Module 1: The Theory of Supervision

At the end of this module, you will be able to:

o Define supervision.

o List the responsibilities of a supervisor.

o Define leadership.

o Describe the principles of leadership.

o Explain how to delegate successfully.

o Discuss the five key words of supervision.

Introduction to Supervision

 Supervision is getting the job done through others.

 Good supervision must include personal trust, respect, and confidence between employees and supervisors.
This kind of good supervision will result in an increased desire to work.

Supervisors can deal with a lot of pressure:

o Pressure on the supervisor from one side: management wants the work done without problems.

o Pressure on the supervisor from the other side: employees want clean, fair, and consistent leadership
Delegation

 Delegation is trusting another person to do a job for which you are responsible.

 To delegate successfully, the supervisor must do the following:

1. Make sure that the employee agrees to do the work.

2. Tell the employee how the work will be checked. Tell the employee how to report completion.

3. Make sure that everyone involved knows that the employees have the authority to carry out the work.

4. Review who does what.

 To delegate successfully, the supervisor verifies the employees acceptance of responsibility, specifies a method
of accountability, and establishes authority equal to accountability. On the subordinate's side: subordinates
accept responsibility for work assignments and are then accountable for those assignments. It is the job of the
subordinate to accept assignments and to report on progress in designated ways.

In all delegation situations for which you are accountable, make sure that you know the answer to this question:

o WHO DOES WHAT?

Delegation (cont.)

You can’t do everything. And you should not try. Your people have competencies, ambition, and incentives.
Furthermore, they all need to grow in a climate of success. Therefore, you need to delegate, including, at times, when
you get a little nervous.

After all, people gave you a chance to grow because at one time, you were not a supervisor. There is a rule of
thumb on delegation. It is, “if another person can do the job as well as, or better, than you under current
circumstances, DELEGATE".

1. Before delegating, ask yourself if the person understands what you are asking.

2. Simultaneously, ask yourself if they have the skills to do the task.

 3. Next, determine if they will or won’t do what you are asking.

4. Determine the likelihood of the results being done right or not.

5. Establish a feedback mechanism so that you know what is going on during the task and what the results
are.

6. Finally, if you decide to delegate, do so and get out of the way.

Responsibilities of the Supervisor

To Employees
Set the example. Be a leader and not driver.
Treat employees with complete respect. Be
friendly, but firm when necessary.
Explain and carry out the policies, procedures, and
regulations of the agency.
Assure proper training for his or her Job
Provide opportunities for development and assist
in every way possible.
Praise accomplishment and be sincere. Criticism is
to be given privately.
Create an awareness of and provide training in
safety practices.
Be fair and impartial.
Use ability and skill as criterion or placement.
Acknowledge your own mistakes.
To Management
Become familiar with and carry out the
policies of management.
Conform to security regulations.
Seek ways to economize. Avoid waste and
Protect Government property.
Identify training needs, assure adequate
training, and maintain a competent work
group.
Maintain tools, equipment, and work area
in efficient working condition.
Encourage and maintain high performance
standards.
Represent employees in matters of
appropriate concern.

Supervisory Principles

There are some general supervisory principles or concepts that many supervisors find helpful. They can be useful in
staying grounded, especially under pressure. They include:

1. About 95% of what we know came from other sources (parents, teachers, books) and 5% from
experience. But, we use our experience about 50% of the time, so build positive experiences into the
work environment. Most people have all this information in their head and use little of it, falling back on
a few basic ways to handle most situations.
2. When planning the work, plan for things beyond the “must do” and add some “should do” and “nice to
do” items. When someone does not do what was asked of them, determine if they did not follow
instructions because they COULD not do or WOULD not do the task - your intervention with this person
may change based on whether or not they were able to perform the task you’ve asked them to do.

3. Have failure and success standards for all jobs to help avoid creating a risk-averse climate, i.e., “if I don’t
try, I can’t fail.”

