Module 4: Coaching and
Performance Management
“Coaches who can outline plays on a blackboard are a dime a dozen. The ones who win
get inside their players and motivate.”
~Vince Lombardi
Overview of Module 3
What do Coaching and Supervising Have in Common?
Coaching and supervising are both about leading and
What makes a good
developing people to perform at their best to achieve
coach? Complete
dedication.
organizational objectives. Supervision is about making
George Halas
sure that employees perform the minimum
qualifications required by the position and that they
follow the rules, procedures, and ethical principles of
the program or organization. We covered these concepts in Module 2 on accountability
and Module 3 on delegation through effective relationships.
Coaching is a collaborative process that focuses on maximizing individual and team
performance. Like a sports coach, a management coach has an action focus – you are
helping employees notice their actions and behaviors, the results they get, and giving
them feedback so they can improve their performance.
Using assessment, feedback and a plan tailored to the needs of the individual or a
team, a good coach helps people discover their strengths and use those strengths
appropriately. Coaches also help people recognize the gaps between the skills they
currently have and their potential.
Objectives of this Module
By the end of this module, you will be able to:


Understand coaching and when employees need it.



Understand in what ways you need to improve as a coach.
Determine why employees are struggling with performance or not meeting
standards or expectations.
Apply coaching competencies to improve performance.
More effectively use the formal system of counseling and discipline to
correct employee conduct when necessary.
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Definition of Coaching
What Is Coaching?
Coaching is a set of beliefs, skills and practices used formally or informally to enhance a
person’s accountability, abilities, and actions. The coach attempts to help the employee
improve their performance through increased self-awareness, expanded knowledge and
new behaviors.
The purpose of coaching is to help employees achieve their potential and to improve
business and professional performance in specific areas. However, a coach is not a
therapist, a teacher, or an advisor. An effective coach is a facilitator who helps
people:








See problems differently.

Understand and celebrate their work accomplishments.
Realize when and how their actions are inconsistent with their goals.
Articulate a specific goal and how they’re going to accomplish it.
Gauge their progress and effectiveness.
Be accountable for achieving their goals.
Clarify performance expectations and provide feedback and direction.
Identify improvement opportunities and provide support for continuous effort.
Remove barriers and constraints that inhibit individuals or teams from fulfilling
their responsibilities and meeting assigned objectives.
An effective coach motivates people. Think about the accomplishments you’re proud
of and then ask yourself how motivated you were to accomplish them. If you can figure
out what motivates others, their accomplishments and yours will be greater.
Some managers believe others should be automatically motivated, that motivation
comes standard with the person or that everyone should be as motivated as they are
about the work and the organization. The truth is, people are different. Each person is
unique in the way he or she becomes and sustains being motivated.
To motivate others, you must get to know your employees personally:



Find out why people do what they do.
Find out what inspires them.
Get them deeply involved in the work they’re doing.
3
The Performance Management Cycle
Coaching is a key part of a cyclical process – Performance Management – and it must
be done regularly in order to achieve individual performance measures and program
outcomes. Performance management is a process for maximizing organizational
performance through people, by letting employees know what is important and what is
expected. The goal is to create a performance partnership between employees and
their supervisors in which:

There is shared understanding and commitment to achieving the organization’s
goals.



Performance goals and standards are set.
Employee actions to meet those goals and standards are evaluated.
The evaluative data is used to support employee development.
The Performance Management Cycle
1. Planning is a two-way process
involving both the employee and the
manager, and results in a
performance plan containing
objectives for performance and
growth for the coming year.
2. Ongoing coaching sessions are
aimed at continuous improvement.
3. Assessment of performance based
is based on objective, job-related
criteria that are linked to
organizational goals. The criteria
should be developed and
understood in advance by both the
manager and employee.
4. Development review or evaluation
of performance in each core
competency area, based on both
measurable and observable
behaviors and whether specified
tasks were accomplished, rather
than on personality or attitude.
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When to Coach
When does coaching take place? To be an
effective coach, it is important that you understand
when coaching should occur. Unlike formal goal
setting and scheduled performance reviews,
coaching is ongoing and occurs as the need or
opportunity arises.
“Coaches have to watch
for what they don’t want to
see and listen to what
they don’t want to hear.”
John Madden
As a manager, you might schedule coaching sessions about particular situations. More
often, however, you coach informally as you interact with direct reports in person, by
phone, or through e-mail. Generally, it is time to coach when:

There is untapped or unexpressed potential.

The employee is bored with routine.

New employees are struggling to learn.

Training has occurred and learning needs to be reinforced.

An employee expresses a desire to promote or try something new.

Someone is causing friction within your team.

A tenured worker is suddenly having problems accomplishing his or her job.

