Skills for Successful Supervision Training by Georgia Department of Human Services

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  • Ethics in government is critical to maintaining the trust of the public and failure to behave in an ethical manner is a common criticism of politicians and others in the public sector. Ethical behavior is essential to the accomplishment of the DHS mission and the maintenance of the integrity of our organization.
  • Attendance is not only a basic term and condition of employment it may also be considered an essential function of the job. If an employee is not regularly at work, the employee cannot be a “good” employee no matter how technically competent he or she is. If an employee who is frequently absent still manages to get all of his or her work done in a timely and satisfactory manner, then it is possible that the employee is not assigned a sufficient amount of work.. It is always important to ask, “Who does the work when that employee is not here”. Turnover rate is often negatively impacted if other employees often have to cover for absent ones. All full-time DHR jobs should require a minimum of forty (40) hours of work per week to be done (with reasonable amounts of time off); if they don’t, they need to be restructured or additional duties should be delegated.
  • Time worked by non-exempt FLSA employees is specifically defined in the Act. Any time employees are present at their workstations, they are considered to be working and must be compensated. Any allowed breaks an employee takes are also work time. Lunch is not work time but must be If employees “work through lunch”, they must be compensated for the time. If employees take work home or work overtime without permission, they must still be compensated for the time worked, but they should be disciplined for doing so without permission.
  • Management has a number of responsibilities related to FLSA. Arrival and departure, the accuracy of sign in and sign out, and prior approval for overtime should be monitored. Working unapproved overtime, while it must be compensated, should not be allowed to go un-punished. Do not allow employees to be at their work stations before or after work or during a lunch break. Look at the time sheets before the end of the work period to be sure that overtime is not being earned. Supervisors need to know where their employees are and be able to testify to the accuracy of their time-sheets. Non-exempt employees should not be allowed to eat at their desks during lunch breaks nor should they be interrupted for work duties during lunch unless absolutely necessary.
  • Managers are held accountable for compliance with the FLSA and DHR FLSA Policy. Minimizing the occurrence of overtime, insuring that comp time is used before annual leave, monitoring overtime, insuring that work is organized so that overtime is not necessary are all areas where managers are accountable. Managing the work time of non-exempt employees is not only critical for FLSA compliance but for the prevention of financial liability to the department because of overtime payments and fines for FLSA violations. Supervisors always need to insure that employees are using their time wisely to accomplish the goals of the unit and this includes monitoring FLSA time.
  • Establishing work hours in accordance with departmental and local needs and policies and modifying these hours when necessary is a management prerogative. It’s great when employee needs and management needs coincide. It can truly foster productivity. However, the needs of management as they relate to the accomplishment of the mission must always be primary. Offices must be covered from at least 8:00 am to 5:00 pm Monday through Friday. Many of our offices and facilities have expanded hours and/or function 24 hours a days, seven days a week. This means that employees will not all work the same work days or work hours. Within the frame work of Federal and State laws and policies, and the guidelines of the organization, you, as a supervisor have the freedom to set work hours for your staff. Individual employee needs may always be considered but the bottom line has to be what facilitates the effective and efficient operation of the organization
  • As a supervisor, your job is to get work done through others in order to accomplish the DHR Mission of strengthening Georgia’s families. In order to do this you have been given authority. This authority is in the areas of: work hours, job location, duties and responsibilities, instructions and directives, leave, performance evaluation and discipline. Managing the time and attendance of your employees is one of your primary responsibilities.
  • The assignment of duties to employees is one of the key functions of a supervisor. Employees are generally hired to perform a specific set of duties and responsibilities, but these are always subject to change. Managers have the responsibility to get the work done with the staff available, so modifying job duties is often a necessity. If duties deviate considerably from the performance management plan and will be performed by the employee on a regular basis, it may be necessary to modify the PMF plan.
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  • Skills for Successful Supervision Training by Georgia Department of Human Services

    1. 1. Skills for Successful Supervision Presenter: Nicole McPherson Shaw Date: February 14 – 16, 2012 Georgia Department of Human Services
    2. 2. Vision, Mission and Core Values Vision Stronger Families for a Stronger Georgia. Mission Strengthen Georgia by providing Individuals and Families access to services that promote self-sufficiency, independence, and protect Georgia's vulnerable children and adults. Core Values • • • • Provide access to resources that offer support and empower Georgians and their families. Deliver services professionally and treat all clients with dignity and respect. Manage business operations effectively and efficiently by aligning resources across the agency. Promote accountability, transparency and quality in all services we deliver and programs we administer. Develop our employees at all levels of the agency.
