Performance maintenance

Aligning Performance, Recognition & Discipline

by
christopher D. Lee, Ph.D., SPHr
Performance maintenance
Aligning Performance, Recognition & Discipline
2 Christopher D. Lee, Ph.D., SPHR
Performance maintenance is a three-part process that involves performance management, recognition, and discipline.
When utilized as part of a model framework, it incorporates the full spectrum of performance dimensions and ensures
that managers have all the tools necessary to create good performance and sustain it over the long term. Performance
maintenance acknowledges a Bell Curve-like range of performance where there is always a group of exceptional employees
in the top 10 - 20% of their peers who do better than expected, and a bottom 10 - 20% who do not perform as expected.
The larger group in the middle is where supervision has its biggest impact, managing good performance day-to-day. This
range provides a compelling argument that managers need different tools to work with high, low and average performers.
The diagram below illustrates this dynamic.
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DISCIPLINE RECOGNITION
PERFORMANCE MAINTENANCE
PERFORMANCE MANAGEMENT
Performance maintenance can be a general term that describes the full range of activities that keeps performance
going along steadily and that involves three parallel systems: performance management, recognition, and discipline.
Performance maintenance
Aligning Performance, Recognition & Discipline
Christopher D. Lee, Ph.D., SPHR 3
Performance manaGement anD DaY-to-DaY manaGement
Good performance management and day-to-day management are two sides of the same coin. You cannot have a
strong performance management system if a manager does not provide good ongoing supervision throughout the year.
A performance management system is a part of a continuum of ongoing information and feedback about the character
and quality of work provided over time. As it is often said, there should be no surprises at the end of the yearly
performance cycle because the information shared is consistent with that which was provided earlier. Performance
management then is a process, not an event.
All performance management systems have three elements in common, 1) a process, 2) a tool (instrument), and 3) an
end-of-year performance review or discussion session. There are a variety of systems (processes) used: the traditional ratings
approach, narratives, self evaluations, the 360 Feedback Process, a development-based model, Goals/MBO (management
by objectives), the Performance Conversations

approach, the critical incident method, behaviorally anchored ratings scales

and many others. Each of these processes highlight different elements of the performance dynamic, but all share the goal of
helping supervisors track, regulate, manage and document performance. The process used says a lot about the goals that an
organization is attempting to reach by implementing a performance management system. The assumptions in designing a
process also place some parameters around the kind of tool that is developed to put the process into action.
The tools used vary from a paragraph-style, open-ended narrative, rating sheets/scales, goals, action plans, journals/logs,
job-description-rating templates, or any other variety or combination of instruments. Each of these tools attempts to document
the performance that has been or is occurring. Documentation is an attempt to hold all parties accountable for the outcomes
that are sought. While important, the focus should not be on the tool or instrument itself, but on the process. The tool is just
the paper trail, not the purpose.
In fact, a better way of concentrating on performance is by automating the process. Automation makes it easy to focus
on the content, not on completing the form. Automation also promotes accountability and transparency by making it easier
to track, manage and report on performance outcomesall important elements for Enterprise 2.0 organizations. An
effective tool should facilitate the process the company wishes to use. For good performance management to occur, the
emphasis is on the process of management and providing ongoing information, feedback, direction and support. Some
call this process coaching.
At the end of the performance cycle, there is always a time set aside for the manager and employee to discuss performance
holistically and review the instrument, journals, evidence, or other documentation about performance that has occurred over
the year. At its best, the performance discussion seeks agreement about what has happened. It also forecasts plans for the
new year. When performed poorly, the performance discussion can be preceded by time flled with fear, anxiety, and angst
because the only goal is to notify the employee of their yearly rating. Managers must not forget that the focus should be on
the performance that produced the yearly rating, not on the rating itself. When the manager has given feedback throughout
the year, then there should be no surprises and therefore less anxiety about the meeting and the rating the employee has
earned. The two can then focus on the information in the messages delivered by the supervisor, rather than deal with a
potentially negative reaction to the rating. Hence the emphasis on the notion that performance management is a process,
and management and performance management are two parts of a whole.

