Introduction One of the most significant contributors to an engaged workforce is the relationship between employees and their direct supervisors. This relationship influences our perceptions of the organization we work for, the work we do and how we feel about the impact of the work that we do. Countless studies in the public and private sectors demonstrate that when supervisors and their employees participate in meaningful One of the most significant conversations about goals and expectations, employees feel better, accomplish more and the contributors to an engaged overall performance within the organization is workforce is the relationship enhanced. As a supervisor, you are empowered to create and implement procedures that promote engagement on the teams you lead, and the city has confidence in your ability to do so!
between employees and their direct supervisors.
The suggestions and tools contained in this guide are designed to support you in your efforts. This is not a one-size-fits-all approach, but rather a resource you can use when designing your plan for building engagement and development, tracking performance, conducting conversations with your employees, and providing them with feedback.
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Performance Management As supervisors, our job is to help our employees reach peak performance. This involves embracing the true nature of how people engage in their work, create positive relationships with co-workers, and grow their talents as they contribute to the city’s success.
Components of Successful Performance Management Successful performance management involves incorporating four actions in our day-to-day lives via a partnership between employees and their supervisors: 1. 2. 3. 4.
Plan Coach Assess Recognize
By creating a plan, employees and supervisors work together to set goals and expectations and identify measures of success. These are documented and shared between the two of them. Once goals and expectations are clear, the supervisor provides continuous coaching and feedback through check-in meetings. When done well, check-in meetings allow the employee and the supervisor to discuss both what the employee is working on in alignment to goals (contribution) and what's personally important to the employee in their job (satisfaction). Assessment is a critical element of performance management. This doesn’t have to mean assigning a score or rating to your employee. It simple means you will inform your employees how they are meeting performance expectations, and provide appropriate, constructive feedback. Regular recognition is an important element of performance management. Employees need recognition to come in many different ways, depending on their personalities, styles and motivators.
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The table below shows how supervisors and employees share responsibilities in this process. There is shared accountability for the success of the working partnership and to keep performance management on track.
Supervisor
Partnership
Employee
Shared Accountability Plan Set performance goals and expectations – discuss and agree upon the “what and “how” Discuss employee’s goals, behaviors, satisfaction needs and check-in frequency Agree on success measures – determine what success looks like. Set completion dates for each goal Document goals and expectations for review later
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Coach Check-ins – use a coaching approach for frequent checkins
Assess Regularly make progress notes on goals and expectations
Get feedback – get input from multiple sources (employees internal/external customers, peers, reports, etc.) on the work they are doing and how it is being done
Review contributions – provide feedback on their work, how they get work done, timelines for completing work, and any shifting priorities throughout the year so employees know where they stand
Facilitate learning – discuss continual growth and progress toward goals
Recognize Recognize contributions – celebrate successes when contributions demonstrate excellence, solid dependability, extra effort and achievement
Focus on strengths – leverage and discuss strengths regularly for better results
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Plan: Goal Setting Establishing appropriate goals that support the team/division/department/city direction is critical to organizational alignment. Additionally, because we live in a dynamic world where business needs can change, it’s important to regularly evaluate those goals to make sure they are relevant. The goal setting process can then fuel productive discussion between a supervisor and their employee about performance and expectations. Assessment of goal performance/progress should be a part of regular check-in conversations.
Goal Setting Process 1. The employee and supervisor establish and agree on goals based on the employee’s performance priorities, supervisor’s expectations and business needs. Goals should provide clear direction and clarify expectations to guide the employee’s activities throughout the year. 2. The agreed upon goals are documented so they are clear to both the employee and the supervisor. 3. Both the employee and the supervisor the goals frequently to determine if they need to be updated to reflect changes in priorities or new information about customer needs. 4. As goals are completed, new ones are identified and the cycle is repeated.
Establishing Effective Goals The purpose of a goal is to ensure the employee is working on the right things (provides focus and meaning), and to ensure s/he is clear on the expectations for achievement (drives accountability). The City of Carlsbad practices the SMART goal method for establishing priorities. Specific: What will the employee do? Use action verbs like develop, execute, conduct, etc. Measurable: How will we gauge the success of our progress? What data? How much? How many? Achievable: Can it be done? Does the employee have the skills and the resources? Relevant: How does this goal align with our larger goals? Why is it important? Time bound: What is the time frame for accomplishing the goal? When setting goals, be careful to avoid these common pitfalls: 1. The goal is so broad and/or vague, it is difficult for the employee and/or the supervisor to pinpoint what it really means. 2. The goal is so detailed the employee feels micromanaged and/or unable to be innovative or creative.
