Goal Setting Process

Setting performance goals should be a shared responsibility between

manager and employee that builds commitment and ownership. It sets
the stage for effective communication expectations that are mutually
understood. Performance management starts with clearly defined
goals and objectives so consider using the SMART Model as a guide
to developing goals.
 Specific – clearly defined
 Measurable
 Quality - how well/what value?
 Quantity – how many/what number or frequency?
 Cost – how much/what amount?
 Attainable – challenging, yet achievable
 Relevant/Realistic – to strategy, the position and the person
 Timely – within set timeframes
To set a specific goal you must answer the six “w” questions.
1. Who: Who is involved?
2. What: What needs to be accomplished?
3. Where: Identify a location.
4. When: Establish a time frame, when does the goal need to be accomplished.
5. Which/How: Identify requirements and constraints, how will the goal be
accomplished?
6. Why: Specific reasons, purpose, or benefits of accomplishing the goal, why do we need
to do it?
A measureable goal should establish concrete criteria for measuring
progress toward the attainment of each goal you set. When you
measure your progress, you stay on track, reach your target dates, and
experience the exhilaration of achievement that spurs you on to
continued effort required to reach your goal.
Attainable - You can attain most any goal you set when you plan your
steps wisely and establish a time frame that allows you to carry out
those steps. Goals that may have seemed far away and out of reach
eventually move closer and become attainable, not because your goals
shrink, but because you grow and expand to match them. When you
list your goals you build your self-image. You see yourself as worthy of
these goals and develop the traits and personality that allow you to
achieve them.
A realistic goal must represent an objective toward which you are
both willing and able to work. Be sure that every goal represents
substantial progress. A high goal is frequently easier to reach than a
low one because a low goal exerts low motivational force. To decide
whether or not your goal is realistic you can determine if you have
 accomplished anything similar in the past or ask yourself what
conditions would have to exist to accomplish this goal.
A timely goal is a goal that is grounded within a timeframe. With no
timeframe tied to it, there is not sense of urgency.

Examples of Goals
Examples of effective goals:
 Develop and implement a student enrollment promotion program for the fall semester
that increases enrollment by 2% over the prior year’s 2009 figures.
 Deliver a training course on effective performance appraisals to 80% of new managers
within the next year.
Examples of ineffective goals:
 Implement a comprehensive Family and Medical Leave Act (FMLA) training program.
 Revise the policy and rules handbook for all employees.

In this guide, you’ll find 10 practical steps that can be used to improve the performance management
processes at your organization.
1. Set Goals Effectively
Goals are the basis of an effective performance management process. There are two key elements
to consider when developing goals. First, are goals written clearly and objectively? Second, are they
directly contributing to the achievement of business strategy?
Typically, the process begins with departmental managers setting goals for their departments, based
upon organization-wide goals, which support the general business strategy. Making departmental
goals accessible to all managers ensures there is no overlap, reduces conflict, and allows members
of different departments to see where they support each other and ensure they are not working at
cross purposes. Each manager in turn shares the overall goals with his/her department and meets
with employees to identify individual performance goals and plans.
When setting goals, key job expectations and responsibilities should act as the main guide and
reference. Goals should be set that not only address what is expected, but also how it will be
achieved. For example, the "what" covers quality or quantity expected, deadlines to be met, cost to
deliver, etc. The "how" refers to the behavior demonstrated to achieve outcomes, for example, focus
on customer service. In addition, some organizations choose to include competencies within
performance expectations, to reinforce the link to business strategy, vision and mission.
An accepted framework to use to help write effective goals is SMART:
 S – Specific
 M – Measurable
 A – Achievable/Attainable
 R – Results-Oriented/Realistic/Relevant
 T – Time-Bound
The inclusion of the above criteria results in a goal that is understandable and easily visualized and
evaluated. Making a goal specific, measurable, and time bound contributes to the ability to make
progress on the goal and track that progress. Some managers choose to further define goals with a
start and finish date with milestones in between. As we have mentioned, goals must be achievable
and realistic. An unachievable goal is just that. An employee knows when he/she does not stand a
chance of reaching it, and their effort to achieve the goal will be affected. In addition, goals must
reflect conditions that are under the employee's control and the R's (results oriented, realistic and
relevant) should definitely consider these conditions. Sometimes the focus on the outcome of the
goals can overshadow the necessary steps to achieve them. Action plans to support each goal can
include documentation of the steps necessary to achieve a goal. By keeping goals relevant, a
manager reinforces the importance of linking to strategic objectives and communicating why the goal
is important. Some organizations have suggested the use of SMARTA, or SMARTR with the
additional A standing for aligned and the R standing for reward.
A focus on objective, behavioral-based, and observable outcomes that are job-related helps ensure
fairness of the process and reduces discrepancy. Although sometimes difficult to hear, objective
feedback supported with regular documentation is difficult to dispute. This is also where an
understanding of the organization's overall objectives and goals and how individual efforts contribute
becomes essential. If for example, an individual understands that their actions support an area of the
business then it is easier to understand the impact when deadlines are not met. Using the SMART
framework provides clarity up front to employees who will be evaluated against these goals.
2. Begin with Performance Planning
Using established goals as a basis, performance planning sets the stage for the year by
communicating objectives, and setting an actionable plan to guide the employee to successfully
achieve goals.
Performance planning, as with all other steps, is a collaborative process between the manager and
employee, although there will always be some elements that are non-negotiable. Begin with the job
description and identify major job expectations; expectations then can be clarified for each major
area.
Under each key contribution area, it is important to identify long-term and short-term goals, along
with an action plan around how they will be achieved. Goals can be weighted to identify priorities.
Discuss specific details related to how progress against goals will be evaluated. Next steps include
determining any obstacles that would stand in the way of these goals being achieved. If an obstacle
is knowledge, skills or behavior – a plan should be developed to overcome, i.e. training, mentoring,
etc.
Using the performance plan as a reference document, the employee and manager then should
regularly monitor progress against goals, problem-solve road blocks, re-assess goals, change goals
as business direction changes, and re-evaluate training and resource needs. This is where the
conversation is critical and often where the follow-through sometimes falls down. Performance
planning and ongoing performance feedback are critical because they facilitate continuous
improvement and aid open communication.
3. Create an Ongoing Process
Performance management – including goal setting, performance planning, performance monitoring,
feedback and coaching – should be an ongoing and continuous process, not a once or twice-yearly
event. Feedback that is delivered when it is most relevant enhances learning and provides the
opportunity to make any adjustments needed to meet objectives. The attitude towards ongoing
feedback is also crucial. If there is organizational support for building constructive feedback into the
fabric of day-to-day interactions, then the environment will encourage development and drive goal-
directed performance improvement.
4. Improve Productivity Through Better Goal Management
Regular goal tracking allows for the opportunity to provide feedback as needed, make adjustments
to performance plans, tackle obstacles and prepare contingencies for missed deadlines. Without a
mechanism to regularly track progress against goals, the ongoing, cyclical nature of the process falls
apart and productivity dips.
Goal progress discussions, along with all performance feedback, should be delivered with respect
and should be objective and supportive. Specific examples provide clarity and help the employee
focus on future improvements. It is crucial that the manager listens to the employee's perspective
and incorporates the employee's observations into future plans – the employee often experiences
roadblocks the manager may not see.
5. Gather Information from Multiple Sources
Gathering performance information from a variety of sources increases objectivity and ensures all
factors impacting performance are considered. This information should include objective data like
sales reports, call records or deadline reports. Other valuable information includes: feedback from
others, results of personal observation, documentation of ongoing dialogue, records of any external
or environmental factors impacting performance. Many reviews also include an employee self-
evaluation. Other documents that help define performance objectives include: past performance
appraisals, current departmental and organizational objectives and documented standards related to
career goals.
In order to gather feedback from other employees, organizations will often use a 360° feedback
process. Along with the completion of a self-assessment, selected peers, subordinates, and
manager(s) are asked to contribute feedback around pre-identified areas. The feedback is based
upon specifically identified skills or competencies and the final results are compared against the
employee's self-assessment. This type of feedback increases self-awareness and in some cases is
used to support the performance evaluation process.
Objectivity is essential when evaluating performance and it begins with clarity about job expectations
and evaluation methods. Certain checks and balances can be built in to ensure objectivity.
Managers commonly make mistakes when they conduct evaluations and the first step to minimizing
those errors is to acknowledge they exist. Consistent processes organization-wide contribute to
fairness and objectivity. Access to information allows others to check the validity of the process.
Obviously, not all employees need access to other employees' performance appraisal results, but
processes like calibration meetings will help ensure consistency. In the calibration process,
managers with employees in similar positions meet and discuss the appraisals before they are
finalized and shared with the employees. A calibration meeting helps establish the reasons
individuals are awarded various performance rankings, educates managers about the process
across the organization and promotes consistency. It also provides validation for manager's
decisions, if appropriate.
Reporting is very valuable to assess the fairness and consistency of the process. For example, it can
be used to compare ratings from one division to the next or from one manager to the next. People
analytics and technologies like machine learning are also helpful in removing bias from performance
appraisals and evaluation.
6. Document, Document, Document
Note-taking must be consistent and include all significant occurrences, positive or negative.
Documentation is important to support performance decisions, and notes should be written with the
intent to share. In addition to documenting the details of an occurrence, any subsequent follow up
should be detailed.
The performance log is a record that the manager keeps for each employee and is a record of
performance "events." The maintenance of a performance log serves a number of purposes. The
manager can record successes or performance that requires improvement. When it comes time to
complete the appraisal, the manager has a historical record of events and will not have to rely on
recent memory. In addition, this documentation can be used to support performance decisions or
ratings. But it also can be used as a reminder for the manager – if the log has no recordings for a
period of time, perhaps it is time to check in. If an employee does exceptionally well, or meets
deadlines consistently, the log can be used as a reminder to provide recognition for a job well done.
In addition, if a manager notices an area of deficiency, the log can serve as a reminder and a record
of circumstances. The performance log can also act as a reminder for coaching, i.e. record of
upcoming tasks, manager can make note to discuss with the employee to ensure he/she is prepared
for the individual for a task ahead, and then follow up discussion can promote learning and
continuous improvement.
This log should be objective and based on observable, job-related behaviors – including successes,
achievements and, if applicable, any documentation related to disciplinary actions taken.
7. Prepare and Train Your Managers
Managing the performance of another individual is not an easy task and requires many skills.
Training may be required to ensure managers feel adequately prepared to effectively complete all
the tasks related to performance management. This is especially the case for newly promoted
supervisors. Managers need to understand human behavior, how to motivate, how to develop,
provide coaching and deal with conflict. To a great extent, managers must be observers and able to
assess a situation, provide motivation and identify problems that interfere with performance. In
addition, managers must understand that individuals at different levels of comfort, ability and
experience with their jobs will require different levels of input, support and supervision. A manager
who feels adequately prepared to provide and receive feedback, deliver a performance evaluation
and conduct a performance evaluation meeting will be a major contributor to a successfully
functioning process.
8. Perfect the Performance Review
The employee performance appraisal or review should be a summary of all that has been discussed.
Based upon job expectations and key areas of contribution, and previously discussed goals and
evaluation methods, the appraisal should be a written confirmation of what has already been
discussed with the employee.
The form should include key job responsibilities, current project work, relevant competencies, goals
and achievements. Previously completed performance appraisals should be used as reference
documents. It should also contain an area to allow employees to record their comments and input.
All comments included on the appraisal form need to be job-related and based upon observable
behaviors.
For the appraisal meeting, it is imperative to prepare ahead of time. Schedule an appropriate place
and time with no interruptions. Ensure the employee has the information necessary to allow them to
prepare adequately. Begin the discussion with job requirements and strengths/ accomplishments.
The focus, as pointed out previously, should be forward looking. The way the manager approaches
this meeting conveys a message related to its importance and should be approached with the
appropriate level of seriousness and an open mind. The manager must be prepared in regard to
what he/she wants to discuss, but just as importantly must be prepared to listen.
Many suggest that it is important to first define the purpose of the meeting and provide an agenda. A
factual discussion with a focus on job-related behaviors will keep the discussion objective. At the end
of the meeting, key points should be summarized. It is important to note that the employee will be
asked to sign the appraisal, whether or not there is agreement.
9. Link Performance with Rewards and Recognition
More and more, organizations are linking performance to compensation. This link, however, cannot
effectively be established without the existence of sound performance management processes that
are seen as fair and equitable.
Clear documentation of progress against performance expectations also allows proper recognition
for a job well done. This can be provided a number of ways, i.e. formal recognition events, informal
public recognition or privately delivered feedback.
It is important also to note the benefits of a consistent pay-for-performance process across the
organization. A consistent process creates a sense of fairness and significantly increases job
satisfaction. Employees need to know that if an individual in one department is identified as a top
performer and compensated accordingly, then an employee performing at the same level in another
department will receive similar rewards.
10. Encourage Full Participation and Success
The performance management process must add value, otherwise problems with resistance and
non-participation will surface. In addition, the process itself must be as efficient and simple as
possible. Automated reminders and scheduling tools can help keep the process on track.
Another element that contributes to success is upper-level management support. This support needs
to take not only the form of verbal support, but also through participation in the same performance
 management process for evaluations. In addition, consider the current culture of your organization
when it comes to performance appraisals and performance management. Is the atmosphere
supportive of an effective process? Is there a culture of open, honest communication – or are
employees fearful when they make a mistake? Employees must be able to honestly discuss
performance and consider how to make improvements in order to move forward.
Another thing to consider is a mechanism to evaluate the process itself, whether it consists of an
annual survey, focus groups, manager feedback, reporting, or a combination of these and other
methods.
The Next Step: Choosing the Right Performance Management System
Organizations are increasingly using innovative technology solutions to implement performance
management best practices and automate tedious manual processes. Cloud-based performance
management systems are making advanced capabilities and technologies like machine learning,
predictive analytics, and chatbot coaching affordable to companies of all sizes. These systems also
offer quick implementation schedules, no IT support requirements, and automatic upgrades.
When selecting an automated performance management solution, make sure to do your research.
Some solutions offer nothing more than an electronic appraisal form, while others offer complete
best-of-breed performance and goal management. The best solutions include:
 Instant form routing and paperless processes
 Goal tracking and cascading functionality for complete visibility and alignment
 Automated goal management and performance review reminders
 Legal scan wizards to ensure appropriate/legal use of language
 Writing assistants to help managers prepare appraisal forms
 Support tools providing coaching support to managers when they need it most
 Dashboards to deliver company-wide, aggregated or individual reporting
It is especially important that technology provides us with access to performance data and the ability
to evaluate progress against goals, compare average manager ratings, easily access performance
levels of individuals and use this data to support decision making. Aggregating and analyzing data in
traditional paper-based forms is often too time-consuming and costly.
Summary: Key Points
The road to effective performance management isn’t always an easy one, but making manageable
changes, step-by-step, will bring about significant results. The points below act as a reminder of
some of the key elements of a successful process.
 Set goals effectively
 Begin with performance planning
 Create an ongoing process
 Improve productivity through better goal management
 Gather information from multiple sources
 Document, document, document
 Prepare and train your managers
 Perfect the performance review
 Link performance with rewards and recognition
 Encourage full participation and success
 Lastly, consider the benefits of a cloud-based, automated performance management
system to save money and optimize the process.
About the Author:
Aileen MacMillan, Performance Management Research/Analyst. Aileen's work centers on evaluating
how performance management impacts organizational success and assessing the various
technology solutions available to support performance management. Aileen has a background in
psychology. Through her work in the field of social services, Aileen gained experience in the area of
clarification of goals, goal tracking and development planning. She has been involved with the
 planning and implementation of conferences focusing on youth engagement, as well as conducting
research projects on Corporate Social Responsibility.
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AN INTRODUCTION TO PERFORMANCE MANAGEMENT