Performance maintenance
Aligning Performance, Recognition & Discipline
4 Christopher D. Lee, Ph.D., SPHR
Coaching and Feedback
Feedback is the primary means for recognizing good performance and for redirecting
behavior that needs to be improved. Feedback helps individuals to keep their behavior on
target and achieve their goals.
1
Not only is management (or supervision) an indispensible part of good performance management, it is actually a prerequisite
to it. Supervision is a process of ensuring that expected outcomes actually take place. It is setting standards and expectations,
directing efforts, and making the adjustments necessary to ensure optimal results. Some call this process coaching. The most
important element of coaching is providing feedback.
Feedback is the process of giving and receiving information that is pertinent to the work being performed in real-time.
Feedback is information exchange. The goal of this exchange is to ensure that there is a common agreement of what good
performance looks like. It provides information about the quantity, quality, and characteristics of work, and attempts to steer
performance in the right direction. When done well and in a timely fashion, feedback is news one can use.
Coaching uses the feedback process to direct and redirect work efforts and behaviors. Coaching provides this direction in
the context of a relationship wherein the manager attempts to help the employee be the very best performer he or she can
be. The traditional boss and employee relationship is an outdated metaphor when compared to the model of a coach and
performer. Coaches instruct, train, develop, assist, and support performance. Feedback and coaching tell the employee what
is good/bad, why it is good/bad, and what we are going to do about it, along with the information and support to change it.
Good performance management and day-to-day management are designed to create and replicate good performance. When
performance exceeds expectations, recognition is appropriate. When performance does not meet expectations, correction is
due. Therefore, any good performance management system must provide trigger mechanisms to call attention to the good
and intervene when outcomes are poor. All three performance management, recognition and discipline work together to
keep good performance on track.

1
Costello, p. 50, 1994
Performance maintenance
Aligning Performance, Recognition & Discipline
Christopher D. Lee, Ph.D., SPHR 5
recoGnition
Recognition is an investment in future performance. Recognition is reinforcement. It communicates the simple message,
that was good, do it again. Recognition comes in two forms, informal and formal. Recognition is a required part of good
supervision; it is neither optional nor additiveit is an indispensible ingredient.
An oversimplifed, but useful way of thinking of recognition is that informal recognition is done by the supervisor. Call it
recognition with a small r. Formal recognition is for performance so noteworthy that it deserves attention by the organization
as a whole through a more structured recognition policy or program. Call this recognition with a capital R. While it would
appear that more formal recognition with rewards such as pay, promotions, plaques and gifts would be the most important,
evidence speaks to the contrary.
While money is important to employees, what tends to motivate them to performand
to perform at higher levelsis thoughtful, personal kind of recognition that signifes true
appreciation for a job well done. Numerous studies have confrmed this.
2
Great performance deserves attention, the kind that employees get immediately from their supervisor. While there may
be limits to how many formal recognition awards can be given, there will never be a limit on the number of thank yous
a supervisor can give. Give generously recognition is a form of feedback.
An effective recognition program takes advantage of both formal and informal methods. Supervisors can praise performance
informally on numerous occasions and can document these occasions in performance logs, on certifcates, on performance
review instruments, or in personnel fles. There is also a place for formal recognition and reward programs. Formal recognition
most often provides rewards and awards. It is hard to go wrong with providing rewards and awards; however here are a few
words of advice and a few cautions.
Formal recognition should not be diluted by being given to everyone all the time. Formal recognition should be special, and
by its nature it should be limited in number. A reasonable target for the number of recipients for formal recognition programs
is up to 20%. On-the-spot awards are the best type of formal recognition because they combine the very best parts of
recognition programs: that they are immediate, they are provided by the supervisor, and they involve both recognition and
reward in the form of a gift or money. When giving formal awards, it is a good practice to make a big deal out of even the
smallest good deed. Taking the time to call a quick staff meeting where everyone gathers around a recipients cubicle has just
as much impact as a formal dinner program. Such treatment would make an on-the-spot award special.

2
Nelson, p. xv, 1994
Performance maintenance
Aligning Performance, Recognition & Discipline
6 Christopher D. Lee, Ph.D., SPHR
The process for receiving formal recognition should be simple, clear, and easily administered. Sometimes the rules are
so elaborate they send mixed signals to employees who may not get an award for which they thought they were eligible
because of the fne print. Another counterproductive recognition model is one that has an approval mechanism by which a
managers nomination can be overruled by HR or the CFO. It refects poorly on an organization when a manager practices
good supervision by giving an employee feedback and coaching them to success, only to be told that the act is not worthy
of a particular reward. This is demoralizing to both the employee and supervisor. The employee should always get the award
if their supervisor deems it appropriate. However, if the supervisor nominates employees for awards that are not up to the
organizations standard, the supervisor should be dealt with by his leaders. His or her subordinates should not be penalized.
As a caution to ensure that rewards do not become entitlements, it is important that this process be separate from, but
parallel to the normal performance management process. Since many performance management ratings are infated,
providing recognition inside of performance management can contribute to a dilution of reward. Many effective performance
management systems ask the manager to indicate that a noteworthy activity has taken place on the actual instrument, but
requires them to document the action in detail as a part of a separate process. This extra step gives the noteworthy activity
appropriate attention and a chance to be held up and highlighted while lowering the risk of a pro-forma award.
Another best practice performance management process is to require that at least one noteworthy write-up be on fle during
the performance cycle in order for an employee to be eligible for the highest rating, such as exceeds expectations. This is a
good example wherein recognition and performance programs are separate, parallel, and yet mutually reinforcing. Whatever
this extra step is, it is recommended to be simple and easy to administer. For most occasions a simple write-up is enough.
It can be limited to a paragraph or a page, enough to document what the supervisor deems to be good performance. A
supervisor who has to take the extra step and sign their name certifying what they deem to be exemplary work communicates
a lot about the employees performance and the managers standard. This testimonial is then available for external scrutiny.
When something notable happens, managers should ensure they stop and take time to commend employees. This occasion
creates a trigger to document the good outcomes identifed. This trigger also can be evidence used to help characterize
performance at the end of the performance cycle. Such recognition is also good feedback and that undoubtedly encourages
retention. Recognition makes people feel valued, so more emphasis should be placed upon the unlimited supply of
recognition opportunities, instead of the limited number of fnancial or other rewards.

