Dealing with Performance Problems

Leaders can help their employees improve their performance by using a progressive discipline system.

To help an employee with a performance problem, you should:

• get to the heart of the problem
• respond to the problem by preparing an action plan
• use discipline to deal with the problem.

Get to the heart of the problem
When there is a problem with an employee's performance, you should get to the heart of the problem before you attempt to correct it. This is important because the cause of a performance problem is not always apparent.

To correct the problem, you need to address the cause. To determine what is causing a performance problem, you should ask the following questions:

• Does the employee understand the goals and standards of the job?
• Does the employee get timely feedback on his or her performance?
• Did the employee get adequate training for the job?
• Does the employee demonstrate competency in other tasks?
• Is the employee capable of doing the work?
• Does the employee have the resources to do a good job?

Respond to the problem by preparing an action plan
Once you have determined the cause of a performance problem, you should meet with the employee involved to discuss possible solutions.

When you do this, don't get personally involved in the problem or apologize for having to deal with it. You want to help the employee succeed. Find out what the employee would like to see as an outcome. Then set up a plan of action.

Begin with the assumption that any corrective action you take should first and foremost help improve an employee's performance.

The following gives more about preparing an action plan:

• Make sure that employees with performance problems have a clear understanding of their jobs.
• Present clear information about how the job should be done, clarify each step, and emphasize the major responsibilities.
• Provide training if necessary.
• Make your employees responsible for the outcome of this process. Ask them to check back with you frequently.
• Encourage your employees.

Use discipline to deal with the problem
When it becomes necessary to take disciplinary measures, you should use a four-step procedure. Because these steps sometimes lead to termination, you should ensure that you have all of the facts and use the same procedure for all employees.
It's also important that you do not allow your judgment to be clouded by prior, unrelated problems. There is more information on the steps below:

• In step one, verbally remind the employee about the problem, and state that the problem is now in the formal disciplinary stage.
• Go to step two if the problem continues. Give the employee formal written notification of the continuing problem.
• If these steps fail, move to step three, in which the employee is given one day of paid leave to decide whether to stay and improve or leave. This demonstrates the organization's desire to give the employee control over whether to stay or leave.
• Step four is termination. Having documented all the previous steps in the employee's file, set a specific time for an interview. Inform the employee of your decision. Keep the meeting simple and short. The employee had every opportunity to improve. There is no need for further discussion.

By following well-thought-out steps in correcting performance problems, a leader can keep employees motivated and effective. Do you have procedures in place that make discipline a progressive measure?

Identifying Performance Problems

In most organizations, it's essential that employees maintain certain performance standards in order for the department to meet its quotas.

When quotas are not met, you must determine why. What are the reasons for poor performance that you must understand?

There are a number of reasons for poor performance. You'll approach these reasons from three different perspectives:

• the reasons for performance problems
• the elements of performance
• the attitude behind performance.

The reasons for performance problems
Most performance difficulties arise for four different reasons. These reasons are explained below:

• Employees' lack of knowledge prevents them from knowing what to do.
• Employees lack the aptitude to do what is required of them and therefore are not capable of completing tasks.
• Excessive interferences from processes, people, or technology can create a situation where employees are not allowed to do what is required of them.
• Finally, some performance problems are caused by employees refusing to do what's required of them. When there are no safety issues involved, this is usually a result of attitude problems.

The elements of performance
When you discover performance problems, what are you actually measuring these results against? There are seven elements of performance that help you target employees' achievements. These elements of performance are:

1. Goals: What do they need to achieve?
2. Standards: How are their achievements quantified?
3. Feedback: Do they have the guidance they need?
4. Competence: Have we properly trained them?
5. Opportunity: Do they have chances for advancement?
6. Means: Do they have the tools to do their job?
7. Motive: Do they have good reasons to want to do this?

A useful tool for analyzing performance is to chart the reasons for performance problems against the elements of performance. This can help you figure out how to specifically address each performance problem.

The attitude behind performance
Attitudes are often part of vicious cycles in which an attitude provides a mental excuse to behave in a certain way. Quite often, this behavior creates a result that reinforces the original attitude.