The fundamental goal of performance management is to promote and improve employee effectiveness. It is a
continuous process where managers and employees work together to plan, monitor and review an employee's work
objectives or goals and his or her overall contribution to the organization.

HR Management Standard 3.3
The performance of each employee is fairly assessed, at least annually, at the end of the work plan or
performance period.
Before you embark on the development of an effective performance management system, you should take a moment
to consider whether or not your organization has HR management practices in place to support the performance
management process.

These include:
 Well designed jobs and written job descriptions
 Effective supervision
 Comprehensive employee orientation and training
 A positive and supportive work environment
An effective performance management system will:
 Be job-specific, covering a broad range of jobs in the organization
 Align with your organization’s strategic direction and culture
 Be practical and easy to understand and use
 Provide an accurate picture of each employee’s performance
 Include a collaborative process for setting goals and reviewing performance based on two-way
communication between the employee and manager
 Monitor and measure results (what) and behaviours (how)
 Include both positive feedback for a job well done and constructive feedback when improvement
is needed
 Provide training and development opportunities for improving performance
 Ensure that employee work plans support the strategic direction of the organization
 Establish clear communication between managers and employees about what they are expected
to accomplish
 Provide constructive and continuous feedback on performance
 Identify and recognize employee accomplishments
 Identify areas of poor performance and establish plans for improving performance
 Support staff in achieving their work and career goals by identifying training needs and
development opportunities
 Support administrative decision-making about promotions, terminations, compensation and
rewards
 Provide legal documentation to demonstrate due diligence for legal challenges related to
dismissal or vicarious liability (an employer can be held liable for the acts or omissions of its employees
during the course of employment)
The establishment of an effective performance management system requires time and resources and therefore, the
support of the board, the executive director and other senior managers. When developing a new performance
management process, an organization can strike a committee made up of employees, managers and board members
to increase buy-in, understanding and support for the process.

Management support to act upon the outcomes of the performance management process is also necessary to
ensure that good performance is recognized, inadequate performance results in the necessary support and/or
training to improve performance, and consistently poor performance results in a change of responsibilities or
termination, as appropriate.
Whether you are introducing a new performance management system or modifying an existing process, it is critical
that you communicate the purpose and the steps in the performance management process to employees before it is
implemented. Also, remember to review your new performance management system after the first year and make
adjustments as necessary.

Tools and Templates

The following occupational standards checklists are excellent resources. The occupational standards provide the
content for performance appraisal. There are clear definitions of tasks and sub-tasks, as well as a rating scale and
professional development plan. The occupational standards are also useful when drafting job descriptions, and
provide guidance for recruitment.

 Occupational Standards for Early Childhood Educators Checklist

 Occupational Standards for Child Care Administrators Checklist
The following documents are designed to assist both the new employee and her or his supervisor during this critical
time in the employee life cycle.

 Probation – Stages and Expectations

 Suggestions for Effective Probation Periods
The performance management cycle
There is much more to performance management than the annual performance review meeting. As mentioned in the
introduction, performance management is a continuous process of planning, monitoring and reviewing employee
performance.
 PHASE 1 — PLAN

The planning phase is a collaborative effort involving both managers and employees during which they will:
 Review the employee’s job description to determine if it reflects the work that the employee is
currently doing. If the employee has taken on new responsibilities or the job has changed significantly, the
job description should be updated.
 Identify and review the links between the employee’s job description, her or his work plan and the
organization’s goals, objectives and strategic plan.
 Develop a work plan that outlines the tasks or deliverables to be completed, expected results and
measures or standards that will be used to evaluate performance.
 Identify three to five areas that will be key performance objectives for the year. The choice of
areas may be determined by the organization's strategic plan, by the employee's desire to improve
outcomes in a certain part of her or his job, or by a need to emphasize a particular aspect of the job at this
time. These are objectives that are critical to the overall success of the position. If the employee does not
meet her/his critical objectives then overall performance will be evaluated as unsatisfactory.
 Identify training objectives that will help the employees grow skills, knowledge and competencies
related to her or his work.
 Identify career development objectives that can be part of longer-term career planning.
Both the employee and manager need to sign off on the proposed work assessment plan. A copy of the plan should
be given to the employee and another should be kept in her or his confidential personnel folder.

Setting objectives and measurements

Often the most difficult part of the planning phase is finding appropriate and clear language to describe the
performance objectives and measures or indicators of success. Managers need to ensure that the objectives are a
good representation of the full range of duties carried out by the employee, especially those everyday tasks that can
take time but are often overlooked as significant accomplishments.

What is a valid measure of good client service?

If the measure used only considers the number of clients served (i.e., what was done), then the quality of service
or how well it was done is not captured. Assessing both "what" and "how" would be a more valid measure for good
customer service. For example, in addition to the number of clients served, the quality of the information provided and
a complaint rate of 1% or less could represent good client service.
To assess quality of information provided, the supervisor could do spot checks to listen to or look at the information
that the employee provides to clients. The supervisor would then assess accuracy and completeness of the
information.

Objectives and indicators need to be SMART

Specific
Specify clearly what is to be done, when it is to be done, who is to accomplish it and how much is to be
accomplished.
Measurable
Ask questions such as: How much? How many? How will I know when it is accomplished? Multiple measures should
be used if possible (e.g., quantity, quality, time frame and cost).
 Attainable
Assure there is reasonable path to achievement and feasible odds that you will get there.
Realistic
The objective needs should match the level of complexity with the employee's experience and capability and no
insurmountable forces outside the control of the employee should hinder its accomplishment.
Time-bound
Be clear about the time frame in which performance objectives are to be achieved. In most cases, objectives are to
be completed by the end of the performance review period.
Writing SMART objectives:
Action verb + Object of the action verb + Measures

Example for an employee who is responsible for supervising volunteers

SMART Objective 1: Conduct monitoring visits on a monthly basis to assess the performance of the volunteers
against the plans and objectives that were developed with them.
SMART Objective 2: Provide written updates on the work of the volunteers to the program manager on a
quarterly basis.
Not SMART: Drop in and see how the volunteers are doing.

PHASE 2 — MONITOR

For a performance management system to be effective, employee progress and performance must be continuously
monitored. Monitoring day-to-day performance does not mean watching over every aspect of how employees carry
out assigned activities and tasks. Managers should not micro-manage employees, but rather focus their attention on
results achieved, as well as individual behaviours and team dynamics affecting the work environment.

During this phase, the employee and manager should meet regularly to:
 Assess progress towards meeting performance objectives
 Identify any barriers that may prevent the employee from accomplishing performance objectives
and what needs to be done to overcome them
 Share feedback on progress relative to the goals
 Identify any changes that may be required to the work plan as a result of a shift in organization
priorities or if the employee is required to take on new responsibilities
 Determine whether any extra support is required from the manager or others to assist the
employee in achieving her or his objectives
Continuous coaching
Performance management includes coaching employees to address concerns and issues related to performance so
that there is a positive contribution to the organization. Coaching means providing direction, guidance and support as
required on assigned activities and tasks. As a coach, managers need to recognize the strengths and weaknesses of
employees and work with them to identify opportunities and methods to maximize strengths and improve weak areas.
The role of the coach is to demonstrate skills and to give the employee feedback, and reassurance while she or he
practises new skills. Good listening skills on the part of the coach, together with the ability to deliver honest feedback,
are crucial. In a coaching role, you are not expected to have all the answers. The strategic power of any coaching
dialogue lies primarily in the coach's ability to ask the right questions.
 Providing feedback
Positive feedback involves telling someone about good performance. Make this feedback timely, specific and
frequent. Recognition for effective performance is a powerful motivator.

Constructive feedback alerts an employee about an area in which performance could improve. The feedback is
descriptive and should always be directed to the action, not the person. The main purpose of constructive feedback is
to help people understand where they stand in relation to expected and/or productive job and workplace behaviour.

Often, it is positive and supportive feedback that is most readily and easily shared. Finding the right way to provide
constructive feedback to address a particular performance issue can be more daunting. If an employee is not meeting
performance expectations, managers need to provide constructive and honest feedback. It's important to do this
when an issue first arises – before it escalates into a significant problem. Here are a few points to consider when
giving constructive feedback:

Prepare
 Think through what you want to address in the meeting, confirm the facts of the performance
issue, and make sure you know and can describe what happened or is happening.
 Be clear about what the issue is and about the consequences if the employee's performance
does not improve.
 Plan to meet in a location where there will be privacy and minimal interruptions (note that in a
unionized environment, you may have to invite a union representative to be with the employee during the
discussion).
 Be calm, so that you can approach the discussion objectively and with clarity.
State the facts
 Using a non-threatening tone, describe the performance issue in an objective, factual,
nonjudgmental way, and provide specific examples.
 Identify the negative impact on people in the workplace or the organization.
Example:
“You are always late.”
This statement is general and judgmental. It does not address the performance issue effectively.

“You were late three times last week. When you arrived late for the staff meeting, you missed an
important discussion about…”
This statement is factual and specifically addresses the performance issue and the impact of being late.

Listen
 Have the employee describe the situation from her or his perspective and provide an explanation.
Be open to any new insights that may arise.
 Respond to such things as denial or blaming of others by restating factual information and
reviewing the negative impacts of the performance issue.
Although we may sympathize with an employee’s unique personal circumstances and reasons she or he is not
performing, it is important to remain focused on the performance issue. If you alter what is required of one employee
(i.e., “bend the rules”) you will have to be prepared to do so for all employees. As a performance manager, try to
 avoid putting yourself in the position to have to judge which circumstances warrant “special treatment” and those that
do not.

Agree on an action plan

 Ask the employee for their suggestions for addressing the issue and offer your suggestions if
necessary.
 Agree on a specific plan of action, including what the employee will do, how and within what time
period.
 Document the action plan and attach it to the employee’s performance management file.
 Specify the consequences for the employee if the performance issue is not resolved.
Follow up
 Monitor results and meet periodically to discuss progress.
 Provide positive reinforcement for improvement and continue to offer support.
 If the issue has not improved or been resolved over the specified time period, enact the
consequences as discussed in the action plan.

PHASE 3 — REVIEW

The performance assessment or appraisal meeting is an opportunity to review, summarize and highlight the
employee’s performance over the course of the review period.

Self-assessment is a standard part of most performance appraisals. By using the performance plan and assessment
form as a guide, employees can assess their performance in preparation for the appraisal meeting. This process can
identify gaps between the employee’s self-perceptions and the views of the manager, and can allow for more in-depth
discussion of these performance points during the meeting.

Managers should review their performance management notes and documentation generated throughout the year in
order to more effectively assess the employee’s performance. Only issues that have already been discussed with the
employee should be part of the assessment documentation and meeting. This will ensure that managers deal with
performance problems when they arise and that there are no surprises during the performance assessment meeting.

