Introduction

How to Use This Program

Performance Management Online is a training program for State of Idaho

Supervisors and Managers, providing tools for the ongoing process of
managing employee development, coaching, and feedback. Each of the four
units has activities that can be completed online and printed, if desired. A
Certificate of Completion is available upon completion of all four units. The
program can also be bookmarked and used as an ongoing resource. Though
intended for supervisors and managers, Performance Management Online
can also be used by employees. For questions/information on the
administration of the State of Idaho's Performance Management system
(required rating levels, standards and definitions, and templates), contact
the Idaho Division of Human Resources.

This "Introduction" provides information on the foundation of Idaho's

Performance Management system including why we do performance
appraisals, the supervisor's role, the appraisal process, employee and
supervisory core performance standards and definitions, and an overview of
features of the "Employee Appraiser" desktop program.

The four steps that

complete the full cycle
of Performance
Management are:

1.) Setting Performance

Expectations
2.) Keeping Performance
on Target
3.) Realigning
Performance
4.) Appraising
Performance

Each state employee plays an important role in making their agency the best
it can be. Performance Management Online provides ways to bring out the
best in employees, ultimately helping agencies meet their goals. Good
performance management establishes a year-round partnership between
employee and supervisor while creating a shared understanding about the
work that is to be accomplished and how that work is to be done.
Job responsibilities, expections, performance standards, and development
activities should be identified and agreed upon during the performance
appraisal process. These should be linked to agency goals so the employee
understands how their work is connected to the agency's mission and
success. Frequent communication provides the feedback and support the
employee needs to know that his or her performance is on target. The focus
in this program is on communication - communication about performance.

Why Do Performance Appraisals?

Idaho Code requires annual performance appraisals (I.C.67-5309(h)).

Performance appraisals assist employees in developing their careers and
being successful in their jobs. They describe expectations and standards for
all state employees. They ensure the agency mission and vision are achieved
by:

1. Motivating and encouraging employees to be productive contributors

to the mission and goals of the agency.
• Ensuring employee activities are linked to the goals and mission
of the unit, division, and agency.
• Discussing employee performance through feedback.
• Documenting communication regarding performance objectives
to employees.
• Establishing performance standards with stated goals and
objectives.
• Focusing on outcomes and results.
• Enhancing communication through continuous feedback and
coaching between employee and supervisor.
2. The performance appraisal program promotes statewide consistency.

3. The performance appraisal is a legal requirement and serves as a legal

document.

4. The performance appraisal documents serve as resources to make

human resource decisions, i.e. recruitment, promotion, succession
planning, training plans, and compensation.

The Supervisor's Role

 Supervisors and Managers have a core performance
standard describing their role and responsibilities in
carrying out employee performance management.
Included in those responsibilities are providing ongoing
communication, feedback, and support and recognizing
and rewarding achievement while removing barriers
impeding employees' success. The successful supervisor
will recognize the value in modeling desired behaviors,
and supporting the vision, goals, and expectations of the organization.
Successful supervisors challenge their employees to reach their optimum
level of performance and hold them accountable. Remember: "In order
for you to be successful as a supervisor, your employees should be
successful!"

The Appraisal Process

Following are elements that form the performance appraisal process. The
process is ongoing throughout the review period.

1. Set expectations. Employees must know what is expected and how

their job supports the agency's mission before the review period
begins. Gain agreement on goals, performance standards and
objectives. Review the goals with the employee periodically and make
changes as needed.
2. Provide support. Arrange for training, provide resources,
encouragement, and developmental opportunities so employees can
meet their objectives and the objectives of the agency.
3. Provide feedback on employee performance that is:

• Timely
• Specific
• Honest
• Designed to help the employee be successful
• Reinforces effective behavior
4. Record significant employee performance events when they
occur. Include both positive and negative performance issues. Use the
Employee Folder in the Employee Appraiser Program to record specific
events, or create an electronic or paper file to track employee
progress.
5. Seek employee feedback on performance issues. Gather feedback
and input from the employee. Communicate! Don't make assumptions.
Get all the facts. Use open ended questions.
 6. Prepare and review the performance appraisal prior to the due
date. Gather feedback; ask the employee to complete self evaluation
questions. Know your agency's policy/procedure on creating and
delivering the performance appraisal document. Be timely - it really
matters to the employee.
7. Communicate. It is the hallmark of good performance management.
There should be no surprises. Communication should occur throughout
the review period and, most importantly, when the annual appraisal is
delivered.
8. Use the final performance appraisal document throughout the
year. A good supervisor will revisit the appraisal and goals with the
employee at least quarterly. The document can also be used for
human resource decisions such as promotions, transfers, dismissals,
succession planning, and assessing training needs.

State Guidelines

There are six components of performance management in Idaho's

Performance Management Program. These constitute the "State Guidelines".

1. Establish key job responsibilities. A critical element and first step

in performance planning is to define the primary purpose and
responsibilities of the position.
2. Review established performance objectives that gave the
employee focus and direction for the current review period.
3. Review employee core performance standards. These have been
established as critical work behaviors necessary for job success and
are consistent across all agencies. They describe how the work is to be
done. Standards exist for employees and for supervisors/managers. All
state employees are to be evaluated on core performance standards.
These core standards enhance performance and increase statewide
consistency in the appraisal process. Additional standards may be
added by agencies.

Below are two tables showing the core performance standards for
employees and supervisors/managers, along with the accompanying
definitions.

Employee Performance Standards

Standards Definitions
Customer Service Describes how well the employee works with
internal and external customers to achieve desired
results and maintain positive relationships.

Interpersonal Skills Describes how well the employee establishes and

maintains effective work relationships.
Demonstrates good communication and listening
skills.

