Competency-Based Performance Management

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Competency-Based Performance Management TrainingModule 2: Performance Management

Leadership | Innovation | Quality12Performance Management OverviewProcess for Employees, Supervisors, Managers, and Senior Managers

CompetenciesConstructive FeedbackSMART GoalsPerformance ConversationsThis ModuleOther Modules

Leadership | Innovation | QualityThis module covers the fundamental concepts of competencies, the components of the competency model, and the specific competencies identified as differentiators for success in leadership roles at GNWT.

Please note that there are other modules available as well one that covers the performance management process, and then three refresher modules on core skills that you will use in the performance management process constructive feedback, crafting SMART goals, and effective performance conversations.

2Overview of Performance Management3

Leadership | Innovation | Quality3What is performance management?4

Core business processAlign individual objectives and performance with strategyPowerful tool for development, reward, engagementIncludes not just the performance review (our focus today) but the whole cycle of setting objectives, establishing standards (values, competencies), providing regular feedback, measuring results, conducting reviews.

Leadership | Innovation | Quality4Goals at GNWTRetain and grow people through feedback, recognition, developmentEncourage individual goal-setting and achievement, aligned with organizational and departmental goalsPromote accountability for results and developmentReinforce the GNWT CompetenciesProvide an on-going repository of job and performance information (using ePerformance)Help determine individual and organizational training and development needs and ensure that investments are well madeProvide insights into the workforce in support of other talent management workProvide insight into how well an individuals capabilities align with their current role or a future rolePromote a culture of on-going feedback, recognition and communicationIdentify high-performance and high-potential employees for growth5

Leadership | Innovation | Quality5ContributorsThe annual review will be a single-rater review. An employees immediate supervisor will determine ratings and provide comments.The employee will also complete a self-review, which will go on record and support the performance conversation. This is an essential component the employees input is vital.The immediate supervisor will be responsible for ensuring that the review contains a complete and well-rounded view of performance. Where the supervisor needs another perspective, they may request third-party feedback.The next line of management will also sign-off on the review once complete.In ePerformance, a 4th level of approval provided by Deputy Ministers (or equivalent) will be in place6

Leadership | Innovation | Quality6Contributor roles7RoleResponsibilities Employee Submit a complete and representative self-review, on timeListen to feedback, actively participate, act on plansImmediate Supervisor Ensure the overall review is fair, balanced, constructive, complete and accurateConduct an effective performance meeting with the employee Ensure review, planning, etc. happen on-timeNext Line of ManagementCoach and hold accountableLook at group-wide development and calibrationDeputy MinisterFinal level of approval in ePerformanceLook at group-wide development and calibration3rd PartyProvide constructive feedback to assist in the development of others

Leadership | Innovation | Quality7Annual cycleApril to June: Year-End Review, Performance Planning and Development PlanningSeptember to November: Mid-Year Check-In ReminderCan happen at any timeNot formal, but recommendedOpportunity for employees and supervisors to examine progress against objectives, update objectives if required, and check in on development and learning plansYear-round: Ongoing coaching and development, recording in ePerformance8Performance period is April 1 to March 31Review meetings to be conducted by May 30Final review submitted, and performance/ learning plans in ePerformance , by June 30

Leadership | Innovation | Quality89Performance Review Process How to

Leadership | Innovation | QualityPoint out one-page quick reference here

9Performance Review format10Results against objectivesCompetenciesPerformance summaryObjectives for next yearIndividual learning planSignatures

For each competency:We have descriptions of behaviours at different levelsWe have identified which level is the target for each roleThe employee provides comments, with examples, on the behaviours they demonstrateThe supervisor provides comments with examples, and also rates the level demonstrated by the employee

Leadership | Innovation | QualityQuick tour

10Process overview11Employee completes their portionSupervisor adds their contentIf additional input is needed send third party input requests 2-3 weeks aheadTake into account employees self-review, any third party input, job description, objectives, feedback over the course of the year Helpful to access previous reviews and CBPR reference documentsEmployee and supervisor meet to discuss the reviewEmployee and supervisor edit and complete the review (including objectives and learning plans for coming year)Form signed off by employee and supervisor, then by next line of managementFourth and final level of approval by Deputy Minister in ePerformanceProgress and feedback can be tracked in ePerformance over the course of the yearReviews must be completed and submitted before the deadline

Leadership | Innovation | Quality11Key reminders12Consider performance over the entire year.ePerformance provides supervisors the capability to input notes throughout the year.If required, use the Third Party Input Form to obtain a more well-rounded perspective on performance.Remember to use constructive feedback techniques. Ensure that you are recognizing strengths and achievements, and not just documenting opportunities for improvement.

Leadership | Innovation | QualityConsider performance over the entire year, reviewing documented feedback, goals and objectives and other sources of performance information.

ePerformance provides supervisors, managers, and senior managers the ability to add notes throughout the year. These can be used to capture meetings, highlights, check-ins, etc.

If required, use the Third Party Input Form to obtain a more well-rounded perspective on performance. It can be used to collect feedback from a key internal customer (department, team, individual), a former supervisor, a leader of a cross-department team, or any other valuable source of insight into performance.