    3. 3. Skills for Successful Supervision Day One: A Primer of Basic Supervisory Skills and Techniques
    4. 4. Introduction Congratulations!! Fundamental Supervisory Skills Class – Some Review & Some New – Group & Individual Exercises/Assessments – Information/Discussion (& some practice) • Participant Expectations Exercise • Pre-Test
    5. 5. Agenda - Day 1 • “After All, You’re the Supervisor!” • Elements of Successful Supervision • Transition & Establishment Skills • Communications & Relationships • Planning and Prioritizing • Problem Solving and Decision Making • Delegation and Motivation • Training and Team Building
    6. 6. Agenda – Day 2 • • • • • • • • Ethics and Values Progressive Discipline Fact Finding Grounds for Disciplinary Actions Employment Law Employee Relations Policies Employee Relations Best Practices Case Studies
    7. 7. Agenda Day 3 New Performance Management Process E-Performance Web Site PMF Format Performance Management Process Timeline Core Competencies Rating Scale Coaching and Development Employee Recognition
    8. 8. Objectives-Day One • Be able to identify the keys to successful supervision • Understand the basic elements of the problem solving model • Be able to identify the critical factors to consider when making a decision • Understand and be able to apply the steps of the delegation process • Understand the importance of motivating employees and the positive impact it can have on the working environment
    9. 9. Exercise • Why do you want to be a supervisor? – Please take 5-8 minutes to complete the questionnaire – Participate in discussion
    10. 10. Video After All, You Are the Supervisor
    11. 11. Key Elements of Successful Supervision • • • • • • • Transition and Establishment Communications and Relationships Planning and Prioritizing Problem Solving and Decision Making Delegation and Motivation Team Building Training
    12. 12. Transition/Establishment Issues • Going from buddy to boss • Hard decisions / Hard circumstances • Can’t: Always please, Have answer, Meet need • Controlling staff members – What is most difficult? • Confronting employees • Setting Limits
    13. 13. Transition/Establishment Issues • Giving up old tasks • Getting things done through others! • Maintaining accessibility • Managing by Walking Around • Showing initiative • Accepting responsibility
    14. 14. Transition/Establishment Issues (cont) • Making your own decisions; confronting challenges • Learning the facts & being consistent • Demonstrating a can-do approach • Assessing staff members
    15. 15. Earning Respect • Listen to staff concerns • Stand up for your staff • Show confidence & express appreciation • Make expectations clear and be honest • Do not tolerate poor performance • Do not apologize for being the boss • Control yourself; do not bluff employees • Control yourself; anticipate being “tested”
    16. 16. Communication • Activity: Just For Fun – Review of handout – What are the implications of this?
    17. 17. Communication Mediums • Face-to-face • Telephone • Written communication – Memos and letters – Electronic • Group or Staff Meetings
    18. 18. Passive/Active Listening Skills • • • • Listening for the content Listening for the feelings Responding to the feelings Noting the speakers verbal and nonverbal cues • Reflecting back what you think you are hearing
    19. 19. Relating to Your staff members • Learning styles • Interpersonal styles • Motivators
    20. 20. Benefits of Boundaries • Maintains focus on goals and objectives • Reduces risk of favoritism and harassment charges • Facilitates objective decision-making • Earns respect and credibility • Creates foundation for building trust
    21. 21. Exercise • Defining Boundaries • What Would You Do? • Review and complete the questionnaire in your packet and then we will discuss
    22. 22. Conflict Resolution 1. Meet with both and give assignment 2. Parties meet and discuss assignment with each other and resolve conflict 3. Supervisor holds joint meeting and processes their meeting and action plan 4. Supervisor follows up to ensure compliance
    23. 23. Relating to Your Boss • • • • Supportive and positive Demonstrate good work habits Willingness to learn Complete work assignments • Cooperation with others • Creativity • Even temperament • Say “No” appropriately
    24. 24. Relating to Peers • • • • • Deal directly with people you need help from Spread requests around Accommodate peers and make adjustments Don’t tolerate bullying Don’t pressure or bully peers • Return the favor
    25. 25. Supervisor Loyalty Priorities • The Agency – DHS: Support mission • Your Supervisor: Support your boss & upper level management • Your staff members: – Show positive concern and recognition – Give developmental feedback – Encourage innovative ideas
    26. 26. Planning/Prioritizing • • • • • • • Identify office/division operational goals Identify priorities Find a mentor Listen Ask questions Review written materials Observe the workplace
    27. 27. Exercise A Problem Solving Exercise: Deserted Island
    28. 28. Problem Solving/Decision-making • • • • Uses the same model Closely related May use some different strategies Decision-making more proactive than problem solving • Action plans and follow up are critical • Determining who to involve is a key issue
    29. 29. A Model • • • • • • Define the problem Determine the cause Generate and evaluate possible solutions Select and troubleshoot the chosen solution Develop and implement an action plan Follow up
    30. 30. Decision Strategies: Involving Others 1. Authority/Expert - No involvement 2. Authority/Expert - Data gathering involvement only 3. Consultative - Input from individuals or group 4. Majority 5. Consensus
    31. 31. Decision Strategies - Other Critical Factors • Expertise and Access to Info • Acceptance • Time • Importance • Capability
    32. 32. Criteria for Decision-making • Multiple alternatives • Well-defined criteria • Assumption testing • Dissent and debate • Troubleshoot options • Perceived fairness
    33. 33. Why You Must Delegate Your responsibility Your ability
    34. 34. Why You Should Delegate • Importance to the supervisor: – Better time management – Improved opportunity for promotion – Develops others • Importance to the employee: – Increased qualifications – Increased eligibility for advancement – Increased confidence, motivation and self-esteem
    35. 35. What to Delegate • Routine tasks with clear objectives • Low priority tasks you don’t have time for • Problem-solving on low to medium priority issues • Developmental tasks and projects
    36. 36. Things You CANNOT Delegate • • • • Ultimate accountability Responsibilities regulated by law Selection of new employees Power to counsel, discipline and maintain morale
    37. 37. Things You CANNOT Delegate • Evaluating performance • Resolving conflicts or any duties involving trust • Formulating goals, strategies and policies • Preparing or approving budgets (if you are a manager)
    38. 38. The Delegation Process • Analyze and Plan: use SMART model • • • • • SMART- Specific Measurable Attainable Relevant Time-limited & Target-driven
    39. 39. The Delegation Process • • • • • • Select staff members & make assignments Be clear & tell them why Specify time and quality standards Don’t play favorites or delegate to punish Monitor - Supply supports and check progress Evaluate and give rewards/consequences
    40. 40. Exercise Delegation Exercise Are you ready to delegate?