Attitudes are not always easy to change because they can come from so many different sources. Some are brought to work by employees, and some are formed as a result of things that happen in the work setting. The following provide more about the source of attitudes:

• personal background
• self-esteem
• prior experience
• unclear goals
• poor feedback
• lack of recognition
• nature of the work
• inadequate compensation.

Consider the principal causes for performance problems for addressing the problem areas in your workplace.

Using Control Charts to Identify Product Process Problems

Project managers use control charts to spot production process problems before they spin out of control. On a control chart, production data is plotted and analyzed for specific trends. Control charts are used more as a preventive measure rather than for detection or rejection of quality problems. This is extremely useful since it is cheaper to prevent mistakes than to correct them.

Control charts compare quality, cost, and time issues to an established norm. They indicate permissible behavior so that aberrations are easy to identify. Analysis of control charts determines whether a process is stable or whether corrective action needs to be taken.

Control charts can also help determine sources of variation. Variation is the range the observations fall around the process mean or average. Variation is different for every product or process since each has different characteristics.

• Common cause variation - is random variation common to any process. This type of variation requires management decisions to change the basic processes. Common cause variation is caused by chance and requires no corrections.
• Special cause variation - happens at the operational, or production, level. This variation is indicated by exceeding a control limit or a persistent trend towards the limit. Special causes exist when the variation in a process exceeds allowable standards. Corrective action is then required.

Variation is also categorized by time.

• Short-term variation - can be caused by changes in suppliers or workers' performance.
• Long-term variation - occurs in cases of tool wear, environmental changes, or increased administrative control.

There are two types of control charts classified by the type of data they collect. Variable control charts are used with continuous data in which all numerical values are possible. Variable charts are useful when measurements from a process are variable such as diameters, electrical output, or chemical concentrations.

Attribute control charts are used with discrete data, or when data can only have a certain value, or range, such as "1" for "yes" and "2" for "no" in a conformance test. Attribute charts analyze data such as conforming/non-conforming, pass/fail, go/no go, or yes/no measurements.

The use of these various charts depends on what type of quality measurement is desired. The most common type is the X bar chart, or process average chart.

Limits on a control chart are often called the three-sigma limit because most companies operate within the 3 sigma limit. In a normal distribution, 99.73 percent of the measurements lie within X bar ± 3s, or within the UCL and LCL. Some companies now employ a six-sigma limit in their quality control. This allows only 2 defects per billion. This exactness in quality is so expensive that it is only possible over very large production runs.

The high figure indicates a high degree of variation because more of the observations fall away from the average. Therefore, the taller the curve shape, or the bell curve, the lower the standard deviation will be.

Control charts can be interpreted in many ways depending on their patterns and line shifts. Experience is the greatest aid to understanding a chart. Control charts tell when to look for trouble but not where the cause lies. Control charts also indicate when to leave a process alone. Variation can be unnecessarily introduced by an operator trying to fine-tune a machine to near perfection, when the control chart indicates the operator could leave the process alone. Charts are interpreted by runs, trends, periodicity, and hugging.

Quality control inspectors also use the Rule of Seven to determine if a process is out of control. If seven or more consecutive observations are found to be on one side of the mean, then it is out of control. The reason it is said to be out of control is that there is only a 1.56 percent statistical chance of random variation that the run of seven would fall on one side of the mean.

One of the most useful quality control tasks is ensuring a process is in control, by identifying the existence of a problem. Control charts are a valuable tool in determining whether or not a project or process is in control. To be able to read control charts, you need to be familiar with the different control chart types and their components, and the various methods of interpretation.

An Introduction to Pareto Diagrams

Do you need a simple chart to convey the idea that quality corrective action is required? Pareto diagrams offer an effective, illustrative, and analytical tool for identifying quality problems.

A Pareto diagram is a modified histogram performance report. It receives its information from work results such as data figures, repair data, maintenance figures, or scrap rates.