In the performance assessment meeting, employees and managers will:

 Summarize the work accomplished during the previous year relative to the goals that were set at
the beginning of the performance period. This includes capturing the key results, accomplishments and
shortfalls for each of the objectives.
 Document challenges encountered during the year and identify areas for training and/or
development.
 Identify and discuss any unforeseen barriers to the achievement of the objectives.
The employee and the supervisor should sign off on the form. This acknowledges involvement in the process, but not
necessarily agreement by the employee with the content of the evaluation. If an employee disagrees with any part of
the performance assessment, provide tthe opportunity for her or him to attach comments and file them with the
performance assessment form.
Managers must ensure that the employee receives a copy of the assessment form and the signed document is put in
the employee's file.

Important: An appeals process

Even with a well-designed and -implemented performance management process, there may be situations when an
employee has a serious difference of opinion with the manager about her or his performance assessment. A
procedure for the employee to discuss disagreement with the process should be established.

Some options for dealing with disagreements about performance appraisals are:

Step review system

The disagreement is heard by higher levels of management such as the supervisor's manager, followed by the
executive director as necessary. In small organizations there may not be higher levels of management to appeal to.
Peer review system
A small group made up of equal numbers of employees and management staff review disagreements. (Note that this
system may not be sanctioned in a unionized workplace).
Ombudsman
Employees can seek assistance from an individual within the organization who is designated as an impartial
ombudsman.
Avoid rater bias or assessment errors
Our judgements about many things are affected by our perception. When a person evaluates someone else, the
evaluation reflects both the person being assessed and the evaluator's built-in biases. Managers should be aware of
their possible evaluation biases, so they can try to eliminate them from the assessment process.

Some common biases include:

Halo
A tendency to form a generalized positive impression of an employee, meaning rating the employee highly on all
rating criteria rather than independently for each item.
Horns
The opposite of the halo effect bias, with a general negative impression of an employee resulting in artificially low
ratings. This bias may come up if the manager generally dislikes or has little confidence in an employee.
Central tendency
A tendency to evaluate most employees as "average" when applying a rating scale. For example, given a scale that
runs from 1 (poor) to 7 (excellent), with 4 being the average, some managers refuse to use the points at either end.
The tendency is for almost all ratings to fall within the 3-5 range. Shorter rating scales (e.g., those with only three
points, rather than seven) tend to cause less central tendency bias, but they also become less exact.
Leniency bias / Strictness bias
When a manager has a tendency to be more lenient or more strict than her or his peers when rating employees, or is
more lenient or strict with one employee as compared to another.
Same-as-me
A tendency to rate employees more favourably who are perceived to be similar to the rater than employees who are
dissimilar.
Important: If this tendency is based on grounds for discrimination under human rights legislation (for
example race, gender, nationality), it is a violation of human rights and is illegal.
 DEVELOPING A PERFORMANCE ASSESSMENT FORM

A performance assessment form is a tool that helps guide and document a discussion between a manager and an
employee about the employee's performance over the past year. A poorly designed assessment form can undermine
a good performance management system. Below are some guidelines on what to include in a performance
assessment form.

General information
Typically, the first section of a performance assessment form includes standard information about the employee, the
manager and the organization. This includes the:
 Employee’s full name and job title
 Manager’s full name and job title
 Assessment period
 Date that the assessment meeting took place
Assessment form instructions
Include some brief instructions on how to complete the assessment form, the type of information to include on the
form and the reason that the information should be included.

"The performance assessment form is designed to guide the manager and employee in documenting
the employee's results in comparison to the agreed-upon objectives. Please follow the instructions for
each section...”
Performance objectives and measures
Document the performance objectives identified in the employee’s work plan and the measures to be used to assess
achievement. List the objectives in their order of importance, with the most important listed first.

Example:
Performa nc e
K ey Objec tive Measures

Provide updates on the work of Written report submitted

volunteers to the program manager quarterly

Competency profile
If your organization has a performance assessment process that is based on a competency framework, be sure to
include the list of relevant competencies on the assessment form. Examples of competencies include teamwork,
effective communication and problem-solving.

Example:
Members of a team have a goal of planning an event and carrying it out as scheduled. However,
if the members are to be effective in planning the event and in working together after the event,
they also need to demonstrate effective teamwork skills. The aim is not to get the event planned
at any cost; it is to get the event planned and preserve the working relationships after the event is
over.
 K ey
co mpet encies To be demo nstrat ed by

Assists or cooperates with

members of the team to reach the
common goal
Is tactful and diplomatic when
dealing with others
Accepts constructive criticism
and adjusts behaviour to achieve the
team's goals
Teamwork Gives constructive feedback
Clear rating scales
Performance assessment forms often include rating scales to help guide and simplify the assessment process. Poorly
constructed rating scales can be a source of confusion, subjectivity, ambiguity and conflict – all of which undermine
the performance assessment process. A reliable assessment has consistent ratings for the same performance over
time and with different raters.

To increase the reliability of rating scales:

 Avoid language that may be inflammatory and, when possible, use words that are not open to
interpretation.
 For words that are open to interpretation, provide definitions and examples to clarify what is
meant.
 Use simple rating scales.
 The reliability of frequency scales can be improved by defining the percentage of time for each
point on the scale. For example: "Almost always" could mean 95% – 100% of the time.
For key work objectives, a rating scale like this is simple and can guide the discussion between the manager and the
employee:

Exceeded objective Met objective Did not meet objective

  For key competencies or other behavioural measures, consider a frequency scale like this one:

Almost
Frequently Sometimes Seldom Almost never
always

Employee training and development plan

As part of the performance assessment process, the manager and employee may have identified areas for further
training and/or development, as well as the types of activities the employee could undertake. Document the
expectations for training and development in the performance assessment form. At the end of the year, document the
results of the learning activities.

Example – Program Coordinator

Training Improve group/meeting facilitation skills
obj ecti ves
Become more comfortable and effective in
 facilitating group process
Understand how to plan a meeting and build
a better agenda
Responsible for facilitating information and
Rel ationshi p to orientation sessions as well as various other small
re sponsi bi li ti es group meetings
Attend workshops
Will work with ED to plan and facilitate staff
Activitie s meetings once per month
Fees for two-day workshop
Resources Minimal time to coordinate with ED each
re quired month prior to staff meeting
Timeli ne By end of year
 
Resul ts
Example – Office Manager

To improve networking skills

Gain a better understanding of the
HR profession
Increase knowledge of HR
De vel opme nt obj ecti ves management
Currently responsible for some HR
management (payroll, personnel files, etc.)
No one on staff has formal HR
training or background
Rel ationshi p to
organizati onal goals and Interested in exploring field and
career pl an possibly pursuing continuing education
Join provincial HR professional
association
Attend meetings, networking
Activitie s events and workshops
Resources re quired Annual membership fee
Time li ne By end of year
 
Resul ts
Sign- off section
End your form with an area for the manager and employees signatures. The signatures should come after a
statement that indicates 'by signing, both parties are acknowledging that they have read and discussed the contents
of the performance assessment form.' This allows the performance management cycle for one year to come to a
close and the cycle for the next year to begin.
 Make sure the employee understands that, by signing, he or she does not have to agree with all the comments made
in the assessment. If an employee disagrees with any part of the performance assessment, provide them with the
opportunity to attach their comments.

Tools and Templates

HR Council for the Voluntary and Nonprofit Sample Performance Assessment Forms:  DOC (110KB) | PDF (48KB). 
Sample Work Plan DOC (106KB) | PDF (36KB)
Managing Employee Performance (PDF - 285KB)
A guide developed by the Cultural Human Resources Council.
Note: This document can be viewed online. A printable version is available to CHRC members.
Managing Performance: The Ten Commandments (PDF – 469KB)
From The Leadership Compass, The Banff Centre.

PERFORMANCE MANAGEMENT FOR EXECUTIVE DIRECTORS

In many organizations, it is the executive director who is responsible for implementing the performance management
system, but the executive director also needs feedback on her or his performance and to demonstrate how she or he
is meeting work objectives – so it is integral that board members are involved in performance management.

The board of directors is responsible for hiring an executive director to ensure there is a skilled manager at the helm
to lead the organization's work. Once hired, the board also has a responsibility to monitor the executive director’s
performance because the effectiveness of the organization is closely tied to the executive director's performance.

A sound executive director performance management process ensures that:

 The board meets its duty to effectively lead the organization.
 The organization's mission and vision are implemented.
 The professional development goals and needs of the executive director are met.
 The job satisfaction and work-life balance of the executive director are monitored.
 The executive director feels supported.
 There is an ongoing written record of the executive director's performance.
An executive committee, HR Committee, or a specifically created ad hoc board committee will generally oversee the
design and implementation of the performance management process for the executive director. If the organization
only has a small number of board members, the board as a whole may be involved in the performance management
process – rather than leaving the responsibility to a single board member.

Performance assessments shouldn't occur because there is a performance issue. Every organization should have a
clear performance management process in place and communicate the plan to the executive director when hired. An
executive director's performance needs to be measured in relation to her or his job description, annual work plans
and organizational strategic plans.

Consider who will provide input. As board members often do not have the opportunity to be in the workplace on a
regular basis, it is sometimes appropriate to seek assessment input from other sources than board members,
including employees, partners, stakeholders and clients.
 Ensure the executive director knows if people outside of the board will be asked to participate in the performance
assessment process. Often, the executive director can suggest who can provide useful input into the assessment
process.

Determine how the information generated through the performance management process will be reported back to the
executive director and to the entire board of. If a sub-committee of the board (instead of the full board) is responsible
for the process, decide if they have authority to offer salary or benefit increases or if the whole board must be
involved.

Fully document and keep information in the executive director's personnel file. Have the executive director sign any
reports along with board members involved in the performance management process. Review the performance
management plan periodically and ask the executive director for input so that the process is supportive and useful for
the board and the executive director.

Links and Resources

A workbook developed by the Muttart Foundation as a guide for boards of directors who are in the process of hiring a
new executive director and/or providing the executive director with a performance appraisal.
Stages of Director Development – Based on the work of Lillian Katz.

360-DEGREE (MULTI-RATER) ASSESSMENT PROCESS

360-degree feedback, also known as 'multi-rater feedback', is employee development feedback that comes from
colleagues, peers and managers in the organization, as well as self-assessment, and sometimes sources such as
clients, volunteers or other stakeholders.

Senior managers (including executive directors) are responsible for assessing the performance of other employees
but often do not receive adequate feedback themselves. 360-degree feedback allows the individual to understand
how his or her effectiveness as an employee, manager, or coworker is viewed by others.

Important:  Designing a good assessment tool and implementation process takes time. Some organizations may
choose to hire external professionals to design, implement and analyze a 360-degree assessment. If assessments
are administered without adequate training of participants, raters and facilitators, serious confidentiality issues can be
raised, and relationships and individuals can be negatively impacted. Please consider the following information
carefully before undertaking this type of assessment process.
What an effective 360-degree feedback process can achieve:
 Individuals get a broad perspective of how they are perceived by others and how they impact
others – both positively and negatively.
 Open feedback is encouraged and thus often perceived as more valid and objective, leading to
acceptance of results and actions required.
 Critical performance aspects are clarified, desired competencies reinforced and strengths
identified that can be used to the best advantage of the organization.
 A climate of continuous improvement is supported and there is a focussed agenda for
development, identifying key development areas for the individual, a team or the organization as a whole.
 Gaps are identified between employee’s self-perception versus the perception of the manager,
peers or direct reports.
 When feedback comes from a number of individuals in various job functions, discrimination
because of race, age, gender and so on, is reduced. Similarly, the "horns and halo" effect, in which a
supervisor rates performance based on her or his most recent interactions with the employee, is also
reduced.
Why organizations may choose not to adopt the 360-degree approach:
 Feedback from multiple assessors increases the number of people participating in the process
and the organizational time invested.
 Employees are not ready to give or receive honest and open feedback. The process can be
intimidating since few people enjoy being evaluated, especially by a circle of colleagues and peers. Some
cultures rigidly avoid passing constructive feedback or information to superiors or managers.
 If a performance management system is tied to pay increase and reward systems, people may be
hesitant to participate. There is a big difference between providing feedback that will contribute to
professional development and providing feedback that determines pay, rewards, and promotion.
 Since feedback is most often provided in written form (not in person, to ensure anonymity),
people receiving feedback can’t ask directly for clarification of comments or more information about
ratings and their basis.
The 360-degree feedback process overview
A 360-degree feedback or other multi-rater process should follow effective change management guidelines. A cross-
section of the people who will have to live with and utilize the process should explore and develop the process for
your organization.

If you are planning to implement a 360-degree feedback process, there are several important questions to ask and
answer regarding the process:
 Will your organization use an anonymously filled out instrument or promote face-to-face, or
known rater feedback, or a combination of these?
 Who will select the raters?
 How much training will raters receive in completing the assessment and how to provide
meaningful feedback?
 What feedback guidelines will the organization promote?
Participants may have concerns about confidentiality of reviews, how the completed reviews will be used in the
organization and what sort of follow up they can expect. All participants in a 360-degree process need to be trained in
the goals of the process, methods used in administering the process, what the organization will do with the data
collected, and expectations of the employees involved in the process.

Many organizations choose to employ an anonymously filled out 360-degree feedback document, comprised of
questions based on the organization’s competency framework. Assessment forms that allow for examples and
comments about each question are preferable, since they will allow the person who is the subject of the feedback to
better understand the ratings.