An employee is stumbling while working on certain tasks.
In any instances when you need to focus more on an employee than on the tasks the
employee performs, keep in mind that a successful outcome of your coaching will likely
be better team interaction and interpersonal skills.
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Six Core Competencies of Effective Coaches
Good managers possess good coaching skills and focus on cooperation and facilitation
of employee development. Coaching involves creating a comfortable environment in
which managers and employees can focus on giving and receiving feedback and
creating action plans for developing beyond the current level of competency and
performance. To become the most effective coach possible, strive to master the
following six competencies. These competencies apply whether you are coaching an
individual or a team:

Empathizing

Confronting and challenging

Giving and receiving feedback

Problem-solving

Listening

Empowering
Core Competency 1: Empathizing
Empathizing is the ability to understand an employee’s viewpoint and feelings.
Showing empathy creates a positive climate for coaching communication. We have all
felt the empathy of a sensitive teacher or friend, and we have all noticed its absence in
an unfeeling boss.
Empathy doesn’t mean, “I’m okay, you’re okay.” Nor does it mean that leaders should
adopt other people’s emotions as their own or try to please everyone else. Empathy
means taking employees’ feelings into thoughtful consideration when making decisions.
Core Competency 2: Giving and Receiving Feedback
Feedback is useful and often invaluable information that tells people how they’re
doing and inspires people to act. The purpose of giving feedback is to help
employees continually improve their performance. How well do you use feedback to
help employees perform at their best? Giving feedback is a way of helping employees to
consider changing their behavior. Feedback is most effective when used as part of a
frequent, ongoing dialogue between you and those you manage.
Keep the following guidelines in mind when giving feedback:

Focus on Behavior
Describe the employee’s behavior and its impact on projects or co-workers. Avoid
“judging” language, which puts employees on the defensive.
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Example: Instead of “You dominate during meetings,” you might say, “You
interrupted me several times in the meeting so I thought my ideas were unimportant
to you.”

Be Specific
Avoid general terms that don’t clearly describe the behavior you’re discussing.
Example: Instead of “You did a really good job” you could say, “You engaged the
team really well by asking them meaningful questions.”

Be Sincere
Give feedback with the intention of helping the employee to improve. Feedback is
constructive when it is helpful and encouraging.
Example: If a sudden and unavoidable crisis delays a project, suggest how better
planning might have minimized the effects of the crisis.

Give Feedback Early and Often
Frequent, incremental feedback is more helpful than infrequent, sudden feedback.
Feedback is most effective soon after the behavior has occurred. In some cases,
however, you may want to wait until emotions cool down or for a private moment.

Honor Requests
Although you shouldn’t wait to give feedback until someone asks for it, be aware that
the employee who requests feedback is likely to take the feedback to heart more
than someone who hasn’t requested feedback.

Make Yourself Clear
After giving feedback, ask the employee to rephrase what you have said so that
you’re sure you’ve been understood.
Steps for Giving Feedback
1. Prepare for the feedback discussion.
2. Open the discussion by stating the purpose of your feedback.
3. Focus on the issues.
4. Explain the impact.
5. Invite the other person to respond.
6. Acknowledge your part in the problem, when appropriate.
7. Discuss options and reach agreement on a solution.
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Steps for Receiving Feedback
1. Listen and remain calm.
2. Ask questions to clarify for understanding.
3. Acknowledge other persons view point.
4. Briefly correct any misinformation.
5. Express your willingness to hear suggestions or engage in mutual problem
solving.
Core Competency 3: Listening
Good listening involves hearing the words and understanding the emotions and
issues beneath the words. The ability to listen attentively and without judgment,
advice or logic is one of the most difficult and prized skills for coaches to master.
Emotionally intelligent managers know that listening to employees is critical to forming
strong bonds and developing an open, friendly environment conducive to creativity,
productivity, and high quality. It also reduces conflict and encourages more creative
problem solving. Like developing a good golf swing or learning to play a musical
instrument, listening takes practice.
Within the other’s
frame of reference
5. Empathetic Listening
4. Attentive Listening
Within one’s own
frame of reference
3. Selective Listening
2. Pretend Listening
1. Ignoring
Asking Questions
Asking good questions and the right questions are a crucial part of listening. Questions
are a vehicle to encourage employees to tell you what matters to them.
8
There are open questions, closed questions, and questions in between. Because
different types of questions yield different responses, use the chart on the following
page to determine which type of questions will be most effective in a specific situation.
9
TYPES OF QUESTIONS
Purpose
Open Questions
These tend to elicit
detailed responses and
allow the person who is
responding to the question
to control the conversation.
Open-ended questions
typically begin with:
Who
What
Where
When
How
Why
Example
Invite participation and
generate a more lengthy
explanation.
Explore alternatives and
possibilities.
Encourage use of different
perspectives.
Explore attitudes and feelings.
Discover underlying issues.
“What’s happening with the
project?”
“What would happen if…?”
“What is another possible
explanation?”
“How do you feel about our
decision?”
“Under what conditions would
you take on this project?”
These tend to elicit yes or
no answers.
Focus a response.
Confirm your understanding of
what a person has said.
Make a polite demand.
“Is the project on schedule?”
“So the critical issue here is
cost?”
“Can I count you in?”
Slightly Closed
Questions
Encourage a focused and
open-ended response.
“What do you think are the
most important issues here?”
Closed Questions
These are not quite open
and not quite closed. They
are specific but encourage
some elaboration.
Negative Focus
Successful Approach
“Why were you late?”
“What stops you from being here on time?”
“How can you start arriving on time?”
What would help you get here on time?”
“Why does this always
happen?”
“How did this happen?
“What do we need to have happen instead?
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Core Competency 4: Confronting and Challenging
Confronting and challenging is bringing to the attention of your employees their
professional issues or problems. To confront and
challenge effectively you must understand the core
dimensions of conflict and how you typically deal with
“Difficulties are meant
situations where conflict is present. All conflicts follow
to rouse, not
patterns, predictable actions of communication and
discourage. The
response.
human spirit is to grow
strong by conflict.”
Conflict is a natural and inevitable part of our
William Ellery Channing
interactions with others. The way we handle conflict
determines the kind of relationships we have with
people. Conflict can inspire people to explore strategies
for helping others be successful. Healthy, positive conflict can also lead to stronger
relationships and more creative solutions to problems. Shifting our view of conflict can
lead to strategies for mending (or at least co-existing with) broken relationships.
Conflict and Confrontation Can be Positive
Conflict can help us:

Prioritize issues.

Consider a new or different viewpoint.


Build a stronger relationship with the other person once the disagreement is
resolved.
Initiate positive changes.
Keys to Handling Conflict Well
The key is to manage conflict before it grows from a minor dispute to a serious situation
in which all parties become upset, polarized, and less willing to seek resolution.
Handing conflict well involves:

Understanding different conflict styles.

Dealing constructively with your reactions in conflict situations.

Applying a conflict resolution strategy to achieve positive results.

Making a clear distinction between the person and the problem you associate
with that person.
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Facilitating Conflict Resolution for Yourself and Others
You can more effectively resolve conflicts when you understand your own conflict style,
help others understand theirs, and can see the potential benefits of healthy conflict. In
the workplace, we all need to be aware of our common triggers, stressors and knee-jerk
reactions to conflict so we are able to learn and use alternative strategies. Again, the
more options we have at our disposal, the more effective we will be in working with
conflict. None of the styles shown below is correct or incorrect, they simply reflect a
preferred way of handling conflict based upon your personality.
TYPE
BEHAVIOR
BELIEFS
Competitor

Pursues own concerns at others’
expense.


Uses power to win.
There are two kinds of
people: winners and
losers.

Is rigid in his or her position.


Presents strategies rather than solutions.
When you stand firm in
your position, others will
reconsider theirs.
Yields easily to protect the relationship.

Neglects own concerns to satisfy the
concerns of other people; let’s others
have their way.
You should kill them with
kindness.

Soft words ensure
harmony.

Silence is praise-worthy.

Refraining from quarreling
helps maintain happiness.

Nothing is important
enough to fight for.
Accommodator 

Avoider
Compromiser
Collaborator

Doesn’t address the conflict; physically
avoids the other party, changes the topic
or withdraws from heated talks.

Postpones or pretends conflict doesn’t
exist.

Seeks an expedient, mutually acceptable
solution that partially satisfies both sides.

You scratch my back and
I’ll scratch yours.

Feels that “half a loaf” is better than
none; encourages an exchange of
concessions.

Getting something is
better than nothing.

Each party should give
50%.

Aims for mutual satisfaction by both
sides.

There’s truth in
knowledge and reason.

Acknowledges each person’s needs as
being important and works at finding winwin solutions.

No single person has the
full or final answer; each
has a piece of it.

Gives and solicits as much information as
possible.

Candor, honesty, and
trust can move
mountains.
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Working with Conflict Styles
While everyone tends to have one or two preferred conflict styles, there are specific
situations in which each style can be effective.
Style
Use this style when…
Don’t use this style when…
Competition

A situation must be resolved
immediately.


Unpopular action needs to be
implemented.
It could result in long-term
consequences, lack of trust, hurt
feelings, frustration, and/or
sabotage.

Both parties agree to this method.

It is important to consider the
interests of all sides.

The stakes are not high.

It causes the conflict to escalate.
The issue is more important to the
other person than you or when
preserving the relationship is key.

Your needs are not being met.

It is important to face the
conflict.

The issue is important.

The problem keeps recurring.

It produces high levels of stress.
Accommodation 
Avoidance
Compromise
Collaboration

A bargaining chip is needed.

Time can take care of the
problem.

The issue is too risky to confront.

When parties are defensive or
openly hostile.

Parties are committed to mutually
exclusive goals.

The other party is unwilling to
compromise.

It can prevent further conflict.


Time or other resources are
limited.
The agreement does not solve
the problem.

Different perspectives are
beneficial to the process.

Others are not committed.

A quick solution is necessary.

There is a relationship of trust.

Parties are seeking a long-term
solution.
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The Process of Conflict Resolution
As you try to understand complicated conflicts, remember to observe what happens:
who says what, in what order, about what topics, and with what kind of nonverbal
communication. There is a natural flow to conflict resolution, but it is not linear and you
will probably move back and forth through these steps to reach a satisfactory resolution.
1. Listen to the other person’s viewpoint.

Listen actively and ask questions to clarify your perceptions.

Paraphrase what you are hearing and ask for corrections.

Acknowledge their viewpoint and offer an apology if appropriate.
2. Express your viewpoint.

Be direct and don’t blame when you express your view of the situation and its
impact. Also, avoid arguing with or threatening the other person.

Use “I” statements rather than “you” statements.