Dependability Describes how well the employee completes

assigned work in a timely manner. The employee
meets attendance requirements.

Quality Describes the employee's work in terms of

consistency, thoroughness, and accuracy.

Productivity Describes how the employee manages and

completes workload expectations and
demonstrates the knowledge and skills needed to
do the job.

Adaptability/Flexibility Describes how well the employee adapts to

change and is open to different new ways of doing
things.

Work Describes how well the employee promotes a

Environment/Safety respectful workplace and complies with general
conditions of employment, EEO, security, and
workplace safety policies.

Supervisor/Manager Performance Standards

Standards Definitions

Managing Describes how well the manager provides employees

Performance with clear job expectations and feedback/coaching
about performance. Deals firmly and appropriately
with performance problems. Maintains timely
employee performance evaluations.

Communication Describes how effectively the manager shares

information, builds relationships, and influences
positive outcomes.
 Decision Describes how well the manager makes timely and
Making/Problem rational decisions based on analysis of relevant
Solving information/data. Accepts responsibility for decisions
and takes proper action when necessary.

Results Focus Describes how well the manager achieves expected

outcomes that support organizational mission and
goals.

Customer Focus Describes how well the manager fosters and models a
commitment to customer service.

Work Describes how well the manager promotes a

Environment/Safety respectful workplace and complies with general
conditions of employment, EEO, security, and
workplace safety policies.

4. Summarize performance and assign an overall rating. A

performance summary can be used to recommend successful
completion of a probationary period, to summarize performance, to
support a merit increase, and to identify employee development
opportunities. Agencies may choose to rate each performance
standard or can assign an overall rating inclusive of all the standards.
5. Establish performance objectives for the next rating period.
These should be mutually developed and recorded by the employee
and supervisor. The new objectives provide direction and outline job
expectations for the future. They link to goals and objectives of the
team and the mission of the agency.
6. Review employee development plans. This is the responsibility of
both supervisor and employee. Together they develop strategies that
allow development of skills, knowledge, and abilities that lead to
improved job performance. Employee development provides avenues
for increased job satisfaction and for reaching one's full potential
within the job.

Other Uses for the Performance Management Program

The Performance Management Program components should also be used for

entrance probationary employees. Responsibilities and objectives of the job
should be communicated throughout the probationary period. To extend the
entrance probationary period on an employee, contact the Division of Human
Resources. When an employee's probationary period is over, complete a
performance appraisal. The Performance Management Program is also
strongly recommended for non-classified employees.

Four-Level Overall Rating

The Performance Management Program uses four overall rating levels. Those
levels are:

• Exemplary (EX) - This employee performs at a level that results in

significant accomplishments that may not have been otherwise
achieved.
• Solid Sustained (SS) - This employee demonstrates good solid
performance in managing work expectations; exhibits sustained
support of organizational goals.
• Achieves Performance Standards (APS) - This employee meets job
expectations. OR This employee is developing new skills and gaining
new knowledge.
• Does Not Achieve Standards (DNA) - This employee's performance
needs improvement and/or is inconsistent.

Detailed definitions for each level are available.

Guidelines are also in place to help supervisors deal with unacceptable

performance. Performance is unacceptable for one of the following
conditions:

• This employee is being notified that immediate improvement to

performance is expected and/or he/she is subject to discipline (e.g.,
suspension, demotion) up to and including dismissal (Rule 190).

• This employee is being notified that opportunities to improve have

been given and performance still remains unacceptable and therefore
notice of intent to dismiss may be initiated (Rule 190).

• This employee has performed an action or participated in an event or

behavior serious enough to initiate a notice of intent to dismiss (Rule
190).

• This employee is being separated for physical or mental incapacity in

performing assigned duties (Rule 190).
 • This employee failed to meet Probation Requirements (Entrance,
Promotion or Voluntary). (Rule 152).

Documentation and due process should be followed in accordance with Rule

200.06 for eligible classified employees.

Linking Merit Pay to Performance Considerations

The entire performance narrative and summary are critical links to merit pay
considerations. Each agency determines merit increases. The general
guidelines for linking performance appraisals to merit pay are:

1. The employee’s overall rating must be "Exemplary", "Solid Sustained",

or “Achieves Performance Standards.”
2. Appraisals should provide sufficient descriptive comments with
examples to justify and support pay decisions.
3. Performance appraisals must be completed and on file with DHR within
the last twelve months.
4. Considerations for merit pay decisions may be based on:
• contributions to the organization
• outstanding or remarkable performance
• commendable efforts
• dedication to continuous quality improvement
• exceptional productivity
• exceptional reliability
• special accomplishments

The Employee Appraiser

Agencies may provide their supervisors with "Employee Appraiser", a

Windows and Word based software. The Employee Appraiser software
facilitates the performance appraisal process; it is not required. It assists
supervisors in managing performance through documenting feedback plans
and reviews. It is easy to use and customize to fit an agency's needs. It has
the following features:

Writing Assistant: Provides descriptive phrases that closely describe an

employee's performance. The writing samples are organized by topics
related to appraisals. Each topic has three standard levels: improve, meets,
and exceeds. These writing samples can and should be 'fine tuned' to a more
specific performance description. The descriptive language on each
employee's performance appraisal should be customized to that employee.
Tuning the text upward creates samples that are more supportive for a job
well done. Tuning the text downwards creates samples that are directed
toward confronting performance issues. The samples should be edited to
describe actual performance.

Coaching Advisor: Offers new ideas to motivate employees and problem

solve performance issues. It suggests strategies and guidance that can be
customized and included in the actual evaluation. It can also be printed and
used as a reference when conducting the person-to-person part of the
appraisal process.

