G7.6.

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Basic Supervision 101

MATERIAL PRESENTED BY: Marian Davis-Foster Department of Human Resources, Office of Human Resource Development and Training 5th Edition - April, 2007

The material in this Basic Supervision 101 handbook is dedicated to all practicing supervisors and those aspiring to be supervisors. This information was designed simply and precisely to provide the basics needed for supervisors/managers whose job it is to influence human actions in an organization. Although intelligence, common sense, imagination, and good humor are qualities of a successful supervisor, a working knowledge of and the implementation of the basic supervisory functions/tasks are essential.

Table of Contents
Who Am I ????? Discussion Points Workshop Expectations Goal Objectives Schedule (Travel Guide) 05

07 07 09

Need to Know
Overview Definition of Supervision Supervision* Categorization (Grouping) of the Functions of Supervision Functions/Tasks of Supervision The Supervisors Role Professionalism in the Workplace Concepts of Authority Summary Note Paper 13 14 15 16 16 22 23 25 29 31

Nice to Know
Supervision A Mutual Relationship Principles of Leadership Characteristics of Effective Controls Monitoring The Leaders Ten Commandments Big Dogs Leadership Page Supervisory Styles The Good, the Bad, the Ugly The Importance of Problem Solving and Decision Making Problem Solving and Decision Model Decision Making Styles Guidelines for Problem Solving and Decision Making Performance Appraisal The Performance Planning and Evaluation Process High Morale Six Keys to Motivation 37 38 39 41 42 43 44 48 51 53 54 55 56 57 58 60

More of Nice to Know

Some Guidelines for Effective Time Management Time Management Managing and Resolving Conflict Defining Workplace Conflict Turning Conflicts into Opportunities Approaches to Resolving Conflict Delegation Steps for Effective Delegation Barriers to Delegation Signs of Delegating Too Little Sabotaging the Team Continuous Quality Improvement Coaching Coaching on the Run Communication Barriers to Good Communication Personal Characteristics of Supervisors Supervisory Tips Courage, Character and Conviction The Three Cs of Outstanding Supervision 61 62 64 64 68 68 71 71 72 73 74 76 81 83 84 86 87 89 91

Where to Go
Selected Reference List 96

Things to Do
Exercise #1 - Self-Assessment Exercise #2 Pins and Straws Exercise #3 - Problem Solving and Decision- Making Quiz Exercise#4 - Decision-Making Exercise Exercise #5 - Assessing Your Approach to Motivation Exercise #6 - Whats a Conflict? Exercise #4 My Action Plan to Improve Delegation Exercise #5 Broken Squares Exercise #6 Who Does What in Your Group? Exercise #8 The Story Exercise #11- List of Personal Traits 99 101 102 104 105 106 108 109 110 111 113

WHO AM I??????
NAME Unit/Center Length of Time with State Current Job Title and Duties Length of Time in Current Position Other Departmental/Agency Experiences (Optional) Interests Other Than Work (i.e., group memberships, hobbies)

I like. I do not like. I am absolutely awed by.

Other Points of Discussion

1. 2. How and why you became a supervisor? What supervisory training have you had? When? Where?

3. 4. 5. 6. 7.

What have been your greatest satisfactions? What have been the greatest disappointments? What are your strengths? What are your areas of concern? Are these barriers you feel would hinder you from being a "GREAT" supervisor?

WORKSHOP EXPECTATIONS
What would you want like to get out of this workshop during the next several sessions?

What specific issues do you want addressed during our sessions?

Goal:
To share reality-based information that will clarify the nature of effective supervision by explaining the basic functions (tasks) and how the theory relating to these tasks translates into practical, empowering day-to-day applications.

Objectives:
At the end of this session, each participant should be able:

To have a clear understanding of the nature of supervision

including the need for effective supervisors. To understand the basic functions (tasks) of supervision. To understand how to translate basic supervisory theory into a practical day-to-day application one returns to the regular work site. To recognize that supervision is essentially a helping process founded on a mutual relationship. To understand, with clarity, the lines of authority inherent in the role of supervision and the utilization of authority in a positive manner. To understand the definition and use of appropriate supervisory styles of which there are several and to understand that no one style is best. To develop the knowledge base, skill levels, and abilities to create authority and power. To develop the knowledge base, skill levels, and abilities to develop subordinates.

