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!

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

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.

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.

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.

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.

Go to Step 4: Appraising Performance >>