Employee Folder: Stores information about employees. It allows the

manager to organize 'notes' and documents on performance issues
throughout the evaluation period. This information, both positive and
negative, can then be placed directly in the appraisal without having to be
rewritten.

Manager's Resource Center: Provides documents that assist in writing job

descriptions, performance objectives, and development plans which helps
with employee recognition and in writing coaching memos.

Go to Step 1: Setting Expectations >>

Setting Expectations

Setting performance expectations is the foundation and first step in

performance management. By setting performance expectations early, the
employee knows what is expected and the supervisor has specific
performance criteria to measure quality and productivity.
Remember: Communication is the key!

Defining the Job Purpose

As a supervisor, defining an overall job purpose is the first step in setting

performance expectations. The job purpose reflects the essential function of
the job. On the Employee Appraisal form, this is the first item under Key
Responsibilities. The job purpose is mutually agreed upon and understood by
the supervisor and employee ensuring that both are clear on the overall job
expectation. It also provides a fair basis for appraising performance.

To write a clear and meaningful job purpose, use the following

formula:

"Job title" is the title of the job. This may be the classification job title or the
agency-specific working job title.
"What" describes the main function of the job. It is not the place to list all
job tasks.

"Why" explains why the job is done. This should be written very clearly to
avoid confusion. When an employee understands the why of their job, they
are more likely to be motivated and to understand their role in the
organization.

Some examples of clearly written job purposes:

Defining the Job Purpose

Determining Key Responsibilities

The next step is to identify the key responsibilities that make up the job. Key
responsibilities are the main components or key results of the job. Three to
seven key responsibilities will ensure a list that represents a good overview
of the job. These are listed under Key Responsibilities along with the job
purpose on the Employee Appraisal form. These are used for developing
standards in the section Additional Employee Performance Standards on the
Employee Appraisal form. Note that these key responsibilities represent
results from doing a job, not a listing of tasks that one performs.

Determining key responsibilities:

• Defines for the employee what they are expected to achieve;

• Provides an objective basis for the appraisal; and
• Provides a framework for the job.

The formula for identifying key responsibilities looks like this:

"Job title" is the title of the job.

"Verb" describes the action the employee will take.

"What" describes the end product.

"How" describes how the work will be done. It provides techniques that
measure quality, quantity, and time factors.

Examples of a clearly written key responsibility for each of the

following positions are:
Remember: Most positions have three to seven key responsibilities!

Determining Key Responsibilities

Performance Standards

The Job Purpose Statement and Key Responsibilities deal with "the what" of
an individual's performance. In this section, we look at performance
standards which tell "how" or "how well" a job is done. "How" deals with
quality. Idaho's Performance Management system has established qualitative
core performance 'standards' that are consistent across all agencies. These
standards are applied to each individual's performance and appear in the
performance appraisal document. Additional standards may be developed by
agencies and are applied to the entire agency or to all employees in a
specific classification. Standards should align with the agency's values,
mission, and goals.

State of Idaho Performance Standards

Following are the core performance standards for which all State of Idaho
employees are evaluated. These standards represent critical work behaviors
necessary for job success. There are two lists of standards, one for
employees and one for supervisors and managers.

Employee Performance Standards

Standards Definitions

Customer Service Describes how well the employee works with

internal and external customers to achieve desired
results and maintain positive relationships

Interpersonal Skills Describes how well the employee establishes and

maintains effective work relationships.
Demonstrates good communication and listening
skills.

Dependability Describes how well the employee completes

assigned work in a timely manner. The employee
meets attendance requirements.

Quality Describes the employee's work in terms of

consistency, thoroughness, and accuracy.

Productivity Describes how the employee manages and

completes workload expectations and
demonstrates the knowledge and skills needed to
do the job.

Adaptability/Flexibility Describes how well the employee adapts to

change and is open to different new ways of doing
things.

Work Describes how well the employee promotes a

Environment/Safety respectful workplace and complies with general
conditions of employment, EEO, security, and
workplace safety policies.

Supervisor/Manager Performance Standards

Standards Definitions

Managing Describes how well the manager provides employees

Performance with clear job expectations and feedback/coaching
about performance. Deals firmly and appropriately
with performance problems. Maintains timely
employee performance evaluations.

Communication Describes how effectively the manager shares

information, builds relationships, and influences
positive outcomes.

Decision Describes how well the manager makes timely and

Making/Problem rational decisions based on analysis of relevant
Solving information/data. Accepts responsibility for decisions
and takes proper action when necessary.

Results Focus Describes how well the manager achieves expected

outcomes that support organizational mission and
goals.

Customer Focus Describes how well the manager fosters and models a
commitment to customer service.

Work Describes how well the manager promotes a

Environment/Safety respectful workplace and complies with general
conditions of employment, EEO, security, and
workplace safety policies.

Setting Job Objectives

Performance objectives are written to describe the measurable results an

employee needs to achieve within each key responsibility area. Performance
objectives should be tied to the strategic mission and goals of the agency.
Goals and objectives are nearly synonymous and are often used
interchangeably. To differentiate between the two remember this:

“The goal is where we want to be. The objectives are the steps
needed to get there.”

Setting objectives creates employee motivation

and should help the employee connect the job to
the mission of the agency.
Objectives clarify the performance expectations
within each key responsibility area and describe
how they will be met and measured. Objectives provide guidance for the
employee and help keep performance focused throughout the evaluation
period. When objectives are discussed and written, the supervisor and the
employee have a thorough understanding of what performance is expected.

Three components create a clear objective:

• Performance – what the individual is to be able to do.

• Criteria – the quality or level of performance that will be considered
acceptable, often described in terms of speed, accuracy and/or quality.
• Conditions – conditions under which the performance is expected to
occur.