The employee who is receiving feedback and her or his manager should always fill out the 360-degree assessment
as well. The individual’s rating of her/his own performance is important for comparison with the rater group’s
 feedback. As well, the manager’s feedback is important since, in most assessments, the feedback of the direct
supervisor is not averaged with the rest of the feedback from other raters.

The collected data is analyzed in a confidential manner and results are shared with the person who is being
assessed. Those administering the process and facilitating the debrief/feedback meeting need to assist people to
understand their feedback and to support action planning and development based on the feedback. It is critical that
those involved in debriefing participants fully understand what the assessment tool and analysis means and its
potential impact on the emotions and career of the participant.

The debriefing process is critical because it helps the participant facilitate change by:
 Presenting data from the assessment that describe the participant’s personal and management
style in concrete behavioural terms
 Giving the participant the opportunity to react, ask questions, and formulate strategies with the
“debriefer”
 Creating a developmental plan with the participant that will form a foundation for future
development
Final checklist for your performance management system
As stated previously, performance management has a variety of purposes, one of which is documentation should
there be a legal challenge related to performance. To ensure that your performance management process is
defensible:
 Base the process on well written job descriptions and job-related activities.
 Have the manager and employee collaborate on setting performance objectives.
 Establish results (objectives) and behaviours for which you can develop observable measures;
avoid traits such as “initiative”, which require subjective assessments.
 Ensure that the employee keeps a copy of the performance plan (work plan) and expectations set
at the beginning of the performance management cycle.
 Provide ongoing monitoring and feedback on performance to the employee.
 When problems are identified with performance, provide support (training, coaching, etc.) and
adequate time for the performance to improve.
 Train managers on all aspects of the process and on how to reduce bias and error in
assessments.
 Ensure that the performance assessment form accurately documents performance. If overall
performance is poor, say so.
 Do not make any notes that you would not want the employee to see because the documentation
may be admissible in court (or at arbitration in a unionized workplace).
 Periodically review the performance management process to ensure that it is being applied
consistently and fairly.
 Establish an appeals process.
 3rd year BBA

Human Resource Management: Nature

Human Resource Management is a process of bringing people and organizations together so that
the goals of each are met. The various features of HRM include
 It is pervasive in nature as it is present in all enterprises.
 Its focus is on results rather than on rules.

 It tries to help employees develop their potential fully.

 It encourages employees to give their best to the organization.

 It is all about people at work, both as individuals and groups.

 It tries to put people on assigned jobs in order to produce good results.

 It helps an organization meet its goals in the future by providing for competent and well-
motivated employees.

 It tries to build and maintain cordial relations between people working at various levels in the
organization.

 It is a multidisciplinary activity, utilizing knowledge and inputs drawn from psychology,

economics, etc.

Human Resource Management: Scope

 Personnel aspect-This is concerned with manpower planning, recruitment, selection,
placement, transfer, promotion, training and development, layoff and retrenchment,
remuneration, incentives, productivity etc.
 Welfare aspect-It deals with working conditions and amenities such as canteens, creches,
rest and lunch rooms, housing, transport, medical assistance, education, health and safety,
recreation facilities, etc.

 Industrial relations aspect-This covers union-management relations, joint consultation,

collective bargaining, grievance and disciplinary procedures, settlement of disputes, etc.

Human Resource Management: Beliefs

 Human resource is the most important asset in the organization and can be developed and
increased to an unlimited extent.
  A healthy climate with values of openness, enthusiasm, trust, mutuality and collaboration is
essential for developing human resource.

 HRM can be planned and monitored in ways that are beneficial both to the individuals and
the organization.

 Employees feel committed to their work and the organization, if the organization perpetuates
a feeling of belongingness.

 Employees feel highly motivated if the organization provides for satisfaction of their basic
and higher level needs.

 Employee commitment is increased with the opportunity to discover and use one's
capabilities and potential in one's work.

 It is every manager's responsibility to ensure the development and utilisation of the

capabilities of subordinates.

Human Resource Management: Objectives

 To help the organization reach its goals.
 To ensure effective utilization and maximum development of human resources.

 To ensure respect for human beings. To identify and satisfy the needs of individuals.

 To ensure reconciliation of individual goals with those of the organization.

 To achieve and maintain high morale among employees.

 To provide the organization with well-trained and well-motivated employees.

 To increase to the fullest the employee's job satisfaction and self-actualization.

 To develop and maintain a quality of work life.

 To be ethically and socially responsive to the needs of society.

 To develop overall personality of each employee in its multidimensional aspect.

 To enhance employee's capabilities to perform the present job.

 To equip the employees with precision and clarity in transaction of business.

 To inculcate the sense of team spirit, team work and inter-team collaboration.

Executive Development Programme: Concept, Objectives and Methods

Executive Development Programme: Concept, Objectives
and Methods!
Concepts and objectives:
While drawing a distinction between training and development, we
introduced, in brief, the concept of development. Based on that
concept, we can now elaborate it in more detail. The term
‘development’ implies overall development in a person. Accordingly,
executive development means not only improvement in job
performance, but also improvement in knowledge, personality,
attitude, behaviourism of an executive, etc.
It means that executive development focuses more on the executive’s
personal growth. Thus, executive development consists of all the
means that improve his/her performance and behaviour. Executive
development helps understand cause and effect relationship,
synthesizes from experience, visualizes relationships or thinks
logically. That is why some behavioural scientists suggest that the
executive development is predominantly an educational process rather
than a training process.
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Flippo has viewed that “executive/management development includes
the process by which managers and executives acquire not only skills
and competency in their present jobs but also capabilities for future
managerial tasks of increasing difficulty and scope”.
According to S.B. Budhiraja, former Managing Director of Indian Oil
Corporation. “Any activity designed to improve the performance of
existing managers and to provide for a planned growth of managers to
meet future organisational requirements is called management
development”. It is now clear from the above definitions of
executive/management development that it is based on certain
assumptions.
We can derive these as follows:
1, Executive development, being a predominantly educational process,
is a continuous and life-long process. It is not like training as a one-
shot programme but an on-going continuous programme throughout
the career of an executive or manager.
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2. Like any kind of learning, executive development is based on the
assumption that there always exists a gap between what an executive
performs and what he/she can. Executive development harnesses this
untapped potential.
Objectives of Executive Development:
The main objectives of any programme of executive
development are to:
1. Improve the performance of managers at all levels.
2. Identify the persons in the organisation with the required potential
and prepare them for higher positions in future.
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3. Ensure availability of required number of executives / managers
succession who can take over in case of contingencies as and when
these arise in future.
4. Prevent obsolescence of executives by exposing them to the latest
concepts and techniques in their respective areas of specialisation.
5. Replace elderly executives who have risen from the ranks by highly
competent and academically qualified professionals.
6. Improve the thought processes and analytical abilities.
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7. Provide opportunities to executives to fulfill their career aspirations.
8. Understand the problems of human relations and improve human
relation skills.
A Dasgupta has given the level-wise objectives of the
executive/ management development as follows:
(a) Top Management:
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1. To improve thought processes and analytical ability in order to
uncover and examine problems and take decisions in the best interests
of the country and organisation;
2. To broaden the outlook of the executive in regard to his role,
position and responsibilities in the organisation and outside;
3. To think through problems this may confront die organisation now
or in the future;
4. To understand economic, technical and institutional forces in order
to solve business problems; and
5. To acquire knowledge about the problems of human relations.
(b) Middle Line Management:
1. To establish a clear picture of executive functions and
responsibilities;
2. To bring about an awareness of the broad aspects of management
problems, and an acquaintance with and appreciation of
interdepartmental relations.
3. To develop the ability to analyse problems and to take appropriate
action;
4. To develop familiarity with the managerial use of financial
accounting, psychology, business statistics;
5. To Inculcate knowledge of human motivation and human
relationships; and
6. To develop responsible leadership.
(c) Middle Functional Executives and Specialists:
1. To increase knowledge of business fractions and operations in
specific fields in marketing production, finance, personnel;
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2. To increase proficiency in management techniques such as work
study, inventory control, operations research, quality control;
3. To stimulate creative thinking in order to improve methods and
procedures;
4. To understand the functions performed in a company;
5. To understand industrial relations problems; and
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6. To develop the ability to analyse problems in one’s area or
functions.
Importance of executive development:
Executives, or say, managers manage/run organisations. It is
managers who plan, organise, direct and control the resources and
activities in every organisation. An organisation is like a vehicle of
which managers are drivers. Without competent managers, other
valuable resources such as men, material, machine, money, technology
and others remain of not much significance for the organisation. Thus,
managers are a vital cog in the success of any organisation. That’s why
executive/ management development has become indispensable to
modem organisations.
The importance of executive development is appreciated in
more orderly manner in the succeeding paragraphs:
1. Change in organisations has become sine quo non with rapid
changes in the total environment. A manager, therefore, requires to be
imparted training to abreast of and cope with on-going changes in
his / her organisation. Otherwise, the manager becomes obsolete. In
this context, Dale Yoder views that “without training, the executives
lose their punch and drive and they die on the vine. Training and
development are the only ways of overcoming the executive dropouts”.
2. With the recognition that managers are made not born, there has
been noticeable shift from owner managed to professionally managed
enterprises, even in family business houses like Tata. That is also
indicated by the lavish expenditure incurred on executive training by
most of the enterprises these days.
3. Given the knowledge era, labour management relations are
becoming increasingly complex. In such situation, managers not only
need job skills but also behavioural skills in union negotiations,
collective bargaining, grievance redressal, etc. These skills are learned
through training and development programmes.
4. The nature and number of problems change along with increase in
the size and structure of enterprise from small to large. This
underlines the need for developing managerial skills to handle the
problems of big, giant and complex organisations.
Inaugurating the Tata Management Training Centre at Pune in 1965,
Mr. J.R.D Tata extolled the importance of management training in
these words.
“Trained managers are vital to the economic development of the
country… This business of executive development has been one of the
most crucial, essential end, at the same time, one of the most difficult
elements in providing continuity and efficient management”.
As regards the importance of management development, the
renowned behavioural scientist Peter Drucker opines that, “an
institution that cannot produce its own managers will die. From an
overall point of view, the ability of an institution to produce managers
is more important than its ability to produce goods efficiently and
cheaply”. In short, the importance of executive/ management
development in an organisation can best be put as: anything minus
management development in an organisation mounts to nothing.
The process:
Like any learning programme, executive development also involves a
process consisting o) certain steps. Though sequencing these various
steps in a chronological order is difficult, behavioural scientists have
tried to list and sequence them in six steps as shown in figure 11.1
These steps, also called the components of the executive development
programme, have been- discussed in the succeeding paragraphs.
Identifying Development Needs:
Once the launching of an executive development programme (EDP) is
decided, its implementation begins with identifying the developmental
needs of the organisation concern. For this, first of all, the present and
future developmental needs for executives/ managers ascertained by
identifying how many and what type of executives will be required in
the organisation at present and in future.
This needs to be seen in the context of organisational as well as
individual, i.e. manager needs. While organisational needs may be
identified by making organisational analysis in terms of organisation’s
growth plan, strategies, competitive environment, etc., individual
needs to be identified by the individual career planning and appraisal.
Appraisal of Present Managerial Talent:
The second step is an appraisal of the present managerial talent for the
organisation. For this purpose, a qualitative assessment of the existing
executives/managers in the organisation is made. Then, the
performance of every executive is compared with the standard
expected of him.
Inventory of Executive Manpower:
Based on information gathered from human resource planning, an
inventory is prepared to have complete information about each
executive in each position. Information on the executive’s age,
education, experience, health record, psychological test results,
performance appraisal data, etc. is collected and the same is
maintained on cards and replacement tables.
An analysis of such inventory shows the strengths and also discloses
the deficiencies and weaknesses of the executives in certain functions
relative to the future needs of the concern organisation. From this
executive inventory, we can begin the fourth step involved in the
executive development process.
Developing Development Programmes:
Having delineated strengths and weaknesses of each executive, the
development programmes are tailored to fill in the deficiencies of
executives. Such tailormade programmes of development focus on
individual needs such as skill development, changing attitudes, and
knowledge acquisition.
Conducting Development Programmes:
At this stage, the manager actually participates in development
programmes. It is worth mentioning that no single development
programme can be adequate for all managers. The reason is that each
manager has a unique set of physical, intellectual and emotional
characteristics.
As such, there can be different development programmes to uniquely
suit to the needs of an executive/ manager. These development
programmes may be on-the-job or off-the-job programmes organised
either by the organisation itself or by some outside agencies.
Evaluating Development Programmes:
Just as with employee training programme, executive development
programme is evaluated to see changes in behaviour and executive
performance. Evaluation of programme enables to appraise
programme’s effectiveness, highlight its weaknesses and aids to
determine whether the development should be continued or how it can
be improved.
Methods:
Since no single development programme can be adequate for
managers, it is undertaken in a variety of methods. Various methods/
techniques of executive/management development may be classified
into two broad categories as shown in the following figure 11.2.

Methods of Executive
Development
Management development programs help in acquiring and developing managerial
skill and knowledge. A Varity of methods of management development have
come into prominence these days.