Instead of grouping results by intervals as in histograms, Pareto diagrams lump similar quality defects together in order to identify the most common errors for corrective action. This is based upon the 80/20 rule where 80 percent of the defects are caused by 20 percent of the problems. Pareto diagrams are useful for measuring machine output and time reliant processes. There are three uses and types of Pareto diagrams.

• Basic Pareto analysis - A basic Pareto analysis identifies the key contributors to the quality problem as a single diagram, with a percentage line showing each category as a portion of the cumulative total. The basic Pareto diagram identifies the most common problems.
• Comparative Pareto analysis - A comparative Pareto analysis looks at a problem as a "before and after" comparison, using two Pareto diagrams. These diagrams show the change in the number of problems identified for each problem category.
• Weighted Pareto analysis - Weighted Pareto analysis gives significance to unapparent factors such as cost, time, or criticality.

Once a Pareto diagram is constructed, the key defect areas become obvious, so you can reduce these defects to a more acceptable level. Then, after implementing corrective action, a new Pareto diagram may be constructed as a comparison to show that the key defects were greatly reduced.

Pareto diagrams are an extremely useful tool in quality decision making. The diagrams make it clear what quality changes need to be made and whether the remedy was effective. Keep in mind that Pareto diagrams do not identify causes, only problems, so other analytical methods may be required to gain further insight into the problem.

Constructing Cause-and-effect Diagrams

Have you ever had a quality problem that couldn't be quantified through the use of statistics? The relationship between a problem's effect and its cause is sometimes obscure. To solve the problem, you may need to examine the entire process, identifying all the potential problem sources before you can determine the root cause. When visually displayed, this problem-identification process is called cause-and-effect diagramming.

Cause-and-effect diagrams are also known as "wishbone" or "fish" diagrams because of their shape. A cause-and-effect diagram has a central "back bone" with "ribs" branching off. The process used to create the diagram is known as flowcharting.

Cause-and-effect analysis is frequently completed by a team since specialists in many areas or departments may be required to provide input into their part of the process. During a project meeting or conference, the project team will construct the diagram, starting with the problem and working backward to the beginning of the project or process.

In cause-and-effect diagramming, there are three possible methods for identifying causes:

1. the random method
2. the systematic method
3. the process analysis method

The random method, during which team members randomly cite problems and probable causes, is a somewhat haphazard approach and may not identify all problem categories. However, it is useful as a general trouble-shooting technique and can help get the group in problem-solving mode.
The other two methods, systematic and process analysis, are more structured and rational in the identification of causes. These are used mostly by engineers and technicians.

The systematic method focuses analysis on one category at a time. Each category is examined in descending order of importance after the primary one is addressed.

The process analysis method looks at a production process identifying each sequential step, and the categories and causes for each step, one at a time.

When the cause-and-effect diagram has been constructed, the team or project manager can then suggest changes to the potential problem-causing areas. A series of experiments or additional statistical analysis may be necessary to determine the primary or root cause of a given problem.

The next step is to decide what corrective action is necessary. In the process of identifying the problem, the team suggests the desired outcome. By turning the diagram around, you can determine what impact the desired outcome will have on each of the listed categories and causes. In some cases you may find corrective action is required in one or all of the categories.

A machine in a process may require finer adjustment or even replacement if worn out. A newer machine may offer a leap in technology that may eliminate present quality control problems through greater automation or internal computer control processes.

The production or process method may require fine tuning, involving additional substeps before completion of a task. The layout of a process may also need reorganizing. Duties and responsibilities may need increased emphasis.

Stricter inspection and handling of raw materials may be necessary to ensure that they are of high standard. Improved selection of raw materials may also be required.

Changes to the measurement process may be necessary, such as more accurate measurements, increased frequency of inspection, and introduction of new statistical methods for analysis.

Perhaps current personnel are inadequately trained in both their job and in quality control. Upgrading job skills may be necessary. It is also possible that declining quality is due to poor work habits or boredom with the job.

Once the root cause of the problem has been identified and the effects of the desired outcome on other areas of the project have been studied, appropriate corrective action is taken. At this point, change requests are processed and safeguards set in place to prevent future recurrences.