An example of a clearly written job objective incorporating these

components could be written as follows:

The employee will write reports for the department at the end of each week
while the legislature is in session.

The first component, performance, helps in communicating what the

employee is expected to perform. The performance is usually written using a
verb that describes the action of the performance. Using the example from
above, the performance of this objective is highlighted below.

The employee will write reports for the department at the end of each week
while the legislature is in session .

The second component, criteria, describes the standard by which the

performance should be accomplished. The criteria of the example job
objective is highlighted below.

The employee will write reports for the department at the end of each week
while the legislature is in session .
The preceding example described criteria in terms of timeliness. Another
way to describe the criteria for a performance objective is to use accuracy
measures. This can be expressed using a percentage. For example:

The employee will write reports for the department with zero grammatical
errors
while the legislature is in session.

Quality of performance is another critical criterion. Sometimes quality,

timeliness, and accuracy are important. All characteristics may be addressed
in the objective.

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

TThe employee will write reports for the department at the end of each
week while the legislature is in session.

Objectives may be one or several sentences in length. Several sentences

may be required to communicate the intent clearly.

To ensure success make the performance evaluation a living document. Take

it out at least quarterly and review the job goals and objectives with the
employee.

• Prioritize goals and objectives.

• Build flexibility into goals and objectives to ensure adaptability as

changes occur in the job or agency.

• Ask about obstacles and take action to eliminate them.

 Create S.M.A.R.T. goals

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

Action
Passive Verbs
Verbs

To know
To write
To understand
To recite
To really understand
To identify
To appreciate
To sort
To fully appreciate
To solve
To grasp the significance
To construct
of
To build
To enjoy
To compare
To believe
To contrast
To have faith in

Sample objectives for Customer Service:

• Reduce the average time for resolving customer service issues

from (xx) minutes to (xx) minutes by the end of the calendar
year.
• Improve customer service satisfaction ratings by (xx)% by the
end of the calendar year, as determined by customer satisfaction
surveys.
• Increase the number of people who visit our customer service
web site to (xx) by the end of June.
• Decrease employee turnover to (xx)% before the end of the
calendar year by ensuring adequate breaks, flexible scheduling,
and opportunities for growth and development.

Keeping on Target

Looking back at "Setting Expectations" remember, it is imperative that

employee goals describe what quality performance should look like. If the
supervisor can't define what quality performance looks like, how is the
employee expected to know? Performance management is all about creating
a positive, productive work environment through ongoing communication.

Once setting performance

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

Feedback

Feedback is one of the most important ways we learn. In the workplace,

employees need regular feedback to adjust their performance. Two-way
feedback is critical.

Feedback comes in many forms, from subtle to obvious. It is easy to

overlook less obvious forms. Consider the following: verbal comments, non-
verbal gestures and cues, letters and memos, 'strike-throughs' and
corrections on written work, raises and bonuses, silence, appraisals,
criticism, certificates, email, group praise, and 'drop-in' visits. All of these
are forms of feedback.

93% of communication is based on non-verbal cues. Only 7% of

the meaning is based on the words people use. Body language can
speak volumes.

Leadership effectiveness is dramatically affected by giving, asking for,

responding to, and following up on feedback. Understanding types of
feedback is the first step in making feedback more effective. Ask yourself the
following questions:

• What type of feedback do you typically give your employees?

• Are you giving the feedback you want to give?
 • Do your employees know when their performance is on or off target?

Meaningful Feedback

Feedback should be meaningful in order to reinforce, improve, and adjust

performance. Feedback is meaningful when it is:

1. Specific. Specific feedback: "Chris, this written report was thoroughly

researched and documents our company's progress very well."
Nonspecific feedback: "Chris, this written report was good."
2. Timely and/or immediate. Most feedback should be given in 24 to
48 hours of the event. Sometimes "timely" means immediate, other
times it means waiting.
3. Focused on behavior. Focus of the result of the behavior, not on the
person!
4. Intended to help. Not intended to control.
5. Authentic. Be sincere, not condescending.
6. Frequent and informal.
7. Involves an action plan. What needs to happen next?
8. Well documented. Performance documentation should be a record
that fairly represents the employee’s performance over time. When
recording feedback, be sure you note the basics:

• Who? Start an employee performance file, e.g., Employee

Appraiser.

• What? Write a brief description of the performance,

whether positive or negative.

• Why? Describe why the performance meets, exceeds, or

fails to meet expectations; note any extenuating or contributing
factors. Describe consequences and results.

• Where and When? Describe the time and place of the

performance.
 • Follow up! What is the action plan to either reinforce the
performance or redirect it?

Remember: Communication is the key!

Types of Feedback

Before Giving Feedback: PREPARE!

Prepare by reviewing performance standards and goals, thinking of specific

examples of the behaviors you will be discussing, and identifying the specific
job behaviors you wish to see as a result of your feedback. Good feedback
doesn't just happen, you must prepare! Always ask yourself, "As a result of
this feedback, what do I hope to see happen?"

There are several types of feedback. The two types most commonly used in
Performance Management are:

1. Reinforcement of behaviors - job related behaviors that contribute

to organizational goals
2. Redirection of behaviors - job related behaviors that do not
contribute to organizational goals

These two types of feedback can be "scripted". Scripting language is a tool

to use when preparing either of the two types above. The first script below is
used when reinforcing, recognizing, or appreciating performance. The second
script below is used when redirecting or adjusting performance.

1. To reinforce, recognize, or appreciate behaviors the following

script can be used:

The "verb" describes how you feel about the behavior.

The "behavior" describes the performance of the employee.

 The "impact"describes the specific effect the behavior had.

The "appreciation"expresses what you are going to do about

the behavior.

Here is an example of a clearly written script that reinforces

behaviors:

2. To redirect or adjust behaviors the following script can be used:

"Verb" describes how you feel about the behavior.

