Performance Management
A Systematic Method for Managers
Gary Ellis PhD
A challenge for managers is how to manage the performance of their reports in a consistent, effective, and defensible way. The key to success of any organization in meeting its mission is not only the quality of the people but also how they are led, supervised, directed, communicated with, and how we measure success. Early in my working career I was introduced to a performance management system (Figure 1, Endnote 1) that I have used up and through the senior ranks of policing and also outside of policing in senior executive positions in business and education.
My hope is that a short overview of this process will help managers more effectively motivate and build their teams and avoid the sometimes nasty and demotivating grievance processes that are all too common. The performance of individuals is a direct reflection and indication of the health of an organization. All efforts need to be made to have constant improvement and understanding of what is expected in each individual’s performance.
I have used this process to counsel employees, connect organizational priorities to employee performance, obtain assistance for troubled staff members, review misconduct cases, implement progressive discipline, testify in arbitrations, and teach managers how to hold employees responsible and accountable for their performance.
Reproduced with Permission.
It is essential that a supervisor needs to realize the importance of recording each stage of the performance management process. Documentation to ensure effective follow-up and understanding with the employee as well as to withstand the scrutiny of external review must be done.
Stage 1:
Your employees will be lost without clear view of where the organization is going. It is managements responsibility to ensure that employees are clear about what is expected from them in their roles. A clear and specific conversation to ensure an employee is clear about what is expected must take place. This should start with being clear about the values, ethics, goals, and mission of the organization and the objectives that are undertaken to meet these. Then it should be clear where the employees work area and position fit into this overall picture.
Stage: 2
Your employees need to know precisely what is expected from them. Too often it is left to ‘common sense’ to dictate where the employee will fit in and then there is disappointment when the managers expectations are not being met. The differing generations have a different understanding of ‘common sense’ and unless expectations are clear, very often there will be disappointment. The acronym S.M.A.R.T. is handy when communicating what you want the employee to do. You have to be Specific about what you want them to do and that should Measurable. The task needs to be Attainable and Reasonable according to their resources, training and the work environment. There also must be Timelines for review and measurement to ensure that the expectations are being met or to correct issues in meeting the expectations.
Stage: 3
Your need to ensure that the standards are communicated is such a way that they are understood. This is done verbally, followed up in writing, supported by ensuring they have reviewed the rules, policy and procedures. Mentoring and training to support the employee and monitoring and testing for understanding is important. If it cannot be established that the standards were communicated and understood, action for substandard performance will be undermined.
Stage: 4-5
Ensure training and resources are sufficient for the employee to meet the expectations. The employee needs the right tools and the training to ensure that they can do the job. Too often it is assumed that the employee will figure it out or catch on (on the job training) that might be valid, but this needs to be intentional in ensuring the employee is learning the job. If you are asking an employee to do a job without the right tools, tools that are not sufficient, or the lack of knowledge in how to use the tools. This will negatively affect their performance and set them up for failure.
Stage: 6
Measure performance based on organizational thresholds and the Stage:2 employee expectations. In preparation for the performance interview, the manager should gather all the evidence-based data that they can to measure the performance of the employee. This should also include things outside of the employees’ control that might have affected performance. It is at this stage that a review of Stage-2 expectations might reveal missed expectations that were not communicated that will need to be rectified. Preparation for the performance interview with specific examples of praise and areas of needed improvement are of paramount importance. The credibility of the manager supported by strong preparation is essential to the importance that the employee will give to the feedback that they receive.
Stage: 7
Evaluate progress and give clear and specific feedback. The performance review should a positive experience of feedback and identifying areas for improvement and/or development. If the employee is meeting the prescribed expectations and standards, then the manger can return to Stage 1 and Stage 2 conversations regarding the organization and expectations going forward. If performance standards are not being met and it is reasonably determined that it was outside the employees’ control, then the manager should start over at Stage 1. If this is not the case, then the problem-solving stage needs to be implemented.
Stage:8
This problem-solving stage takes a lot of care and due diligence by the manager to ensure that the reasons for not achieving the performance standard are understood and dealt with according to established workplace rules and procedures, labour laws, and established union working agreements. There is a great deal of time, effort, and cost to recruiting and onboarding new employees. Reasons an employee is not meeting the performance expectations should be thoroughly investigated, clearly documented, and understood before taking disciplinary action. Probationary periods give some leeway to employers in removing unsuitable employees from a position, but my experience is that if it is not wilful non-compliance or total incompetence, an employee can be redirected to be a productive and good employee. If a cause or causes can be identified, then corrective action can be taken.