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3. The goal is not measurable. Some things are harder to measure than others. All established goals should have an agreed upon mechanism for ensuring measurement and accountability. When setting goals, it may be helpful to refer to documents already in place to help communicate expectations about the desired level of performance for this employee. Examples include: 1. Job description 2. Notes from previous check-ins and/or development conversations 3. Mandates or regulations 4. Employee’s Individual Development Plan 5. Procedure manuals
Number of Goals Another important aspect of goal setting is to consider how many goals any employee has at one time. There is no absolute rule on this, so consider the level of challenge in the employee's goals, relative to their job and experience: Two or three large, challenging goals may be enough to keep the employee contributing at maximum levels. Tip: Make sure you are avoiding the pitfall of a goal that is so broad and/or vague that it cannot be clearly understood when or if it is achieved. The employee may have more goals if some of the goals describe a welldefined effort of moderate challenge that the employee could manage while working on other, more challenging tasks. It is the supervisor’s job to determine prioritization of the goals for all employees on his/her team.
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Coaching & Communication The Employee “Check-in”
Your connection to your employees is a key factor in developing and fueling engagement. For best results, dialogue between supervisors and their direct reports needs to be frequent and focused on coaching and feedback. One-on-one meetings (check-ins) should be conducted regularly for every employee, regardless of level or functional One-on-one meetings (check-ins) area. The following suggestions are designed to help you make the most of check-ins with your should be conducted regularly for employees.
every employee, regardless of level
1) Frequency
or functional area.
Studies have measured the impact of checkins on employee performance and found a clear correlation between frequency of check-ins and level of performance. Every supervisor and employee is empowered to decide how often they will meet to discuss the employee’s progress and performance. We strongly encourage supervisors to be generous in their approach and do their best to meet once a week or every other week. All of your team members need to have check-ins with their direct supervisors. This includes new staff, seasoned staff, managers and part-time staff. The topics you discuss may change, but setting aside time for each of them is key. These recommendations can be used as guideposts to determine how often to meet with each person: Size of your team: If you manage more than five people, it can be hard to have check-in meetings with everyone, every week. The larger your team, the less frequently you may be able to meet, but realize there will be more ground to cover each time, so schedule accordingly (a longer meeting). Familiarity with role: This is a very important factor. Employees in a new role or those with a new responsibility will need more help, coaching and guidance. Make time to meet with those on your team who are newly hired, recently promoted or placed in a new role, every week or two, even if everyone else has monthly check-ins. Adjust the frequency for each person as roles and comfort levels change. Your schedule: If you find that your own calendar and workload present a challenge with scheduling meetings with your employees, you may want to schedule fewer meetings for longer periods of time to allow for meaningful discussions. You can also tap into other modes of communication (e.g., texts, phone calls or emails) to supplement communication between meetings. You should, at a minimum, be meeting with everyone once a month. Otherwise, you could end up with a disengaged employee and not even know it — until it’s too late.
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2) Logistics Meeting length
This can vary depending upon the frequency with which you meet with your employee(s). It’s a good rule of thumb to set aside an hour. This allows time to really dig into topics, review progress, and provide feedback and praise. You can always end early, which is much easier to do than to try to juggle meetings scheduled too closely together. Do your best not to cancel: Canceling does more harm than good, and sends the message that your time with an employee is not a priority. If you are absolutely unable to keep your scheduled one-on-one time, reschedule to a new time…soon.
Location
Check-ins are best held in a private setting (avoid the “hallway” meeting). You can meet in your office, your employee’s office, a conference room, etc. Walking meetings are another great option. The key is to give you and your employee the time and privacy you need to cover meaningful ground.
3) Preparing your employee(s)
If this is new for you, let your employee(s) know about your plans and let them know what to expect. Make it clear that this is a meeting for them to talk about what’s going on in their world, to set goals and/or evaluate progress toward goals, to share feedback (both ways).