Focus on the situation not on the person.
3. Seek areas of agreement.


Agree wherever you can and focus on common ground. (In situations where trust
might be low, start with less important issues first.)
Tune into how the other person is thinking. Use language and mannerisms the
other person will understand, and be willing to adapt your communication style if
necessary.
4. Find solutions for both parties.


Involve the other person. Suggest proposals and seek agreement. Brainstorm
solutions to meet both sets of needs. Ask “what if” questions: “What if we tried
this approach?”
If your request is for them to stop doing something, suggest what they could do
instead – and be specific.

Don’t assume there are limits. Some solutions will satisfy everyone.

Look for low-cost, high-benefit trades.
5. Develop an agreement on how the conflict will be resolved.
14

Summarize the discussion to ensure understanding.

Develop doable action steps and identify who will do what by when.


Consider putting the agreement in writing. Ensure that the agreement is clear,
specific, measurable, attainable, realistic, and time driven.
Plan a follow-up discussion, if needed.
Core Competency 5: Problem-Solving in Coaching
Problem solving is about your ability to find appropriate methods of analyzing
employee performance issues and then exploring avenues that might lead to
solutions. Problem solving is an action—a continuous process of alternating phases of:

Reflecting on a problem

Testing new solutions

Reflecting on the success of these actions in particular contexts

Honing, refining, and adapting these actions according to results and
circumstances
The most important point is that problem solving involves action.
1. Problem solving is employee-specific. How particular employees respond to the
invitation to engage in problem solving varies enormously. Employees vary
according to the capacities they have, the abilities they develop, and the
experiences they undergo. Also, and perhaps most important, are the variables of
personality and cultural background.
2. Emotions are central to problem solving. The processes involved in problem
solving are infused with an emotional dimension. Challenging unquestioned
assumptions, looking skeptically at givens you have lived by, and trying to shake off
habitual ideas and behaviors so that you can try out alternatives are emotionally
potent activities. They may very well produce anxiety, fear, resentment, and feelings
of being threatened or intimidated. These activities can also be accompanied by
feelings of liberation, release, relief, and the joy of abandoning internalized rules that
you have perceived as constantly blocking your growth and development.
3. Intrinsic and extrinsic reasons for problem solving are both important.
Learning to problem solve can be arduous. Employees who are most likely to
persist in this activity and who are most likely to weather successfully periods of
anxiety, self-doubt, blockage, and difficulty, are those who are driven by extrinsic as
well as intrinsic motives. Hoping that there is some direct improvement in areas of
their work (and personal life) is one reason employees continue to struggle with
difficult tasks and self-doubts without quitting.
15
4. Problem solving insights often occur unexpectedly. The moments when
employees break through habitual ways of interpreting some idea or action cannot
be predicted in advance. Some of the most exciting experiences as a facilitator of
problem solving occur when employees depart from the “script” to explore a concern
that is of great significance.
5. Peer support is crucial to problem solving. Beginning to problem solve is
frequently a very tentative process. You may flirt privately with new and alternative
ways of interpreting familiar ideas and behaviors but lack the impetus to realize
these in action. When employees undertake problem solving in groups, their private
interpretations gain legitimacy as others venture similar interpretations and
realizations.
Core Competency 6: Empowering
Empowerment is about giving your employees the freedom to determine how
they will achieve professional goals. To what extent do you create a climate of trust
where employees feel they can take risks and make mistakes as they learn?
Keys to Empowerment
Responsibility
Have you ever been reprimanded for failing to do something, yet you didn’t know it was
your responsibility in the first place? When people don’t understand their
responsibilities, the results are confusion and wasted effort.
Authority
Without authority, employees are powerless in their ability to get the job done. A
common complaint at all levels in today’s workplace is, “I have the responsibility, but I
don’t have the authority to get the job done.” Employees often feel stressed and lose
their desire to use their talents when their efforts are repeatedly undermined by a lack of
authority.
Standards
Make sure you have the right standards. Low standards waste valuable resources and
have a negative impact on productivity and morale. Unrealistically high standards
cause stress and don’t allow for a meaningful measure of achievement. The right
amount of challenge goes hand in hand with job satisfaction.
Information
Even in our current Information Age, it is challenging to get the right information in the
right amount to the right employees at the right time. Here are some guidelines for
determining whether information should be communicated:
16

Does the employee have the capacity to assimilate and use the information?

Is the information in a form that the employee can easily grasp and use?

Is the information relevant to the job?

Will the information help motivate the employee with purpose and pride?

Will the information help the employee perform the job better?
Recognition
While there are many ways to recognize employees, be aware that the way you choose
to recognize them sends a message (to both the employee you are recognizing and to
others) beyond the mere content of the recognition. Here are some questions to guide
you in acknowledging an employee’s performance:

Does the recognition acknowledge the employee as well as the accomplishment?
Does it reinforce the employee’s sense of self-esteem?

Does the recognition convey sincere appreciation?

Does the recognition fully acknowledge the employee’s accomplishment?

How will the recognition be perceived by the employee’s peers? Is it equal to
what you have given other employees for similar achievements?