To understand the importance of a positive attitude and how

this can make for a good supervisor-supervisee working relationship. To appreciate an awareness of ones own personal strengths and weaknesses in relation to the supervisory position. To use the collected situations, experiences, observations, and comments of the participants as contributions to the collected learning of the group.

Basic Supervision 101

"Travel Guide" DAY I
Ice Breaker Introductions Participants Expectations

(BREAK)
Overview Goal Objectives Supervision Definition Supervision A Mutual Relationship

(LUNCH)
Exercise #1) Functions/Tasks of Supervision Directing/Leading Principles of Leadership The Leaders Ten Commandments (Exercise #2) Supervisory Styles The Good, the Bad, and the Ugly (BREAK) Interpreting Training and Staff Development

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Functions continued Teaching/Training Problem-Solving and Decision Making Decision-Making (Exercise 3) Making the Good Decision to Solve the Problem (Exercise #4)

DAY II
(TEACH BACK)
Functions/Tasks of Supervision (continued) Evaluation of Performance Performance Appraisal The Performance Planning and Evaluation Process Monitoring from the Internet Monitoring Staff Utilization Motivation/Coaching Coaching on the Run (Exercise #5) Morale (BREAK) Reporting/Proposing Inter-organization and Community Relations Managing Work Excerpts from Time Management

(LUNCH)
Resolving Conflict Defining Workplace Conflict How to Use the Six Universal Rules of Conflict Management Turning Conflicts into Opportunities for Growth and Team Building in Your Organization (Exercise #6)

(BREAK)
Delegation Barriers to Delegation

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Functions continued Steps for Effective Delegation (Exercise #7)

DAY III
(TEACH BACK)
Functions continued Team Building (Exercise #8) Who Does What in Your Group? (Exercise #9) Sabotaging the Team Continuous Quality Improvement (CQI)

(BREAK)
Communication Communication in the Workplace (Exercise #10)

(LUNCH)
The Supervisors Role Professionalism in the Workplace Concept of Authority Supervisory Tips Personal Characteristics of Supervisors Attitudes and Personal Qualities (Exercise #11)

(BREAK)

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Summary "Courage, Character, and Conviction The Three Cs of Outstanding Supervision Video Fish Management

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OVERVIEW
In todays world of work with the varied opportunities, prolific complex challenges, changing values, rapidly advancing technologies, and increasing demands, the supervision of people at work is very involved and requires more knowledge and greater skills than ever. A common dictionary definition indicates that supervision is the act or art of lending control or direction to the accomplishment of work. However, this meaning does not convey the full importance, the requirements, or the activities interwoven in supervision. It is apparent that the common dictionary definition certainly does not speak to what it takes to be a great supervisor. Today, supervision is recognized as one of the most important and different jobs in any organization, private or public. The functions performed by supervisors have a profound, widespread influence on whether the organizations goals and objectives are met. In addition, staffs morale is decidedly affected by the caliber of its supervisors. Thus, a well-trained and highly skilled staff of supervisors is essential. When the persons designated to get the work done through others acquire the basic concepts and principles of GREAT supervision and practice them on a continual basis, the result is a more effective and efficient operation by a staff whose morale will very likely be high.

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Supervision
is a ----------relationship between one designated as supervisor who, because he/she has greater ------------- and greater responsibility, has the right and the ----------------to tell others identified as supervisees/subordinates what must be accomplished, who is to do it, when it must be accomplished, and, in some instances, how it must be done in order to meet ------------- -----, i.e., efficient and effective services to customers (clients).