Even when a problem has multiple sources, you will find cause-and-effect diagrams are invaluable in pinpointing them all. Flowcharting with cause-and-effect diagrams is an effective way to conceptualize causes to a problem in a project or process. Once flowcharted, the problem can be further analyzed using other analytical tools. Ultimately, corrective action and protective safeguards are applied to solve the problem and prevent future recurrences.

Dealing with Performance Problems

Leaders can help their employees improve their performance by using a progressive discipline system.

To help an employee with a performance problem, you should:

• get to the heart of the problem
• respond to the problem by preparing an action plan
• use discipline to deal with the problem.

Get to the heart of the problem
When there is a problem with an employee's performance, you should get to the heart of the problem before you attempt to correct it. This is important because the cause of a performance problem is not always apparent.

To correct the problem, you need to address the cause. To determine what is causing a performance problem, you should ask the following questions:

• Does the employee understand the goals and standards of the job?
• Does the employee get timely feedback on his or her performance?
• Did the employee get adequate training for the job?
• Does the employee demonstrate competency in other tasks?
• Is the employee capable of doing the work?
• Does the employee have the resources to do a good job?

Respond to the problem by preparing an action plan
Once you have determined the cause of a performance problem, you should meet with the employee involved to discuss possible solutions.

When you do this, don't get personally involved in the problem or apologize for having to deal with it. You want to help the employee succeed. Find out what the employee would like to see as an outcome. Then set up a plan of action.

Begin with the assumption that any corrective action you take should first and foremost help improve an employee's performance.

The following gives more about preparing an action plan:

• Make sure that employees with performance problems have a clear understanding of their jobs.
• Present clear information about how the job should be done, clarify each step, and emphasize the major responsibilities.
• Provide training if necessary.
• Make your employees responsible for the outcome of this process. Ask them to check back with you frequently.
• Encourage your employees.

Use discipline to deal with the problem
When it becomes necessary to take disciplinary measures, you should use a four-step procedure. Because these steps sometimes lead to termination, you should ensure that you have all of the facts and use the same procedure for all employees.

It's also important that you do not allow your judgment to be clouded by prior, unrelated problems. There is more information on the steps below:

1. In step one, verbally remind the employee about the problem, and state that the problem is now in the formal disciplinary stage.
2. Go to step two if the problem continues. Give the employee formal written notification of the continuing problem.
3. If these steps fail, move to step three, in which the employee is given one day of paid leave to decide whether to stay and improve or leave. This demonstrates the organization's desire to give the employee control over whether to stay or leave.
4. Step four is termination. Having documented all the previous steps in the employee's file, set a specific time for an interview. Inform the employee of your decision. Keep the meeting simple and short. The employee had every opportunity to improve. There is no need for further discussion.

By following well-thought-out steps in correcting performance problems, a leader can keep employees motivated and effective. Do you have procedures in place that make discipline a progressive measure?

Identifying Performance Problems

In most organizations, it's essential that employees maintain certain performance standards in order for the department to meet its quotas.

When quotas are not met, you must determine why. What are the reasons for poor performance that you must understand?

There are a number of reasons for poor performance. You'll approach these reasons from three different perspectives:

• the reasons for performance problems
• the elements of performance
• the attitude behind performance.

The reasons for performance problems
Most performance difficulties arise for four different reasons. These reasons are explained below:

• Employees' lack of knowledge prevents them from knowing what to do.
• Employees lack the aptitude to do what is required of them and therefore are not capable of completing tasks.
• Excessive interferences from processes, people, or technology can create a situation where employees are not allowed to do what is required of them.
• Finally, some performance problems are caused by employees refusing to do what's required of them. When there are no safety issues involved, this is usually a result of attitude problems.

The elements of performance
When you discover performance problems, what are you actually measuring these results against? There are seven elements of performance that help you target employees' achievements. These elements of performance are:

1. Goals: What do they need to achieve?
2. Standards: How are their achievements quantified?
3. Feedback: Do they have the guidance they need?
4. Competence: Have we properly trained them?
5. Opportunity: Do they have chances for advancement?
6. Means: Do they have the tools to do their job?
7. Motive: Do they have good reasons to want to do this?