    41. 41. Motivation: Pygmalion Effect • Self-fulfilling prophecy • Express confidence and high expectations • Don’t be surprised by high performance • Share the rewards • Inspire others with “sight triggers”
    42. 42. Level of Needs 1. 2. 3. 4. 5. Physiological: Pay Safety/Security: Fringe benefits and seniority Belonging/Social: Unions, informal work groups, offices, departments and task forces Self esteem/ respect: status symbols, recognition, influence Self-Actualization: task competency, growth, achievement 5 Self- Actualization 4 Self-Esteem 3 Social/Relationship 2 1 Security/Psychological Survival/Physiological
    43. 43. When to Provide Training • Employee: – can’t do the job – can do the job, but not well – is doing the job incorrectly Show ONLY the correct way to do the task
    44. 44. When Training is Not the Answer • • • • Doesn’t know what is expected Doesn’t know how he/she is doing Lack of Support Lack of Willingness These issues should be handled by coaching and effective performance management which we will discuss tomorrow
    45. 45. How to Train Employees • Step 1 – You tell them what to do – You do it correctly • Step 2 – They tell you what to do – You do it correctly • Step 3 – They tell you what to do – They do it correctly “Tell me and I forget…” “Show me and I remember…” “Let me and I understand.” - Confucius
    46. 46. 7 Winning Team Essentials 1. 2. 3. 4. 5. 6. 7. Sell Your Vision Understand/balance your use of power Understand/provide what your team wants Give the team ownership Encourage experimentation Enlist members with complementary skills Incentives for team members
    47. 47. Team Maturity • Organization ahead of personal agenda • Knowledge and skills to consistently get the job done • Clear understanding of the group’s goals • Diverse group of creative and innovative employees focused on shared goal • Each employee contributes something unique
    48. 48. Review • Elements of Successful Supervision • Transition & Establishment Skills • Communications & Relationships • Planning and Prioritizing • Problem Solving and Decision Making • Delegation and Motivation • Training and Team Building
    49. 49. Skills for Successful Supervision Day Two: Employee Relations
    50. 50. Agenda • • • • • • • Ethics and Values Holding Employees Accountable Effective Discipline Employment Laws & HR Policies Dispute Resolution Best Practices in Employee Relations Short Scenarios & Case Studies
    51. 51. Values and Ethics
    52. 52. DHS Employee Relations Values • Handout: Employee Relations Values • Exercise: Identify the Values
    53. 53. Ethics Definition • Principles that define behavior as right, good, and proper • Learning what is right and wrong • Making a choice to do what is: • Right • Fair • Honest • Legal
    54. 54. Three Rs of Ethics • Respect: applied to people, the organization and the environment • Responsibility: to the organization, our customers, our co-workers, and ourselves • Results: the means to achieving the ends are as important as the results
    55. 55. EXERCISE • Ethics Self Assessment
    56. 56. Creating an Ethical Environment Model ethical behavior in order to: – Increase pride, professionalism and productivity – Increase employee willingness to report misconduct. – Improve trust and respect at all levels. – Protect the positive reputation of the organization. – Foster a positive work culture and improved customer service – Reduce pressures on employees to compromise ethical standards
    57. 57. Holding Employees Accountable • “Accountable” can be defined as: Accepts full responsibility for self and contribution as a team member; displays honesty and truthfulness; displays a strong commitment to organizational success and inspires others… • Important function of your position as supervisor is to hold your employees accountable. See talent management definition in PMP.
    58. 58. Employees should be held accountable in the areas of: • Attendance • Conduct • Performance All three are necessary!
    59. 59. Regular Presence at Work • Most basic of all conditions of employment • Considered one of the “essential functions” of the job • If an employee is not at work, then he cannot perform his duties • Employees have the right to earn leave but may take it only with supervisory approval
    60. 60. Conduct • Being responsive to supervisory direction and feedback • Avoiding argumentative, loud, rude and offensive language and/ behavior • Dressing in a clean and neat matter which is appropriate for the setting • Working cooperatively with colleagues • Complying with all instructions from supervisors and managers
    61. 61. Performance • • • • • • Accurate, complete and timely work products Appropriate interactions with clients Complying with performance standards Following programmatic policies and procedures Meeting deadlines Clarifying instructions and procedures when appropriate
    62. 62. Customer Service: always critical • Team Georgia Categories – Helpful – Accessible – Responsive – Knowledgeable – Courteous • Faster, friendlier, easier
    63. 63. New Statewide Core Competencies • • • • • Customer Service Teamwork and Cooperation Results Orientation Accountability Judgment and Decision Making
    64. 64. Discipline
    65. 65. Elements of Effective Employee Discipline • • • • • • • • Early Intervention Communication Coaching Factual Integrity Documentation Consistency Progressive Discipline Employee Rights & Privileges
    66. 66. Early Intervention • Intervene in all areas: – Performance – Attendance – Conduct • Critical to the progressive discipline process
    67. 67. Communication • N- Notice-clear statement of the problem • E – Expectations-what it will take to correct problem • W – Warning- what will be the consequences of non-compliance
    68. 68. Coaching • • • • • • • Use active listening skills Keep an open mind Take a collaborative approach Focus on win-win solutions Be courteous and respectful Respond, don’t react Help the employee to understand and commit to necessary improvements Will discuss management coaching model in depth tomorrow
    69. 69. Fact-finding • • • • • • Investigate all complaints Interview all involved Get written statements if necessary Review appropriate documents Determine witness credibility Get the employee’s side of the story
    70. 70. Documentation • • • • • Complete, clear, concise, accurate Take , date and keep notes on counseling Use follow up memos Keep copies of all corrective and disciplinary actions Keep pertinent information as long as you keep the employee • Give productivity file to next supervisor
    71. 71. Importance of Documentation • Accurate and complete documentation supports challenges to the action: – Classified appeal – UI Hearing – Litigation – EEOC Charge – Complaint to higher level management or political representative
    72. 72. Consistency • Fairness to everyone-apply ER values • Treat employees with similar work histories and similar offenses in a similar manner • All issues should consistently be addressed • Every case is different • Consider individual circumstances • Be consistent but not rigid
    73. 73. Decision Factors • • • • • • • Severity of the offense Impact on clients Prior disciplinary/corrective action Performance evaluations Length of service Mitigating circumstances Evidence of intent
    74. 74. Progressive Discipline • • • • • What is it? What is its purpose? What are the steps? What should be the timing between each step? Do you have to use all the steps?