4) Content
This periodic check-in format is designed to foster employee engagement. It is a dynamic interaction that explores what the employee is contributing to the organization and the satisfaction s/he is experiencing on the job. This is not a one-way, looking backward review common to a traditional performance management approach. That approach does not work to accelerate performance and is counter to our culture of development. By ensuring that both aspects of our employees’ performance are included in the conversation (contribution and satisfaction), the check-in meeting becomes a pivotal part of engagement. This Discussion Guide for Check-ins is available as a resource.
Checking in on Contribution The “contribution” part of the conversation is a discussion that is often focused on recent accomplishments, issues or challenges the supervisor or employee would like to discuss, and work priorities. It can also include conversation about the employee’s behavioral expectations (e.g., problem-solving, taking action, helping others succeed, etc.)
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Note: During a new employee’s first 6 to 12 months, some goals may focus on learning new skills required to effectively perform work, learning software systems and applications, understanding operations and gaining technical information. Once an employee is up-to-speed on the skills needed to do his/her job, their goals will shift. Regularly scheduled check-ins will help you to know when to revise goals and establish new performance standards. There is no required format for this part of the conversation; it is often most effective when the supervisor takes a coaching approach by asking questions such as:
What are you working on? What’s going well? What isn’t? Are you on track to meet the deadline(s)? What support do you need from me or from others?
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Checking in on Satisfaction Engagement needs vary from person to person, with no two employees defining satisfaction exactly the same way. Satisfaction needs may include: doing more of a certain type of work, skill development, autonomy, opportunities for advancement, etc. As part of the check-in, supervisors are encouraged to ask questions that help an employee identify what they enjoy about their job, what they like least, what would help them to enhance satisfaction, and what professional aspirations they have. Here are some sample questions to help spark that conversation:
How are you enjoying this project? What’s worrying you right now? Are there skills you feel you’d like to develop that would help you improve your performance and/or results? Would you like more or less direction from me? Where do you see yourself in one year, two years, etc.? How can we work together to help you reach your goals?
Of course, there are many more questions you can ask to make the most of your check-ins with your employees. You may find it helpful to select a few questions from this list of Check in Conversation Questions, prior to talking with your employee. These questions are designed to foster a two-way dialogue and help you gain insight into your employee’s perspectives, while ensuring important subjects are covered.
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Development Discussions For many employees, career development is an essential part of their satisfaction. Without a sense of the possibilities for the future with the city, employees can easily disengage from their work. For benchmark purposes, consider meeting with your employees two to four times a year to discuss their career and professional development plans. This number is simply a suggestion; keep in mind that some employees may have less need to discuss development plans than others. Again, employees and supervisors are empowered to work together to set a pace that makes sense. The Human Resources Department offers training for employees to support them as they map out their professional development goals. If appropriate, you can encourage your employee(s) to attend Creating Your Own Individual Development Plan training (available through Lawson). In this training, participants will use the city’s Individual Development Plan Template and the SMART goal setting process to identify and detail their goals. As a rule, conversations about development and career planning require more time than regular one-on-one discussions. For planning purposes, if you are discussing professional development in a dedicated meeting (and not as part of a check-in), we suggest supervisors and employees allow 90 minutes. This Development Discussions Guide is available as a resource. When discussing professional development, supervisors often review the employee’s progress toward their development goals, offer suggestions, brainstorm about stretch assignments that would help to advance their goals, etc. Additionally, employees and supervisors are welcome to speak with the city’s Human Resources staff to discuss opportunities and advancement for development.
Can check-ins and development discussions be combined?
It’s up to you. Some supervisors prefer to schedule development conversations as stand-alone meetings, and others prefer to combine performance related conversations with development discussions. Much of this will depend on your employees and their development goals. For example, if an employee is working on a professional development goal that requires nearly daily action (e.g., getting a professional certification, participating in one of the academies, etc.), it may make sense to combine check-in and development discussions. Conversely, if an employee’s development plan is very long-term, you may want to allocate time to this topic once or twice a year, allowing adequate time to action plan, provide guidance, etc. The most important thing is for you, as a supervisor, to make sure both topics are covered with established regularity.
