Supervising Employees: Supervising

Tips!
As a businessperson on the go climbing the career ladder, you will very often find
yourself working as a supervisor.
Here are several guidelines you can follow to make sure your team does a top-
quality job:
• Define precisely what needs to be done to complete the project. Have clear goals
in mind yourself even if you want your employees to come up with goals as a team.
• Find the right people. Look carefully at their past experience, performance and
present capabilities. Check references. Be clear about your needs and expectations.
If you are on a tight deadline, make it clear. Get a feel if your team works well under
time pressure.
• Don't assume people know what you want done. Just because people are good at
what they do doesn't mean they know what you need. Be specific. Have everything
written down in as much detail as possible. Have checkpoints built into the project.
Review progress as you go along instead of waiting until the end.
• Be clear about what you expect and when you expect it. If work isn't done
properly, be clear about what happens next. Have an explicit policy on how to
handle mistakes and substandard work.
• Be considerate and respectful to the people you supervise at all times. People go
out of their way to do a good job when they are appreciated. Reward good work
with recognition and praise -- always praise more than you criticize.
Follow the golden rule of treating people the way you want to be treated and
you will be a great supervisor.

Employee evaluation or appraisal is a primitive administrative art that is

considered by many to be a dirty job, as it involves one person judging
another, which always leaves a sense of dissatisfaction and a doubt whether it
is a foolproof method. However, it is done by each and every company, big
and small, as it is essential for the growth of the company. In some companies,
it is documented as a proper appraisal system; whereas, in others it is done
informally.

The evaluation systems should be designed in such a way that they lessen any
bias on employees. There is no one method that is better than another and it all
depends on individual organizational setting. A method most suitable for one
may spell disaster to another.

Reason for Evaluation

There are several reasons why employee evaluation is done. It is done to see if
an employee deserves a change in position or compensation, to determine if an
employee is performing well during training, to see if an employee needs to be
terminated or just as part of a continuous research on personnel that many
companies conduct.

Who is evaluating?

The next step is to determine who is going to perform this evaluation on a

regular basis. This is based on the kind of information that is sought and it
may involve one or more people. It is also a good idea to have the customers
and co-workers provide evaluation, as well as the employees themselves
evaluating their performance. This way all angles are taken care of and the
evaluation is bound to be more comprehensive.

Methods Of Evaluation
A comprehensive evaluation includes one that focuses on the employees’
traits, behavior and results; although some organizations focus on any one or
two of these traits.

Trait-focused: In an evaluation system where the focus is on the traits of the

employee; the punctuality, discipline, helpfulness and dependability among
other traits are looked at. Many experts are of the opinion that this is a very
biased evaluation related to circumstances. It has also been found that the
accuracy of this type of evaluation is low and it is advised that this form of
evaluation be used to supplement other types of evaluation.

Behavior-focused: This entails focusing on the behavior of the employees.

This actually entails looking at what each employee does, whether an
employee is performing in an appropriate manner in the company or if any
inappropriate behavior is noted. This trait is rated from poor to excellent on
the rating scale. It shows in which areas an employee excels and the areas they
will have to work on.

Result-focused: The last but the best form of evaluation is the one that
focuses on the performance of an employee. It shows what each employee has
accomplished in their jobs. This is the most commonly used employee
evaluation tool that helps in gauging the employees’ contribution to the
company. It entails evaluating the quantity of work done, quality of work
done, attendance and employee safety. Towards this end, production reports
are created on a daily basis and the evaluation, whether it is monthly or
quarterly or yearly is based on facts and figures from these reports. The safety
incident reports, safety evaluation reports, quality reports and attendance
reports are checked. In many companies, interviews with the employee’s
supervisor, co-workers, customers as well as the employees themselves are
conducted.

Informing The Employees

Once the employee evaluation system is in place, employees should be

intimated as to the way they are going to be evaluated. There should be no
surprises in store for them and they should know everything the management
is planning. This encourages employees to show better results, which is what
any company should be looking at. If some employee fails to live up to the
mark in spite of having been told about the evaluation, the employer has a
legal right to terminate or take disciplinary measures.

The Actual Employee Evaluation

Once the employees are informed, the next thing to do is to put the system into
practice. Employee evaluation cannot be a quick process. It is a continuous
process and the results taken either every month, 3 months, 6 months or yearly
depending on the company. This evaluation helps with any administrative
decisions, such as hiring, promotion, rises and firing.

