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Management Observation Program Best Practice 7 – Documented and Signed Observations

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StrategyDriven Management Observation Program Best Practice ArticleRobustly implemented management observation programs offer many benefits to the organization and its managers. At their core, each of these benefits is derived from aggregation and analysis of the performance data gathered during the observations. Enabling required data synthesis necessitates the documentation of observed occurrences and conclusions. Desired behavior reinforcement and performance improvement, not to mention manager and observation program credibility, necessitate the employee be briefed on the observations made and conclusions drawn. As with all formally documented performance appraisal instruments, the documented observation should be signed by both the manager and employee.[wcm_restrict plans=”25541, 25542, 25653″]

I understand the need to document observation findings but is having the manager and observed employee sign the observation form really necessary?

Absolutely! These signatures are a very tangible demonstration of accountability on the part of the manager and employee. For the manager, his or her signature represents ownership for an accurate and impartial evaluation of the employee’s performance and the sometimes difficult and uncomfortable communication of the performance assessment to the employee. The employee’s signature acknowledges receipt of the performance appraisal. While the employee may disagree with some or all aspects of the evaluation, signed receipt makes him or her accountable for the feedback and therefore responsible for continuing the desired behaviors and correcting the performance shortfalls identified.[/wcm_restrict][wcm_nonmember plans=”25541, 25542, 25653″]

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Management Observation Program Best Practice 6 – Observation Announcement Timing

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StrategyDriven Management Observation Program Best Practice ArticlePhilosophically speaking, no one, including managers, should ever be afraid to have ‘the boss’ know or observe what he or she is doing. Being human, we naturally feel self imposed pressure to perform well especially when we are being watched. Subsequently, management observations will always make the conscientious employee at least somewhat nervous. When then does a manager announce that he or she will be observing an individual’s performance? In most cases, shortly before the observation begins.[wcm_restrict plans=”41922, 25542, 25653″]

Why not announce the intent to perform the observation well in advance?

Management observation programs seek to identify the actual performance practices of the workforce. Announcing the observation well in advance of its performance allows those being observed to study and practice for the observation, often artificially changing what would have otherwise been the employee’s performance. While in some cases this results in artificially (and only momentarily) improved performance, at other times performance significantly declines as employees wrongly guess at what the manager wants to see and deviate from established practices. Additionally, some employees will unduly dwell on the fact that they are going to be observed; assuming the reason for the observation is prior poor performance and elevating their workplace stress after at the detriment of productivity and performance quality.

When should the intent to perform a management observation be announced?

Management observations should be announced shortly before commencement of the activity to be observed (see Defining ‘Shortly Before’ below). This allows the individual to be observed the opportunity to recover from the very natural surprise from the announcement without giving them an extended opportunity to become anxious or nervously dwell on the situation. Additionally, the observed won’t have time to prepare themselves into a different performance state; providing the manager with first hand insight into actual workforce performance.

Defining ‘Shortly Before’

Depending on the activity to be observed, announcing the observation ‘shortly before’ will reference different timeframes. The following general principles should be considered to determine when to announce a management observation:

  1. prior to the beginning of work; no mid-activity surprises
  2. typically no earlier than the beginning of the day or shift the observation is to be performed
  3. 30-60 minutes before the typical activity preparation reviews, material gathering, tool selection, site preparation, etcetera begins while still adhering to Principle 2

    4. Note: Complex activities for which preparation occurs days or shifts in advance should have their observations announced at the beginning of the day, shift, or 30-60 minutes before the start of the activity whichever comes later.

    Note: the manager should consider observing the preparation activities too as these will yield additional invaluable insight into employee performance

  4. at the beginning of the observation. This is a second announcement to remind the employee that he or she is now being observed

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Management Observation Program Best Practice 5 – Observation Training, Grading, and Quality Assessments

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StrategyDriven Management Observation Program Best Practice ArticleManagement observations profoundly influence the behaviors of those observed. Done well, this tool positively reinforces desired behaviors. Performed poorly, this tool will undermine the management team’s credibility and fosters cynicism towards managers and their performance standards requirements. Therefore, it is critical that those performing these observations do so in a consistent, high quality manner.[wcm_restrict plans=”41915, 25542, 25653″]

Shaping manager and supervisor behaviors is no different than doing so for individual contributors. Leader behaviors must be observed and constructive feedback provided to reinforce desired action. In the case of management observations, this can be achieved through observation performance training, grading, and quality assessments.

Observation training ensures new managers and supervisors understand the organization’s performance standards and can acceptably execute a management observation. This training should consist of the individual study of organizational performance standards and management observation program execution guidelines followed by an observation performance demonstration and concluded with a written, oral, and observation performance evaluation. Foundational management observation performance competency is established once the examination is passed.

Grading observations helps reinforce the ongoing quality standards set for management observations. Established criteria provide benchmarks against which each observation is assessed. The final grade is often used as a weighting factor against the observation’s quota count to further reinforce quality standards.

Overall health of the management observation program should be periodically assessed to ensure effectiveness; observation quality being a key component of such assessments. Direct observation of management observation performance should be included as a part of this assessment to further evaluate observation execution quality and feedback. The results of the management observation assessment should be shared with all managers and supervisors in the spirit of helping them improve their own performance.

Note: The names of the managers and supervisors observed should be withheld from the business performance assessment report.