Is the form of recognition appropriate for the achievement?
Trust
Trust is vital to the health of any working relationship. When employees feel trusted,
they are free to concentrate their efforts on the job instead of worrying about how they
will justify their actions. Sometimes, it takes the trust of another person for employees
to learn to trust themselves. For example, managers who have the confidence and
empathy to tell their staff, “It’s okay. I believe you can do it. I trust you,” give their
employees the confidence to take appropriate risks.
Failure
While no one recommends encouraging employees to take a haphazard attitude about
their mistakes, a good coach encourages people to see an error as a learning
experience rather than as a negative career mark. Here are some questions to guide
you in determining when and how to let employees make a mistake:

What is the potential cost of the mistake to the agency?

What is the potential cost of the mistake to the employee?
 What is the potential cost of the mistake to you, the manager?
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Coaching Competencies Self-Assessment
Self Reflection Exercise: Take a few moments to review the coaching styles material
and reflect on the six competencies. Use the questions below to help you determine
your strengths and weaknesses as a coach. Place a check mark next to the
competencies you would like to develop further. Then identify the areas for
improvement within one or two of your chosen competencies and the actions you intend
to take to strengthen your skills within this competency.
 How well do you think you use the competencies above to help employees
perform at their best?
 Which aspects of coaching are challenging for you? Which of the styles and
competencies do you use least?
 What do you think are your strengths as a coach? Which competencies do you
use effectively?
Competency
Area for Improvement
Empathizing
Giving and
Receiving
Feedback
Listening
Confronting and
Challenging
Problem-Solving
Empowering
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Action(s) to Strengthen
Small Group Coaching Exercise: Putting it All Together
Instructions: Now that you understand the coaching styles and competencies, let’s
look at some scenarios that you may encounter in your role as a manager or supervisor.
Please select one of the four scenarios and work through the questions. If you finish
before the time provided for the exercise is over, select a second scenario to work on.
Be prepared to discuss your work with the full group.
Scenario 1: Mary is an eligibility worker who has been on the job for nine months.
Overall, the quality of her work is good, but she is struggling to meet the timeliness
standard for application processing. You are concerned because you and Mary created
a work improvement plan, and she continues to miss the target. How will you coach
Mary to achieve the standard?
1. What are some of the possible causes of Mary’s low inability to process applications
timely?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
2. What will you use to document where the problems may be?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
3. What questions will you ask Mary to help identify the root cause(s) of the problem?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
4. What are some possible solutions for improving her timeliness?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
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5. What steps would you take to coach Mary to improve her performance?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
Scenario 2: Kevin is an eligibility worker who has been a high performing employee
for five years. He is consistently meeting the standard for timeliness of application
processing. However, you’ve recently noticed a decline in the quality and accuracy of
his work. This is not like Kevin. How will you handle this situation?
1. What are some possible reasons that a high-performing employee like Kevin might
have a sudden drop in performance?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
2. Because his performance has been above standard (commendable or distinguished)
how will you approach it without making him defensive?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
3. What questions will you ask Kevin to help identify the root cause(s) of the problem?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
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4. What will be an effective technique in this case for arriving at a solution?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
5. What kind of follow-up might be necessary to ensure the problem is addressed?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
Scenario 3: Marika is an eligibility worker who has been on the job for three years.
She has consistently achieved competent ratings in each area of performance. Marika
is bright and energetic and a natural leader in the unit. She seems to have potential for
advancing through the classifications and maybe even becoming a manager. You have
talked with her about her potential on more than one occasion, but she doesn’t seem to
be motivated to achieve a higher performance level within her classification or to move
up. You want to retain this employee, and are worried that if you can’t engage her at a
higher level she will become bored and leave or not achieve her potential within the
organization. How will you motivate Marika?
1) What are some possible reasons Marika’s performance has topped out?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
2) What approach and line of questioning can you devise to draw her out and get her to
disclose her feelings about her performance?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
21
3) What can you offer Marika as an incentive to move to a higher level of performance?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
4) What will you say to motivate her?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
5) What type of action plan might be required for this employee?
______________________________________________________________________
______________________________________________________________________
Scenario 4: Anthony is a seasoned veteran eligibility worker with a record of “erratic”
performance over the years. In some cycles, his performance “Exceeds Expectations.”
In others, he is usually at the “Needs Improvement” rating and in a few areas he has
“Not Met” performance expectations. You have coached him about this pattern before,
and he doesn’t seem interested in doing anything about it. Overall he is a very good
employee – comes to work mostly on time, adheres to schedules, and gets along with
co-workers. Lately you are noticing holes and errors in his work that will likely earn him
a “needs improvement” or “needs major improvement” rating. It fits with the theme of
inconsistency over the years. How will you tackle the immediate issue of the specific
performance areas, but also get some traction on dealing with his pattern of inconsistent
performance over time?
1. What does the review of his work show you about the areas of substandard
performance? Identify whether the issue has come up before. If so, what action was
taken to improve performance?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
22
______________________________________________________________________
2. What coaching techniques will you use to get Anthony to “own” his inconsistent
performance? What will you ask him to commit to?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
3. How can you use the short-term performance issues to get at the long-term
problem?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
4. How can you accentuate Anthony’s strengths to gain more commitment from him?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
Large Group Discussion:
Given what you learned in the small group
exercise and your own experience with coaching employees or being coached:
What would you recommend doing?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
23
What would you recommend not doing?
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
What else have you learned that is helpful to consider when coaching others?
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
Tips and Best Practices for Coaching

Be familiar with the coaching continuum and practice flexing your preferred
coaching style to match the unique needs of each employee.