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Supervision*
is the art of working with a group of people over whom -------------------------- in such a way as to achieve their greatest ------------- effectiveness in getting work done. It is best performed in an atmosphere of ---------------- and zestful ------------on the part of all the people involved including, of course, the supervisor. It is possibly one of the most difficult of all the arts, since it demands an ability to successfully use and, almost intuitively, those principles of -------- ------------ that have proven true with most people most of the time. Experienced supervisors will recognize that there are no sure and certain rules for working with people in general. They know, with the wisdom born of experience, that human beings are individually --------, and that this individuality has always to be considered in developing working relations. *The Successful Supervisor in Government and Business William R. Van Dersal

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Exercise #1 - Self Assessment: Skills of Effective Supervisors

Categorization of the Functions of Supervision

The many functions/tasks of supervision are grouped usually into three categories. They are as follow terms: Administrative In this group, the promotion and maintenance of good standards of work are stressed. The co-ordination of practice with policies of administration is the focus to make certain the assurance of an efficient and smooth running office. Educational functions are the ones that relate to the educational development of each individual worker on the staff in a manner calculated to evoke one fully to realize one's possibilities of usefulness. Supportive tasks are the ones that are concerned with the maintenance of harmonious working relationships (the cultivation of esprit de corps).

FUNCTIONS (TASKS) OF SUPERVISION

Directing/Leading: is basic to the supervisory role because it consists of overseeing work activities of staff and directing that work towards a defined objective. includes the following: planning

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assigning maintaining controls coordinating activities follow-up conformation to policy and procedures should have as its first step to clearly define objectives. should result in determining what cause or causes that work has not been done correctly. Interpreting: is the act of giving meaning to directives, memoranda, and regulations in order to enable staff to carry out the requirements. is the delineation of the essentials for effectively handling change. is needed when certain directives are not clearly written or when a supervisee is confused because subordinates are entitled to receive clear information. Training and staff development: is an on-going activity for which a person in a supervisory role has a primary responsibility. are the elements through which the supervisor helps staff to acquire necessary knowledge and skills to carry out a particular job and also to grow personally. are the functions through which staffs developmental needs are determined. take into consideration how adults learn. include the elements that relate to handling the new worker. Teaching: is the impartation of knowledge or skill. is the process of undertaking certain activities or tasks with the intention of bringing about learning.

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Problem solving and decision making: is the process used when a gap is perceived between an existing state and a desired state and change needs to happen wisely and rationally using an organized approach. Evaluation of performance: is appraising individual worker performance is assessing the effectiveness of the operation. Some important points to remember: Set the stage for effective performance management. Create a motivational climate. Clarify performance expectations. Provide effective feedback. Self assess coaching style and practices. Monitoring, an important element of evaluation, is the gathering of information about the supervisees, the operations of the organizational unit (internal monitoring) and information about relevant events in the larger organization and the external environment (external monitoring). Staff utilization: involves the supervisors responsibility in creating high morale, a GOOD CLIMATE, and the use of each persons skills, knowledge, and experience most effectively. provides opportunities for staff to work to capacity and to feel a sense of satisfaction because they are doing meaningful work. is at its best when the supervisor understands that different people have different needs and responds to different incentives. Motivation: is understanding peoples different NEEDS and what INCENTIVES will get the best responses/results. is the turning of supervisees into a winning TEAM.

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is helping employees develop their CAPABILITIES. is the inner force that drives individuals to accomplish PERSONAL and ORGANIZATIONAL goals. is building trust with employees that develops into good working relationships.

Inter-organization and community relations: is concerned with the supervisors responsibility to the person to whom the supervisee reports, the supervisees colleagues in the agency, individuals and organizations in the community. focuses on establishing and maintaining positive working relationships with others within and outside of the organization. Managing work: is having a clear definition of workload and how the workload should be managed. is understanding the fulfilling of ones own responsibility to carry out his/her own workload. is differentiating between importance AND urgency. is managing time in relations to priorities. Resolving conflict: focuses on the supervisors responsibility in handling conflicts among workers through mediation, negotiation, and/or strategies. specifically includes information about: the approaches in resolving conflict the supervisors role in mediating obstacles to effective mediation tactics and strategies