These evaluation reports should consist of both positive and negative aspects
of an employee’s performance and critical incidents involving the employees
should be logged separately.Discussing the evaluation

This is done with the employees themselves and they should be given a clear
picture of their performance and some companies even give a small evaluation
report to the employees. They even have a self-appraisal form that the
employee fills up, which may reveal crucial points from the employee’s
perspective that the management may have not noticed.
As long as the evaluation reports do not contain remarks, such as “She is
God’s gift to the company and the company survive without her” or “He has
fallen so low with his performance, he is digging his own grave,” employee
evaluation helps a company improve by having good reliable employees as
well as maintaining a good employer-employee relationship.

Instructions

things you'll need:

• Knowledge of employee's job requirements
• Record of classes / training attended throughout the year
• Attendance records
• Productivity reports
• Previous year's performance review

1PERFORMANCE CRITERIA AMBITION / INITIATIVE - Does employee

demonstrate ambition in the position (not to move out of it, but to perform it)
and take initiative to improve the process, product, or overall work
environment?

2ATTENDANCE - Has the employee's attendance (even within company

guidelines) had a negative impact on the department productivity or morale?
Has the employee's attendance been exemplary?

3ATTITUDE / COOPERATION - What is the employee's attitude towards

you, towards peers, towards the work in general? Is he or she a pleasure or a
chore to work with? Is the employee reasonably flexible when asked to
perform a job function outside his or her normal duties, or to work outside his
or her normal hours for a special project?

4COMMUNICATION SKILLS - Does the employee have the ability to

adequately communicate with peers, managers, and customers? Have there
been any issues created, or solved, due to the employee's communication
skills?

5DEPARTMENT AND COMPANY ORIENTED - Does the employee have

a broader view and deeper understanding than simply his or her own duties?
Does he or she speak of the department or company with pride?

6FOCUS - Is the employee able to maintain focus on the task at hand? Does
he or she have difficulty prioritizing job duties above personal business or
socializing with other employees?

7IMPROVEMENT FROM PREVIOUS EVALUATION - Has the employee

demonstrated marked improvement from the previous performance
evaluation?

8INTEGRITY - Does the employee demonstrate ethical behavior in the

workplace? Does he or she respect the privacy of other employees and of
customers?

9KNOWS WHEN TO ASK - Is the employee able to differentiate between

independence and arrogance in the performance of job duties? Does he or she
know when to ask a question rather than simply making a guess and moving
on?

10LEVEL OF TECHNICAL KNOWLEDGE - Does the employee have

and demonstrate an acceptable level of technical knowledge to perform his or
her job duties?

11PRODUCTIVITY / DEADLINES - Is the employee able to consistently

meet productivity requirements and project deadlines?

12QUALITY OF WORK - Has there been positive or negative feedback

from customers regarding the quality of the employee's work? What have you
observed regarding the employee's work quality?

13RELIABILITY / GO-TO PERSON - Is the employee reliable? Does he

or she consistently demonstrate competence and dependability? Is he or she
your "go-to" person?

14STRESS MANAGEMENT - How does the employee deal with changes

in the work environment? Is he or she able to sift through the "noise" and
focus on breaking down the task at hand in order to complete it on time? How
does the employee interact with other members of the department when
tensions are high?

15TEAMWORK / PITCHING IN - If the department is short-handed, does

the employee willingly pitch in to finish tasks assigned to others in the
department as appropriate? Does the employee volunteer to assist?

16PERFORMANCE LEVELS1) Needs Improvement - Employee has not

fully mastered the requirements of the job or is not able to perform in a way
that reflects understanding of the job duties. Needs additional training or
practice to meet standards.2) Minimally Acceptable - Employee meets some
of the essential functions, but has not demonstrated mastery of all job
requirements.3) Meets Standards - Employee has little or no difficulty
applying the technical/knowledge requirements of the position to perform in a
fully competent manner.4) Exceeds Standards - Employee often exceeds
standards in some aspects of the job, and fully and consistently meets
standards in all remaining aspects.5) Outstanding - Employee possesses and
applies a depth of job knowledge that makes the job look easy. Continually
enhances knowledge and skills through self-study and structured training.
Mentors other employees, as appropriate.
MEET REGULARLYIn order to perform well, employees must be aware of
what is expected of them. As a manager, it's critical to meet regularly with
employees in your charge to discuss job requirements and standards.
Additionally, you should discuss progress toward objectives and goals that
you have worked with the employee to set for the year. Although you may
speak on an informal basis daily, it will be helpful to you and your employee
if you meet officially on at least a quarterly basis.