A useful tool for analyzing performance is to chart the reasons for performance problems against the elements of performance. This can help you figure out how to specifically address each performance problem.

The attitude behind performance
Attitudes are often part of vicious cycles in which an attitude provides a mental excuse to behave in a certain way. Quite often, this behavior creates a result that reinforces the original attitude.

Attitudes are not always easy to change because they can come from so many different sources. Some are brought to work by employees, and some are formed as a result of things that happen in the work setting. The following provide more about the source of attitudes:

• personal background
• self-esteem
• prior experience
• unclear goals
• poor feedback
• lack of recognition
• nature of the work
• inadequate compensation.

Consider the principal causes for performance problems for addressing the problem areas in your workplace.

The Testing Phase of an IT Project

The testing phase of the IT project life cycle ensures that all requirements are met. Work conducted at this stage includes verifying that the functions are performed accurately, that the system works with all interfacing systems, and that the new system meets quality and/or standard requirements.

During the testing phase, the project manager (PM) must understand each of the components to monitor the process, but doesn't actually have to take part in completing the phase. The testing phase involves the following steps.

1. Identify the inputs.
In the first step of the test phase, you should identify the following inputs.

• Corporate IT standards. The corporate standards are used to determine the set of testing tools to be used for the different stages of testing.

• Conversion plan. The conversion plan specifies the order in which parts of the application will be implemented and the functionality corresponding to each release.

• Data conversion process. The data conversion process documents the design of the application required to create the databases for the system.

• Design document. The application flow and workflow section of the design document are used during the testing phase to ensure that the product works as intended.

• Requirements specifications. The requirements specifications are used to ensure that the product meets all of its functional and quality requirements.

2. Identify the tools.
The next step, identify the tools, involves tools that will be used to test the system and track the results. Standard tools, such as word processing software, presentation and spreadsheet tools, and the specialized tools shown below, can be used in the testing phase.

• Testing tools. Testing tools are used to test the system. They are specific to the types of environments, programs, and testing to be performed on them. For example, Web-based environments need Web-based testing tools, such as a Web browser.

• Bug tracking databases. These tools identify, categorize, log, and track the resolution of bugs. For example, a spreadsheet with a description of the problem, a rating, a potential solution, and the date and signature of the person reporting the bug is a type of bug tracking database.

• Source code control systems. These tools help when different people are working on units of the code at the same time. This helps to avoid overwriting or undoing changes of others. For example, implementing versions of the product and assigning version control to one person at a time is a type of control system.

3. Conduct the key activities.
The third step of the testing phase is to conduct the key activities shown below.
Design the testing approach. The purpose of this activity is to prepare for the testing that takes place. First you need to determine the level of testing and then the types of testing.

• Create the test plan. This activity involves creating a test plan that includes the specific testing to be performed, the testing approach, the test conditions, the test schedule, the expected results, and the personnel involved.

• Create the test model. This activity involves creating a system test model to represent a production environment and includes all databases and files. It is used to fully test every system modification.

• Perform the integration and user acceptance testing. The integration test verifies the accuracy of the communication among all programs in the new system. The user acceptance test simulates the actual working conditions of the new system, including the user manuals and procedures.

• Check the detailed results. This activity involves the PM and the team members checking the test results of each cycle to verify the proper performance of each function under normal and abnormal conditions.

3. Obtain the desired outputs.
The next step in the testing phase, obtain the desired outputs, involves obtaining the test results, which are used as evidence that all the planned cycles have run successfully and that all outstanding issues have been resolved.

4. Meet the milestones to complete this phase.
In the final step, the PM obtains a conversion readiness sign-off form from the stakeholders of the project. This is the milestone that needs to be met for this phase of the project.

The testing phase ensures that the product meets all requirements and increases the chances of a successful project. Once it is completed, the project can move on to the final phase of the IT project life cycle—the rollout phase.