Methods of Executive Development

 
Management development programs help in acquiring and developing managerial
skill and knowledge. A Varity of methods of management development have come
into prominence these days. Different types of techniques are used to acquire and
develop various types of managerial skill and knowledge as given in the table
below:
S.NO Competency Development Area       Methods
 
1.       Decision-making skill  : In-basket, Business games, Case study
2.       Interpersonal skill          : Role plying, Sensitivity Training
3.       Job Knowledge     : On-the-Job experiences, Coaching, Understudy
4.       Organizational Knowledge :    Job Rotation, Multiple Management
5.       General Knowledge :      Special course, Special Meeting, Specific Reading
6.       Specific Individual Needs        : Special Projects, Committee Assignments
 
Managerial Training / Management development: The following diagram
shows the stages involved in the managerial training.
Stages of Managerial Training
 
In all above stages, we should satisfy the following essential aspects in order to
make the programmes a success:
 
1.  Policy decisions
 
2.  Acceptance
 
3.  Appreciation
 
4.  Support
 
5.  Conductive atmosphere
 
6.  Strong urge for learning
 
7.  Participation
 
8.  Identification of strength and weakness
 
9.  Involvement
 
10.                     Self-development
 
A number of executive development methods are available. Generally these
methods are used in combination of two or more.
 
The various techniques of executive development may be classified into two broad
categories: -
 
 1. On the Job Techniques: It is delivered to employees while they perform their
regular jobs. In this way, they do not lose time while they are learning. After a
plan is developed for what should be taught, employees should be informed of the
details. A time-table should be established with periodic evaluations to inform
employees about their progress. On-the-job techniques include orientations, job
instruction training, apprenticeships, internships and assistantships, job rotation
and coaching. It consists of: -
 
Coaching-Coaching is a one-to-one relationship between trainees and
supervisors which offers workers continued guidance and feedback on how well
they are handling their tasks. The coach assigns the task, monitors the trainee
behavior, and provides reinforcement and feedback. Coaching is commonly used
for all kinds of trainees, from unskilled to managerial position. This method is
critically depends on the quality of the coach.
 
Under Study- An understudy may be assistant to someone or special assistant to
some supervisory or executive positions. He learns by experience, observation,
guidance and coaching.
 
Position Rotation-This involves the movement of the trainee from one job to
another. This helps him to have a general understanding of how the organization
functions. Apart from releasing boredom, Job rotation allows workers to build
rapport with a wide range of individuals within the organization, facilitating
future cooperation among various departments. Such cross-trained personnel offer
a great deal of flexibility for organizations when transfers, promotions or
replacement become inevitable.
 
Multiple Management- It provides knowledge about the organization to the
junior and middle managerial personnel. Here the members are exposed to all
types of the decision taken at higher level.
 
2.Off-the-Job Technique: It consists of :
 
Lectures- It is a traditional and direct method of instruction. The instructor
organizes the material and gives it to a group of trainees in the form of a talk. To
be effective, the lecture must motivate and create interest among the trainees. An
advantage of this method is that it is direct and can be used for a large group of
trainees. The major limitation of this method is that it does not providefor the
transfer of training effectively.
 
 Case Studies- It presents the trainees with a written description of a business
or organizational problem. The object of the case method is to teach the trainees
how to analyze information, generate alternative decisions, and evaluate the
alternatives. Cases can be analyzed by individuals or small groups. Feedback and
reinforcement are provided through oral discussion or written comments from the
instructor.
 
Group Discussions- This method is a direct discussion on a specific topic
conducted with a relatively small group of trainees. This method is useful for
teaching and exploring difficult conceptual materials, and for changing attitudes
and opinions. It provides opportunity for feedback, reinforcement practice,
motivation, and transfer, largely due to the active interchange of ideas between
the participants.
 
Role Playing- In most of role-playing assignments, each of the student takes the
role of a person affected by an issues on human life and effect the human
activities all around us from the perspective of that person.
 
Management Games- Verities of business and management games have been
devised and are being used with the varying degree of success in the developing
programmes. A management game is classroom exercise in which a number of
team of trainees competes against each other to achieve certain objectives.
 
Sensitivity Training- It has been successfully employed by behavioral
scientists over the past thirty years. Sensitivity to the circumstances and
feeling of others is the cornerstone of human relationships. It is important
to note that sensitivity is not just an emotion; it must express itself in
actions as well, especially when people we know are experiencing pain and
difficulties.
 
Benefits:
 
        Increased job satisfaction and morale among employees
        Increased employee motivation

        Increased efficiencies in processes, resulting in financial gain
        Increased capacity to adopt new technologies and methods
        Increased innovation in strategies and products
        Reduced employee turnover

        Enhanced company image, e.g., conducting ethics training (not a good
reason for ethics training!)

        Risk management, e.g., training about sexual harassment, diversity training

TRANSACTIONAL ANALYSIS
Use of Transactional Analysis Technique In An Organisation for Effective
Communication. When people transact and exchange ideas and
information, they are either comfortable or uncomfortable
communicating with each other. Transactional analysis is a technique
which helps to understand the behaviour of other person so that
communication becomes effective. Understanding human behaviour
helps to motivate, guide and direct other persons.
Transactional Analysis (TA), thus, facilitates communication. TA
studies transactions amongst people and understands their
interpersonal behaviour. It was developed by Eric Berne, a
psychotherapist. He observed there are several ‘people’ inside each
person who interact with other people in different ways.
To understand TA, one should understand the following:
ADVERTISEMENTS:
1. Ego States,
2. Life Position and
3. Analysis of Transactions.
1. Ego States:
It represents a person’s way of thinking, feeling and behaving. There
are three ego states present in everyone: child, parent and adult. They
are related to behaviour of a person and not his age. However, they are
present in every person in varying degrees. There may be more of one
ego state than another at a specific point of time. When two persons
communicate with each other, communication is affected by their ego
states. These are;
(a) Child ego:
Child behaviour reflects a person’s response to communicate in the
form of joy, sorrow, frustration or curiosity. These are the natural
feelings that people learn as children. It reflects immediate action and
immediate satisfaction. It reflects childhood experience of a person
gained generally up to the age of five years.
A child can be:
(i) Natural child:
He is naturally curious, joyous or scornful. He does what comes his
way naturally.
(ii) Adaptive child:
He reacts the way his parents want him to react. He is trained to act.
(iii)Rebellious child:
He has the experience of fear, frustration and anger.
(b) Parent Ego:
Parent behaviour is acquired through external environment. As young
children, their parents’ behaviour remains embedded in their minds
which is reflected as parental ego when they grow up. It usually
reflects protection, displeasure, reference to rules and working on the
basis of past precedents.
This can be:
(i) Nurturing parent ego:
As nurturing parents, managers praise good performance of the
workers. They interact with them and help them during times of
distress. They reflect nurturing behaviour towards others.
(ii) Negative or critical parent ego:
As critical parents, managers criticize or ignore poor performance of
the workers rather than help them to improve. They have a critical
attitude while interacting with others.
(c) Adult ego:
Adult behaviour reflects the ability to analyse the situation and take
logical decisions. He overcomes the emotional feelings and takes
decisions based on facts and figures. This state is based upon
reasoning, thinking, experience, rationality and discussion based on
facts.
It updates the parental ego to determine what is right and wrong and
child ego to determine what feelings to express and what not to
express. These ego states are present in all human beings at some time
or the other. People respond to different situations in different ways
depending on their ego state.
2. Life Position:
Behaviour of a person depends upon his experience at different stages
of his life. He develops a philosophy towards work from early
childhood which becomes part of his identity and remains with him
for lifetime unless some external factor changes it. These positions are
called life time positions.
ADVERTISEMENTS:
They fall into four categories:
(a) I am OK, You are OK.
(b) I am OK, You are not OK.
(c) I am not OK, You are OK.
(d) I am not OK, You are not OK.
(a) I am OK, You are OK:
This life position represents adult ego of a person. It becomes the
philosophy of a person who has good and positive experiences with
others. They feel confident about themselves and others. Managers
with this life position believe in give and take. They are competent to
take decisions and also allow others to participate in the decision-
making processes. They delegate authority and express confidence and
consistency in others. They are not threatened by others and express
freely what they want to express.
(b) I am OK, You are not OK:
This life position represents parent ego of a person who is brought up
as a rebellious child. They have critical attitude towards others. They
believe whatever they do is right and blame others for their wrong
acts. This usually happens when a person is ignored as a child.
Managers with this life position have critical attitude towards others.
They find faults with others and lack trust, faith and confidence in
them. They believe whatever they do is right and, therefore, do not
delegate tasks to others.
(c) lam not OK, You are OK:
This life position represents a state of distrust in the person himself.
He lacks confidence in whatever he does. He believes he cannot do
things that people around him can do and, therefore, keeps grumbling
most of the times about something or the other.
Managers with this life position are usually not good managers. They
do not perform well, have an erratic behaviour, feel guilty for their acts
and often use excuses to act against others.
(d) I am not OK, You are not OK:
This life position represents a desperate state of persons who have lost
interest in life. They have been brought up as neglected children and,
therefore, have negative attitude towards life. In extreme situations,
they may even commit suicide. Managers with this life position do not
believe in themselves and others. They make mistakes in work, do not
make proper decisions and also do not believe in decisions made by
others.
One of these life positions dominates every person at a point of time.
The optimum position is ‘I am OK, You are OK where a person
believes in himself and others. It represents an adult- adult
transaction and a psychologically matured state of mind. This position
can be achieved through education and managers should try to reach
this stage through training and development programmes in their
interest and interest of the organisation.
3. Analysis of Transactions:
When two persons interact or communicate with each other, there is a
transaction between them. While transacting, both of them are at
different ego states.
Based on the ego states, two types of transactions can take place:
(a) Complementary and
(b) Crossed.
(a) In complementary transactions, sender of information gets an
expected response from the receiver.
People get expected response from each other because both are in the
expected ego states. Both are, therefore, satisfied and communication
is complete. In complementary transactions, ego states of two persons
are parallel to each other. Stimulus and response patterns are as
predicted.
There can be nine types of complementary transactions:
adult – adult Parent – parent child – child
adult – parent Parent – child child – parent
adult – child Parent – adult child – adult
(b) In crossed transactions, sender gets unexpected response from the
receiver which obstructs the process of communication. Stimulus –
response lines are not parallel in these transactions. Rather, they cross
each other. The person who initiates the transaction or creates a
stimulus gets a response he does not expect.
If manager acts as adult but the employee responses as child, the
communication process will get blocked. Either the manager will come
down to the level of child or try to make the employee behave as an
adult so that communication is resumed.
For example, a manager says to his employee “you misbehaved with
your colleague yesterday and I don’t expect this behaviour to be
repeated.” The communication represents parent ego of the manager
and child ego of the worker. The worker, rather than being apologetic,
responds, “I did not do anything wrong. I shall not apologies.”
This is an unexpected behaviour where the parent of the worker talks
to the child of the manager.
This transaction appears like this:

When parent ego of manager talks to child ego of the worker and child
ego of the worker talks back to parent ego of the manager,
communication is effective but where egos get crossed,
communication breakdown takes place. The above interaction
between manager and worker would have been effective if the worker
had said, “I am sorry sir, I’ll take care not to behave like this again.”
This would appear like this:
By proper understanding of one’s own ego state and that of the other,
communication barriers on account of behavioural mal-adjustments
can be reduced. Transaction Analysis transforms negative attitude of
people into positive attitude. It changes failure, fear and defeat to
victory, optimism and courage. It makes people strong and directed
towards positive thinking.
It improves interpersonal relationships amongst people by
understanding their ego states. Crossed transactions can be converted
into complementary transactions and communication process can be
improved. People will be more comfortable interacting with each
other. This will improve effectiveness of the organisation.
Positive thinking and complementary transactions help to understand
human needs and improve motivation. People can perform jobs which
give them positive energy. It focuses more on intrinsic satisfaction
than extrinsic satisfaction.
It also changes the managerial style from autocratic to participative by
changing the life position from ‘I am OK, You are not OK’ to ‘I am OK,
You are OK. It makes people move from Theory X assumptions of
McGregor’s motivational theory to Theory Y assumptions. This is
beneficial for the employees and organisation as a whole.
Grievance means any type of dissatisfaction or discontentment’s arising out of factors
related to an employee’s job which he thinks are unfair. A grievance arises when an
employee feels that something has happened or is happening to him which he thinks is
unfair, unjust or inequitable. In an organization, a grievance may arise due to several
factors such as:
1. Violation of management’s responsibility such as poor working conditions
2. Violation of company’s rules and regulations
3. Violation of labor laws
4. Violation of natural rules of justice such as unfair treatment in promotion, etc.

Various sources of grievance may be categorized under three heads: (i) management
policies, (ii) working conditions, and (iii) personal factors

1.Grievance resulting from management policies include:

 Wage rates
 Leave policy
 Overtime
 Lack of career planning
 Role conflicts
 Lack of regard for collective agreement
 Disparity between skill of worker and job responsibility

2. Grievance resulting from working conditions include:

 Poor safety and bad physical conditions
 Unavailability of tools and proper machinery
 Negative approach to discipline
 Unrealistic targets

3. Grievance resulting from inter-personal factors include

 Poor relationships with team members
 Autocratic leadership style of superiors
 Poor relations with seniors
 Conflicts with peers and colleagues

It is necessary to distinguish a complaint from grievance. A complaint is an indication of

employee dissatisfaction that has not been submitted in written. On the other hand, a
grievance is a complaint that has been put in writing and made formal.
Grievances are symptoms of conflicts in industry. Therefore, management should be
concerned with both complaints and grievances, because both may be important
indicators of potential problems within the workforce. Without a grievance procedure,
management may be unable to respond to employee concerns since managers are
unaware of them. Therefore, a formal grievance procedure is a valuable communication
tool for the organization.