Remember to use constructive feedback techniques. The goal is to increase performance, so feedback needs to be carefully presented so that it is internalized and acted on.

Ensure that you are recognizing strengths and achievements, and not just documenting opportunities for improvement. Similarly, provide even your strongest employees with ideas for areas where they can grow.

12Resources13For assistance with the form, guidance on wording, coaching, or advice on challenging issues, contact your HR Representative.If you and the employee cannot resolve a difference in perspective, consult your own supervisor.Resources such as training materials and job aids are also available on the HR website.

Leadership | Innovation | QualitySection I Results against objectives14This section is all about what the employee contributed last year. Employee:Enter information for each of your objectives for the past year, including both the objective and the measures as agreed to with your supervisor. Include any updates/changes that were agreed to over the course of the year.Provide comments on the results achieved as well as any important context.Supervisor:Review the information provided by the employee.Add comments on achievement and results, context and challenges, and/or feedback for the employee.Provide a rating for achievement against each objective (substantiated by your comments).Provide an overall rating. The overall rating should be a summary, informed by your judgment of the relative importance of each objective, the results achieved, and the context; it is not necessarily an average of the ratings for each objective.

Leadership | Innovation | QualitySection I Results against objectives15Ratings:

Not achievedThe objective was not met; there is a meaningful gap in achievement.

Partially/acceptably achievedThe objective was not fully met, but other factors/circumstances must be considered. For example:The objective was almost met; results are close to what was expected/desiredAchievement was limited by circumstances outside the employees control, and the employee could not have avoided or addressed these circumstances

Fully achievedThe objective was met

ExceededThe objective was exceeded

Leadership | Innovation | Quality15Section II Competencies16This section is about how the employee contributed last year and how the employees behaviours align with the GNWT competencies.

Employees:Provide your comments on the behaviours you demonstrate under each competency. Provide examples where possible. Supervisors:Provide your comments on the behaviours you demonstrate under each competency. Provide examples where possible

Leadership | Innovation | QualityThis section is about how the employee contributed last year and how the employees behaviours align with the GNWT competencies. In general:

Senior Managers: Complete as part of 2014 review. Assessment to be formally combined with Results Against Objectives for Performance Summary (Section III).

Supervisors/Managers: Complete as part of 2014 review. Assessment to be formally combined with Results Against Objectives for Performance Summary (Section III) ONLY after 2014 review.

All other employees: To assessed against competencies in 2015. Assessment notes after 2014 review should be recorded in ePerformance. Assessment to be formally combined with Results Against Objectives for Performance Summary (Section III) ONLY after 2015 review.

16Section II Competencies17Select the level of each competency demonstrated by the employee, taking into consideration the target levels for their role.You may also wish to note that they are at the lower or higher end of a level.For example, if the behaviours aligned in Level 2 are in evidence, and the employee is beginning to show Level 3 behaviours, you might suggest the rightmost of the three rating boxes under Level 2.

Ensure that your comments cover:Examples of behaviours supporting your rating;Any measures or evidence linked to these competencies (such as the extent to which a supervisor/manager completes high quality performance reviews for staff, or effective budget/variance management);Particular strengths, specifically relating to competencies;Opportunities for improvement (phrased as constructive feedback) specifically relating to competencies; andWhether, on the whole, the employee is displaying the target level (or higher) for each competency.

Leadership | Innovation | Quality17Section III Performance summary18This section is intended to provide an overall summary of the employees performance.Employee:Provide comments on your achievements, areas for development and feedback for the organization.Supervisors:Provide your comments on achievements.Provide your overall rating for the employee, taking into consideration:What the employee contributed (1) ResultsHow they contributed (2) Competencies

Leadership | Innovation | QualityHow they contributed (2) Competencies In general:senior managers presentlysupervisors and managers after 2014 reviewall other employees after 2015 review

18Employee comments19Provide answers/comments for the following questions:

In summary, what are the top 3 strengths or achievements that you would like to highlight (taking into consideration Results and Competencies)?

What are your top 3 areas for development or improvement?

What are your short and long term career goals and plans, and how can the organization support you to achieve them?

Do you have the resources (staff, materials, equipment, etc.) and support that you require to be successful?

Leadership | Innovation | QualitySupervisors rating and comments20Substantial and immediate performance improvement is requiredImprovement or development is required for the employee to meet expectations for results and/or competencies.Performance meets expectations (for results and competencies) most or all of the time, and may sometimes exceed expectationsPerformance meets all of the expectations (for results and competencies), and regularly exceeds expectations (typically 10-15% of employees)We expect that most employees will match the rating/description highlighted in darker blue shading

Leadership | Innovation | QualityAsk the group what level they think most employees should fall, to generate discussions; slide has been animated so that the text at the top appears only after you click; click after discussionKey point: This is an exercise in judgment, not an automatic average but at the same time it should make sense when compared back against the first 2 sections

Possible group discussion (if timing is ok): Lets put each of these in simpler terms. How would you describe the first one? What kinds of cases or situations might this look like? What about the next one etc.