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Assessment Without “Ratings” In order to grow and develop, employees need to know how they are doing. Supervisors must be observant of both strengths and weaknesses in an employee's performance and they must share these observations in the form of feedback. It is critical to provide feedback so that an employee knows what is working well and what changes are needed. They need a sense of how they're doing – are they progressing well or do they need to correct course? Assessing an employee's performance without assigning a rating is not an arbitrary process. In fact, studies demonstrate that the absence of a rating encourages the supervisor and the employee to be more open with each other about performance. Instead, accountability is driven by the belief that every employee can and should perform at their best.
What to Assess When assessing an employee’s performance, there are a few key areas to consider. There are the job-related aspects that focus on progress toward goals and task completion. Another important area to consider is an employee’s interpersonal skills. Finally, supervisors need to provide coaching and feedback on an employee’s commitment to their own development. Again, when providing feedback to your employees, focus on the following: 1. Goal accomplishment: how the employee delivers (speed, volume and quality) on the expected and agreed upon contributions that have been communicated. Because most goals take time to achieve, and because progress is often incremental, consider the following: a. Progress toward a goal: If the employee has not yet accomplished a goal, it is important to assess their progress towards the goal. Are they keeping pace? Are they taking the right approach? Consider the schedule, thoroughness and approach. Should they do more or do less? Should they speed up or slow down? For example, are they moving fast, but missing needed depth? b. Accomplishment of a goal: Evaluate the degree to which the goal was achieved, including any specific nuance that was set as an expectation and documented. For example, the deliverable was completed on time, but meets only the bare minimum of quality or purpose and the employee is capable of producing a higher quality product. If an employee accomplished their goal with a high degree of quality, this is probably just a time for celebration and feedback on the employee's strengths! Don't go looking for the "one thing" they could have done differently.
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2. Interpersonal behavior: accomplishing great things typically takes teamwork. This is why we value healthy teams and employees who are great team players. Assessing an employee's impact on others is as important as evaluating his/her accomplishment of technical or business goals. Consider how the employee treats the people they work with (coworkers, customers, vendors, etc.) in the course of doing their job, every day. 3. Development: We take the development of all our employees very seriously and need each employee to take responsibility for identifying development opportunities and following through on those plans. Therefore, the supervisor should also assess the degree to which the employee followed through on development actions. Supervisors may consider how the employee benefited from development actions or if a lack of action is holding them back. Consider how the employee keeps learning, adapting and growing their talent to meet future challenges (refer to “Development Discussions� section of this guide for more information about this topic).
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Feedback: Praise and Correction Effective feedback is critical to employees’ growth and development; it helps us to know what we need to duplicate, what we need to practice and where we need to course correct. As a supervisor, one of your key responsibilities is to provide helpful, meaningful As a supervisor, one of your key feedback for your employees. There are many responsibilities is to provide approaches to giving and receiving feedback, and finding the method that works best for you and helpful, meaningful feedback for each of your employees can take time and your employees. experimentation. As a rule, feedback (both positive and corrective) is most effective when it is:
1) Specific
Whether praising an employee’s accomplishments, or working to correct a performance issue, specificity is key. By sharing detailed information about what you appreciated or what needs attention, you help employees maximize their performance. For example: “I appreciated how you listened to the resident talk about their renovation plans and then helped them to understand the requirements. You were very effective at helping them map out their plan and next steps.” is far more helpful than “great job!”
2) Frequent
Many people find giving feedback to be a challenge, and as a result, they avoid it. When this happens, employees are left to figure things on their own, which leads to performance gaps and lack of engagement. Feedback is helpful and necessary; it’s most effective when it’s offered on a consistent, continual basis. Practice giving feedback often; soon it will become natural and comfortable.
3) Goal/Outcome Related
It’s important that feedback be about the action (or lack of action) taken by your employee not about their intent or character. By keeping feedback focused on progress toward goals, you will provide actionable ideas for change.
4) Timely
Both positive and corrective feedback it best delivered immediately, while the employee’s actions and accomplishments are fresh and easy to recall. This helps to cement and internalize the information provided, creating a much bigger impact.
5) Two-Way
Feedback should be a dialogue, not a monologue. Be open to ideas from the employee as to how they might improve, or how they’d like to better utilize their natural talents. And set a good example by being open to their feedback about your approach, leadership style, communication, etc.