    75. 75. Progressive Discipline • Begin with the least severe penalty that will have the desired effect • All the steps do not need to be followed when offenses are severe • Give sufficient time for improvement • Move through the process quickly if expectations are not met • Remember that the purpose of discipline is to salvage the employee
    76. 76. Corrective Actions • • • • • • Attendance Plan Unauthorized leave without pay Work Plan Memo of Concern and Expectations Denial of Salary Increase More frequent use of interim evaluations, monthly or quarterly
    77. 77. Disciplinary Actions • • • • • • • Written Reprimand Written Reprimand/Final Warning Suspension without pay * Disciplinary Salary Reduction* Demotion Separation/Dismissal * rarely used in unclassified service
    78. 78. Grounds for Disciplinary Action • Negligence and inefficiency in the performance of assigned duties • Chronic tardiness or absenteeism • Misconduct • Conduct reflecting discredit on the department • Failure to report for or remain at work without justifiable cause • Inability or unfitness to perform assigned duties • Insubordination • Prohibited political activity • Commission of a felony or crime of moral turpitude
    79. 79. Tips • • • • Seek advice Use common sense No good deed goes unpunished Anything the supervisor says or does can be used against him/her • Document everything, if it is not documented, it is not done
    80. 80. ***** Do not allow your silence to give an employee the mistaken notion that his behavior or performance is acceptable when it is not *****
    81. 81. Case Study • • • • • • Break into groups First review sheet titled “Case Studies – Process,” then review and discuss case study. Document your responses on “Case Study Worksheet – Report Out Questions.” Choose one person to report out. Each group will be asked to report out on different questions asked in the “Case Study Worksheet – Report Out Questions.” For those group(s) not chosen to report out on a particular question, still be prepared to respond to the question. You will be asked whether you would have done/asked anything differently.
    82. 82. Employment Laws
    83. 83. Key Employment Laws • • • • • EEO-Equal Employment Opportunity ADA-Americans with Disabilities Act Sexual Harassment FMLA-Family and Medical Leave Act FLSA-Fair Labor Standards Act Non-compliance can result in liability to the dept.
    84. 84. Diversity • DHS solicits, welcomes, includes and values the contributions of all employees and creates and fosters the rich diversity of its employees, community and customers • DHS is an Equal Opportunity Employer and does not discriminate on the basis of race, color, age, sex, religion, national origin or disability nor does it tolerate retaliation against employees for engaging in protected activity
    85. 85. Discrimination Complaints Internal-OHRMD investigates External-GCEO or EEOC investigate Grounds: race, sex, age, color, national origin, religion, disability, retaliation OHRMD responds to all GCEO/EEOC charges-very tight time frames
    86. 86. Reasonable Accommodation • DHS position is to provide reasonable accommodation to all employees when it does not create an undue hardship • Employee must be able to perform essential functions of the position • Dialogue with employee; specific time frames; written request; documentation • Management responds in writing • Consult OHRMD Regional Manager
    87. 87. Sexual Harassment • Management must act if they become aware of an allegation • Harassment must be unwelcome and offensive to the complainant • Harassment must be pervasive • Often is misconduct when it doesn’t fit harassment definition • Consult OHRMD Regional Manager
    88. 88. Short Scenario An employee under your supervision walks into your office and tells you he wants to discuss something with you in confidence. He mentions that a female colleague has continued to ask him out to dinner though he has repeatedly declined her request; invited him over to her house so that he can “get to know her better;” and touched his rear end on several occasions but explain to him it was an accident. He mentions that he doesn’t want anything to be done to the colleague because he has handled the problems himself by repeatedly making her aware that her actions are unwelcome. He just wanted to vent. Question: What do you do?