Observe employees carefully and encourage conversations that provide you with
a sense of the issues and factors that can negatively affect their performance.

Develop the six core coaching competencies in yourself. Focus on developing
those competencies that are most difficult for you.

Be familiar with the steps of preparing for feedback and coaching sessions. Make
plans to coach each of your employees formally and informally throughout the
annual performance cycle, so that you can help employees improve their
performance.
Note: You can find more Tips and Best Practices for Coaching in Appendix A.
Support materials for conducting a formal coaching session and developing a coaching
action plan can be found in Appendix B.
24
Counseling and Discipline
What to Do When Performance Management is Ineffective
There will be times when you have an employee who is not accountable and has
performance issues that do not respond to coaching. As leaders, you can effectively
manage performance challenges and behavioral issues and secure a successful
outcome by keeping three fundamental principles in mind:
1. Employees deserve the opportunity to understand what is expected of them in
terms of performance and behavior.
2. Counseling and discipline provides notice to employees about what is
unacceptable and gives them the opportunity to change their behavior.
3. You can usually employ a corrective action plan before the need to take more
advanced forms of discipline.
Differences Between Coaching, Counseling, and Discipline
Sometimes coaching and performance feedback can be enough to help an employee
improve. Sometimes counseling is required as a more serious method for engaging the
person in dealing with the issues. Sometimes counseling helps stabilize the situation to
make coaching possible; other times it is a necessary first step to the formal discipline
process.
Coaching'
RESULTS'
Counseling'
Discipline'
RESULTS'
When misconduct occurs, coaching and counseling are usually not appropriate. In the
case of misconduct, immediately contact your HR representative to be sure you’re
following your personnel disciplinary process.
It’s important to match the level of intervention with the level of need.

When to Coach: When the development or performance issue is manageable
and the person is ready, willing and able to engage with you in resolving it.
25

When to Counsel: When the situation is such that the employee needs
additional support (to be coachable) or a more direct response (to move in the
direction of discipline) to get to a place where they are ready, willing and able to
resolve the issue.

When to Discipline: When the person has been unable to engage with you in
successfully resolving the performance concern and more formal actions are
necessary or when suspected misconduct has occurred.
What is Discipline?
Discipline is defined as: “to punish or impose order upon; training that corrects or
perfects.” (Webster’s New Collegiate Dictionary).
Positive progressive discipline is a formal procedure that emphasizes personal
responsibility for individual behavior. It focuses on communicating an expectation of
change and improvement in an adult, and non-threatening way.
The Purpose of Corrective and Progressive Discipline
1. Corrective intervention
2. To provide clear notice about:
 Rules, policies, and expectations
 What is wrong
 What needs to be done to correct what is wrong
 The consequences of failing to make correction
3. Create a record as:
 A reference for yourself or others
 A defense if challenged in the future
Positive Progressive Discipline
Positive progressive discipline is designed to correct performance deficiencies in a way
that is fair, equitable and lasting for all employees. It concentrates and relies on the
personal responsibility and decision-making of each employee in order to build
commitment and self-discipline in the work unit.
Key aspects of positive progressive discipline include recognizing and encouraging
good performance and correcting substandard performance. Informal communication is
expected on a regular basis to improve overall performances. Managers may use
informal communication to recognize work well done, to coach, or to identify when a
26
problem begins to develop. When a problem arises, most often it can be solved by
bringing the employee’s attention to the situation. A persistent or serious work
performance, conduct, attendance, or reliability problem may require formal disciplinary
action to correct the situation.
If an employee fails to respond to informal communication and does not correct the
situation, the level of formal discipline following such a failure will depend on the
seriousness of the situation. Corrective efforts should begin with information and
communication followed by progressive disciplinary action.
Each step of positive progressive discipline is a reminder of expected performance.
Positive progressive disciplinary actions that may be imposed include:
1. Oral Reprimand
2. Written Warning/Reprimand
3. Suspension
4. Termination – discharge
Employees subject to discipline should always be made aware of the Employee
Assistance program and to be encouraged to take advance of these confidential
counseling services.
Serious performance or behavior problems may require more stringent disciplinary
action. Termination will be taken as a last resort either after repeated progressive
disciplinary action, including suspension, or after a very serious offense.
A written reprimand, and all other documents placed into an employee’s personnel file
as a result of positive progressive disciplinary procedures will remain a permanent part
of the employee’s file, in most cases.
Even if you are not able to actually issue the discipline, you are still responsible for
identify areas where correction is needed, attempting coaching if appropriate, and
presenting your supervisor with everything required to issue discipline if necessary.
Tips for Implementing Discipline
Discipline is most effective when it is framed and delivered “adult to adult,” not in the
manner of parent to child and is based on clear agreements at all levels.