KEEP NOTESA as a supervisor or manager, it is your job to be aware of

performance achievements and deficiencies throughout the year. Don't
evaluate the employee on the last month's work. Instead, take into
consideration performance since the previous review. Keep notes throughout
the year. Store them electronically and password protect them for privacy.
When the time comes to write the employee evaluation, your notes will make
your job much easier.

GIVE EXAMPLES Along with the notes you take during the year regarding
exemplary or less than adequate performance, you must also be able to give
specific examples. Keep copies of samples of work that you want to
remember, or refer to specific conduct or incidents in your notes.

BE OBJECTIVE Supervisors are human just like everyone else, but it's
important when writing an employee evaluation to put aside personality
differences and focus on performance. If the employee is particularly key in
bringing a group together, or if he is divisive or disruptive, these details
should be discussed and noted throughout the year.

NOTE STRENGTHS and AREAS THAT REQUIRE IMPROVEMENT

Discuss the employee's strengths in the position. Counting on the notes you
have made throughout the year, list areas that could use improvement, and
suggest ways to strengthen those areas (more training, mentoring,
proofreading work, etc.).
GIVE THE EVALUATION The final step in the evaluation process is the
conversation itself. Don't rush through. Allow at least 30 minutes, even it it
generally takes less time. Make sure that the employee understands each
aspect of the performance review. Answer questions as honestly and
thoroughly as possible. Finally, agree upon next steps for which each of you
are responsible.

Principle:
 

As a supervisor, it is most important to establish performance requirements for each employee, and
manage employee performance. Performance appraisal ratings are very important to the career of a
Federal civil service employee. They are used in a variety of critically important ways. For
example, performance ratings have an impact during a reduction-in-force (RIF). A performance
rating is also a factor in making promotion selections and in determining who will receive a
performance award. A performance rating provides a basis for taking adverse action because of
poor performance, which can mean a reduction in grade or even removal from Federal service. In
short, the performance rating that you give an employee can have a major impact on the employee's
career. Further, employees have a right to know how they are performing. Consequently,
establishing performance requirements, and appraising employee performance is a job that must be
taken seriously. See specific guidance under Performance Management.
 

Where Do I Start?
 

Performance requirements must be stated in a performance plan tailored to each employee's position
and work assignments. Since all employees are required by Government-wide regulation to have a
performance plan, plans may already exist for the positions in your organization. However, even if
plans do exist, they need to be reviewed and reissued every year even if no changes are necessary.
 

If there is no previously established plan, work with your human resources management specialist
who can help you develop a plan, often by drawing on existing performance plans for similar
positions elsewhere in the organization.
 

Since this document is meant to clarify for both you and the employee the work to be accomplished
for the year, obtain as much input from the employee as possible. Greater employee input leads to
greater employee "buy in" of the goals and tasks to be accomplished. Some organizations have
specific or suggested procedures contained in policy issuances or collective bargaining unit
agreements that provide guidance on obtaining employee input. Check with your SHRO to see if
any exist for your organization.
 

Rules and Flexibilities:

 

Government-wide requirements and USDA policy provide that employees should be rated on an
annual basis. The results of the appraisal process are to be used as a basis for training, rewarding,
reassigning, promoting, reducing in grade, retaining, or removing employees. Employees must
perform their duties under established performance elements and standards for a minimum period of
time before they may be evaluated. USDA agencies have some flexibility to set this minimum time,
but under no circumstances can it be less than 60 days. Timeframes can also be negotiated and
included in the collective bargaining unit agreement. The standard time frame in FFAS agencies is
generally 90 days but check with your SHRO to see what the minimum time is for your agency in
your location Also see specific guidance under Performance Management.
 

Basic Steps:
 

• Identify the major responsibilities of the position known as performance elements. (See
"Glossary"). Generally, two to five performance elements are appropriate. Some agencies
have generic and/or required elements for you to use or adapt.
 

1. Determine which performance elements are so important that unacceptable performance in one of
those elements would constitute overall unacceptable performance by the employee. Those
elements are considered "critical." Some critical elements may be required. For example,
the Department may require that a diversity element is required for all SES and
management and supervisory employees. Check with your SHRO for any requirements in
your organization.
 