[USA] Most common causes of annoyance in the workplace >>

The most common causes of annoyance in the workplace are co-workers with poor time
management skills (cited by 43 per cent of respondents) and the prevalence of gossip
(36 per cent) according to an online survey of over 1000 employed U.S. adults
conducted by Ipsos Public Affairs-Randstad.  Read More....

Grievance Procedure
Grievance procedure is a Step by step process an employee must follow to get his or
her complaint addressed satisfactorily. In this process, the formal (written) complaint
moves from one level of authority (of the firm and the union) to the next higher level.

Grievance procedure is a formal communication between an employee and the

management designed for the settlement of a grievance. The grievance procedures
differ from organization to organization.

1. Open door policy

2. Step-ladder policy

Open door policy: Under this policy, the aggrieved employee is free to meet the top
executives of the organization and get his grievances redressed. Such a policy works
well only in small organizations. However, in bigger organizations, top management
executives are usually busy with other concerned matters of the company. Moreover, it
is believed that open door policy is suitable for executives; operational employees may
feel shy to go to top management.

Step ladder policy: Under this policy, the aggrieved employee has to follow a step by
step procedure for getting his grievance redressed. In this procedure, whenever an
employee is confronted with a grievance, he presents his problem to his immediate
supervisor. If the employee is not satisfied with superior’s decision, then he discusses
his grievance with the departmental head. The departmental head discusses the
problem with joint grievance committees to find a solution. However, if the committee
also fails to redress the grievance, then it may be referred to chief executive. If the chief
executive also fails to redress the grievance, then such a grievance is referred to
voluntary arbitration where the award of arbitrator is binding on both the parties.
How to handle an employee grievance?
1. Establish whether the grievance needs to be resolved formally or informally.
2. Choose an appropriate manager to deal with the grievance.
3. Carry out a full investigation and gather all relevant evidence, sending it to the
employee in advance of the meeting.
4. Arrange the grievance meeting, inviting the employee and reminding them of
their statutory right to be accompanied.
5. Make sure accurate notes are taken throughout by a person who is not involved
in the case.
6. Give the employee the opportunity to explain the details of their grievance and
what they would like the outcome to be.
7. Adjourn the meeting consider the evidence before making a decision.
8. Inform the employee in writing of the decision, explaining how and why the
decision was reached.
9. Notify the employee of their right to appeal against the outcome of the grievance
procedure.

GRIEVANCE PROCEDURE IN INDIAN INDUSTRY

The 15th session of Indian Labor Conference held in 1957 emphasized the need of an
established grievance procedure for the country which would be acceptable to unions
as well as to management. In the 16th session of Indian Labor Conference, a model for
grievance procedure was drawn up. This model helps in creation of grievance
machinery. According to it, workers’ representatives are to be elected for a department
or their union is to nominate them. Management has to specify the persons in each
department who are to be approached first and the departmental heads who are
supposed to be approached in the second step. The Model Grievance Procedure
specifies the details of all the steps that are to be followed while redressing grievances.
These steps are:

STEP 1: In the first step the grievance is to be submitted to departmental

representative, who is a representative of management. He has to give his answer
within 48 hours.

STEP 2: If the departmental representative fails to provide a solution, the aggrieved
employee can take his grievance to head of the department, who has to give his
decision within 3 days.
STEP 3: If the aggrieved employee is not satisfied with the decision of departmental
head, he can take the grievance to Grievance Committee. The Grievance Committee
makes its recommendations to the manager within 7 days in the form of a report. The
final decision of the management on the report of Grievance Committee must be
communicated to the aggrieved employee within three days of the receipt of report. An
appeal for revision of final decision can be made by the worker if he is not satisfied with
it. The management must communicate its decision to the worker within 7 days.

STEP 4: If the grievance still remains unsettled, the case may be referred to voluntary
arbitration.
 Grievance Handling Procedure: Steps, Need and Elements

After reading this article you will learn about Grievance

Handling Procedure:- 1. Steps in Grievance Handling
Procedure 2. Need for a Grievance Handling Procedure
3. Key Features 4. Basic Elements 5. Errors 6. Objectives
7. Benefits.

1. Steps in Grievance Handling Procedure:

At any stage of the grievance machinery, the dispute must be handled by
some members of the management. In grievance redressed, responsibility
lies largely with the management. And, grievances should be settled
promptly at the first stage itself. The following steps will provide a measure
of guidance to the manager dealing with grievances.
i. Acknowledge Dissatisfaction:
Managerial/supervisory attitude to grievances is important. They should
focus attention on grievances, not turn away from them. Ignorance is not
bliss, it is the bane of industrial conflict. Condescending attitude on the part
of supervisors and managers would aggravate the problem.
ii. Define the Problem:
Instead of trying to deal with a vague feeling of discontent, the problem
should be defined properly. Sometime the wrong complaint is given. By
effective listening, one can make sure that a true complaint is voiced.
iii. Get the Facts:
Facts should be separated from fiction. Though grievances result in hurt
feelings, the effort should be to get the facts behind the feelings. There is
need for a proper record of each grievance.
iv. Analyse and Decide:
ADVERTISEMENTS:
Decisions on each of the grievances will have a precedent effect. While no
time should be lost in dealing with them, it is no excuse to be slip-shod
about it. Grievance settlements provide opportunities for managements to
correct themselves, and thereby come closer to the employees.
Horse-trading in grievance redressed due to union pressures may
temporarily bring union leadership closer to the management, but it will
surely alienate the workforce away from the management.
v. Follow up:
Decisions taken must be followed up earnestly. They should be promptly
communicated to the employee concerned. If a decision is favourable to the
employee, his immediate boss should have the privilege of communicating
the same.
Some of the common pitfalls that managements commit in
grievance handling relate to:
(a) Stopping the search for facts too soon;
(b) Expressing a management opinion before gathering full facts;
(c) Failing to maintain proper records;
(d) Arbitrary exercise of executive discretion; and
(e) Settling wrong grievances.

2. Need for a Grievance Handling Procedure:

Grievance procedure is necessary for any organisation due to the following
reasons:
(i) Most grievances seriously disturb the employees. This may affect their
morale, productivity and their willingness to cooperate with the
organisation. If an explosive situation develops, this can be promptly
attended to if a grievance handling procedure is already in existence.
(ii) It is not possible that all the complaints of the employees would be
settled by first- time supervisors, for these supervisors may not have had a
proper training for the purpose, and they may lack authority. Moreover,
there may be personality conflicts and other causes as well.
(iii) It serves as a check on the arbitrary actions of the management because
supervisors know that employees are likely to see to it that their protest
does reach the higher management.
(iv) It serves as an outlet for employee gripes, discontent and frustrations. It
acts like a pressure valve on a steam boiler. The employees are entitled to
legislative, executive and judicial protection and they get this protection
from the grievance redreessal procedure, which also acts as a means of
upward communication.
The top management becomes increasingly aware of employee problems,
expectations and frustrations. It becomes sensitive to their needs, and cares
for then well-being.
This is why the management, while formulating plans that might affect the
employees for example, plant expansion or modification, the installation of
labour-saving devices, etc., should take into consideration the impact that
such plans might have on the employees.
(v) The management has complete authority to operate the business as it
sees fit subject, of course, to its legal and moral obligations and the
contracts it has entered into with its workers or their representative trade
union. But if the trade union or the employees do not like the way the
management functions, they can submit their grievance in accordance with
the procedure laid down for that purpose.
A well-designed and a proper grievance procedure provide:
(i) A channel or avenue by which any aggrieved employee may present his
grievance;
(ii) A procedure which ensures that there will be a systematic handling of
every grievance;
(iii) A method by which an aggrieved employee can relieve his feelings of
dissatisfaction with his job, working conditions, or with the management;
and
(iv) A means of ensuring that there is some measure of promptness in the
handling of the grievance.
3. Key Features of a Good Grievance Handling Procedure:
Torrington & Hall refer to four key features of a grievance handling
procedure, which are discussed below:
(a) Fairness:
Fairness is needed not only to be just but also to keep the procedure viable,
if employees develop the belief that the procedure is only a sham, then its
value will be lost, and other means sought to deal with the grievances. This
also involves following the principles of natural justice, as in the case of a
disciplinary procedure.
(b) Facilities for Representation:
Representation, e.g., by a shop steward, can be of help to the individual
employee who lacks the confidence or experience to take on the
management single-handedly. However, there is also the risk that the
presence of the representative produces a defensive management attitude,
affected by a number of other issues on which the manager and shop
steward may be at loggerheads.
(c) Procedural Steps:
Steps should be limited to three. There is no value in having more just
because there are more levels in the management hierarchy. This will only
lengthen the time taken to deal with matter and will soon bring the
procedure into disrepute.
(d) Promptness:
Promptness is needed to avoid the bitterness and frustration that can come
from delay. When an employee ‘goes into procedure/ it is like pulling the
communication cord in the train. The action is not taken lightly and it is in
anticipation of a swift resolution. Furthermore, the manager whose decision
is being questioned will have a difficult time until the matter is settled.
Essential Pre-requisites of a Grievance Handling Procedure:
Every organisation should have a systematic grievance procedure in order to
redress the grievances effectively. As explained above, unattended
grievances may culminate in the form of violent conflicts later on.
The grievance procedure, to be sound and effective should possess certain
pre-requisites:
(a) Conformity with Statutory Provisions:
Due consideration must be given to the prevailing legislation while designing
the grievance handling procedure.
(b) Unambiguity:
Every aspect of the grievance handling procedure should be clear and
unambiguous. All employees should know whom to approach first when
they have a grievance, whether the complaint should be written or oral, the
maximum time in which the redressal is assured, etc. The redressing official
should also know the limits within which he can take the required action.
(c) Simplicity:
The grievance handling procedure should be simple and short. If the
procedure is complicated it may discourage employees and they may fail to
make use of it in a proper manner.
(d) Promptness:
The grievance of the employee should be promptly handled and necessary
action must be taken immediately. This is good for both the employee and
management, because if the wrong doer is punished late, it may affect the
morale of other employees as well.
(e) Training:
The supervisors and the union representatives should be properly trained in
all aspects of grievance handling before hand or else it will complicate the
problem.
(f) Follow up:
The Personnel Department should keep track of the effectiveness and the
functioning of grievance handling procedure and make necessary changes to
improve it from time to time.

4. Basic Elements of a Grievance Handling Procedure:

The basic elements of a grievance redressal procedure are:
(i) The existence of a sound channel through which a grievance may pass for
redressal if the previous stage or channel has been found to be inadequate,
unsatisfactory or unacceptable. This stage may comprise three, four or five
sub-stages.
(ii) The procedure should be simple, definite and prompt, for any complexity
or vagueness or delay may lead to an aggravation of the dissatisfaction of
the aggrieved employee.
(iii) The steps in handling a grievance should be clearly defined.
These should comprise:
(a) Receiving and defining the nature of the grievance:
(b) Getting at the relevant facts, about the grievance;
(c) Analysing the facts, after taking into consideration the economic, social,
psychological and legal issues involved in them;
(d) Taking an appropriate decision after a careful consideration of all the
facts; and
(e) Communicating the decisions, to the aggrieved employee.
(iv) Whatever the decision, it should be followed up in order that the
reaction to the decision may be known and in order to determine whether
the issue has been closed or not.
5. Errors in the Grievance Handling Procedure:
I. Stopping too soon, the search for facts:
II. Expressing the opinion of the management before all the pertinent facts
have been uncovered and evaluated;
III. Failing to maintain proper records;
IV. Resorting to an executive fiat instead of dispassionately discussing the
facts of the grievance of the employee;
V. Communicating the decision to the grievance in an improper way; and
VI. Taking a wrong or hasty decision, which the facts or circumstances of the
case do not justify.
Measures to Avoid the Errors:
Managements should try to avoid the errors in the grievance procedure by
following the measures indicated hereunder:
a. Helpful attitude and support of the management.
b. Belief on the part of all concerned in the practice of the procedure.
c. Introduction of the procedure with the concurrence of employees and
trade unions.
d. Following the simple, fair and easily comprehensible procedures.
e. Formulating the clear policies and procedures of the company.
f. Delegation of appropriate authority to the parties concerned.
g. Functioning of the personnel department in the advisory capacity.
h. A fact-oriented and issue-oriented rather than employee-oriented
procedure.
i. Respect the decisions taken at all levels.
j. Adequate publicity to the procedure.
k. Periodic evaluation and review of the procedure.
As already discussed, there are valid reasons to have the grievances
processed through a machinery or a procedure.
6. Objectives of a Grievance Handling Procedure:
Jackson (2000) lays down the objectives of a grievance handling procedure
as follows:
1. To enable the employee to air his/her grievance.
2. To clarify the nature of the grievance.
3. To investigate the reasons for dissatisfaction.
4. To obtain, where possible, a speedy resolution to the problem.
5. To take appropriate actions and ensure that promises are kept.
6. To inform the employee of his or her right to take the grievance to the
next stage of the procedure, in the event of an unsuccessful resolution.
7. Benefits of a Grievance Handling Procedure:
According to Jackson (2000), further benefits that will accrue to both the
employer and employees are as follows:
1. It encourages employees to raise concerns without fear of reprisal.
2. It provides a fair and speedy means of dealing with complaints.
3. It prevents minor disagreements developing into more serious disputes.
4. It saves employers time and money as solutions are found for workplace
problems. It helps to build an organizational climate based on openness and
trust.
Air Canada recently gave us an example of the importance of knowing how to
communicate policies and procedures to staff, as the airline advised its flight
attendants that they weren’t permitted to wear poppies to commemorate
Remembrance Day on their uniforms. Hours later, a company vice-president
reversed course and informed staff that the wearing of poppies would be
supported. A company spokesperson informed the media that the uniform policy
had been updated to avoid future confusion.