Respect the dignity of the employee
o There is no need to demean someone
27
o Common courtesy is the rule

Respect the confidentiality of the matter
o Never discipline in front of others
o Never discuss a disciplinary action with other employees


Get the facts before you act, but be timely. Document what was said and done.
Make sure the employee understands what has happened.
Most important tip: Consult with HR before disciplining an employee, and keep
them in the loop. Your HR rep will help you through the disciplinary process and
make sure you’re following the correct process.
28
Pairs Exercise - Mapping a Current Case
Instructions: Use this worksheet to map a strategy for moving forward with a
current corrective process you are engaged in (or take the first steps of a new corrective
process). If you have neither, work with a partner who has a case they are working on
and discuss the needed steps to handling it effectively.
Step
Notes
1. Describe the problem
2. Determine the level of importance
3. Analyze the causes of the behavior or
performance gap
4. Develop a plan
5. Implement the plan
6. Follow-up to determine if the problem is
solved
7. Make changes in the plan, if necessary
29
Large Group Discussion: What did you decide would be some effective
actions within each of the seven steps?
30
Appendix A
Helpful Hints for the Six Core Coaching
Competencies
31

EMPATHIZING
The Do’s of Empathizing







Invite employees to give you feedback on a frequent basis – once a day, once a
week, etc. Use these sessions to demonstrate your ability to listen attentively and
show that you appreciate their concerns.
Count to five before you say anything critical. Keep your comments calm and
measured.
Focus on issues, rather than perceived character flaws. Say, “The project is two
weeks late,” instead of, “You are lazy.” Concentrate on what can be done to
remedy the solution.
Take time to check in with employees at all levels to find out what they are
concerned about or are experiencing. Offer assistance, as appropriate.
Be sensitive to feelings and keep the employee’s confidences.
Be sincere and make sure that your actions match your words. Follow through on
commitments.
Maintain an open-door policy so that employees come to you for feedback.
The Don’ts of Empathizing



Avoid sarcastic or judgmental comments such as, “You are not cut out for this
type of work.” Stick to the facts.
Avoid the temptation to distort, exaggerate or twist information to your own
advantage.
Avoid publicly criticizing employees. Such criticism sends two dangerous
messages: first, that other employees can expect the same and, second, that you
lack good coaching skills.
32

GIVING AND RECEIVING FEEDBACK
The Do’s of Feedback





Actively demonstrate how things can be done in alternative ways.
Follow up with employees to see how they are progressing. Build milestones or
checkpoints into the schedule of any program.
Give employees a context in which to think about a situation. Use analogies and
metaphors to explain what you mean.
Offer new insights into old challenges or issues.
Show support and appreciation when employees do things differently and show
improvement. Help employees focus and build on their successes.

Provide concrete and specific examples. Use a straight-talk approach.

Recognize and celebrate individual and team successes when they occur.
The Don’ts of Feedback

Avoid jargon, descriptions that are pompous or vague, and judgmental language,
which puts employees on the defensive.

Avoid giving destructive feedback or comments.

Avoid trying to build a case by linking one particular situation to other situations.

Avoid speculating on motives. Instead, check your assumptions.
33

LISTENING
The Do’s of Good Listening




Be a good role model: demonstrate calmness, patience and attentiveness.
Be aware of your own hot buttons. Are there issues, concepts or words you feel
strongly about or that set you off?
Let employees share their views and opinions before offering your own. This is
particularly important when you disagree with them.
Listen for feelings – feelings and motivations can sometimes be more important
than facts.

Reframe your thinking.

Be a sounding board for ideas or concerns.

Create a positive and relaxed atmosphere so employees can talk openly.

Confirm your understanding by paraphrasing what your employee has said.

Watch an employee’s body language, as well as listen to his or her words.
The Don’ts of Good Listening

Avoid being a mind reader. Don’t assume that there are hidden meanings behind
the words.

Avoid getting defensive or angry. Don’t create new problems.

Avoid interrupting or finishing sentences.

Avoid jumping into a conversation to take control.

Avoid the assumption that that silence implies agreement or consent.

Avoid “why” questions. They are often perceived as a criticism, which puts
people on the defensive.
34

CONFRONTING AND CHALLENGING
The Do’s of Confronting and Challenging






Help employees set different or difficult goals. Encourage a healthy intolerance
for mediocrity.
Encourage employees to solicit feedback from you and from peers. Show that
constructive criticism is an opportunity to think unconventionally.
Help employees acknowledge that they lack the knowledge or information that
will help them.
Help employees break problems into manageable parts. Guide them in
identifying the root causes of problems or issues.
Invite employees to discover their own personal learning style or preferences in
terms of how they best like to experience new information.
Encourage employees to read books or articles that deal with new or different
concepts.
The Don’ts of Confronting and Challenging

Avoid confusing symptoms with causes.

Avoid hesitation when pointing out performance shortfalls.


