Supervision: Evaluation, Counseling, and Discipline
This section provides information that might help supervisors. It includes information about the four "R"s for supervisors:
(a) their
rights; (b) their
responsibilities; (c) their
resources; and (d) the
rules they must consistently apply to be successful. The important
tools that supervisors can use to enhance their leadership roles are also
discussed. They are:
Rights of Supervisors
The rights of supervisors include the right to assign
work to employees under their supervision consistent with job classifications,
the right to hold subordinates accountable for the work assigned, and
the right to evaluate how effectively such subordinates perform. They
also have the authority to approve and disapprove requests for time off
in accordance with both organizational and employee needs.
Responsibilities of Supervisors
The responsibilities of supervisors include becoming familiar
with the attendance rules which affect the employees they supervise
and the collective bargaining agreement(s) which pertain to them.
It also includes the application of these rules in a fair and consistent
manner. All employees should be instructed on the rules, should be
given their appropriate share of the assigned work, and should be
evaluated on the basis of how well they perform. Supervisors are responsible
for assuring that subordinates know how to do their work safely, and
do so, and that they have the materials, tools, and other means necessary
to perform their work at a satisfactory level. Supervisors are also
responsible for ensuring that employees are aware of the "peaks and
valleys" related to the work load in their unit, for advising them
of heavy work load periods when approval of requests for time off
will be limited, and to the extent possible, for identifying periods
when overtime assignments will likely be required.
Supervisors should constantly remind themselves that the inconsistent
application of work rules, especially attendance rules, and the uneven
distribution of work are major factors in the creation of low morale
among employees. When these negative morale factors exist, they have
an impact within a particular work unit, and within the total organization,
as employees compare their relative treatment to other departmental
employees and/or to employees in other organizational units.
Resources for Supervisors
The resources for supervisors include copies of collective
bargaining agreements, policies, and procedures, as appropriate; the
leadership of their own supervisors; and the staff of the Human Resouces
Office. Additional "tools" are available which can greatly assist supervisors
in meeting their obligations if these tools are properly used. They
include performance evaluation, counseling, and discipline.
Rules of Supervisors
The rules for supervisors at the College at Brockport include
the New York State Civil Service Law, the Attendance Rules
for Classified Civil Service, the Policies of the Board of Trustees
of the State University of New York, the labor agreements with the
various negotiating units to which state positions have been assigned,
and locally established policies and procedures.
Performance Evaluation
Performance Evaluation is an on-going process in which the supervisor
"coaches" subordinate employees on how well they are meeting performance
expectations. The process begins with the development of a performance
program which outlines the major requirements/objectives of the subordinate
employee's job. Throughout the performance period, the supervisor should
advise subordinates how well they are performing and coach those who
are not meeting expectations on how they may improve. At the end of
the performance period, the supervisor must prepare a formal evaluation,
excluding the assignment of a performance rating, and meet with
the subordinate to discuss how well he/she has performed in each performance
area including discussion of particular strengths or weaknesses. Thereafter,
the supervisor must meet with his/her supervisor to determine the appropriate
performance rating for the employee.
Once the final rating has been approved, the supervisor again must
meet with the subordinate employee to share this information. Performance
evaluation is an effective tool if it is properly utilized. However,
supervisors must have the courage to rate the employees on the basis
of their actual performance if the total work force is to remain motivated
by his/her leadership. Performance evaluation is not the place for statements
relating to concerns about the proper classification of positions. Statements
in performance evaluations such as "Susan Doe does the work of three
secretaries", or "Maintenance Assistant John Doe is really doing the
work of a Carpenter" are inappropriate in the evaluation process. If
an assignment has changed significantly enough to warrant a classification
review, the supervisor should request the personnel office to conduct
such a review. However, the performance evaluation should address only
how well the employee performs assignments and should not include any
judgement about the proper classification of the subordinate's position.
