SECTION 20.15 DEFINING THE PROBLEM
Last Update: 9/03
Regardless of the quality or quantity of supervision an
employee receives, occasionally he or she will not meet performance
expectations. The appropriate strategy
for dealing with the problem depends on the correct identification of the
cause.
If the employee is not performing job duties at an
acceptable level, after successfully completing job training, then the problem
is a failure to meet performance expectations.
If an employee is meeting job expectations but is breaking
established rules governing behavior, then the problem is an issue of
misconduct.
If the employee is unable to meet job expectations, but is behaving in accordance with work rules, then the problem may be one of inability to perform the essential functions of the job.
1.
Gather
information to define the performance problem:
· Review the employee’s current Position Description Questionnaire (PDQ), essential functions of the position and the Performance Evaluation (PE). If any job classification issues arise, consult with upper level management and your DAS-HRE personnel officer.
·
Review
the employee’s file to determine if there have been previous performance
problems.
· Review training records including Personnel Development Seminars, On-The-Job training, outside training and formal education to determine if the employee has had the proper education and training to perform the essential functions.
·
Review
the document on how the employee is failing to meet performance expectations.
· Review this information with your supervisor and personnel officer in order to verify your perceptions, provide for consistency, secure additional information regarding agency past practice or policies and work rules, and statewide impact.
2.
Consider
what your options are for corrective action and discuss with upper level
management and your DAS-HRE personnel officer.
Options may include:
·
Additional
training
·
EAP
(Refer to Chapter 9 “Employee Problems”)
·
Supervisory
coaching of employee
·
Reassignment
(must be discussed with personnel officer)
· Demotion (voluntary or involuntary)
·
Leaves
of absence
·
Supervisory
performance directive
·
Special
performance review
·
Review
current work rules or policies
·
Applicability
of ADA, if so go to Section III
·
Terminate
employee during probationary period
·
Ergonomic/Environmental
Review
·
Disciplinary
Action (Refer to Chapter 11 “Discipline, Grievances and Appeals”)
In preparation for your meeting with the employee, it would be helpful to understand the difference between employee coaching and counseling.
Employee coaching is defined as “A directive process by a supervisor to train and orient an employee to the realities of the workplace and to help the employee remove barriers to optimum work performance.” *
Counseling is defined as “A supportive process by a supervisor to help an employee define and work through personal problems that affect job performance.” *
A supervisor’s responsibility is to coach employees, not counsel. Coaching employees should be limited to work related issues, not personal problems. Supervisors should not engage in things a licensed professional should do. Personal problems that are perceived as affecting performance should be referred to the IEAP Coordinator 515-281-8866. (Refer to Chapter 9 “Employee Problems”). Several PDS courses are available to address employee coaching and counseling (refer to the current PDS catalog for training options).
3.
Meet
with Employee:
·
Meet
with the employee to be sure expectations are defined so that the desired
results are clearly stated and understood.
·
Explain
performance deficiencies.
·
Obtain
employee input regarding causes of job performance deficiencies as well as
solutions.
·
Look
for causes and/or mitigating circumstances along with possibilities for
agreement.
·
Work
together to develop a corrective plan and performance review schedule as
appropriate.
·
Discuss
scheduled follow-up meetings and evaluations as appropriate, and adhere to
schedule.
·
Document
the meeting and provide the employee with a copy.
·
Keep
documentation on employee’s progress, positive or negative.
4.
Follow-Up
·
If the
problem has been resolved provide, feedback to employee and continue to monitor
and discuss employee performance.
·
If
performance problems continue, reconsider options and call your DAS-HRE
personnel officer for additional guidance and input.
1.
Gather
information
·
Review
the Performance Evaluation (PE) in order to verify that the employee was aware
of what was expected regarding rules and policies. Resolve any vague statements of expectations.
· Review the employee’s file to ensure employee signoff of applicable work rules to determine if there have been previous violations of rules or polices.
· Review training records, including Personnel Development Seminars, On-The-Job training, outside training and formal education to determine if the employee has had the proper education and training.
·
Document
employee’s behavior.
·
Review
the information with your supervisor and personnel officer in order to verify
your perceptions, provide for consistency, secure additional information
regarding agency past practice or policies, and work rules statewide impact,
and that elements of just cause are met if appropriate.
2.
Consider
what your options are for corrective action and discuss with upper level
management and your DAS-HRE personnel officer.
Options may include:
·
Additional
training
·
EAP
·
Supervisory
coaching of employee
·
Disciplinary
Action (Refer to Chapter 11) “Discipline, Grievances and Appeals”)
·
Reassignment
·
Demotion
(voluntary or involuntary)
·
Leaves
of absence
·
Supervisory
performance directive
·
Review
applicable policies and work rules for appropriateness
1.
Gather
information
·
Determine
whether the employee can perform the knowledges, skills and abilities
(competencies) and essential functions of the position to determine whether
additional training is needed, if a disability as defined under the ADA may
impair the employee from performing the essential functions, or if the employee
does not possess the competencies to perform the essential functions.
·
If it
is determined that the employee has a certified disability as defined under the
ADA, discuss any reasonable accommodations which may be necessary for the
employee to perform the essential functions.
·
If an
accommodation is needed refer to Chapter 4.66 of the Managers and Supervisors
Manual.
·
The
employee may have a temporary disability (i.e. pregnancy, broken leg, side
effects from medications, surgeries, etc.) where you will need to make some
modifications or adjustments to the individual’s work schedule and job, for
example: flexible hours, change of duty stations, temporary assignment of other
duties, light duty as defined by Workers’ Compensation.
2.
Meet
with Employee:
·
Meet
with the employee to be sure expectations are defined so that the desired
results are clearly stated and understood.
·
Explain
performance deficiencies.
·
Obtain
employee input regarding causes of job performance deficiencies as well as
solutions.
·
Look
for causes and/or mitigating circumstances along with possibilities for
agreement.
·
Work
together to develop a corrective plan and performance review schedule as
appropriate.
·
Discuss
scheduled follow-up meetings and evaluations as appropriate, and adhere to
schedule.
·
Document
the meeting and provide the employee with a copy.
·
Keep
documentation on employee’s progress, positive or negative.
3.
Follow-Up:
·
If the
problem has been resolved provide feedback to employee and continue to monitor
and discuss employee performance.
·
If
performance problems continue, reconsider options and call your DAS-HRE
personnel officer for additional guidance and input.
Throughout this process apprise your upper level management and your DAS-HRE personnel officer.
* Coaching and Counseling (A
Practical Guide for Managers) by Marianne Minor