The Analysis of Sub-Standard Performance
Using the data and information gathered in Stage:6 the manager needs to prepare for the employee performance interview. The manager should approach the performance review as a developmental problem-solving task and not necessarily one of misconduct. If misconduct is demonstrably obvious, Stage: 10 (Discipline) is to be considered by passing the other steps. In preparing the interview the manager should be prepared to be very specific and provide evidence of where the performance stands have not been met. Documentation that gives performance data needs to be obtained as well as examples of the work the person has done. The gathering of data should also include evidence of positive performance to demonstrate a positive and non-biased position.
The Sub-Standard Performance Interview
Depending on the organization the employee may have rights to have someone present and this must be respected. If there are concerns about the employee making allegations it may be appropriate for the manager to also have another supervisor present. It is important that the interview be done in private and again the details recorded thoroughly. After giving an introduction about what the performance review is about and ensuring the employee understands the importance, the manager should use the interview to determine the reason and solutions to improve performance. Being detailed and specific and reviewing the notes and materials with the employee as to their understanding of what was expected from them can be very revealing and might get to the source of the problem. It is suggested that pursuing a discussion with the employee to determine in what area (s) in Stage: 8 A to F the problem (s) are and then to purposely act to correct those problems.
The discussion should begin with reviewing Stage:2 with the employee and the performance standards as in Stage:3 need to be restated to ensure there is full understanding of what is expected. It may turn out that the bad performance exists because the expectations of the organizational and individual performance standards are not understood. It may very well be determined that the person does not have the sufficient training or knowledge to meet the performance standard or does not have the resources or tools to get the job done. Or the employee may have issues that create inadequacies that impede their ability to meet the standards. These can include physical and health issues, cognitive issues, emotional and mental health, or other barriers to success. If any of these exist getting the employee, the right training and resources to do the job, or getting the supports to needed may be the answer to improving the performance. In all the above cases specific strategies have to be put in place with increased supervision and regular review of the employees activities to ensure performance improvement.
When there is a good understanding of why the employee is not meeting the performance standard it is imperative that a plan be put in place that is clearly determines and clarifies the objectives. In this process expectations need to be specifically stated, documented, agreed, to; and they also must be specific, measurable, attainable reasonable, and can be achieved in a stated time. This is in fact starting the next cycle of the performance from Stage 1. This cycle can be repeated until the performance standard is reached.
Employee Inadequacy/Employee Misconduct (Stage 9, 10)
If the performance standard cannot be reached despite all of the efforts of the manager to follow this process, then the manager has a strong and defensible position to consider steps to remove the employee because it has been established that they just cannot do what is required (Stage E) or consider discipline (Stage F) following the organizations discipline policies. This may include eventual dismissal if the progressive discipline policy requirements of the organization are met. If all of the steps of performance management have been followed, documented with evidence of clear feedback and support for the employee; then a strong defensible management position can be taken for strong action.
Conclusion
Good employees are any organizations strongest asset. Recruiting employees is a costly intensive process and when they are hired every effort need be made to ensure that the knowledge, skills, and attitudes that were identified be leveraged and patiently be developed. Retaining good employees is also a challenge and a consistent, fair and transparent system will improve morale and identify good employees and any issues with others.
It is important that this process be followed for all employees to overcome any allegation of bias and for the ‘good’ workers to realize that they are being noticed and those not measuring up are being identified. Following all of these 10 steps for performance management will either lead to improving the performance of your employee or clearly identifying employees who are unsuitable for the position.
In my several careers I have found that by following this performance management system I have been fortunate to be rewarded with high performing teams, have had no oversight criticism or successful grievances with those few that did not make the standard and the discipline or dismissal path was taken.
Endnotes
- Richard Coulis and Charles Lawrence, “Performance Management” (presentation, Toronto Police College Supervisors Course, Toronto, Ontario, Canada, 1986).
- Gary Ellis PH.D., and Anthony H. Normore Ph.D., “Performance Management Strategies for Effective Leadership: An Accountability Process”. FBI Law Enforcement Bulletin February 2015