"Behavior" describes the inappropriate performance of the employee.

"Consequences" describe the specific effect the behavior had.

"Change/result" describes the appropriate behavior.

"Describe need to problem solve" identifies what actions will be taken to

help improve the performance.
It is important in this script that after every section you pause and listen for
verbal and non-verbal feedback from the employee. This allows for two-way
communication or dialogue. This script is future oriented. Its purpose is not
to dwell on past.

Here is an example of a clearly written script, involving two-way dialogue,

that redirects behavior:

Scripting Language

The Value of Feedback

Remember, feedback is best when it is based on:

• Mutual respect
• An atmosphere of learning - "We are in this together. It is OK to give
me some tips too!"
• The desire to eliminate surprises
• Honesty
When delivering feedback create the right environment, watch for the need
for privacy, and eliminate interruptions.

If you are not getting feedback, ask for it!

Coaching

Coaching bumps feedback up a level. It focuses on developing collaborative

relationships and supportive partnerships in the work environment. Coaching
is 'ongoing' in nature, whereas feedback is often a one-time event related to
a specific issue.

Coaching takes the relationship between two workers . . .

• co-worker to co-worker,
• supervisor to employee,
• manager to supervisor,
• employee to supervisor,

...and emphasizes partnering, collaboration, guidance, and modeling.

Coaching requires dialogue, balance, and accountability in relationships to be
successful.

Remember: Communication is the key!

The Coach vs. The Boss

There are differences in how the coach and the boss function in the
workplace. There are situations that require the characteristics found most
readily in a 'boss' and other times when coaching characteristics would be
more effective

Characteristics that may describe a coach could include: role-model,

spontaneous, descriptive, listening, non-judgmental, open, questioning,
supportive, inspiring, flexible, caring, interested in the employees' success,
comfortable with diversity and ambiguity
Characteristics that may describe a boss could include: on task, direct, event
focused, analytical, dogmatic, driven, bottom-line focused, decision maker,
problem solver, complex, investigative, and controlled

Are there situations in your work environment that could benefit from
Coaching?

Uses of Coaching

Coaching is an excellent tool to enhance employee growth and performance,

and to promote individual responsibility and accountability. Coaching can be
formal (a designated time and place) or informal (a simple conversation).
When coaching is done well, it creates accountability without creating
defensiveness. Coaching may be valuable in the following situations:

Creating Relationships - Coaching is a great tool to use when welcoming

new staff on board and when building relationship between people who will
be working together

Progress Review - Coaching provides a process

that employees and supervisors can use to check,
revise, or redirect the status of work in progress.
Coaching allows more opportunity for creativity and
alternative solutions to be discovered

Skill Development - When potential for an

employee’s growth is identified, coaching can be
used to help identify, plan, and develop the new
skills

Problem Solving - Confronting work behaviors that are not contributing to

the mission of a work group is difficult. Redirecting those behaviors is even
more challenging. Using coaching can greatly assist in this area

Coaching Model
There are many types of coaching models. The purpose of a model is to
provide a framework that can be placed around an issue or a challenge. It is
the process used to work through an issue. Many coaching models have
similar elements, some of which may include:

Building Trust - Trust is key to coaching. The employee and supervisor

relationship must have some level of trust for coaching to work. A mutual
interest in the success of the other is critical. Trust can be built incrementally
through use of supportive behaviors

Defining the Issues - The supervisor should seek information from the
employee to better understand the issue or performance in question. The
emphasis is not on proving who is right or wrong, but on gathering
information in a non-judgmental manner. Using open ended questions can
assist in this area

Motivating for Success - Workplace motivation can be a challenge. Taking

employees from compliance to commitment can be difficult. Finding or
creating that motivation means helping the employee get in touch with what
matters to him – the internal motivators. Sometimes this is easiest achieved
through the use of open ended questions leading to some self discovery

Creating a Plan of Action - For the purpose of buy in and commitment any
action plan should be created jointly by the supervisor and the employee.
The plan should be simple, measurable, and attainable

Working with Sidetracks - When confronted with sidetracks, obstacles,

resistance, and excuses, it's easy to become frustrated. The key to working
with sidetracks and obstacles is to recognize them as existing, refocus on
the issue at hand, and move forward. Sometimes real issues can appear as
obstacles. Be careful to recognize those issues and deal with them as they
can derail the larger plan

Committing to Action - Once a plan of action has been worked out, assign
roles and timelines. Get verbal commitment to the overall plan as well as the
next step. This is a great opportunity to tie up loose ends and clarify
expectations

Following Through- Coaching is an ongoing process. Don’t leave the

relationship to chance. Continue to follow through with formal and informal
coaching
Whatever coaching model you choose be sure it is simple, flexible and easy
to remember. Remember, coaching focuses on building collaborative
relationships.

How is Feedback Different from Coaching?

Feedback is a part of coaching. Coaching takes feedback and builds a

relationship with it. Supervisors can use coaching in many situations, e.g.,
for successful or unsuccessful performance, change in direction, new
projects or new team members.

Approaches to Feedback and Coaching

Feedback Coaching

Listen to respond Listen to understand

Point out specific information Ask clarifying, open-ended questions

Can control outcomes Respect, value, collaborate, and partner with

others

Commitment to things being Commitment to learning

right

Can be one-sided, closed Positive exchange of information, open

Change others' behavior Support others

Defend position Disclose

Compliance Commitment

Coaching Challenges

There are challenges to coaching. Some of those challenges may include:

lack of a coaching model, lack of time, heightened emotions, fear of losing
control of the situation, indifference, or the hope that "this too shall pass.