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Delegation: is the appropriate assigning of the work, giving responsibility and authority to subordinates to complete a task. is the leadership skill that involves the development of an understanding between a leader and a follower about how authority AND responsibility will be shared to accomplish the shared mission. Team building: is development of persons to be productive and effective while achieving the SAME goals in a conducive atmosphere. is the process of enabling a group of people to reach their COMMON goal through the stages involved in team building that include clarifying the goal, identifying inhibitors, and removing them a good climate. can thrive as the result of a good reward system. Continuous Quality Improvement (CQI): a strategic, integrated management system for achieving internal/external customer satisfaction that involves ALL managers and ALL employees using tools and techniques to CONTINUOUSLY IMPROVE an organizations services and processes.
Clarify the supervisor's role in continuous improvement. Think "outside of the box."

Coaching: is focusing on the supervisees development, the insights into the supervisees way of approaching situations, increasing awareness, and as such, can be a very vulnerable area that requires a very high degree of mutual confidentiality and trust. is a somewhat equal relationship which enables mutual freedom of expression to exit. creates an atmosphere where what needs to be said, especially by the supervisee, is said without risk of reprisal.

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Communication(good): is sending and receiving messages by speech, signals, or writing. is a process in which a person, through the use of signs (natural, universal) and symbols (by human convention), verbally and/or non verbally, consciously or not consciously but intentionally, transmits meaning to another in order to affect change improves good listening. makes allowances for individual differences.

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The Supervisors Role

Supervisors must be prepared and are required to ___________the work. Supervisors are in the best position to understand the demands of the work and should be positioned best to know the talents/abilities of individual staff members. Consequently, supervisors are responsible for maximizing and utilizing the capabilities of staff members. The work that the supervisor does has a major impact on the operations of the organization. It is the supervisor who directs the activities of others and is held accountable for the supervisees performance. The scope of the supervisors responsibility is broad. It includes the customer/client (external and internal), community, agency, and the staff (supervisees) of the supervisor. IT IS THE RESPONSIBILITY OF THE SUPERVISOR TO SEE THAT STAFF (SUPERVIS EES/SUBORDINATES) CARRY OUT THEIR WORK ASSIGNMENTS. According to the literature, the supervisor, under ordinary circumstances, is not to do the assignment, even though he/she might think that he/she could do it more quickly and better. In other words, regardless of the level of the supervisory position AND BECAUSE the work of the supervisor has a major impact on the operations of the unit/division, directing the work becomes the major responsibility of the supervisor. It is the role of the supervisor to see that staff carries out the work assignments that will result in the finished product (whatever that might be).

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Professionalism and Workplace Savvy

Excerpts from James B. Stenson Professionalism is not just a set of appearances -------------, good ---------------, shop --------, technical --------- and the like. It is a lot more. Rather, professionalism is a set of internalized character strengths and values directed toward high quality service to others through ones work. IT IS THE ACT OF BEING THE BEST YOU CAN BEit is your attitude about life and workit is the way you treat othersit is showing respect for coworkers, management, customers (outside and inside), and the department for which you work. Professionalism is maturity regardless of experienceit is what is often referred to as a class act. It has been noted that any honest work can be done PROFESSIONALLY. Some approaches for persons who want to improve their atmosphere of professionalism include the following: Professionals see work as service to others. Because they are both task-oriented and people-oriented, they strive for the betterment of others indirectly and directly.

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Professionals regard their work as a statement of their personal commitment to excellence of performance, not just as a job. Professionals have respect for experience that results in an ongoing personal need to learn and improve. Professionals tend to see problems as challenges and opportunities, not burdensome hassles to be avoided. Professionals have a clear sense of the limits to their authority and rights of operation. Professionals seem to be able to compartmentalize work responsibilities from leisure and personal interests. Professionals tend to be able to adapt to varying cultures and expectations. Professionals work well in team environments. Professionals, even away from the job, seem to be able to demonstrate admirable character good judgement, good taste, good manners, and a respect for quality in general.