◦ Develop or review existing performance requirements (known as performance standards) for

each element. These describe how well an employee must accomplish each performance
element in terms of quality, quantity, manner of performance and timeliness. In USDA, for
non-SES employees, agencies are authorized to have performance standards at either five or
two rating levels. For agencies using five rating levels, the standards are generic and cannot
be changed. However, a manager may supplement them with more specific standards.
Agencies using two rating levels have developed generic standards tailored to their own
unique appraisal systems. Some of these latter agencies allow for supplemental standards.
Consult with your SHRO to see which system your agency uses.
 

◦ Communicate final performance elements and standards (performance plans) to each employee.
Ensure that you and your employee understand what is expected and the procedures of the
appraisal process. The plan must be signed (maybe electronic in some agencies) by both the
manager and employee, even if it has not changed from the last appraisal cycle. In most
agencies, plans also must be approved by the second-level supervisor.
 

◦ Plans should be provided to employees within 30 days of the beginning of the appraisal period, or
within 30 days after transferring into a new position.
 

◦ Conduct progress reviews at least once during the appraisal cycle (mid-year) and document the
 meeting on the appraisal form. Some organizations require more than one progress review.
 

◦ At the end of the appraisal cycle, evaluate (rate) each employee by using the established
standards to assess how well each element has been performed. Ratings below "fully
successful" (or "meets or exceeds expectations" in two-level systems) always must be
justified individually.
 

◦ Provide the completed appraisals for review and approval by the appropriate reviewing official(s)
(normally one's second line supervisor). Some agenices with two-level systems require only
ratings below the "meets/exceeds expectation" to be reviewed. When required, the final
rating cannot be presented or discussed with the employee until it is reviewed, approved,
and signed by the appropriate higher level management official(s).
 

◦ Perform additional reviews throughout the year to facilitate communication with your employee.
At any time during the appraisal period when performance on any critical element falls
below "fully successful" or "meets/exceeds expectations", you should discuss the
performance with the employee and take the necessary steps to provide assistance.
However, at any time an employee's performance is determined to be "unacceptable" or
"below meets or exceeds expectations" in one or more critical elements, special
requirements exist and assistance in improving that performance must be provided. In this
situation, refer to Section, "How Do I Deal With An Employee's Unacceptable
Performance?" and consult with your SHRO.
 

Forms Needed:
 

Performance elements and standards are recorded on standardized performance appraisal forms or
in i*CAMS.
 

Time Frames:
 

Most agencies have an October 1 to September 30 appraisal cycle. New performance plans should
be developed and communicated to employees within 30 days of the beginning of a cycle. Each
employee should receive at least one mid-year review and receive a final appraisal within 30 days
after the end of the cycle. Check with your SHRO to find out your organization's timeframe for
mid-year reviews.
 

Good Management Practices:

 

◦ Maintain an ongoing file documenting an employee's work throughout the year.

 

◦ Give employees regular and frequent feedback.

 

◦ While managers are only required to give employees progress reviews once a year and conduct
one mid-point progress review, quarterly mid-point reviews are recommended.
 

◦ When developing supplemental (additional, more specific) performance standards, to the extent
possible, ensure they are measurable and address performance instead of conduct.
 

◦ Modify the performance plan whenever work requirements warrant. Remember, before you can
evaluate your employee, the employee must have performed under the performance plan for
a minimum period of time (usually 90 days).
 

Checklist
 

◦ Identify performance elements

◦ Develop or supplement existing measurable performance standards
◦ Communicate elements and standards to employee
◦ Conduct progress reviews during the appraisal cycle
◦ Evaluate employee at end of cycle
◦ Present and discuss appraisal with employee
 

A NOTE ON SES
 

◦ SES performance standards are pending final review and approval.)

 

◦ In addition to the performance elements that you develop, all SES employees and employees in
comparable positions are required to have a "diversity critical element" in their plans.
 

◦ SES performance appraisals must be reviewed by a "Performance Review Board," (See

"Glossary") comprised of agency or Department officials, before ratings are finalized.
 

◦ Every third year, career SES employees are also subject to a process known as "recertification,"
whereby performance over the preceding three years is evaluated and a decision is made to
retain or separate the employee from the SES. Recertification is handled at the same time
the annual performance rating is given using criteria prescribed by OPM (These criteria are
described in a Department-wide recertification plan made available to supervisors of SES
employees near the end of the rating cycle in recertification years.)