To prevent your policies and procedures from becoming front page news or
creating a firestorm on social media that will negatively impact your employer
brand, it is important to know how to communicate policies and procedures to staff
effectively.

Whether you’ve developed an employee handbook, a policy manual, or some other

form of documentation of your company’s HR policies, it is crucial to communicate
the contents of these documents to your staff. Your staff should be advised why it
was created, what the purpose is and how the document will be used in the
company. This also applies when updates to policies are being made.

We also advise incorporating employee feedback, opinions and ideas about what to
include in the document, preferably prior to its creation. Asking employees up-front
for their input about what they would like to see included is the first step to
communicating company policies and procedures. Communication with employees
should start well before the formal document is completed. While not every
workplace is unionized, had Air Canada discussed the poppy policy with the union
representing the flight attendants prior to its implementation, the airline could have
saved itself significant heartache. The union would surely have provided the
necessary feedback to prevent the implementation of this policy.

Develop your communication strategy first, before you start documenting your
company policies and procedures. It is important to keep employees informed of
the process to encourage their interest, buy-in and input.
Keep the following recommendations in mind for how to communicate policies and
procedures to staff:

1. Inform employees up-front

 At the start of the project, let employees know that the company will work on
developing (or updating) company policies and procedures.
 Explain why the information is important and relevant, and what impact it
will have on them.

2. Ask for feedback

 To encourage employee involvement and buy-in, ask employees for their

ideas about what they think should be included in the employee handbook
or policy manual.
 Incorporate as much of the employee feedback as possible.

 Involve employees in drafting particular sections of the policy document if it

makes sense.

3. Introduce final product

 Conduct a meeting with all staff to introduce the completed handbook or

manual and review its purpose.
 Reinforce its importance and how it should be used.

4. Ask employees to review employee handbook or policy manual

 Provide employees a chance to ask questions.

 Distribute the completed handbook or manual to staff, either in a hard copy
or advise them how to access the document electronically.

 Ask employees to provide feedback on improving the document.

5. Provide training where required

 Some policies and procedures may require more extensive and intensive
training to ensure that employees understand how the policy applies to
them, so provide employee training, as required.
 Training does not have to be provided all at once. You can schedule training
sessions on an on-going basis or on an as-needed basis.
6. Request employee sign-off

 It is important for staff to read the document to become familiar with the
company’s policies.
 Request each employee sign-off on having read the document.

 A copy of the sign-off should be placed in the employee’s personnel file.

The manual or handbook is a living, breathing document. It should be reviewed and

updated regularly – about once a year – and should incorporate any employee
suggestions for improving the document. Remember that the handbook/manual
also acts as an employer branding document which communicates to employees
what it’s like to work for your company. It should be written in a tone and format
that suits your company’s culture and personality. Following these
recommendations, you’ll be well on your way to communicate your policies and
procedures to staff effectively.

Emotions are part of the nature of human beings and emotional upsets are part of their
life. It is sometimes more disastrous to suppress emotions. The emotional problems
affect the interest of the employees himself and the organisatoin in which he is working
for. The problems may reduce their productivity, morale and increase absenteeism.
Hence the managers should take steps to maintain a reasonable emotional balance of
their employees and channelize their emotions on the constructive lines. The instrument
with which the managers can achieve such balance is called counselling.

Counselling is a method of understanding and helping people who have technical,

personal and emotional or adjustment problems that usually has emotional contents that
an employee with the objective of reducing it so that performance is maintained at
adequate level or even improved upon.

Features of Counseling
1. Counseling is interviewing the person being counselled and helping to solve his
problems through human approach of sharing and guidance.
2. Counseling is sitting down in private setting for an open discussion with an
employee. Sometimes it is to pay a sincere compliment, sometimes it is to solve
 a problem that is hurting productivity/effectiveness, sometimes it is because an
employee violated your discipline line and you need to talk about improvement in
his behavior.
3. It is communicating one to one, in private. It is interviewing- it's a two way
dialogue and not one way sermonizing or advising.
4. It is encouraging the other person to to talk about himself so that the problem and
it's reasons emerge clearly and solutions can be worked out.
5. In an organization, counseling can be done by the team leader, supervisor or
manager or one can seek the expertise and assistance of an in-house or external
professional counselor.

Situations that Call for Counseling in an Organization

Given below is a partial indicative list of situations that call for counseling from a
superior to his subordinate:

 When an employee violates your standards.

 When an employee is consistently late or absent.
 When an employee’s productivity is down.
 When one employee behaves in such a way that productivity of others is
negatively affected.
 When two employees have a conflict that is becoming public and it is affecting
the work.
 When you want to compliment an individual.
 When you want to delegate a new task.

Employee Counseling in Maruthi Suzuki,s violence

On July 18 of 2012, Labour violence at the manufacturing plant had seen nearly 100
injured and killed of senior human resource manager by setting fire, following the instant
company had decided lock-out in the view of safety and welfare of itsemployees. This
serious dispute had created panic and psychological disturbance among employees, for
this purpose Maruthi Suzuki decided to get psychologist and psychiatrics for counselling
its injured employees and violence. The employee welfare team had setup to conduct
the counselling sessions for the employees injured.

Facts [+]
Companies like Citigroup, Bharti Airtel and DLF have terminated its employees those
who are in redundant jobs. To soften the termination issue theses companies took the
help of counsellors to counsel.

Objectives of the Interview

The general objective of the manager in counselling sub-ordinates is to help the
individual remain effective in his job and performance of his duties in the organization.
The man purpose of counselling in industry is to help employees in overcoming their
neurotic or emotionally based illness that accounts for a substantial part of employee
absenteeism and turnover.

Counseling Process
The counselling process, normally consists of the following stages:

Initiating
This involves developing mutual understanding openness and acceptance between counselor and
counseled. This rapport building is essential to initiate the counselling.

Exploration
This involved understanding with the help of the counselling, the counsellee’s own situation, his
feelings, his strengths and weakness, his problems and needs.

The counselor allows the counselee to talk about anything even apparently unrelated to the issue. It is
important for the counselor to achieve a free flow of expression-often through rumblings – of the
employee. The counselor will need an alert and receptive mind for this. The counselor, however, see to
it that the counselor eventually concentrates his thoughts on his problem rather than stray away from it.
The counselor has to help the counselee in concentrating more on the problem and getting deeper into
it and to discover the basic problems by himself.

Formulation of action plan

This involved exploring possible solutions and formulating action plan for implementing them to make
the counselee the normal person.
Employee Counselling in Organisation: Objectives, Types and Steps in
Counselling Process!
Counselling is discussion with an employee, who has some problem or
the other, more particularly emotional in nature. It is intended to help
the employee to overcome the emotional stress, so that he/she can get
back to the main track of performance. In organizations, the need for
counselling may be for several reasons, namely, an employee may fail
to achieve the results or performance targets, or an employee may
have problems with the team leader, or simply an employee may fail to
relate himself/herself to the job as also with the organization Because
of such divergent needs for employee counselling, its characteristics
also differ. It may be an exchange of feelings between two people
(hence an act of communication), or help to an employee to overcome
his/her emotional problems (hence an act of problem solving), or to
coach or guide an employee to achieve his/her goals (hence a
developmental support), etc.
Objectives/Functions of Counselling:
Whatever may be purpose of counselling,
objectives/functions of counselling can be categorized into
six major areas which are detailed as follows:
Rendering advice:
It is the function of coaching by the counsellor, who may be the
immediate boss or a professional. Here the counsellor listens to the
problems of the employees and then guides them to the right
direction. Reassurance it is the function of restoring the confidence of
the employees, helping them to feel courageous, to gain strength, and
to develop positive thinking. In cases, where employees are entrusted
with challenging assignments, reassuring them is very important, to
help them realize that they can achieve the results.
Clarifying the thinking:
It is the function of encouragement to the employees to be rational and
realistic. Employees often lose their emotional balance in executing
their assignments and jobs, and hence commit decisional errors.
Helping them to be rational by clarifying their way of thinking, puts
them back into the realities and enables them to achieve the results.
Release of emotional tension:
It is the process of relief from frustration and stress. The counsellor
allows the employees to share their grief. In the process of sharing,
employees get relief from their emotional tensions. This does not lead
to a solution by itself, but it breaks the ice, allowing the counsellor to
understand the possible ways for solution.
Communication:
It is a process of sharing the information and understanding, through
upward and downward communication. Upward communication flows
from the employees, who bring their feelings and emotional problems
to the notice of the management. Downward communication flows
from the counsellors, who help the employees get an insight into the
activities of the organization.
Reorientation:
It is a process of encouragement to bring internal changes in goals,
values, and mental models, helping employees to leverage their
strengths and guarding against their weaknesses.
Types of Counselling:
Depending on the reasons for counselling, a counsellor can
make use of several types of counselling, as detailed below:
Directive counselling:
In this type of counselling, the counsellor plays the role of an
empathetic listener and then takes decisions about the right courses of
action for the employees. The counsellor also motivates the employees
to follow the suggested courses of action.
Non-directive counselling:
The counsellor uses this type of counselling, not only to listen but also
to provoke the employees to explain the problems. On understanding
the problems, the counsellor determines the courses of action and
then facilitates the employees to identify on their own, the possible
solutions to those problems. Since finding solutions to problems is left
to the employees who are being counselled, we also call it ‘client-
centred’ counselling.
Participative or cooperative counselling:
It is in between the earlier two types of counselling. Here, both the
counsellor and the counselled develop close mental relationships,
exchange ideas, feelings, knowledge, and information, to overcome the
problem of the counselee. Since the possible-solution inputs are also
collected from the counselee, we call it participative counselling.
In organizations, managers have to adopt suitable types of counselling
depending on the reasons, type of employees for whom the counselling
is intended, and the underlying situation that prevails at a particular
point of time. Directive counselling is preferred in those cases, where
the employees are unable to decide their courses of action.
Non-directive counseling is for those who are knowledgeable and
capable enough to decide, once the problems are explained to them.
Participative counselling is effective in cases where organizations are
trying to change, which may be for mergers and acquisitions,
technological changes, business process reengineering, policy related
changes, etc.
Most of the merger cases fail due to emotional blocks of the
employees. Videocon’s success in transforming the Philips unit, after
acquisition, is attributable to participative counselling. All senior
executives were initially told to put in 80 per cent of their time in
talking to people and helping them to get their doubts and
apprehensions clarified.
This helped the company to enable the people to relate with the
transformation process, shedding their age-old legacy bound thoughts
and beliefs. However, another Philips unit. Total Plastics Solutions,
acquired by their employees could not be transformed. Hence, the
manager as counsellor has to adopt a contingency view of counselling,
irrespective of his/her preferred style.
Steps in the Counselling Process:
Irrespective of the reasons and the style adopted for counselling, the
counsellor has to adopt certain common steps, to make the process
successful.
Such stages or steps are:
Initiating:
At this stage the counsellor establishes a rapport with the employee
concerned, developing mutual understanding and promoting
openness. This ensures inculcation of confidence in the mind of the
person being counselled and in the process, to gain acceptance from
that person.
Exploring:
At this stage the counselee is urged to describe in his/her own words,
the situation, feelings, problems, and the needs. Here, the counsellor
endeavours to let the counselee understand his/her own weaknesses
and shortcomings and in the process develop a sense of mutuality.
Mutuality is positively relating and interacting with the people. To
promote mutuality, the counsellor has to have empathy in his
communication, negotiation and mediation skills.
Also, his/her personal attitude should be that of caring and respect for
the counselee and should also show an eagerness to cooperate.
Framing of action plan:
To make the counselling process successful, the counsellor has to
frame an action plan, duly charting the do’s and don’ts. Thus,
counselling is used by organizations as a tool to help the employees to
bring about attitudinal changes in themselves and to adjust with the
changing situations, duly promoting the sense of mutuality.
However, it is also important to understand that counselling, per se,
cannot improve the work environment, or make the workers’
productive. Along with the other tools, counselling has to be used as a
supplemental effort to bring about the required improvements and
changes in the behaviour of the employees.

Progressive discipline is a process for dealing with job-related behavior that does

not meet expected and communicated performance standards. The primary
purpose of progressive discipline is to assist the employee to understand that
a performance problem or opportunity for improvement exists.

The process features a series of increasingly formal efforts to provide feedback

to the employee so that he or she can correct the problem. The goal of
progressive discipline is to get the employee's attention so that he or she
understands that employee performance improvement is essential if they want to
remain employed.
The process of progressive discipline is not intended as a punishment for an
employee, but to assist the employee to overcome performance problems and
satisfy job expectations. Progressive discipline is most successful when it assists
an individual to become an effectively performing member of the organization.

Progressive discipline is used most frequently with hourly or non-exempt

employees. Salaried or exempt employees, under most circumstances, never
move beyond the written verbal warning stage because they either improve or
seek employment elsewhere.