Performance maintenance
Aligning Performance, Recognition & Discipline
Christopher D. Lee, Ph.D., SPHR 7
DiSciPLine anD reDirection
It is always necessary for managers to have tips and tools to manage performance and behavior. Some experts say that there
is always a bottom 10% of employee performance that will demand much of supervisory attention. Other experts describe
the 80/20 rule that claims that managers spend 80% of their time dealing with the bottom 20% of employees due to their
lackluster performance. Either way, there is seldom ever a time when 100% of employees are performing optimally; it simply
goes against the law of averages. Notwithstanding the realities that there will always be some substandard performers, this is
precisely when and where supervisors earn their stripes. This is the yeomans work of supervisors.
While the term may sound off-putting, discipline can be termed more positively as redirection. The goal of most
disciplinary processes is not punishment, but redirection. But frst, effective discipline requires the correct diagnosis. The
initial step is to ask if the issue at hand is a result of poor behavior, performance or conformance, in order to determine
the appropriate intervention. While performance is self-explanatory, behavior can be viewed as conduct, action or reaction.
Conformance is the act of either following or failing to follow prescribed rules, policies, procedures regulations or laws.
If performance is the reason for discipline, it is most often a time to discuss training, retraining, or gaining a greater degree of
the commitment, engagement or attention from the employee to their work activities. If the problem is related to behavioral
matters, some sort of reprimand is appropriate if the bad behavior is intentional. If the behavior is unintentional, such as lack
of ability or poor work ethic, retraining is probably the correct intervention. Nonetheless, proper diagnosis of the problem is
the frst step toward building future success.
The goal of discipline is to call attention to poor situations as an interim step in correcting them. The process most often used
for such purposes is based on the doctrine of Progressive Discipline. The disciplinary process runs parallel to performance
management and recognition, and it is put into action if there is a performance aberration that cannot be dealt with
suitably inside of the performance management process. Some might argue that discipline can be completed inside of the
performance management process, but the circumstances and facts of performance management and discipline are different
enough to warrant an entirely different process.
The situation that warrants discipline often happens in a different time and space from normal performance management
activities. Indeed, an event might present itself, be dealt with, and go away between formal performance management cycles.
Events might be too specifc or unique. Still there is likely not a scale, description, or procedure ftting the actual problem
listed on the typical performance management instrument. With discipline one must be specifc about what is wrong, why
it is wrong, and what to do about it. The space and specifcity are not possible on an instrument designed to summarize a
years worth of effort. Certainly progressive discipline is the proper tool to address such matters. The best way of executing
this task is usually writing a letter to the individual as a means of documenting the problem and establishing a performance
improvement plan.
Performance maintenance
Aligning Performance, Recognition & Discipline
8 Christopher D. Lee, Ph.D., SPHR
Performance Improvement Plan
When performance goes awry, managers must intervene to get it back on track. The best practice methodology is to work with
the employee to create a plan to establish clear expectations and a process to follow-up on what has been agreed upon. Most
often the plan is provided in a written letter to the employee in question, with defned elements and defned check-in points to
follow-up on the matter.
According to Paul Falcone, author of 101 Sample Write-Ups for Documenting Employee Performance Problems and other
experts, a model letter has the following elements:
Description of the issue(s) How it impacts others in the company
Why the issue(s) is/are bad/undesirable Note who does what, by when to make corrections
Impact of the bad actions on performance Time frame to follow up
Such letters provide a roadmap to get employees back on track to good performance, and set future expectations.
Here is a brief, rudimentary example:
Bob:
We have had several conversations about you not following the proper procedures for processing new requisitions. When you
do not follow proper procedures, it creates the potential for errors in the system and it can and does cause the late shipment of
orders. When you take a day of vacation, others cover your station, yet no one knows what has been done because we do not
know which procedures you have followed and which you have skipped. As you know, repeat customers are very important to
our business, so getting orders right the frst time is imperative. Our system works best when everyone follows procedures.
For the next ninety days, I will ask that you pay special attention to each and every transaction you complete, and make an extra
copy of orders for me to review. I will, in turn, spot check your records and audit your work at the end of this period. In the
meantime, I will ask that you pull out and re-read our procedures manual from cover to cover. We will also schedule you for
