once, then clarify your expectation (i.e. that the employee will improve their performance or behaviour and adjourn the session). The only documentation necessary is an entry in your day-timer that you had a meeting with the employee and what the meeting was about. If a follow-up meeting is needed, schedule it before you adjourn your session. Your Magic Phras Note: If you have any reason to doubt the accuracy of your information, adjourn the meeting, do further investigation and then reconvene a second meeting to inform the employee of the results of your information gathering. 85 P age

15 Exercise 1. Write your own Informal Constructive Critical Feedback using DESC. If you are stuck, write the feedback for a staff member being late three days out of five. 2. Practice delivering it with a co-worker using the steps from this section. END OF VIDEO PROCEED TO NEXT WHEN READY 86 P age

16 Formal Discipline - The Verbal Warning Disciplinary action is a process used to assist employees to improve sub-standard job performance. Performance issues addressed by this process are more serious than those addressed using constructive critical feedback. Disciplinary action is used primarily when: o An employee makes a significant mistake o An employee fails to respond to one or more instances of constructive critical feedback given previously to correct his/ her performance Before Disciplining an Employee: o Consult your organization s policy and procedures and talk to your manager o Consult employment standards or labor regulations for your province Giving a Verbal Warning Include what you've learned in informal constructive critical feedback and 1. Identify if a performance problem exists; ensure the problem is either ongoing or serious enough to warrant this level of intervention. 2. Gather factual information regarding the performance issue or the incident that occurred. 3. Document the information in writing. Be specific with dates and times for ease of future reference. 4. Have a colleague or trusted admin support person attend the meeting to take notes/minutes. Ensure you use the words verbal warning during your meeting. Remember to have someone take minutes 5. Type the minutes from the meeting. Place a copy on the employee s personnel file and give a copy to the employee: Remember the minutes are a legal document, so they should be professional in tone and format. 6. Schedule a follow-up session if necessary. 87 P age

17 Notes: 1. If the employee s performance does not improve following a verbal warning you may decide to: Give a second verbal warning, or Give a first written warning. 2. Verbal warnings are not appropriate when the employee s performance is very serious: a written warning is likely required Formal Discipline The Written Warning Giving a Written Warning Include what you've learned in informal constructive critical feedback and 1. Write a letter on the organization s letterhead that describes the performance problem or situation; use the phrase written warning in the letter. A senior manager and/or your organization s lawyer must review this letter. Ensure compliance with the organization s policies. Avoid threatening sentences such as: o o This is your final warning.... or, Failure to correct your performance will result in dismissal Instead use: Failure to correct your performance will result in further disciplinary action. Note: Some lawyers will advise adding, up to and including, dismissal to the warning letter. However, most lawyers agree it is unwise to threaten an employee with dismissal. You must, however, make it clear to the employee that this is a very serious situation, requiring immediate and ongoing improvement to avoid further disciplinary action. 2. Ensure you use the words written warning during your meeting. 3. Remember to have someone take minutes. 4. Type of the minutes from the meeting. Place a copy on the employee s personnel file and give a copy to the employee. 5. Remember the minutes are a legal document, so they should be professional in tone and format. 6. Schedule a follow-up session if necessary. 88 P age

18 Additional Comments about Progressive Discipline 1. If an employee s performance does not improve after the first written warning, you may decide to use a second written warning. This may occur when: The first written warning was given several months previously (e.g., 6-12 months) The employee s performance improved significantly prior to a new incident. The current situation is not connected in any way to the previous performance problem. 2. Employees who improve their performance after disciplinary action must be commended. Support the employee to sustain his/her progress. 3. Never mix the performance appraisal process with disciplinary action. Delay the performance appraisal for at least two weeks after any disciplinary action Getting Off The Roller Coaster - Solving Second Level Issues Issues, behaviors or performance problems that re-occur after feedback is given are called second-level issues: The first level issue is the performance problem or behavior, which is followed by feedback, verbal and/or written warnings. When the problem re-occurs (or does not change), the employee is not responding to feedback address this as a second level issue, rather than repeating the feedback over and over again. Insubordination is the act of willfully disobeying one's superior. Refusing to perform an action that is unethical or illegal is not insubordination; neither is refusing to perform an action that is not within the scope of authority of the person issuing the order. (Wikipedia) 89 P age

19 STEPS IN CONDUCTING THE DISMISSAL INTERVIEW Dismissals are like funerals, we hope to never do enough of them to get good at them. Paula MacLean 1. Dismissing an employee is one of the most difficult things a manager will ever do. 2. Dismissing an employee should always be the last (and only) resort to resolve a situation. 3. All dismissals require support and advice from legal counsel. 4. Dismissals must be decided by and acted on at a senior management level in your organization. 5. All dismissals must be witnessed and minutes taken at the dismissal interview. 90 P age

20 1. Open the interview with a statement such as: It is with regret that we / I have come to this decision. Make sure when you say this that you believe your own words. If you don t regret having to make the decision then say: This has been a difficult decision or, I know this decision will be difficult for you. 2. Hand the person the letter: The letter does the work of actually dismissing the employee. Give the employee time to read the letter and ask for any questions or comments. 3. If there was a single incident which led to the dismissal you may wish to tell the employee the actual reason for the dismissal. 4. If the employee argues your decision, indicate that the decision is firm, is supported by senior management and is necessary. Do not debate or argue. In general, the less said, the better. 5. If the employee threatens legal action, do not comment. Inform your manager immediately after the interview. 6. Consider if you need a plan to escort the employee from the worksite; have someone available to assist/support the employee (including returning keys, cleaning out personal items, and transportation home if necessary). 7. Debrief the interview discuss what you did well and what you could have improved upon. Take some time to manage your own stress before returning to your normal job duties. END OF MODULE 5. PROCEED TO MODULE 6. WHEN READY 91 P age

21 Module 5. Supporting Information Supporting Articles The Employer-Employee Expectation Benefits of Appraisal 6 Errors Managers Make on Performance Appraisals 10 Tips for Effective Performance Reviews The Sandwich Approach Undermines Feedback The 6 Qualities of Good Feedback Giving Constructive Feedback Outplacement Counselling How to Discuss A Dismissal Meeting Unjust Dismissals 92 P age

22 Module 5. Supporting Information Supporting Videos Satisfaction & Great Results Come With Servant Leadership- Ken LEAD Presented by HR.com 10 Common Mistakes in Giving Feedback Why the Sandwich Feedback Technique is Baloney! by Colette Carlson Giving A Verbal Warning by Karin Naslund How Managers Can Give Effective Feedback 93 P age