4. Send the indispensable person away for a while so others will get proficient in all critical tasks.

5. Delegation without clear expectations is abdication.

6. Avoid people who won’t ever do what you ask of them and those who do EXACTLY what you ask them
to do.

7. Your best people and worst people break the rules the most. Be aware of WHY your staff is breaking
rules.

8. Give authority along with responsibility.

9. Motivation has, at its root, dissatisfaction.

10. People think they are better than they think their boss thinks they are.

11. The 80/20 rule applies to several areas of supervision: 80% of the power is in 20% of staff. 80% of
problems come from 20% of staff. 80% of work is done by 20% of staff.

12. There are two “tyrannies”- change and another’s opinion. A tyranny is something over which you have
little or no control.

13. There are only three ways to change someone’s personality: deep psychotherapy, brain surgery, or a
religious conversion. Unless you are good at these, don’t try to change someone’s personality.

14. When people do things you don’t like, ask “so what?” If it continues, ask yourself “does it hurt
business?” You might ask yourself another question as well, “if I ignore it, will it hurt business?”
The Fundamentals of Supervision

The Five Key Words of Supervision

 These five words serve as touchstones to guide and bolster supervisors in their day-to-day work of supporting
employee success.

Clarity Empathy Courage Attention Persistence

“Courage is what it
takes to stand up
Clear,
Understanding, and speak; courage Concentrated To continue
understandable,
is also what it takes
to sit
simple appreciation, down and listen.” direction of the steadfastly or
firmly in purpose
compassion, -Winston Churchill mind;
or course of action.
insight • awareness
• consciousness
• watchfulness
• mindfulness

So that supervisors..

Encourage, direct, Demonstrate the

Act with a full Step up to the Stay focused on
delegate, and give value of employee
understanding of
feedback in a way
what others are practical and efforts and what they are
that is clearly
experiencing.
 striving to achieve
understood by emotional contributions. and not giving up
in the face of
others. challenges they distractions and
must face. setbacks.

The Heart of Supervision

o Listening, Setting Goals, and Cultivating Accountability are core responsibilities of supervisors stems
from the premise that supervisors are ultimately responsible for seeing that their unit delivers the level
of service required by their organization.

o Autonomy, Mastery, and Purpose are the essential factors that motivate knowledge workers to
contribute their talents most fully to an enterprise. The degree to which these factors are present or
absent in an individual’s job is largely determined by their supervisor.

The quality of the work environment, the productivity of employees, and the level of employee engagement is largely
determined by the degree of authenticity and skill with which these behaviors are practiced day-to-day.

This chart describes behaviors that achieve the core responsibilities of supervisors in ways that are motivational to
knowledge workers:

Autonomy Mastery Purpose

1. Know your 1. Encourage career
1. Keep current
employees aspirations
2. Identify relevant
2. Pay positive
learning 2. Scan the horizon
attention
opportunities
Listen
3. Serve as a
3. Put yourself in sounding board when
their shoes difficult situations
arise
4. Ask for feedback
 1. Give challenging
1. Delegate assignments and the 1. Connect the work
intentionally chance to learn to the mission
something new

2. Build trust - listen,

inform, follow-
2. Support learning 2. Walk the talk
through, advocate
when appropriate
Set Goals
3. Provide technical
3. Cultivate self-
3. Help prioritize support, guidance,
awareness
and feedback
4. Clarify your values
and seek to
4. Foster teamwork
understand the
values of your staff
5. Admit your
mistakes
1. Ask: What best
1. Clarify
serves the
responsibilities, 1. Be alert to
organization's
authority, coachable moments
mission, vision, and
expectations
values?
2. Encourage 2. Identify and
problem-solving. Ask: 2. Encourage learning discuss the ethical
Cultivate "What would you from the work dimensions of our
Accountability do?" work
3. Paint a picture of 3. Give timely,
success specific feedback
4. Establish regular
4. Connect to
communication
mentors
routines