All of the various performance evaluation systems used in the state service
include the ratings of satisfactory or effective or unsatisfactory, and
some include a broader menu of ratings including highly effective, outstanding,
and needs improvement. Most employees should fall into the satisfactory/effective
category. Evaluations containing statements which indicate significant
problems with the employee's work should contain the "unsatisfactory"
rating. Usually such employees would have also received counseling about
their poor performance at various times throughout the year. Where still
applicable, the rating of "highly effective" should be reserved for employees
who always meet performance expectations including a good attitude towards
their work, the college, their supervisors, and their fellow workers,
and a good attendance record and "Outstanding" ratings should be reserved
for only those employees who demonstrate levels of exceptional expertise,
dedication, and commitment to their jobs and the goals of the college
and whose performance clearly stands out above the work of others in the
work unit and/or in similar positions at the College.
Counseling
Counseling is a private supervisory conference between a supervisor or other
administrative officer and a subordinate employee at which the employee's
performance deficiencies are discussed. The motivation for such counseling
session is to improve the employee's performance, eliminate the performance
deficiencies, and make certain that the employee understands work rules
and expectations. The emphasis in counseling is prospective. The counseling
session may mention performance problems and deficiencies but should
not dwell on them. Instead counseling should dwell on future performance
expectations and the special efforts the supervisor will be taking to
make the employee accountable. A
Counseling Memorandum is a written
follow-up to an employee following a face-to-face counseling session
which confirms the reason for the counseling, a summary of the effect
of the employee's deficiencies, a summary of the employee's response
to the counseling, and a statement of the corrective actions expected.
Counseling memoranda normally should not be written without the actual
face-to-face counseling session which allows the subordinate to respond
and describe any special problems in his/her life or in the work environment
which might be contributing to his/her poor performance. Counseling
Memoranda should not include language which would cause them to be interpreted
as disciplinary reprimands. For additional assistance with conducting a counseling session, please review the following training at:
http://www.goer.state.ny.us/Training_Development/Online_Learning/EC/intro.html. You may also contact the Director of Human Resources for further assistance.
Discipline
Discipline is action taken against an employee for misconduct or incompetence
when other efforts (ie. evaluation/counseling) fail or when a single
incident is so severe as to warrant it. When a supervisor believes discipline
is warranted because he/she has already counseled an employee about
a particular problem and the employee has not responded, or because
a particular incident is so severe as to warrant it, the supervisor
should not further counsel the employee, but, instead, should advise
the Director of HR of the problem and recommend disciplinary action.
The HR office will then prepare formal disciplinary charges including
a proposed penalty. Discipline will be progressively applied with the
hope that the employee's behavior/performance will improve following
a light penalty, but with the understanding that more severe penalties
will be proposed, up to and including termination, if the employee does
not respond. Whereas counseling is prospective, concentrating on providing
guidance for the employee's future performance, discipline is retrospective,
concentrating on past misconduct or incompetence. Discipline imposes
penalties for failure to perform properly; counseling attempts to coax
employees into improving their performance and making them clearly aware
of their supervisor's performance expectations so that they can avoid
discipline in the future. Fortunately, most employees will respond properly
and correct their performance deficiencies when advised to do so by
their supervisors. However, when employees do not respond and continue
to perform in an unacceptable manner, even after counseling, supervisors
should not hesitate to recommend disciplinary action.
Reminders
Supervisors are reminded that they may claim the services of their subordinates
from the beginning of their shifts until the end of their shifts and during
other times when overtime services might be warranted. Employees can be
held fully accountable for all the time that they are on duty. No employee
has the right to leave his/her assigned work without the specific approval
of his/her supervisor unless a situation exists which places his/her health
or safety in immediate jeopardy. Supervisors must maintain adequate enough
control over the attendance of subordinates to verify that subordinates
have completed the required number of hours on duty each day, or have
been approved for and recorded charges to appropriate leave accruals.