some refresher training with our training department by the end of the frst month.
Our goal is to get you back to performing at the same level as your peers. Your good performance will make a diference to
our customers and your coworkers. I look forward to having a brief check-in talk with you at the 30 and 60 day mark and
concluding this review period with a positive endorsement of your progress. If you have any questions, please feel free to call
upon me for questions or assistance at anytime.
Sincerely,
Julie Supervisor
Performance maintenance
Aligning Performance, Recognition & Discipline
Christopher D. Lee, Ph.D., SPHR 9
The performance improvement plan puts progressive discipline into action as well as gives the employee direction and
support. It ensures a proper amount of attention is focused on the issues at hand and what to do about them. It is about
adjustment and correction, making things right. It focuses on rehabilitation, not merely punishment. Just as it is more cost
effective to keep a customer than to look for a new one, the same holds for an employee. So the performance improvement
plan helps retention and protects the investment you have already made in developing an employee.
Discipline Without Punishment
The book Discipline Without Punishment (1995) is an HR classic worthy of mention. The technique of leaving out the
punishment and focusing attention on the behavior is analogous to not giving a rating, in order to ensure the employee
focuses on the message, not the end number or letter. The book has a rehabilitative orientation and provides as an example,
a day of reckoning off with pay, instead of a day of suspension. On this day, the employee is told to go home and think
about what it is like not working at an organization, and return only if they agree to recommit to following the organizations
policies and procedures. The employee is free then to think about what they did and what they will do when they return,
instead of thinking about how they might make ends meet due to the loss of pay with a suspension. The focus here is on
getting performance back on track.
Performance maintenance
Aligning Performance, Recognition & Discipline
10 Christopher D. Lee, Ph.D., SPHR
SummarY
Performance maintenance is a dynamic process with three partsperformance management, recognition, and discipline
that gives managers a full-spectrum of tools to manage the activities of others. The goal of each tool is productivity. These
Tools can be used for high, low, and average performers. Performance maintenance makes the assumption that most
employees perform well most of the time and good supervision keeps them on track. However, for the 10-20% whose
performance is noteworthy, or the 10-20% whose performance is off-track, managers must diagnose the situations and
take action. On these occasions, managers take the extra step of recognizing and celebrating exceptional performance,
or directing changes through performance improvement plans.
When aligned, integrated and working together, the three separate tools produce quality outcomes consistently over time.
Coaching and feedback support performance management. Recognition is an investment in future outcomes by encouraging
excellent performance to be repeated. Discipline is the opportunity to redirect poor performance by calling attention to diffcult
situations and providing plans for corrective actions, along with the support necessary to make changes. In all circumstances,
each performance maintenance tool works together to create and replicate solid performance and productivity.
referenceS
Costello, S. J. (1994). Efective Performance Management, McGraw-Hill Companies, Inc., Columbus, Ohio
Falcone, P. (2001). 101 Sample Write-ups For Documenting Employee Performance Problems, AMACON Books, New York.
Grote, R. C. (1995). Discipline Without Punishment: Te proven strategy that turns problem employees into superior performers,
AMACOM Books, New York.
Lee, C. D. (2006). Performance Conversations: An Alternative To Appraisals, Fenestra, Tuscon, Arizona
Nelson, Bob. (1994). 1001 Ways to Reward Employees, Workman Publishing Company, New York.
HaLoGen eaPPraiSaL

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Visit http://www.halogensoftware.com for more information.
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Performance maintenance
Aligning Performance, Recognition & Discipline
Christopher D. Lee, Ph.D., SPHR 11
cHriStoPHer D. Lee, PH.D., SPHr
BIOGRAPHY
Chris Lee is a human resources practitioner, lecturer, researcher, and author. His background includes having served
as the chief human resources offcer for three different colleges or universities and a state college system.
Formerly a question writer and member of the Exam Review Panel for the PHR and SPHR examinations administered by
the Human Resources Certifcation Institute (HRCI), he is now a member of its board of directors. His areas of expertise
are employment, training, and performance managementor, in his words, fnding, developing, and managing talent
in organizations. He is the author of numerous human resources related articles and two books. Most recently he has
published Performance Conversations: An Alternative to Appraisals and is developing a software program based upon the
performance conversations

approach.
He has presented at conferences in the US, Canada and Australia on HR related topics. He holds a masters degree in
HR Management, a doctor of philosophy degree in HR Development, and he is also certifed as a Senior Professional in
Human Resources.