Failing that, progressive discipline enables the organization to fairly, and with
substantial documentation, terminate the employment of employees who are
ineffective and unwilling to improve.

Typical steps in a progressive discipline system may include these.

 Counsel the employee about performance and ascertain his or her

understanding of requirements. Ascertain whether there are any issues
that are contributing to poor performance. These issues are not always
immediately obvious to the supervisor. Solve these issues, if possible.
An example of an issue is the employee doesn't understand the goal of
what he needs to contribute. A second example of an issue in a poor
attendance performance situation is that the employee is taking time off to
assist his sick mother. He didn't tell his manager who would have referred
the situation to Human Resources for addressing as FMLA eligible time off.
 Verbally reprimand the employee for poor performance. Tell the employee
that you will document the next steps in progressive discipline and
that termination can result at any point in the progressive discipline
process when the employer believes that the employee is unable to
improve despite repeated warnings. Document the conversation.
 Provide a formal written verbal warning in the employee's file, in an effort
to improve employee performance. Continue progressive discipline as long
as you believe the employee is making efforts to bring his performance on
track.
 Provide an escalating number of days in which the employee is suspended
from work without pay. Start with one day off, escalate to three and then
escalate to five.
 End the employment of an individual who refuses to improve.
Communicating with an Employee During Disciplinary Action

Are you interested to know how you can communicate effectively

during disciplinary action you are taking to correct an employee's behavior or
performance? In this example, the employee's coworkers have often experienced
the brunt of the impact of the employee's absenteeism or failure to contribute.

They want to know that you're taking the matter seriously and working to correct
the behavior. Nothing hurts the morale of your contributing employees more than
seeing no action taken to correct the actions of poorly performing employees.

You can't share what you're communicating because of employee confidentiality,

but here's how you can approach the conversation with the non-performing
employee. Discipline is best when you have personally witnessed the behavior,
so make a genuine effort to that end. Keep in mind that your presence can
change the employee's behavior and so you may never see the actions that the
coworkers see.

His coworkers will appreciate any action you take to correct the problem. (You
can tell coworkers that you've addressed the problem—nothing more—but
sometimes they need to know that their complaints were at least heeded.)

Disciplinary Action Form Guides the Discussion with the Poor Performer

Revisiting the subject of employee discipline, specifically progressive discipline,

this revised disciplinary action form is straightforward and addresses employee
actions in behavioral terms. Managers receive guidance via the questions on the
form to provide actionable performance feedback and suggestions for
improvement to the employee.

How to Communicate Discipline

The first step in communicating disciplinary action is to take the employee to or

set up a meeting with the employee in a private office. If you anticipate difficulty,
and always at the stage of written verbal warning, it's smart to ask an HR person
or another manager to sit in on the meeting so that there is a third party witness
present.

In a union-represented workplace, the employee may also ask his union rep to

attend the meeting. The rep is usually a second onlooker but may ask questions
to clarify or for examples that illustrate the behavior. In a nonrepresented
workplace, an employee can request that his own witness, possibly a coworker
friend, also attend.
Talking with the Employee

Telling an employee, "You have a bad attitude," gives the employee no

information about the behavior you want to see the employee change or improve.
Better?

Say, "When you slam your parts down hard on your workbench, you risk
breaking the part. You are also disturbing your coworkers. The noise bothers
them and they are concerned about their safety if parts fly through the air.

"Your actions also cause your coworkers to stop working to see what is
happening. Loud noises are disturbing in the workplace. Your coworkers feel the
need to find out whether they are in danger when strange sounds happen near
their workstations.

"You can consider this your verbal warning that the behavior needs to stop. I can
understand that the work sometimes frustrates you and that you let pent-up
impatience out by slamming parts down on your workstation. But, the behavior
needs to stop because of its impact on your coworkers.

"You can take a look at the progressive discipline policy in your employee

handbook. The next step following this meeting is that I will document that I gave
you a verbal warning and I will ask you to sign the document. Your signature
doesn't mean that you agree with the document. 

"It means that you have seen and read the document and that you are aware that
HR will file it in your personnel records.

"Finally, George, the next steps if you continue these actions is a formal written
verbal warning and then suspension without pay. At the point of the formal
written verbal warning, the company will decide whether you are interested in
changing your behavior. If the answer is, not likely, we will terminate your
employment. Do you understand?" 

Just as you are as specific as possible when you praise or recognize positive

employee behavior and contributions, you are just as specific when you ask an
employee to stop or improve negative actions. Your effort to describe the specific
behavior that you want to see corrected makes the results you want to see
more clear to the employee.

Of course, the employee may ask questions and make comments about the
situation throughout the meeting. He may deny that the situation is occurring and
tell you that his coworkers are out to get him.
 This reaction is why, whenever possible, you will want to have witnessed the
behavior yourself rather than enforcing discipline based on coworker opinions.
But, as mentioned earlier, it's not always possible.

Progressive Discipline Policy Content

On a final note, even if you have a written progressive discipline policy, you need
to make sure that you state that you will apply it only in certain circumstances.
Retain your right as an employer to skip all or some of the steps in certain
circumstances. In one small manufacturing company, for example, the following
actions occurred.

Two employees (who were dating outside of work) held a screaming match in the
middle of the plant in view and hearing of most other employees. All work by over
a hundred people stopped, and then, of course, the screaming match took up
hours of the employees' attention and conversation.

Neither employee had ever had any disciplinary action taken against them. But,
in this instance, because of the widespread impact of their actions, they were
each given a week off—unpaid— to think about proper behavior at work.

Disclaimer: Please note that the information provided, while authoritative, is not

guaranteed for accuracy and legality. The site is read by a world-wide audience
and employment laws and regulations vary from state to state and country to
country. Please seek legal assistance, or assistance from State, Federal, or
International governmental resources, to make certain your legal interpretation
and decisions are correct for your location. This information is for guidance,
ideas, and assistance.

Definition and guidelines of progressive discipline

Progressive discipline is the process of using increasingly severe steps or measures

when an employee fails to correct a problem after being given a reasonable opportunity
to do so. The underlying principle of sound progressive discipline is to use the least
severe action that you believe is necessary to correct the undesirable situation.
Increase the severity of the action only if the condition is not corrected.

Some guidelines to consider are:

 Thoroughly investigate the situation which includes obtaining the employee's

explanation or response prior to administering discipline.
 Document the process and results of your investigation.
 It is acceptable to repeat a step if you feel that it will correct the problem. This
may be the case if some time has passed since it was last necessary to address the
 issue and the situation has only recently reappeared. Or perhaps, the employee
misunderstood or you feel there is value in doing it again in a clearer fashion. If
repeating the step works, the situation has been resolved without escalating it
unnecessarily. However, be aware that an employee may be led to believe that nothing
worse will happen if you continually repeat a step. If repeating a step does not resolve
the problem, you can then move on to a higher step.
 The goal is to modify the unacceptable behavior or improve the performance.
The goal is not to punish the employee but to more strongly alert the employee of the
need to correct the problem.
 There is no rigid set of steps nor is there an inflexible rule that all steps must be
followed before terminating an employee. The circumstances of each case and your
judgment as to the least severe action that is necessary to correct the situation will help
determine which step to use.
 Early, less stringent, measures are skipped for serious offenses such as theft,
fighting, drug or alcohol use or sale. All steps are typically used for attendance or
general work performance problems.
 While usually unnecessary, it is acceptable to have a witness or note taker
present when meeting with the employee during the progressive discipline process.
Your witness/note taker should never be a peer of the employee. university policy
permits the employee to have a witness if he or she wishes.
 Human Resources is available for consultation at any step of the process, but it
is especially important at the steps of suspension and termination.

Essential elements of each progressive discipline step

Disciplinary actions are often overturned completely or reduced to a lesser level when
any of the essential elements of progressive discipline are missing.

 The employee is explicitly informed of the unacceptable behavior or performance

and is given specific work-related examples. It is not sufficient to assume that the
employee knows what the problem is.
 Explain acceptable behavior or performance standards and give the employee
reasonable time to comply. This may be a longer time frame if a skill needs to be
learned or a shorter time frame if it is a behavior to be changed.
 The employee is informed of the consequences of failing to comply. This is not a
threat, rather it gives the employee reasonable expectations of the consequences if
change does not occur.

These three essential elements need to be present at each step of progressive

discipline and are discussed prior to taking disciplinary action.
 Typical progressive discipline steps

Counseling
Written warning
Suspension without pay
Termination

Counseling
Counseling is usually the initial step.

 Conduct the whole counseling session in a "low-key" manner. Be friendly, yet

firm.
 This discussion should be done in private. Tell the employee the purpose for the
discussion. Identify the problem.
 Try not to be mechanical or read from a piece of paper. Have documentation
available to serve as a basis for the discussion.
 Seek the input from the employee about the cause of the problem.
 Where possible jointly identify a solution to the problem; otherwise, identify your
desired solution.
 Clarify the employee's understanding of your expectations concerning the
situation.
 Let the employee know that possible disciplinary action may follow if the problem
is not corrected.
 Try to get a commitment from the employee to resolve the problem.
 Schedule follow up with the employee. Provide feedback. Let the employee know
how he/she is progressing on solving the problem.

Notes:

Counseling sessions are used to bring a problem to the attention of the employee
before it becomes so serious that it has to become part of a written warning and placed
in the employee's file.

The purpose of this discussion is to alleviate any misunderstandings and clarify the
direction for necessary and successful correction. Most "discipline" problems are solved
at this stage.

If some progress is seen, this counseling step can be repeated to allow the employee
full opportunity to correct the problem.

It is not necessary to document the counseling session as it is considered an informal

step in progressive discipline. However, a brief statement confirming the subject matter
discussed and the agreed upon course of action to correct the problem can be noted in
a short memo to the employee.
 Written warning

 Initiate this step by repeating the process used in the counseling step, i.e., talk
before preparing any written action.
 After this discussion, prepare the written warning. Build in information,
responses, and commitments made in the discussion.
 The written warning will have three parts:
o A statement about the past, reviewing the employee's history with respect
to the problem.
o A statement about the present, describing the who, what, when, etc. of the
current situation, including the employee's explanation.
o A statement of the future, describing your expectations and the
consequences of continued failure.
 The warning is addressed to the employee.
 This step may be repeated with stronger consequence statements. Examples
range from a statement that failure to correct this situation "may lead to further
disciplinary action" to a statement that "this is a final warning and failure to correct the
problem will lead to discharge."
 See the Sample written warning memorandum

Suspension without pay

 On the Bloomington campus this step is not a part of the "Corrective Action"
policy for Support Staff or Professional employees except for infractions of safety rules
of major significance. For these groups of employees a final written warning is used
instead of the suspension step. If you are on another campus, contact your campus
Human Resources Office to clarify usage of suspension without pay on your campus.
 When suspension without pay is used, see the sequence described under
the counseling section. Again, the situation is discussed with the employee first. The
employee's explanation is obtained and, then, a decision is made about the appropriate
disciplinary step.
 The length of the suspension is not as critical as the step of suspension. One to
three days emphasizes the seriousness of the situation. Under the Fair Labor Standards
Act, Professional employees must be suspended in week long (40 hour) blocks of time.
 The written record of the suspension is prepared after the discussion with the
employee. It specifies the start and end dates, emphasizes that it is a final warning,
states the reason, and is given to the employee at the start of the suspension so that
the reasons for not working are clearly understood.

Termination

 This is the last step of any progressive discipline system and is used when earlier
steps have not produced the needed results.
 A discussion with the employee must occur before a final determination is
reached. Inform the employee about the nature of the problem. See sequence
described under counseling.
 The employee must be given an opportunity to explain his or her action and to
provide information.
 If the employee takes this opportunity, you must investigate where appropriate
and give consideration to the information provided.
 A written notice of termination is prepared after the discussion and consideration
of all available information.

Indiana University personnel policies

For Professional employees and Support & Service Staff not represented by a
union, see the Corrective Action policy.

Key points of Policy

 Suspensions without pay of five work days are used only for infractions of safety
rules of major significance. Final written warnings are to be used for all other infractions.

For CWA Support Staff at Bloomington and Northwest, see the Corrective Action
policy.

Key points of Policy

 Final written warnings are used in lieu of suspensions

 The employee may have a representative present during the discussion
 A twelve month limit exists on old discipline. The policy provides that if there has
not been a corrective action for an offense of a similar or related nature in the interim,
corrective action reports which are twelve (12) months or more from the date of the
current offense will not be used for the purposes of imposing additional corrective action
on an employee.

For AFSCME Service Staff at Bloomington, Indianapolis, and South Bend, see
the Corrective Action policy.

Key points of Policy

 Suspensions without pay may be used or a final written warning may be

substituted.
 A supervisor is expected to notify the employee of a workplace problem within
ten days of its event or of the time that the supervisor reasonably became aware of it.
 A twelve month time limit exists on old discipline. The policy provides that after
twelve (12) months, any Staff Incident Report in an employee's file cannot be used to
support disciplinary action. Any Staff Incident Report dealing with attendance problems
will be removed from the files after one year.

For AFSCME Police Service Staff at Bloomington, Indianapolis, Northwest, South

Bend, and Southeast, see the Corrective Action policy.

Key points of Policy

Corrective Action
Identify the problem and take appropriate action

Performance improvement plan

Progressive discipline

Documenting an investigation

Just cause self audit

The special case of insubordination