Performance Management, Competency Assessment, and Career Development: Keep It Simple!

1. Performance Management, Competency Assessment, and Career Development: Keep It Simple! Lynn SummersOffice of State PersonnelSeptember 7, 2006

2. Some Issues • Performance management process cumbersome and time-consuming • With addition of competency assessment for banded positions, appraisals are even more cumbersome and time-consuming • Legislature’s failure to fund Comprehensive Compensation System raises question: Why bother with performance management? • It’s called “career banding,” but not clear where the “career” part is

3. Agenda • Performance management model • Simplifying performance management • Relationship between performance management and competency assessment • When to do competency assessments • Improvement, development, and careers

4. Performance Management Model

5. A / U Mission Job Description Jul Aug Ongoing Management of Performance Sep Oct Nov Dec Jan Feb Mar Results Apr May COLA, CGRA Performance Appraisal U, BG, G, VG, O Jun Perf bonus Performance Management Work Plan

6. Reasons for Doing Performance Management • Meet legal requirements • Clarify expectations • Give feedback • Instigate development • Produce results • It’s Management 101

7. Simplifying Performance Management

8. Jul Aug Engaged in PM admin and paperwork Sep Oct Nov Dec Engaged in managing Jan Feb Mar Results Apr May Jun Manager’s Time Budget Work Plan Ongoing Management of Performance MINIMIZE! OPTIMIZE! Performance Appraisal U, BG, G, VG, O % of time

9. Performance Management Work Plan Position: ABC Pay Band: XYZ Level: Journey Employee: J. Doe Describe results expected and how they will be measured 1 Key responsibilities Results expectations Complete Acme project Meet specs, w/in budget, by 11/30… Support Director Director on time 80%, 2 calendar conflicts… Customer service 95% sat, 24-hr resolution… Describe the KSAs that will be most important for successfully achieving the expected results 2 Behavioral expectations Dimensions Customer service Anticipates & responds.. Teamwork Develops trust & good… Communications Organizes & presents…

10. Performance Management Work Plan 3 KSAs or competencies that will need to be improved or developed to meet performance expectations or to enhance employee’s career success ~~~ ~~~ ~~~~ ~~ ~~~ 4 Signatures and dates

11. Performance Management Work Plan 3 KSAs or competencies that will need to be improved or developed to meet performance expectations or to enhance employee’s career success ~~~ ~~~ ~~~~ ~~ ~~~ 4 Signatures and dates Interim Review 1 2 Supervisor’s comments on progress Signatures and dates ~~~ ~~~ ~~~~ ~~ ~~~

12. Performance Management Work Plan Position: ABC Pay Band: XYZ Level: Journey Employee: J. Doe Performance Appraisal Describe results expected and how they will be measured Concisely describe actual results achieved and enter ratings 1 1 Key responsibilities Results expectations Actual results Ratings Complete Acme project Meet specs, w/in budget, by 11/30… Clearly written, under budget… VG Support Director Director on time 80%, 2 calendar conflicts… On time 95% of appts, 1 conflict… O Customer service 95% sat, 24-hr resolution… 82% sat, 10 of 120 complaints… BG Describe the KSAs that will be most important for successfully achieving the expected results Concisely describe actual behavior observed and enter ratings 2 2 Behavioral expectations Rating Support Ratings Dimensions Customer service Anticipates & responds.. When cust called… G Teamwork Develops trust & good… Helped out JK when.. VG Communications Organizes & presents… Composed email… O

13. Performance Management Work Plan Performance Appraisal 3 3 Overall Rating VG KSAs or competencies that will need to be improved or developed to meet performance expectations or to enhance employee’s career success 4 Supervisor’s comments on performance and recommendations regarding improvement or development ~~~ ~~~ ~~~~ ~~ ~~~ ~~~ ~~~ ~~~~ ~~ ~~~ 4 Signatures and dates 5 Employee’s comments ~~~ ~~~ ~~~~ ~~ ~~~ 6 Any significant changes in functional competency requirements or in demonstrated competency? 7 Signatures and dates Interim Review 1 2 Supervisor’s comments on progress Signatures and dates ~~~ ~~~ ~~~~ ~~ ~~~

14. Simplify Work Planning • 5-7 goals reflecting primary responsibilities of job • Give focus to goals based on: • Alignment to higher goals • Customer expectations • Defined responsibilities • Raise “level” of goals – from tasks to results • Publish SOPs / do’s-and-don’ts elsewhere • Give work plan the “newspaper” test

15. Simplify Ongoing Management of Performance • Position PM as essence of managerial role, not an annoying add-on – Management 101! • Focus day-to-day conversations around KRRs • Treat issues as problem-solving / learning opportunities with twin outcomes • Getting the work done • Building a collaborative learning environment • Set up meaningful performance tracking mechanisms that involve employees