Coaching takes time and a commitment to relationship building. Remember,

coaching is not for every situation. Serious, blatant, and/or ongoing
employee performance problems may need to progress to the next level:
"Realigning Performance.

Remember: When helping others prepare for change, developing staff in

new areas, carrying out process improvement, increasing the potential for
retention, facilitating growth, building commitment or working to change the
organization’s culture, coaching may be the tool to use.

Coaching

Take a Minute to Reflect

Does coaching fit your supervisory style?

If yes, what one thing do you plan to do to create coaching relationships

with your staff?

Realigning Performance

You have learned about setting performance expectations and the

importance of keeping performance on target through feedback and
coaching. Even with the best efforts, sometimes performance goes into a
downward spiral. When clear performance expectations and feedback and
coaching no longer work in getting the desired performance, it is time to
look at realigning performance.

The process of realigning performance can be difficult. It is often "put off" or

avoided for many reasons, including:

• Lack of knowledge or structure on how to realign performance

• Lack of willingness to confront
• Fear of losing control
• Fear of hurting the person's feelings
• Sympathy
• Hoping it will all just go away

When entering into this area of performance management, it is good

practice to gather and review all of your information about the employee
(e.g., performance expectations, key responsibilities, feedback). Then make
an appointment to discuss the situation with your manager or your agency's
Human Resource staff, before meeting with the employee.

Realigning performance builds on skills gained in the preceding sections. The

skills you will learn revolve around "disciplining" without punishment, dealing
with performance problems, documenting performance, and progressive
discipline. Your goal as a supervisor is to help employees succeed.

Remember: Communication is the key!

Discipline Without Punishment

Supervisors are responsible to provide positive recognition, coaching, and

feedback for employees who perform well and meet the organization’s
expectations. They are also responsible to administer consequences for
those who choose not to fulfill their job responsibilities. Before supervisors
can hold employees responsible for doing a good job, they must hold
themselves responsible for creating conditions that allow their employees to
be successful.

Disciplinary problems usually can be divided into one of three mutually

exclusive categories:

• Dealing with Unacceptable Attendance

• Dealing with Unacceptable Performance
• Dealing with Unacceptable Conduct
Dealing with Unacceptable Attendance

Unacceptable performance in absenteeism and tardiness costs the

organization money and can create additional problems in productivity and
teamwork.

Discipline progressively and always evenhandedly. Inconsistent

enforcement is the leading cause of employment lawsuits concerning
absenteeism and tardiness.

Dealing with Unacceptable Performance

Supervisors have two objectives regarding performance:

1. To recognize and reinforce positive performance

2. To confront, correct, and/or realign negative performance

The feedback and coaching sections offer guidance in these two areas.
Supervisors need to confront and correct performance deficiencies in order
to achieve organizational objectives. They also owe it to their high
performing employees who are shouldering the burden created by non-
contributing co-workers. If supervisors ignore the poor performers, the
majority of good employees may become resentful and may become poor or
unmotivated performers.

The fundamental purpose of confronting and correcting performance

deficiencies is to build individual responsibility and re-inspire commitment; it
is not to punish. Every disciplinary transaction should be a coaching session.

The critical step in correcting an employee

performance problem is to DEFINE clearly the
gap that exists between desired performance
and actual performance. The responsibility for
defining and communicating this gap rests with
the supervisor. The responsibility for closing the
gap rests with the employee. The primary
objective of a performance
improvement/disciplinary conversation is to gain
the employee’s agreement to change their behavior, close the gap, and
return to fully acceptable performance. Written performance expectations
can assist in defining the desired behavior.

Dealing with Unacceptable Conduct

Conduct problems consist of inappropriate behaviors in the work

environment. Rule 190 (Administrative Rules of the Division of Human
Resources) outlines the causes for disciplinary action for classified
employees in the areas of unacceptable attendance, performance, and/or
conduct:

• Failure to perform the duties and carry out the obligations imposed by
the state constitution, state statutes, or rules of the department or the
Personnel Commission.
• Inefficiency, incompetence, or negligence in performing duties.
• Physical or mental incapability for performing assigned duties, if no
reasonable accommodation can be made for the disabling condition.
• Refusal to accept a reasonable and proper assignment from an
authorized supervisor.
• Insubordination or conduct unbecoming a state employee or conduct
detrimental to good order and discipline in the department.
• Intoxication on duty.
• Careless, negligent, or improper use or unlawful conversion of state
property, equipment, or funds.
• Influence. Use of any influence which violates the principles of the
merit system in an attempt to secure a promotion or privileges for
individual advantage.
• Conviction of official misconduct in office, or conviction of any felony,
or conviction of any other crime involving moral turpitude.
• Acceptance of gifts in exchange for influence or favors given in an
official capacity.
• Habitual pattern of failure to report for duty at the assigned time and
place.
• Habitual improper use of sick leave.
• Unauthorized disclosure of confidential information from official
records.
• Absence without leave.
• Misstatement or deception in application for employment.
• Failure to obtain or maintain a current license or certificate lawfully
required as a condition in performance of duties.
• Prohibited participation in political activities.
Documenting Performance

Supervisors can keep an "incident" journal or

calendar to keep quick notes regarding
employees' performance. Incidents noted in the
journal should include both positive and negative
actions.

Documentation should focus on the behavior of

the employee and not the employee's character
traits. It should be objective, accurate, factual,
fair, and consistent. It should be specific about
the employee's performance and the supervisor's
actions regarding the performance.

The goal of a supervisor is to help the employee

succeed. There is a four step system that can
help guide supervisors in documentation. It is called F.O.S.A. and it is based
on a model presented in the film "Documenting Discipline" (America Media
Incorporated, see Resources). It involves the following steps:

1) Facts. Facts include who, what, where, and when. They should be
specific about the performance and focus on the behavior of the employee.