    89. 89. FMLA & FLSA • What are they and why do they always give me a headache? • Compare the two policies • Identify what type of policy each one is • Generate a list of issues/problems that you have with them
    90. 90. What They Have in Common • • • • • • Federal laws Employee entitlements Rigid complex rules Little room for discretion Violations cause liability to the Department Can have negative effect on productivity
    91. 91. FMLA Qualifications & Eligibility • 12 months state service (not consecutive) • Worked 1250 actual hours in last 12 months • Qualifying Reason – Pregnancy/ Adoption/Foster Child – Serious health condition of: employee, child under 18, spouse, parents
    92. 92. Approval Process • Planned-30 days notice • Unplanned-ASAP • Conditional- approved contingent upon certification of health care provider • Designated- placed on FMLA leave because employer is aware of need • 3 day rule guideline only
    93. 93. Intermittent FMLA Leave • May be required to transfer to an alternative work schedule • If intermittent leave does not allow EE to perform the essential functions of the position, then place on full-time FMLA Leave • Must be returned to former or equivalent position
    94. 94. Recent FMLA Law Changes • Addition of qualifying reasons – Family member’s call to active duty – Care of an injured service member (up to 26 weeks) – Spouse, son, daughter, parent or nearest blood relative – Must meet all other criteria **Have gone from calendar year to rolling year**
    95. 95. Short Scenario • An employee under your supervision just submitted a request for 12 weeks of FML to be with her adult daughter who just had a baby. The documentation does not indicate that there were any issues with delivery that require the employee’s presence. The documentation simply indicates that that daughter gave birth recently and will need to be out of work for the next eight weeks. • What should be done in this situation?
    96. 96. FLSA-Time worked • All time present at work station • Breaks are work time • Eating lunch is work time if it is not taken away from work station and free of all duties • All time employees are “suffered or permitted” to work • Unapproved overtime if actually worked
    97. 97. FLSA Management Responsibilities • • • • Monitor arrival and departure times Insure accurate sign-in and sign-out Give prior approval for overtime Discipline employees who work unapproved overtime (but be sure to compensate) • Do not allow occupation of work station during nonwork hours • Review time sheets prior to end of work period-adjust employee schedule if necessary
    98. 98. Accountability for FLSA Compliance • • • • Minimize the occurrence of overtime Insure use of comp time in lieu of annual leave Carefully monitor all overtime worked Insure good time management by employees so that overtime is not necessary • Equalize work-loads to prevent over-time
    99. 99. HR Policy Website Address: http://www.odis.dhr.state.ga.us/1000_adm/1300_ohrmd/MAN1300.doc
    100. 100. Employee Relations Key Policies (in addition to Employment Laws) Behavioral • • • • Standards of Conduct #1201 Leave # 1006 Assignment of Duties # 106 Official Work Hours and Schedules # 1002
    101. 101. Employee Relations Key Policies Management Authority • Leave #1006 • Leave of Absence #1007 • Assignment of Duties #106 • Official Hours and Work Schedules #1003 • Teleworking #111
    102. 102. Conduct: Insist on Professionalism Policy #1201 Standards of Conduct includes: – Conflict of Interest – Confidential information and disclosure – Activities and relationships with clients – Interactions with colleagues – Conditions of employment – Use of State Property
    103. 103. Some Key Points of #1201 • • • • Do not accept gratuities Avoid even the appearance of a conflict of interest Comply with HIPPA & DHS Privacy Policies Do not release privileged or confidential information to anyone who does not have a need to know • Avoid sexual relationships with clients and subordinates • Do not engage in any activities other than official business during work hours • Do not use privileged information for personal gain
    104. 104. Some Key Points (2) • Avoid rude, argumentative, hostile, or otherwise unprofessional behavior • Be courteous, responsive and respectful to clients • Comply with all supervisory instructions • Report arrests or convictions within 5 days • Do not falsify records or documents • Avoid harassing, disrespectful, offensive or threatening behavior with co-workers • Do not sell, solicit or raise funds • Do not display or transmit sexually oriented materials • Cooperate fully with all investigations
    105. 105. Some Key Points (3) • Do not use state cell phone for personal calls or make non-business related long distance calls on work phones. • Do not work under the influence of or possess alcohol or illegal drugs while on duty • Do not wear any attire promoting a particular moral, political, religious, personal or other opinion which is vulgar, offensive or inflammatory. • Restrict personal use of state computers and office phones to infrequent use of short duration
    106. 106. Leave #1006 • Annual leave: not an entitlement, requires advance approval except in the event of an emergency • Annual leave may be denied, but not just because of a low leave balance • Sick leave make require documentation if there is a pattern of excessive or abusive use of leave or the employee is on an attendance plan. • Call in procedures must be followed
    107. 107. Provisions of #103 & # 1006 Managers have the authority to: – Establish and modify work hours and work schedules at any time – Schedule work hours based on the needs of the organization
    108. 108. #101 and #1002 re: Management Authority • Direct the workforce in accomplishing the mission of the Department – – – – – – Determine work hours and job location Assign duties and responsibilities Give instructions and directives Schedule leave Evaluate performance Take corrective/disciplinary action
    109. 109. Assignment of Duties • Managers may : – Assign – Change – Take from, add to, or eliminate entirely Employee duties and responsibilities as necessary
    110. 110. A Word About Teleworking from the Commissioner’s Office • All DHS supervisors who supervise teleworkers must complete the on-line Teleworking Course • Accountability is critical • Demonstrated documented work products and results • Management engagement and oversight • Work-away program Best Practices are imbedded • Appropriate foundational basis • Review work away agreement once a year • and employee
    111. 111. Dispute Resolution
    112. 112. Grievable Issues Retaliation Erroneous, arbitrary or capricious interpretation or application of HR policies Unsafe or unhealthy working conditions Allegations of harassment
    113. 113. Non-Grievable Issues • Performance responsibilities, expectations and evaluations • Changes in work hours and job duties • Budget and organizational structure • Corrective and disciplinary actions • Internal security practices • Selection and Relocation
    114. 114. Other Dispute Resolution Procedures • • • • Rebuttal of reprimands (unclassified) Reprimand review (classified) Review of performance plan Review of less than satisfactory rating resulting in denial of annual increase • Unlawful discrimination complaint • Appeal to higher level management
    115. 115. Classified v Unclassified • Unclassified – serve at will, no reasons for separation given • Classified - appeal rights, reasons for dismissal, reprimand review • Both may file grievances and EEO complaints • Same management principles apply Same ER Values Apply!