16. Simplify Performance Appraisal • OK, filling out the form is paperwork, but getting the information right is important • Have employees supply information for their KRRs, behavioral examples for their dimensions … then vet the information • Be concise – don’t over-document • Appraisal discussion is managerial task • Position discussion as “quality time” with employees – opportunity to reflect and look ahead

17. Relationship between Performance Management and Competency Assessment

18. Banded Class Jul Aug Sep Oct Position Level C, J, A Nov Dec Jan Feb Mar Competency Assessment C, J, A Apr May Jun Base pay range Pay and Performance Job Description Work Plan Ongoing Management of Performance Results Performance Appraisal U, BG, G, VG, O COLA, CGRA Perf bonus

19. When to Do Competency Assessments

20. Banded Class Jul Aug … competencies required by position? Sep Oct 3-Year Re-assessment Position Level C, J, A Nov Dec Significant change in … Jan Feb Mar … person’s demonstrated competencies? Apr May Jun Base pay range When to Do Competency Assessments Job Description Work Plan Ongoing Management of Performance Competency Assessment C, J, A Results Performance Appraisal U, BG, G, VG, O COLA, CGRA Perf bonus

21. Improvement, Development, and Careers

22. Improvement vs. Development Development Planning Arena “Actual” “Should” Performance Performance Improvement Arena “Actual” Time

23. Development Plan Concisely describe purpose of plan (goals to be affected, career plans to be pursued) and competencies to be developed, skills / knowledge to be acquired 1 ~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~ Describe how successful development will be measured 2 ~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~ Time frames Development opportunities to be undertaken by employee 3 • ~~~ ~~~ • ~~~~ ~~~~ ~/~/~~ ~/~~/~~ 4 Resources and support to be provided ~~~ ~~~ ~~~~ 5 Signatures and dates 6 Follow up Improvement and Development Performance Improvement Plan 1 Concisely describe what needs improvement, why, and consequences ~~~ ~~~ ~~~~ 2 Describe how successful improvement will be measured ~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~ 3 Target dates Action steps to be taken by employee to improve • ~~~ ~~~ • ~~~~ ~~~~ • ~~ ~~~ ~~~~ ~/~/~~ ~/~~/~~ ~~/~/~~ 4 Resources and support to be provided ~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~ 5 Signatures and dates 6 Follow up

24. Root Cause Analysis Corrective Action Symptoms Likely Cause Work habit Contract Knowledge Training, work-with Description of problem / opportunity Competency Development System Fix the system Expectation Revise the goal

25. Career Development Ongoing process in which people progress through a series of age-related stages, each involving a different set of developmental tasks, activities, and relationships Adapted from Noe, Hollenbeck, Gerhart, & Wright. Human Resource Management: Gaining a Competitive Advantage (2nd ed.). Chicago: Irwin, 1997.

26. Career Stages Disengagement Exploration Establishment Maintenance Identify interests, skills, fit between self & work Advancement, growth, security, develop life-style Hold on to accomplish-ments, update skills Retirement planning, adjust balance between work & non-work Develop-mental tasks • Training • Policy making Phasing out of work • Helping • Learning • Following directions Making independent contributions Activities Relationships to other employees Apprentice Colleague Mentor Sponsor Approximate age range 30-45 45-60 61+ 18-30 Noe, Hollenbeck, Gerhart, & Wright. Human Resource Management: Gaining a Competitive Advantage (2nd ed.). Chicago: Irwin, 1997.

27. Career Planning / Management • Ongoing process in which employees • Become aware of their interests, values, strengths, and weaknesses • Obtain information about job opportunities with the organization • Identify their career goals • Establish action plans to achieve their career goals Adapted from Noe, Hollenbeck, Gerhart, & Wright. Human Resource Management: Gaining a Competitive Advantage (2nd ed.). Chicago: Irwin, 1997.

28. Career Planning Fact Finding • Learning about self • KSAs – strengths and weaknesses • Interests – satisfiers and dissatisfiers • Derailers – career growth inhibitors • Education and work history • Learning about jobs • Key results and responsibilities • Knowledge, skills, and abilities requirements • T&E requirements Methods Manager feedback, 360, assessment center Self-evaluation, occupational interest inventories Manager feedback, tests, 360, assessment center Documentation Methods Job description, work plans, interviews, internal job fairs Competency profiles, work plans, interviews Job description, interviews

29. Use Competency Profiles as a Resource

30. Derailers • Arrogant • Avoidant • Eccentric • Impulsive • Risk averse • Volatile • Narrow thinking • Resistant to change • Failure to meet objectives • Approval dependent • Imperceptive / reserved • Attention seeking (self-promoting) • Perfectionistic (micromanager) • Argumentative (defensive) Adapted from Center for Creative Leadership and Development Dimensions International.

31. Career Plan • Gap analysis • Challenging experiences • Test interests • Build knowledge, skills, and abilities • Accumulate portfolio of marketable skills, experiences, and accomplishments • Periodic feedback and plan revision • “Market” attributes, not self

32. Thank you!