Final Thought…

For the individual contributor, the management observation program is a primary indicator of management’s commitment to established performance standards. Any fault in observation performance will be viewed as acceptance and even endorsement of below standards performance. If not fully prepared and capable of performing the highest quality observation, then no observation should be performed at all.[/wcm_restrict][wcm_nonmember plans=”41915, 25542, 25653″]

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Management Observation Program Best Practice 4 – Observation Quotas

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StrategyDriven Management Observation Program Best Practice ArticleManagement observation programs seek to reinforce desired behaviors while also capturing data to enable the identification of improvement opportunities. Both of these objectives require observation repetition in order to be effective; enough reinforcement points to alter or establish reflexive behaviors and an adequate number of data points collected to enable a statistically sound conclusion to be formed. Realizing the desired number of observations is most easily achieved through a quota system.[wcm_restrict plans=”41907, 25542, 25653″]

An effective management observation program quota system is both flexible and rigid. Flexibility exists in establishing the number of topic specific observations, typically focused on areas needing improvement or assessment, to be performed by individuals or groups of individuals within the organization within a defined time frame. The quota is rigid because the overall number of observations to be performed within the time frame remains fixed for relatively long periods; serving as one of the observers’ performance metrics. Combined, these principles ensure a steady stream of reinforcement and data gathering occur focused on foundational performance maintenance and timely performance improvement opportunities.

How many observations should be included in the quota?

While the number of observations will vary based on factors such as organizational size, number of managers and supervisors, number of hours/shifts worked, and so on, the following example represents this author’s experience with successful observation programs where adequate numbers were achieved while at the same time the observation documentation requirements were not administratively burdensome:

Situation

  • 5 crews each with 3 supervisors and 7 staff members
  • crews worked 12 hour rotating shifts, approximately 1 three to four day shift rotation per week

Quota

  • each shift was responsible for performing and documenting 12 management observations per month
  • 3 of 12 observations focused on important foundational areas
  • 3 to 6 of 12 observations covered 1 to 2 focus performance areas
  • the remaining 3 to 6 observations were of the supervisor’s choice

Monthly Net

  • 15 foundational observations
  • 15 observations per focus area per month
  • 15 to 30 random observations

Note: each observation, whether foundational, focused, or random, contains elements of core values and critical performance behaviors driven by the use of standard observation forms. (See Management Observation Program Best Practice 3 – Use of Standard Observation Forms) This provides further reinforcement and data monitoring of critical success behaviors.[/wcm_restrict][wcm_nonmember plans=”41907, 25542, 25653″]

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Management Observation Program Best Practice 3 – Use of Standard Observation Forms

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StrategyDriven Management Observation Program Best Practice ArticleIn order to be fully effective, a management observation program must have credibility with those being observed and provide organizational performance improvement information. Credibility is established when those observed can expect both repeatable evaluations by one manager and consistent evaluations by different managers for a given job performance relative to established standards. Organizational performance improvement information is yielded when evaluation data from across the organization is aggregated; providing insights to the common patterns of desired and undesired employee behaviors.[wcm_restrict plans=”41901, 25542, 25653″]

Achievement of these four goals is most easily accomplished when standard data collection forms are used during the performance of management observations. Fundamentally, standard management observation forms are performance expectation checklists on which observation facts are recorded. These checklists drive consistency between observations because managers using them are provided with a preestablished list of items and standards against which the employee’s performance is judged. This consistency coupled with documentation of observation facts enables easy retrieval and aggregation of like data that can then be counted, trended, and analyzed to establish a picture of organizational performance.

While not an all inclusive list, effective management observations forms typically possess the following qualities:

  • Expectations to be observed are consistent with documented and communicated performance standards
  • Each expectation observable has a well documented and communicated graded performance range. A space is provided to document the grade for each observation area
    (detailed grading criteria is often captured in a separate management observation process document)
  • Area for documentation of an overall activity performance grade and grade justification comments
  • Space is allowed for the observer to document the specific behaviors witnessed
  • Header space is available to document the activity observed, name of the observer, name of the individual observed, and the start and end time and date of the observation
  • Signature lines exist for the observer and observed accompanied by a date and time
    (the observed individual signs to acknowledge receiving the observation feedback)
  • Unique observation forms exist for various job types or standards adherence observations
  • Listing of observables are logically grouped such as:
    • By task: job preparation, job execution, job follow-up
    • By performance standards: use of personnel safety techniques, use of personnel safety equipment, execution of personnel safety procedures
  • Easily accessible, often available at the locations where the relevant work will occur
  • Portable, often printed on pocket-sized note cards up to a single 8½ by 11 sheet of paper
  • Rigid, printed on heavy weight paper or accompanied by clipboards for ease of use in the field

Final Thoughts…

While management observation of actual job performance is most effective, these observations can be extended to the finished or in progress deliverables of the workforce. In these instances, standard management observation forms provide a performance checklist for items such as the completeness and quality of staff work or the state of a job site. Note that is important these observations are followed up with feedback to the individual responsible for the work’s performance. These ‘non-activity’ type observations must adhere to all management observation conduct best practices to be fully effective.

Well documented management observations serve a dual purpose. Not only are they used to identify organizational performance trends but they provide managers with documentation of observed employee performance that can be used during routine feedback and coaching sessions and annual/semi-annual performance appraisal development.[/wcm_restrict][wcm_nonmember plans=”41901, 25542, 25653″]

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