    116. 116. The Secrets of Employee Relations (Employee Relations Best Practices)
    117. 117. What are Best Practices? • Put ER values in operation • Principles which serve as guidelines in determining and implementing corrective and disciplinary actions • Practices which facilitate the accomplishment of the mission and goals of DHS
    118. 118. Communicate and Document • • • • • Nip it in the bud Tell it like it is Warn the employee Write it down and date it Use the PMF
    119. 119. Carefully Consider • • • • • Remember the mission Operate out of DHS Values Every case is different What did you do before Let the punishment fit the crime
    120. 120. Act!! • • • • • Call us early and often Be thorough Do it promptly Be progressive Be aware
    121. 121. On-Line Employee Relations Tool Kit It’s About Time Module Employee Relations Best Practices Module Policy Website
    122. 122. Things to Remember • • • • • • • • Focus on DHR mission and goals Use DHS Employee Relations Values Always consider the consequences Remember, “It depends”, “similarly situated” and “factual integrity” Focus on documented behavior & make job-related decisions Use ER Best Practices & comply with the law Be able to articulate reasons for your actions Assume the action will be challenged
    123. 123. Summary • • • • Ethics & Values: the basis for all our actions Importance of accountability Discipline: fact-based, honest, progressive Key Employment Laws: compliance reduces liability to the department, must know these • HR Policies: complete guides to appropriate action, essential knowledge for supervisors • Dispute Resolution Procedures: opportunity for employees to respond to management actions • Best Practices: puts the ER values in action, quick guide to Employee Relations
    124. 124. Skills for Successful Supervision Day Three: Performance Management **Note: Much of the info used in this presentation was taken from the “PMP Manager’s Guide” found in the Manager’s Toolkit on the State Personnel Administration Website**
    125. 125. Discussion: The Performance Management Process • What are the components of the process? • What skills are necessary? • How comfortable do you feel with the process?
    126. 126. Agenda • Performance Management Process Overview • 4 Phases of Performance Management
    127. 127. Performance Management Process Overview • Definition of the Performance Management Process • Importance of Supervisors taking PMP training • DHS and the PMP • 2 measures of success: The “what” and the “how”
    128. 128. Review Handout Performance Management Process Timeline
    129. 129. Performance Management 4-Phase Model • Competencies • Goals Performance Planning Coaching and Development Establish Desired Results Create Desired Results Performance Recognition Performance Evaluation Acknowledge Results Measure Desired Results • Responsibilities • Individual Development Plan • Flexibility • Achievement • Personal Growth • Challenging Work • Observation • 2-Way Feedback • Documentation • Ongoing Development • Review Documentation • 5-Point Rating Scale • Management Approval • Annual Meeting
    130. 130. Phase 1: Performance Planning Performance Management 4-Phase Model Performance Planning Establish Desired Results
    131. 131. Phase 1: Performance Planning • Key Components of Planning – – – – – – The Performance Plan (handout) Identify Goals Align state and agency goals Identify competencies Agree on responsibilities, tasks and projects Create an individual development plan (IDP) Phase 1: Performance Planning
    132. 132. Phase 1: Performance Planning • The Performance Plan – Who gets a performance plan? – The role of the employee and the supervisor in the planning process – The Reviewing Manager’s process – Elements of the performance plan Phase 1: Performance Planning
    133. 133. Elements of the Performance Plan • • • • • Statewide core competencies Individual goals and competencies Job responsibilities Individual development plan (IDP) Weighting of each section except for the IDP Phase 1: Performance Planning
    134. 134. Section 1: Statewide core competencies • What are competencies? • Defining behavioral competencies • Statewide core competencies required of all state employees: – Customer service – Teamwork and cooperation – Results orientation – Accountability – Judgment and Decision Making • Definition of “critical” Phase 1: Performance Planning
    135. 135. Competencies Statewide Core and Leadership Competencies Core Competencies Leadership Competencies  Customer Service  Accountability  Talent Management  Teamwork and Cooperation  Judgment and Decision Making  Transformers of Government  Results Orientation Additional Behavioral Competencies  Communication  Flexibility  Project Management  Conflict Management  Initiative  Teaching Others  Creativity and Innovation  Negotiation and Influence  Team Leadership  Cultural Awareness  Professional Development Phase 1: Performance Planning
    136. 136. Section 2: Individual Goals and Competencies • Definition of goal • Sources of goals – Aligned goals/cascaded goals – Individual goals – Job responsibilities • Optimal number of goals • Writing goals (ABC’s of Writing Performance Goals) Phase 1: Performance Planning
    137. 137. ABC Goal Writing Model A. Result or specific outcome B. Written in clear language C. Uses one or more of the following measurement criteria: • • • • Quantity Quality Timeliness Cost Phase 1: Performance Planning
    138. 138. Section 3: Job Responsibilities • On the evaluation, job responsibilities are automatically generated based on state job descriptions • Do not have to use these, add or delete as necessary • When writing job responsibilities, the ABC model can also be used. • Limit to between 5-7 responsibilities per employee • Focus on responsibilities that are most important to the employee’s success in the position • Changing responsibilities during a performance period Phase 1: Performance Planning