Avoid creating an environment where employees are not free to comment,
criticize, or play devil’s advocate to arrive at the best solution.
Avoid creating an environment that doesn’t allow employees to apply new
knowledge or skills.
35

PROBLEM SOLVING
The Do’s of Problem Solving








Ask probing and incisive questions to help identify the causes of a problem.
Demonstrate how to use a wide range of problem solving methods and tools.
Encourage employees to think deeply when looking for solutions.
Help identify several possible answers or options, not just one. Also, encourage
employees to envision the consequences of different courses of action.
Help separate fact from assumption. Make sure everyone is comparing apples to
apples.
Have employees develop a checklist of assumptions so they can verify whether
the data is factual.
Ask employees to look at their own biases and the limits of their own personal
comfort zones.
Show employees how to listen to their internal self-talk. How does that internal
voice help them move forward? Where does it hold them back?
Try to get employees to find at least two or more individuals to confirm any facts
or data.
The Don’ts of Problem Solving




Avoid accepting the situation or perceived limits at face value.
Avoid discouraging employees from associating with diverse individuals who
think in innovative ways.
Avoid creating an environment where conventional wisdom, paradigms and
sacred cows are not challenged.
Avoid looking for a solution before understanding the facts and the context of an
issue or problem.
36

EMPOWERING
The Do’s of Empowering





Ask employees to make suggestions and generate ideas of their own. Encourage
employees to look for new learning opportunities.
Be clear on the expected outcome, but avoid specifying exactly how something
should be done. Let employees design their own approach.
Encourage employees to take as much responsibility as they think they can
handle. Look for specific projects that can provide employees with new
challenges.
Reward employees when they push or stretch their personal boundaries or
limitations and support employees who make minor mistakes when they try
something different.
Watch your own behaviors for indications that you may feel a sense of loss or
threat when you delegate authority to others.
The Don’ts of Empowering

Avoid criticizing or imposing punishment when employees try their best.

Avoid jumping in too quickly, even when mistakes are made.

Avoid assumptions that your employees have all the information they need.

Avoid withholding information because you think it isn’t relevant to the job, but
also avoid providing excessive detail.
37
Appendix B
Coaching Support Materials
38
Conducting a Formal Coaching Session
Prepare for the Coaching Session
Although most of your coaching will be informal and impromptu, it’s a good idea to
schedule some formal coaching as well. Arrange for a private space where both of you
will feel comfortable. Make sure there will be no interruptions during your meeting, such
as removing or disabling telephones and mobile phones.
Planning the Discussion
Regardless of how casual a coaching relationship is, take time to determine what
exactly you want from the session and how you plan to achieve it. (Use the Coaching
Planning Form in Appendix B to prepare.) Preparatory steps include:





Knowing the purpose of the coaching discussion and having a mental picture of
what should occur.
Understanding what improvement is needed and why, and being able to list the
specific differences between present performance and desired performance.
Being able to explain the effect that the employee’s performance has on the coworkers, the organization and the employee’s future at the organization.
Being able to describe the desired outcomes.
Being aware of potential difficulties.
Conducting the Coaching Session
As you and the employee work on improving job performance or achieving new skills
during the coaching session, remember that coaching is a partnership.






Confirm that you both have the same understanding of the session’s goals.
Keep the tone positive. Emphasize your sincerity in wanting to help.
Discuss the pros and cons and then agree on desired outcomes.
Present relevant data you have gathered during your observation of the
employee. Exchange perspectives on the situation or opportunity at hand.
Give the employee an opportunity to present his or her ideas and to respond to
yours.
Listen actively and ask open-ended questions before sharing your suggestions.
39
Coaching Planning Form
Use this form before a coaching session. Take the time so specify exactly what you hope to achieve and how
you intend to go about it.
Discussion with:
Date:
Areas where coaching is needed (base this on observations):
Purpose of coaching session:
Desired outcomes:
Why it’s important to coach (e.g., What is at stake? What are the consequences?):
Potential Difficulties
Methods for Handling
1.
1.
2.
2.
3.
3.
Specific Actions
1.
2.
3.
40
Coaching Action-Planning Worksheet
Use this worksheet to establish an action plan that is agreeable to both you and the employee you are
coaching. It is critical to include specific measures of success and a target review date for any actions to be
completed.
Action to be Taken
Measure(s) of Success
41
Review
Coaching Session Evaluation
Use this tool after the coaching session to evaluate its effectiveness and to consider what improvements
could be made for the next time.
What Worked?
What Could Be Improved?
Relationship:
Process:
Results:
42
Appendix C
Post Workshop Evaluation
43
Leadership Module 4: Coaching and Performance Management
Training Evaluation
Please read the following statements and rate how strongly you agree or disagree by
circling the appropriate word or phrase on the scale.
1. I understand what coaching is and when employees need it.
Strongly Disagree
Disagree
Agree
Strongly Agree
Comments:
2. I understand the six competencies I must develop in order to be an effective coach and
how I can apply these competencies to different situations.
Strongly Disagree
Disagree
Agree
Strongly Agree
Comments:
3. I have better skills at determining why employees are struggling with performance or
not meeting standards or expectations.
Strongly Disagree
Disagree
Agree
Strongly Agree
Comments:
4. I understand where I need to improve as a coach.
Strongly Disagree
Disagree
Agree
Strongly Agree
Comments:
5. I can more effectively use coaching to help my employees improve.
Strongly Disagree
Disagree
Agree
Strongly Agree
Comments:
6. I have better a better understanding of how to effectively use counseling and discipline
to correct employee conduct.
Strongly Disagree
Disagree
Agree
Comments:
44
Strongly Agree