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Concepts of Authority*
Authority is the legitimate use of power. Authority is legitimized by some form of sanction given by society or organizations and its members. Authority carries with it a concurrent responsibility to use it properly. Unfortunately, the use of authority is sometimes abused and misused, and thus it may be lost. Power, in contrast to authority, requires no formal sanctioning or legitimacy. Some types of authority include the following: Legally constituted authority is based in and on laws/legislation. Institutionally constituted authority is based on the agency or organizations procedures, policies, and standards. Inherent authority is based in part on the situation involved. Authority of expertise is based in part on ones competence. Authority inherent in the person includes characteristics and skills that one has, i. e.; ability to function independently based in part on years

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of growth, development, and interpersonal experiences. The lines of authority constitute the CHAIN of COMMAND. Thus, the (chain of command) should be well known. Because authority, or its application, is a dynamic process, it changes as people, situations, or relationships changes (types of authority). In other words, authority is, therefore, conferred by any one or combination of the following that affect the development of a persons scope of authority: 1. function the importance to the organization of the job and employees supervised. position the persons formal rank within the organization. knowledge information useful to the organization which can be shared or withheld personality traits and characteristics inherited and/or developed. other factors number of personnel supervised, worth of equipment under direction, size of budget, political support from superiors, and situational factors.

2. 3.

4. 5.

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Some general principles regarding lines of authority in an organization are: a. b. Lines of authority must be CLEAR. There must be a unity of command. [Everyone in the organization needs to KNOW (a) to whom to report and (b) who reports to him/her; no one should REPORT TO MORE THAN ONE SUPERVISOR.] Everyone concerned should understand the responsibility and authority of each supervisor. The span of control determines the number of people reporting to one supervisor. Every function needed to accomplish the organizations purpose should be assigned to a unit of the organization. Authority to act should be delegated insofar as possible to the units or individuals nearest the point where the action must take place.

c.

d.

e.

f.

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Supervisors need authority to decide what to do and how to act in the area of activity he/she is capable of judging locally. This authority should be delegated to them, and they should be held responsible for using it properly. Supervisors selected should have the ability to handle the situations and thus use the necessary authority wisely. Supervisors are in a better position to know what the problems are that he/she faces and what needs to be done to overcome them. The supervisor knows the people involved, the supervisor sees the need for action, and he/she urgently needs to take the action called for by the situation.Therefore, TO MAKE

HIM/HER CHECK UP THE LINE EVERY TIME THE SUPERVISOR WANTS TO DO SOMETHING NOT ONLY WASTES THE SUPERVISORS TIME BUT ALSO THE TIME OF THE PEOPLE UP THE LINE.
* The Successful Supervisor in Government and Business - William R. Van Dersal

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Summary:
People who are responsible for supervision (managing) at whatever level engage in the similar basic activities (functions/tasks). The person in charge may be a president, chief executive officer, a chairperson, director, division chief, etc. The difference is NOT in the activities of the titled supervisors (i.e., managers) but in the SCOPE of the activities. As the levels of supervision (management) increase, the activities are much broader in scope, dealing not only with people but time, events, markets, technology, machines, and systems that are both internal and external to the organization. The discussion during this workshop has continuously indicated that supervisors activities center primarily on people. No matter the title, the person who is responsible for supervision should have the appropriate SKILLS, KNOWLEDGE, and hopefully, EXPERIENCE, (or permitted the opportunity to gain some experience under the proper, adequate tutelage) essential to do the job well.

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In addition, and very importantly, the supervisor needs to have a very good

sense of self

and be self-defined. Supervisors need to

ask themselves: Who am I? What do I want? What is my passion? What do I think of myself, about my self-esteem? How do I relate to the agencys mission? What is my personal mission? Supervisors need to ask these questions and ANSWER in an effort to know themselves. The literature suggests that a continual examination of self is essential, but this is not always done. Obviously, when done properly, one must face ones own weaknesses as well as strengths. The reason this continual selfexamination is needed to clear away the negative baggage that the supervisor might bring to the supervisor-supervisee relationship. Remember, this is additional baggage to what the supervisees bring. Accordingly, the literature review reveals that supervisors who are great have good interpersonal skills - that include knowledge of human behavior, maturity, and sensitivity - in addition to an appropriate knowledge base of the work, skills, and experience.

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Notes

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