5. Reward good work

6. Be candid about
work that is sub-par

The Five Traits of a Great Boss

1. Value what employees say

Eighty percent of respondents who identified a positive relationship with their boss said that one of the top factors in
the relationship’s success is that their employer values their input. When your employee comes to you with an idea, it’s
important to sit down, actively listen, and explore the idea even when it seems unrealistic at first. If you miss the
opportunity to process their input you will not only short-change yourself, you will diminish the relationship.
 2. Solicit diverse opinions

Forty percent of people who claimed a poor working relationship said that the relationship was failing in part because
their manager never solicited their input in the decision-making process. Not all employees will volunteer their opinions,
especially early in the relationship. Actively solicit diverse opinions and feedback, and draw out all perspectives. This will
help ensure that employees feel heard and valued, keeping them engaged and encouraging them to grow.

3. Offer constructive feedback

Almost 40 percent of survey participants who reported a good relationship felt that it was important for managers to
offer constructive feedback. While listening is important, supervisors must also play an active part in staff development
by offering perspectives on their ideas. This takes extra time and effort, but it is well worth it to ensure that employees
are prepared to take on new responsibilities and roles.

4. Be honest

More than 33 percent of respondents also cite honesty as a key component of a successful relationship. Employees
crave transparency and candor. Trust that your employees are capable of handling the truth, whether it’s in reference to
their performance or the company’s overall trajectory.

When reality is presented in a non-threatening manner, people can rise to the occasion while gaining the opportunity to
play a more meaningful role in their individual and collective success.

5. Keep everyone informed

More than 40 percent of those surveyed who claimed a bad working relationship with their manager felt their boss
failed to keep them in the loop. Once a decision is reached, leaders often fail to communicate the decision effectively to
those who are affected by it. Keep your employees informed so they clearly see the impact they have on the
organization and your decision-making process.

Few things can be more frustrating than being left in the dark. People crave high levels of candor, collaboration, and
curiosity from their managers. While it may require leaders to slow down, building relationships that foster engaged
employees and improved decision-making on both sides is more than worth it.

Supervisor Core Competencies

Leads Others
Supervisors leads people toward meeting the organization's vision, mission, and goals. The supervisor leads by doing the
following:

1. Acts decisively
Exercises good judgment and makes effective, sound, timely and informed decisions. Seeks to identify, analyze and
resolve problems effectively.

2. Leverages diversity and inclusiveness

Recruits, develops, and retains a diverse, high-quality workforce. Supports activities that ensure all staff has an equal
opportunity to use and develop their skills and abilities and/or develop new skills. Demonstrates a strong commitment
to diversity principles and fosters an inclusive workplace where diversity and individual differences are valued and
leveraged to achieve the organization’s goals.

3. Demonstrates flexibility and resilience

Adapts and is flexible and resilient in response to constraints, failures, and adversity. Adjusts priorities to multiple
demands and unanticipated events, and modifies decisions and actions in response to changing information and
circumstances.

4. Fosters continuous improvement and innovation

Promotes efforts aimed at improving current business processes through a culture that fosters continuous improvement
and innovation. Identifies and implements improvements and innovations that increase efficiency and enhance work
quality. Promotes ongoing development of staff and takes initiative to assess and self-develop supervisory
competencies.

5. Fosters integrity and honesty

Displays and fosters integrity and honesty through the promotion of mutual trust and respect, demonstrates and fosters
high ethical standards, and treats others fairly and ethically.

Manages Performance

The supervisor communicates performance standards and expectations and gives timely, constructive feedback
on tasks and assignments by doing the following:

1. Supervises and manages performance

Builds and manages a multi-sector workforce based on organizational goals, budget considerations, and staffing needs.
Ensures staff are recruited and selected using merit principles. Ensures tasks are appropriately delegated and completed
by monitoring performance against predetermined standards and requirements and holding staff accountable for
meeting expectations. Trains and develops staff, provides constructive performance feedback and appraisals, and takes
appropriate corrective action to address performance and conduct issues.