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Immediate Praise/Reassurance At the City of Carlsbad, staff participates in all kinds of group events, many that are open to the public (e.g., leading a meeting, making a presentation, speaking at Council meetings, hosting a public event, etc.). These arenas provide wonderful opportunities for staff to demonstrate and refine their skills related to public speaking, leadership, customer service, presentation preparation, problem solving, etc. For many, this comes with a certain degree of nervousness in both the preparation and delivery part of the process, and uncertainty after the fact (“I wonder how I did?” or “I have no idea how that was received.”). Take the initiative to provide immediate praise. Even if something didn’t go exactly as planned, commend what went well. Reassure the employee that you’ll help them evaluate lessons learned and how, together, we can make it even better next time. Something as simple as “Wow – you did a great job answering the group’s questions about ABC project” will go a very long way. If you’re unable to give praise in person, a text or call is great, too.
Ideal Ratio for Positive-to-Corrective Feedback
Positive and corrective feedback are powerful tools for guiding behavior. Positive feedback and praise encourage us to continue doing what we are doing well. Corrective feedback provides a warning signal that tells us to moderate or stop what we are doing and to course correct. There is overwhelming evidence that the ratio of positive-to-corrective feedback has tremendous impact on performance outcomes. Employees who are regularly recognized and praised for work well done consistently perform at high levels; they continue to do what they do well with even more passion, creativity and determination. Studies indicate that the ideal ratio for positive-to-corrective feedback is 6 to 1. As supervisors, we need to look for opportunities to provide six times as many positive comments (e.g., “That’s a great idea,” “You did an outstanding job preparing for this meeting. The agenda was clear and effective, and your facilitation kept things on track and productive,” etc.), for each corrective comment (e.g., “I don’t agree with that,” etc.). More information on delivering corrective feedback can be found in the following section.
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Corrective Feedback Although positive feedback is, as a rule, a much more effective “shaper” of human behavior, there are certainly times when we will need to share corrective or negative feedback with our employees. Negative feedback is important when an employee needs to (1) stop doing something or (2) start doing something they are not doing right away. Your delivery matters, because even the most well intentioned criticism can undermine self-confidence. The following model for delivering corrective feedback keeps the focus on the issue at hand and fuels productive, corrective action. 1. 2. 3. 4.
Begin with the expectation or standard and share why it is important Describe the performance gap Ask what the employee will do to bridge the gap and how you can help Set a date for follow-up to review progress
The “Start, Stop, Continue” Model for Feedback
Another effective option for feedback is the "start-stop-continue" model, which involves the following: Discuss what the employee should start doing. Is the employee overlooking an action that he/she should be doing for greater success in a current initiative? Is there an opportunity for the employee to apply a strength for greater effect than they are having today? Discuss what the employee should stop doing. Which of the employee's behaviors are not having the intended impact? What is the employee not doing well and should be redirected before it results in a missed milestone or failed task/project? Discuss what the employee should continue doing. What is the employee doing well and how are they on track for success? Which of the employee's behaviors are contributing to healthy, collaborative relationships?
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Leveraging “Debriefs” Project debriefs or retrospectives are another excellent avenue for sharing both praise and corrective feedback. These can be conducted at the end of a project or at the end of each phase of a multiphase project. During the debrief, the project team discusses what went well and what could be done better next time. The ultimate goal is “lessons learned” — a set of actionable ideas for improving the next project. This is a valuable tool for continuous improvement. A “Discussion Guide for Debriefs” can be accessed through this link and found on the intranet.
The Importance of Practice
Reading about techniques for feedback is not enough. Supervisors and employees are encouraged to participate in training and practice exercises to develop skills for giving and receiving feedback. Different things work in different situations and for different individuals, so implementing a variety of feedback tools is an important part of your role as a supervisor.
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What to Document Goals and Goal Adjustments
Clear expectations are a key component of high performance. Employees who understand what their supervisor expects them to accomplish have the context to make good decisions about how to spend their time.
Goal Accomplishment
This confirms that the work has been done. It’s best to document this at the time of completion.
Highlights from Check-in Conversations
Documenting every check-in conversation is not required (and likely not possible!). Employees and supervisors are encouraged to document their conversations in a way that fuels the on-going partnership. Documentation should provide easy reference to important performance and/or project updates.
Highlights from Development Conversations
Documenting your development oriented conversations with your employees will make it easy for you to follow up on progress. By noting key professional development milestones the employee has targeted, you will be in a great position to monitor progress, celebrate achievements, and provide encouragement. Note: If you choose to document your discussions keep in mind your written documentation must be consistent with what you actually said.