    139. 139. Writing Responsibility Statements • • • For some supervisors, the responsibilities that are generated on the evaluation may only require minor tweaking to be suitable. Job description for trainer’s position: Plans and develops curricula and materials for training programs and conducts training in area of specialty. – Performance plan for trainer’s position: Plans and develops curricula and materials for employee relations training and learning programs, and conducts employee relations training. If deciding to use responsibilities not listed in the description or to re-word to make a responsibility more clear, remember to: Stay objective and use concrete terms – Use the active voice – Avoid jargon, statements should be clear and concise
    140. 140. Writing Responsibility Statements • Steps to remember when writing responsibility statements – Step 1: Begin with an action verb: • Reviews… • Participates… • Types… – Step 2: Continue with an object describing what is done: • Reviews all invoices… • Participates in the selection of… • Types letters and reports… Phase 1: Performance Planning
    141. 141. Writing responsibility statements – Step 3: Add explanatory phrases: • Reviews all invoices for the purchase of office materials. • Participates in the selection of office equipment to ensure it is compatible with agency standards. • Types letters and reports using proper format, grammar, punctuation, and spelling. – Step 4: Use adjectives and adverbs to clarify: • Statistical reports • Monthly analysis • Mathematical formulas
    142. 142. Activity: Clearing Up Fuzzy Language
    143. 143. “Critical” Designation • Only statewide core competencies clearly marked as critical. Now, have to show importance of a section by the weight that it is given in comparison to the other sections. • Question to ask yourself when determining the importance of a section: Are the responsibilities/competencies listed so essential for the success of the position that failure to perform/carry out adequately would most likely result in unacceptable job performance? Phase 1: Performance Planning
    144. 144. “Critical” Designation • Factors to consider when determining the importance of a section: – Consequences to customers, organization or to the public – Health or safety implications – Financial or budgetary implications – “Political” considerations – Proportion of total work time spent Phase 1: Performance Planning
    145. 145. Weighting • By section based on state & department guidelines and importance of the section • Weight first three sections, do not weight IDP • Section 1: minimum of 25% • Section 2: 0%-75% (default is 50%) • Section 3: 0%-75% (default is 25%) • Must be determined & communicated up front Phase 1: Performance Planning
    146. 146. Section 4: Individual Development Plan • Action plan: goals, activities, projects, etc to further development • All employees should have one • Critical to developing and retaining an excellent workforce • Focus – Current role – Expansion of skill sets or knowledge – Preparation for future roles Phase 1: Performance Planning
    147. 147. Performance Plan Meeting • Thoroughly discuss performance expectations • Identify actions and behaviors necessary to meet the expectations-what successful & exceptional performance looks like. • Communicate how performance will be measured. • Review the method of tracking, monitoring, or observing • Discuss activities, target dates, & progress measurement for IDP Phase 1: Performance Planning
    148. 148. Phase 2: Coaching & Development Performance Management 4-Phase Model Performance Planning Coaching and Development Establish Desired Results Create Desired Results
    149. 149. Phase 2: Coaching and Development Coaching Definition • Providing direction, guidance, and training to help staff achieve performance goals • Includes using motivators, facilitating development, mentoring, corrective actions, feedback • Is the essence of supervision Phase 2: Coaching & Development
    150. 150. Motivation Determine what motivates your staff – Work itself – Advancement – Responsibility – Salary and benefits – Social relationships – Recognition Phase 2: Coaching & Development
    151. 151. Giving Positive Feedback • • • • • • • Recognize good performance promptly Be specific Describe why behavior or result is important Relate to goals Praise in public Mean what you say Encourage continued good performance Phase 2: Coaching & Development
    152. 152. Giving Corrective Feedback • • • • • • • • Address problems ASAP Be specific about deficiencies Use opportunity to improve skills Describe the effect on goals Aim at commitment Protect the employee’s self-esteem Avoid public correction When it is over, it’s over Phase 2: Coaching & Development
    153. 153. Management Coaching Model • Tell the employee the significance of the discussion • Share important specific details about the situation and the desired outcome • Use open-ended questions to help the employee brainstorm to reach the desired outcome (use active listening skills) • Agree on an outcome and summarize actions to be taken (focus on win-win solutions) • Set up a follow up meeting and assure the employee that you have confidence in their ability to resolve the issue Phase 2: Coaching & Development
    154. 154. Coaching Role Play • • • • • Break into groups of three One person will role-play the supervisor One person will play the employee One person will be an observer “Supervisor” creates a hypothetical situation and meets with “employee” to discuss • Employee reacts as he/she sees fit • Observer watches to evaluate quality and effectiveness of interaction and to insure that all the steps of the coaching model are followed
    155. 155. Now focusing on the development aspect of phase two… Development • Enhance employee strengths • Decrease deficiencies • Improve program performance • Improve retention • Increase employee satisfaction • Meet other organizational needs • Part of DHS employee engagement focus Phase 2: Coaching & Development
    156. 156. Development Activities • Training not always the answer to performance problems • Be sure there is a real training need rather than a need for accountability • Use veteran employees for some of the on the job training & encourage mentoring • Foster professional growth whenever possible • Demonstrate competencies and model professional behavior Phase 2: Coaching & Development
    157. 157. Mentoring • Usually not done by the supervisor • Developmental relationship with a more experienced “expert” • One on one confidential relationship • Fosters employee growth and confidence • Less formal structure • Requires skilled communicator Phase 2: Coaching & Development