2. Thinks systematically and inspires change

Understands the "big picture" and the interrelationships of major agency programs, systems and activities, establishing
and/or implementing a strategic vision and direction for the organization or group. Fosters knowledge of the Library and
its major initiatives. Takes a long-term view and acts as a catalyst for organizational change by developing and
implementing an organizational vision that integrates key agency goals, priorities, and values.

3. Provides and fosters excellent customer service

Delivers high-quality products and servicers. Anticipates and meets the needs of both internal and external customers.
Demonstrates commitment to ongoing service improvement.

4. Manages project and functions

Manages projects and leads initiatives in the workplace. Organizes resources, people, and activities; and ensures
collaboration and the achievement of project and function goals and targets. Ensures effectiveness and efficiency in the
delivery of services, products and/or programs.

Communicates

Supervisors strategically use two-way communication to generate enthusiasm and foster an atmosphere
receptive to open exchange. By doing this, the supervisor:

1. Communicates effectively

Uses appropriate modes and media, targeting the amount, level of detail, and content of the information to the needs of
the audience. Prepares clear, concise, and well-organized written documents and oral presentations. Conveys
information clearly, confidently, and with the proper tone. Facilitates open communication. Uses discretion and
demonstrates sensitivity to confidentiality concerns. Listens effectively and provides appropriate feedback.

2. Manages conflicts and crisis

Proactively anticipates, manages and constructively resolves conflicts and disagreements; identifies ways conflict can
lead to positive change; and takes appropriate action to address conflicts following Library policies and using Library
resources.

3. Builds and maintains relationships

Builds and maintains effective relationships to share information, establish partnerships, and leverage expertise to
accomplish the organization’s goals.
Leadership

 Leadership is the ability to influence the actions of others.

 Supervisors can influence their work units in many different ways. Different situations require different
approaches. Supervisors need a variety of Leadership styles to meet different situations. Ask yourself the
following questions:


o When is it appropriate to get tough?

o When is it appropriate to be easy going?

o When is it appropriate to let individuals or groups work on their own?

 Supervisors need to learn how to adapt their personal styles to different circumstances. The way to succeed as a
leader is to talk to people about your style choices. Tell them why it is necessary for you to get tough in some
circumstances, and to be easy going in others. If you explain your choice of style and ask people to follow your
lead, they will usually cooperate. If, on the other hand, you are not willing to make the effort to explain yourself;
 you are headed for trouble. This trouble will take the form of confusion, resentment, misunderstandings and
personality conflicts.

Attitudes of supervisors can be seen as a range of styles, ranging from an extreme use of authority by the supervisor or
manager to an extreme area of freedom for the subordinates.

Decision making is choosing actions from available alternatives to achieve a result.

The Problem Solving Process

o define the problem (compare the present situation to the ideal condition)

o analyze the causes of the problem (from every angle)

o generate potential solutions (brainstorm)

o select and plan solutions

o implement solutions

o evaluate solution

 Supervisors will build work teams in ways that promote employees involvement. Supervisors will encourage and
support team work.

Supervisors will ensure that all needed communications (messages, instructions, assignments, requests, etc.) get
through to their employees.

Whenever possible, supervisors will correct unacceptable employee behavior by face to face verbal counseling.

Counseling is a face to face conversation between the supervisor and the employee that is designed to correct
unacceptable employee behavior. Counseling can make an employee aware that a certain behavior is
unacceptable at work. The employee may be innocently unaware that his or her behavior is not appropriate.

Early counseling can save the time of trying to correct a problem that has gotten out of hand. It can also uncover
issues that are causing problems of which the supervisor is unaware.

Workplace problems should be solved at the lowest possible level. This means maintaining employee
productivity and morale through normal communications and coaching. If normal communications are not
enough to correct a problem, your work unit should know that you will use counseling and that you have the
skill to use it in a non-punitive manner.
 The counseling interview should focus on changing the behavior rather than on blaming the employee.

Counseling can benefit all parties by awarding the severe consequences of unacceptable behavior that are part
of DISCIPLINE. Discipline can involve demotion and dismissal. The supervisor does not carry out discipline and
should never threaten an employee with discipline in a personal way.