2) Objectives. Objectives tell the employee what is expected of them. They

are positive and specific about what the supervisor expects them to do.

3) Solutions. Solutions should involve strategies to help the employee meet

the objective. They can be suggestions such as taking classes for skill
building or a mentor to help guide the employee.

4) Actions. Actions describe what will happen if the objectives are not met.
They can range from coaching, counseling, or written warnings to leave
without pay or dismissal.

Documenting discipline is, hopefully, not a paper trail for dismissal. It should
be viewed as a tool to help employees improve their performance. However,
careful and thorough documentation is important if realignment efforts are
not successful and dismissal action becomes necessary. Remember, you
have a strong resource available to you in your Human Resource Office. Use
them.
Appraising Performance

A performance review meeting involves a dialogue with the employee. The

dialogue sets the tone and promotes a shared understanding of goals and
expectations – for both the employee and the supervisor. The supervisor’s
relationship with each employee is unique; the performance review
document should be customized to the employee each review period.

The most important goal of a performance review is to guide the employee

into the future. At the end of the review, an employee should have a clear
understanding of the performance expectations for the next review period.
As changes occur over the review period, make adjustments and document
changes to the objectives. Reviews lead directly to employee development
discussions.

A performance review allows you and your employee to

communicate about:

• Setting performance expectations and key responsibilities of the job

• Reviewing how effectively performance expectations have been met in
the past
• Discussing how to meet or exceed performance expectations in the
future
• Establishing an employee development plan

Remember: Communication is the key!

 Get Ready,
Get Set
Before starting to write any performance appraisal document,
consider the following points:

• The employee should understand the performance review process and

who, what, when, and where it will happen. Eliminate surprises!
Ideally, this should be communicated early in the employment
relationship.
• All supervisors are required to develop formal appraisal reviews for
their employees once a year.
• Performance appraisals are legal documents.
• The timing of the actual appraisal meeting is important, not just from
the agency’s perspective but from the employee’s perspective. Choose
the time and environment that will create the most successful
dialogue.
• Remember, formal appraisal review documents are used to make
employment decisions.

Your agency may have specific expectations:

• Check to see which performance review document your agency uses.

• Be sure to address any content requirements your agency has. For
example, there may be specific performance standards your agency
requires in addition to the statewide core performance standards.
• Your agency may recommend that management and the immediate
supervisor review the document together before the employee reviews
it. This gives managers an opportunity to coach supervisors on
content, goals, and perceived biases.
• Be aware of your agency’s method of distribution for the final appraisal
document.
• Know your agency’s review cycle. There may be specific expectations
concerning when the performance evaluation should be completed.
Go!
The Process

Know Yourself!

• Respect employee's diversity in ideas and approaches.

• Establish the performance goals. Don't dictate the method - it
can stifle creativity and productivity.
• Maintain objectivity throughout the appraisal process and the
appraisal document. Watch for 'rating biases' or personal
perceptions that can creep into the performance appraisal
document and discussion! A bias can be anything that can affect
the way you evaluate someone's performance, but does not
reflect actual performance outcomes. Many times a second level
review (e.g., with management) can catch biases.
• When evaluations are based on facts, the following situations
can be avoided:

Approaches to Feedback and Coaching

Waterfall Effect The employee receives good appraisals for a long time
then suddenly is hit with a negative appraisal without
having a clue there was something wrong.

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

Horns Effect One negative situation overshadows all positive

performance aspects during the rating period. The
employee is perceived negatively, regardless of
performance.
 Gather Information and Feedback

• Gather all your information before starting to write the appraisal

document.
• Consider asking the employee for input. For example, “What
achievements are you most proud of this year?” and “Are there
obstacles to your success on the job?” (See Self Evaluation
Questions. PDF 55 KB)
• Think of the BIG picture or ‘core message’ you want to give your
employee. Ask yourself, “What is the single most important
message I want to communicate about the individual’s
performance through this appraisal?" Once you have that in
mind, you can go forward.
• If your agency has the Employee Appraiser software, use it to
fine tune your writing. The software has tools that give examples
of higher or lower language to describe behaviors.
• Rather than copying the examples, write them to fit the
employee.
• Give actual examples of the employee’s behaviors whenever
possible. Match examples to performance expectations.

Communicate

• If you have an issue with part(s) of

an employee’s performance, take
the courage to confront it with
respect and dignity. Hinting,
hoping, or inferring won't acheive
the success you are seeking.
• Before meeting with the employee,
Listen, Give review the communication tips in
Feedback! this program. Remember, people
tend to do what is measured.
• Listen.
 Set the Stage

• Choose a day and a time to deliver the appraisal when energy

will be high. Monday morning and Friday afternoon may not be
the optimum time, depending on the work environment.
• Choose an environment that allows for privacy and discussion.
An office is often more conducive to conversation than a meeting
or board room. Eliminate distractions such as walk ins, phone
calls, and emails. Sit with the employee rather than across the
desk from the employee.
• Give the employee advance notice of the appraisal meeting so
he/she can be prepared. Again, eliminate the element of
surprise.
• Allow for adequate time to deliver the appraisal, to set
expectations, and to answer questions.

Complete the
Appraisal Document

• Employees appreciate
receiving descriptive
comments. Take the
time to develop
comments that have
meaning, provide
examples, and give direction.
• Descriptive comments provide historical data for future
supervisors who need to understand the context in which
behaviors occurred.The significance of good documentation
builds over time!
 • Use the tools in the Employee Appraiser software to help you
customize the document (e.g., the descriptive comments) to the
employee

Deliver the Appraisal

• The appraisal document is an opportunity for a dialogue

between supervisor and employee. Simply handing the appraisal
document to an employee and asking him/her to read and sign
it, is not effective.
• Whenever possible, plan to have the employee read the full draft
appraisal prior to the discussion period with the supervisor.
• Remember, the appraisal shouldn’t contain surprises! Significant
events or behaviors in the document should have been discussed
with the employee during the review period.
• Work to gain and maintain rapport throughout the appraisal
meeting. Good rapport enhances clear communication.
• Employee participation is the key to successful communication
during the performance management process.