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How to Document The depth and quality of documentation must be consistent for every employee on the supervisor’s team. This fosters fairness and consistency, both of which are key to an engaged workforce. Supervisors have the latitude to use the documentation framework that best supports their engagement goals. There are templates available on the city’s intranet to assist you with documentation of both types of conversations. The Individual Development Plan Template provides an outline for employees to formulate a plan for continued professional growth and development. Beginning with a solid written plan will provide a clear understanding of what is important to the employee for their continued professional growth and development. Supervisors should provide input and guidance for employees as they create this plan. The template also serves an excellent reference and documentation tool. The Work Goals/Priorities Template provides an outline for supervisors and employees to establish 3 to 5 performance goals/priorities, set deadlines, and define milestones and measures of success. The supervisor and the employee will then engage in regular, ongoing, and timely dialogues that focus on achieving the targeted outcomes, overcoming obstacles and challenges, and finding solutions for forward movement. Both the Individual Development Plan and Work Goals/Priorities templates are tools to be used to generate an open dialogue between the supervisor and the employee. These templates provide an opportunity for the supervisor and the employee to engage in a collaborative and productive conversation about the employee’s professional growth and development, meeting expectations and achieving goals. The Individual Development Plan Template and the “Work Goals/Priorities Template” can be found in the Human Resources section of the intranet.
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Performance Concerns Sometimes, employees may have trouble meeting expectations and achieving goals. In these instances, your check-ins should focus on getting back on track. During the conversation: Clearly identify performance concerns and the impact to the team and overall organization Provide key points of feedback on the employee's performance Discuss the expected performance and measures of success Concentrate on actionable next steps for improvement Identify time frames for improving performance Establish a plan for follow-up
When to Contact Human Resources
There are times when these actions are not enough to bring an employee to an acceptable level of performance. In this case, Human Resources is available to assist you with developing a Performance Improvement Plan that will provide clear guidance to the employee with meeting the expectations of their job. When supervisors identify employees with low performance, they are encouraged to contact Human Resources. Human Resources collaborates with the supervisor on the employee's low performance and next steps. A supervisor must consult with Human Resources prior to any formal performance related discipline.
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More Tools and Resources This guide is one of many resources available to help supervisors coach employees and develop their teams. Additional tools include training (both on and off-site), a variety of templates and discussion guides designed to fuel strong communication, and media resources. Human Resources is committed to supporting the dynamic needs of our organization. As new needs arise, additional resources will be developed to address those needs. Check out the Human Resources page of the intranet on a regular basis for updates.
On-site Training
A wide variety of training classes for city staff is available on-site. For course descriptions, please reference the current Carlsbad Academy Catalog. To see what is currently being offered and to sign up for training, please visit the My Paycheck portal.
Academies Public Management Academy
Designed for mid-level managers. Includes topics such as Leadership, Strategic Thinking, Issues Facing the Region; Managing Change; Power and Politics; High Performing Teams, Planning for Community Engagement; Critical Thinking & Innovative Problem Solving; Decision-Making; and Career Management.
Regional Supervisors’ Academy
Designed for first and second-line supervisors, and those who lead front-line employees. Includes topics such as Communication and Conflict Resolution; Working with Different Generations; Advanced Coaching and Influencing Others; and Facilitation and Meeting Effectiveness. If you have questions about the training options available, please contact Human Resources and speak with the training coordinator.
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Tools Index A variety of templates and discussion guides has been developed to help you build engagement on your teams. Please check out the Human Resources section of the intranet to access these tools. The following is a list (with links) of all of the tools and templates referenced in this guide. Discussion Guide Check-ins Check-in Conversation Questions Individual Development Plan Template Development Discussions Guide Discussion Guide for Debriefs Work Goals/Priorities Template My Paycheck employee development
Media
Learning tools and support are available in many formats. In addition to the templates and guides outlined above, there are videos, skill-specific articles, suggested blogs, and books available for staff.
Videos
Now on the Human Resources page of the city intranet is a series of videos to help understand and manage employee engagement and how to have development conversations.
Leadership Library
The Community & Economic Development Department maintains a collection of top selling leadership books available to share. The collection is located at Faraday, next to room 150. Drop by and use the self-serve checkout process any time.
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