The supervisor may be called on to recommend discipline for specific acts of misconduct. Supervisors should let
employees know when, and if, specific unacceptable behaviors could lead to discipline.

Sometimes employee performance declines to a point where the supervisor must take action. The supervisor
must decide when this point has been reached. Signs that employees need counseling could include the
following:

o increased absenteeism (unexplained or unexcused)

o unsatisfactory productivity

o sloppy work, carelessness or accidents

o inability to get along with supervisors or fellow employees

o tardiness in reporting to work

o complaint from the public

o unpredictable, inappropriate or unexplained changes in behavior or appearance

o unexplained absence from the work site during the workday

The face to face counseling interview is a necessary step in the counseling process. A counseling memo documents the
occurrence of a counseling interview. The memo never replaces the interview.
The supervisor has two general concerns in conducting a counseling interview:

1. supporting the employee while he or she recognizes and seeks to solve his or her problem.

2. stating or reaffirming the rules, policies, needs and obligations of the agency and the work unit.

Supervisors must observe the rules of counseling. This is an area of supervisor - subordinate contract that is not open
to improvisation.

The key steps in a counseling interview are:

o Hold the session in private during a time when you will not be rushed.

o Explain directly the exact nature of the concern. Make clear what has been observed and why it is
important.

o Allow the employee the opportunity to tell his/her work story, making sure that you hear him/her out.

o Assure the employee of your interest. If appropriate, offer your assistance in resolving the problem.

o Reach an understanding on corrective actions both of you will take. Set a definite follow up date.

The purposes of all Performance Evaluation Systems are:

o To let people know where they stand

o To identify training and development needs

o To provide information for organizational decisions.

All Performance Evaluation Systems have the following 3 steps in common:

 Performance Planning - Defining specific tasks that are part of the employees job, setting measurable standards
for how those tasks are to be performed, and communicating expectations about task performance to the
employee and to management.

 Performance Development - Working with the employee to allow him or her to achieve competent
performance of job tasks. This could involve coaching, On the Job Training, redesigning tasks, solving problems,
and arranging opportunities for practice and / or training.
  Performance Appraisal - Rating the employee's job performance by comparing actual performance to agreed on
standards. Review of the first line supervisor's rating by upper management. Communication of that rating to
the employee.

Interpersonal Principles

Supervisors should be guided by certain basic principles of behavior or actions when interacting with other people. If
these principles are generally followed, many challenging supervisory issues can be either prevented or reduced in their
severity. While they are likely obvious to most of us, they are commonly ignored.

o Focus on the issue, the behavior, or the situations- not on the person; that is, don’t make it personal.

o Whatever the reason for the interaction, leave the person with their self-esteem and with self-
confidence.

o Maintain constructive (not destructive) relationships with all people.

o Take the initiative to make things better. Someone must go first in improving things.

o Lead by example because you are a role model.

 o Enable others to succeed.

o Challenge things that are not working well.

o Facilitate professional growth in people around you.

o Create a sense of hope in a positive future.

o Offer support through respectful communication.

The key points from this module are:

Supervision is getting the job done through others.

Good supervision must include personal trust, respect, and confidence between employees and supervisors. This kind of
good supervision will result in an increased desire to work.

Delegation is trusting another person to do a job for which you are responsible. To delegate successfully, the supervisor
must do the following:

1. Make sure that the employee agrees to do the work.

2. Tell the employee how the work will be checked. Tell the employee how to report completion.

3. Make sure that everyone involved knows that the employees has the authority to carry out the work.

4. Review who does what.

Clarity, Empathy, Courage, Attentions, and Persistence are they five key words of supervision.

The five traits of a great boss are:

1. Value what employees say

2. Solicit diverse opinions

3. Offer constructive feedback

4. Be honest

5. Keep everyone informed

Leads others, Manages performance, and communicates are three supervisor core competencies.
Leadership is the ability to influence the actions of others. The way to succeed as a leader is to talk to people about your
style choices.

Decision making is choosing actions from available alternatives to achieve a result.