Writing Performance Statements

What About the

Difficult to Deliver Appraisal?
The Geographically Distant Employee

The Employee With More Technical Expertise Than the

Supervisor
 The Passive/Aggressive Employee

The Employee in Denial

The Employee in Non-Agreement

Motivating
for Success
In today's turbulent, often chaotic work environments, success
depends on employees making full use of their own strengths and
talents. Managers play a key role in providing a motivational climate
for employees to use their strengths. However, they often view
motivation as a mystery because it is extremely complex and
personally driven. The complexity of motivation is influenced by both
external and internal factors (communication, interpersonal
relationships - especially with the supervisor, culture, etc.) and the
fact that individuals are motivated by different things in different ways.

Definition

Twyla Dell writes of motivation, "The heart of motivation is to give

people what they really want most from work. The more you are able
to provide what they want, the more you should expect what you
really want, namely: productivity, quality, and service." (An Honest
Day's Work, 1988)

Advantages

A positive motivation philosophy

and practice by managers will
improve productivity, quality, and
service. A motivational
environment helps people:

• achieve goals
• gain a positive perspective
• create the power to change
 • build self-esteem and capability
• manage their own development and help others with theirs

Action Checklist for Managers

The following checklist is designed to help managers who have

responsibilities for managing, motivating, and developing staff during
organizational change:

1. Read the gurus (Herzberg's hygiene theory, McGregor's X and Y

theories, and Maslow's hierarchy of needs)
2. Know what motivates you
3. Know what motivates your staff
4. Walk the job
5. Remove demotivators
6. Demonstrate support and provide recognition
7. Be wary of cash incentives
8. Decide on an action (positive, focused on the future)
9. Manage change
10. Understand learning styles & preferences
11. Provide feedback
12. Create opportunities for achievement and accomplishment
13. Provide opportunities forlearning and growth
14. Increase the amount of challenge
15. Help answer the question: How does this individual's job relate
to the agency's mission?

Other important ideas for motivating employees include minimizing

rules and policies and ensuring employee involvement whenever
possible in decisions which affect their work parameters and their work
environment. In other words, engage employees in setting realistic
goals and expectations, and then set them free to achieve incredible
results!

Through consistent application of the eight steps in the performance

amangement system and with these insights regarding motivation, our
jobs continually become easier - people look for new challenges to
motivate themselves!
Motivation and Communication

"More of/Less of " Motivation List - A simple way of identifying

what employees want more of in their jobs (and what they want less
of) is to ask each employee what job and environmental factors they
wish to have increased and decreased. Done quarterly, this process
gives managers a chance to understand what employees want.
Surveying employees and new hires about what motivates them helps
managers better understand how to keep them excited. Topics should
include: what frustrates you? What challenges you? What are your
learning goals?

Morale, Motivation, Job Satisfaction

Moving Toward a More Motivating Workplace

As you consider the motivation level in your workplace among the

employees you supervise, it may be helpful to know that capable, high
performing employees can start questioning their decision to join a
company, start thinking of leaving, eventually disengage, and, finally,
leave because:

The job or workplace was not as expected.

A mismatch between job and person.

Too little coaching and feedback.

Too few growth and advancement opportunities.

Feeling devalued and unrecognized.

Stress from overwork and work-life imbalance.

Loss of trust and confidence in senior leaders.

So, ask yourself these questions:

How do employees become 'disconnected' in your workplace?

How does acknowledgement look or feel in your workplace?

What are your employees' top motivators?

Why do you stay in the job you are in?

What can you do to get and keep your emplyees connected and
motivated?

Putting it All Together

Ideas to Grow & Develop People

Managing performance more and more often means encouraging an

environment that enables individuals to manage their own
performance through learning and career options. Consider using one
of the following tools:

Performance Development Plan

This type of development plan is used for near-term improvement in
one to three performance areas.

Career Development Plan

This type of development plan is used to focus an individual's work
experience and training on long-term organizational needs and
personal interests.

Development Plans Assist With:

• Solving performance problems and turning difficult performance

discussions into positive action.
• Retaining high-potential individuals by identifying new challenges
and ongoing opportunities.
 • Preparing employees for promotions and other major new
responsibilities. Also helps employees adapt to organizational
change.
• Motivating employees to reach personal as well as professional
goals.
• Improving employee morale by focusing attention on the value
of individual contributions.
• Can be used to enhance and support succession planning within
an organization.

Activities to Consider When Developing Performance Plans:

Examples of activities employees could be involved in which could be

considered appropriate for employee skill development:

• On-the-job training, cross-training, job shadowing

• College course work or certificate programs
• Attending or participating in professional organizations
• Coaching or consulting
• Individual career counseling
• New employee orientation
• Working with or as a mentor
• Management development programs
• Attending teleconferences
• Internships
• Self-study or reading assignments
• Online learning projects
• Attend meetings for you or with you
• Participation in special projects
• Training classes

Good Performance Management Means . . .

• Establishing an environment conducive to excellence and the

creation of employee success
• Managing for performance

• Taking all opportunities to support individual and organizational

achievement and growth
You have completed the State of Idaho's Division of Professional-
Technical Education Performance Management Online Program. If you
would like a Certificate of Completion for this program, print,
complete, and mail this form. (Requires Adobe Acrobat Reader.)