    158. 158. Monitoring Important aspects of Phase 2 overall: • • • • • • • Move around the workplace & observe Regularly review reports & work products Use data generated in the course of job Evaluate compliments and complaints Use interim evaluations when necessary Let the employee know where he/she stands Focus on quality, quantity, and timeliness Phase 2: Coaching & Development
    159. 159. Documentation Important aspects of Phase 2 overall: • • • • • • Write clearly, concisely and promptly Be precise, specific and succinct in your descriptions Use behavioral and job-related language Date all entries and documents Describe discussion with employee (if held) Have witness statements if necessary Phase 2: Coaching & Development
    160. 160. Documentation (cont) • • • • • • File in an easily retrievable place Include pertinent materials already developed Delineate circumstances and context Include copies of group directives Summarize and/or use chronology if appropriate Insure that documentation is sufficient to support ratings Phase 2: Coaching & Development
    161. 161. Phase 3: Performance Evaluation Performance Management 4-Phase Model Performance Planning Coaching and Development Establish Desired Results Create Desired Results Performance Evaluation Measure Desired Results
    162. 162. Phase 3: Evaluating Goals & Responsibilities • Achievement of results or behaviors from performance plan • Appropriate cost of efforts • New and innovative methods of working • Satisfied customers • Work completed in a timely manner • Acceptable methods or manner of performance Phase 3: Performance Evaluation
    163. 163. Reviewing the IDP • Compare actual performance to goals • Note which were achieved and which were not and why • Consider extenuating circumstances • Put unachieved goals on next IDP • Communicate any ramifications of failing to achieve goals Phase 3: Performance Evaluation
    164. 164. Rating Levels • • • • • 5- Exceptional: exceeded all performance expectations. Exceptional contributor to the success of State & agency-demonstrated role model behaviors. 4- Successful plus: met all and exceeded most (more than 50%) of the established performance expectations. 3 - Successful: met all performance expectations and may have exceeded some (less than 50%). Solid contributor to the success of State & agency 2 – Successful minus: met most (more than 50%), but failed to meet some (less than 50%) performance expectations. Needs to improve in one or more areas of expected job results or behavioral competencies. 1 – Unsatisfactory: did not meet all or most (more than 50%) of the established performance expectations. Employee needs significant improvement in critical areas of expected job results or behavioral competencies. See handout Phase 3: Performance Evaluation
    165. 165. Calculation of Ratings • Assess each goal, competency or responsibility individually • System calculates over-all rating for the section • System than calculates an overall rating based on the weights Phase 3: Performance Evaluation
    166. 166. Evaluation Exercise Case Study Phase 3: Performance Evaluation
    167. 167. Evaluation Meeting • • • • • • • Be prepared Explain purpose Take notes Two-way exchange Some problem-solving and goal setting Review expectations and definitions Discuss self evaluation Phase 3: Performance Evaluation
    168. 168. Evaluation Meeting (cont’) • • • • Review ratings and cite examples Obtain agreement on action plans Summarize major points Give employee opportunity to make any other comments • Express confidence that employee can maintain and/or improve performance • Forward to and/or meet with manager Phase 3: Performance Evaluation
    169. 169. Phase 4: Recognizing Performance Performance Management 4-Phase Model Performance Planning Coaching and Development Establish Desired Results Create Desired Results Performance Recognition Performance Evaluation Acknowledge Results Measure Desired Results
    170. 170. Phase 4: Recognizing Performance • Monetary & non-monetary rewards • On-going, year round recognition • Pursuit of state goals: – Transition from an entitlement-based culture to a performance based culture – Become “best managed” state in the nation – Provide a comp. and benefits framework that motivates our work force to excel Phase 4: Recognizing Performance
    171. 171. Benefits of Employee Recognition • Re-enforced behavior tends to re-occur • Encourages others to excel • Increases productivity when done genuinely, fairly and frequently • Helps to create a cohesive work team • Increases organizational commitment • Gains employee respect for manager Phase 4: Recognizing Performance
    172. 172. Non-monetary Rewards • • • • Flexibility – Tele-work and flexible schedules – Freedom in approach to work Achievement – Stretch goals – Additional roles and responsibilities Personal Growth – Developmental opportunities – Ways to gain marketable skills Challenging Work – Interesting/visible projects – Opportunities to improve/innovate see handout Phase 4: Recognizing Performance
    173. 173. Consequences • Be sure to follow through with actions necessary to reward or correct the behavior • Focus on job related, not personal issues • Understand that employee has earned the reward or correction and were given a fair opportunity to meet expectations • Don’t approve salary increases except for truly satisfactory performance Phase 4: Recognizing Performance
    174. 174. Performance Evaluation Tips • Clarify expectations and evaluate employees based on expectations • Monitor all areas of behavior • Define the review period • Use interim evaluations more frequently Be sure that rating is consistent with discipline and any need for performance, conduct, and/or attendance improvement is expressed
    175. 175. Common Performance Evaluation Mistakes • Giving satisfactory rating when there have been disciplinary action(s) during the period • Failing to weigh the importance of the action (s) against the rest of the performance • Failing to evaluate performance based on the whole rating period • Failing to have adequate documentation to justify ratings

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