Examples:

Substantial and immediate performance improvement is requiredSerious performance issue that has recently arisen (remember not to wait for the review!)

Improvement or development is required for the employee to meet expectations for results and/or competencies.Recently promoted, on a steep development curveEmployee who continues to have challenges in some specific areas where improvement is really needed (but the issue has not been enough to take more drastic measures) work in progress

Performance meets expectations (for results and competencies) most or all of the time, and may sometimes exceed expectationsMost employeesCompetent across the boardMostly strong but working on a couple of development areas (e.g. someone who achieves all their objectives but has some work to do on their leadership style)Solid employee who does go above and beyond once in a while, but not so consistently that they belong in the top rating

Performance meets all of the expectations (for results and competencies), and regularly exceeds expectations (typically 10-15% of employees)Top performers, standouts

20Supervisors rating and comments21It is important to recognize the positive aspects of the employees performance during this processIn summary, what are the top 3 strengths or achievements you would like to highlight for this employee (taking into consideration Results and Competencies)?Strengths and achievements:

Leadership | Innovation | QualityPerhaps touch lightly on how performance reviews should also highlight the positive, and not just areas of improvement?

21Overall rating examples22Sally has been in her role for 4 months. She has a basic understanding of area policies and practices. When handling day-to-day tasks, Sally still seeks assistance and direction from others.

Substantial and immediate performance improvement is requiredImprovement or development is required for the employee to meet expectations for results and/or competencies.Performance meets expectations (for results and competencies) most or all of the time, and may sometimes exceed expectationsPerformance meets all of the expectations (for results and competencies), and regularly exceeds expectations (typically 10-15% of employees)

Leadership | Innovation | QualityThe goal here is a good discussion sort of a calibration discussion.We expect the first 2 to both be examples of Improvement or development is required and the last one to be meets +regularly exceeds

22Overall rating examples23Tom has been in his role for 5 years. In recent months, Tom has met with his supervisor to discuss ways in which Tom can achieve results more independently and effectively. Unlike peers in the same role, his deliverables are reviewed by his supervisor before being distributed to others.



23Overall rating examples24Ann has been in her role for 2 years. Ann has demonstrated specialized understanding of area policies and practices. She regularly makes successful recommendations to senior management on how to improve process and policy effectiveness. Ann consistently produces high quality work with minimal oversight, takes a proactive approach to identifying and resolving potential issues, and provides informal leadership and coaching to more junior staff. She is regularly asked to participate in cross-department initiatives and projects because she will bring insight, energy and commitment.



24Section IV Objectives for next year25Identify objectives that will be undertaken in this current/coming year, along with measures, and an appropriate timeline and completion date for each objective. When describing the measures, be sure to consider how you will measure achievement for each objective at the Year End Performance Review. When identifying objectives, remember to write them as SMART goals. Objectives should be: Specific (specify a single result that is precise and observable);Measurable (written in observable terms specifying a quantifiable desired outcome where possible);Achievable (realistic and attainable, but represents an appropriate level of challenge);Relevant (directly related to the employees responsibilities and within his/her control);Time-based (time limited and progress towards the desired outcome can be reported).This section should be completed by the employee and supervisor together in ePerformance.

Leadership | Innovation | QualitySection V Individual learning plan26Identify the learning goals and associated key learning activities, appropriate timeline, and completion date. The goals you create should be SMART goals (Specific, Measureable, Achievable, Relevant, and Time-based), and remember to focus on a few areas where further development can have a more significant impact on the employees performance.

Learning Goals: Identify the skills and competencies that will be the focus of learning for the upcoming year. When identifying a goal, think of the desired expected learning or final outcome.

Type of learning goal: Identify whether a goal is Operational (Op) or Developmental (Dev) in nature.Operational goals: On-the-job training and/or classroom training that enables trainees to acquire the knowledge & skills necessary to reach the level of proficiency required to perform the full duties of a position.Developmental: Any learning activity to improve abilities, capabilities, competencies and attitudes in order to meet corporate needs.

Leadership | Innovation | QualityRemind them here about the CDRG, which will be on the website

26Section V Individual learning plan27Key Learning Activities: Identify how the learning will take place. For example: specific developmental assignments, special projects, coaching/mentoring, acting assignments, reading, video, job shadow, classroom training, etc.

Timeline and Goal Completion Date: Identify when the specific learning activities will take place and estimate a completion date for each learning goal.

This section should be completed by the employee and supervisor together in ePerformance.

Leadership | Innovation | QualityA good point to make here is around the effectiveness of on-the-job learning opportunities its not all about courses.

27Resources28Step-by-step how to guideQuick reference guide Detailed Q+AWebsite with instructions, forms, samplehttp://www.hr.gov.nt.ca/forms/performancemgmtforms.htm HR Representatives, Help Desk, and the Employee Development and Workforce Planning Unit

Leadership | Innovation | QualitySupport from HR Representatives29Here as a resource to provide information and supportPoint of contact for questions and unique situationsCoach employees and their supervisorsTrack completion of reviews and learning plansEnsure reviews are included in personnel files

Leadership | Innovation | Quality

Documents

Competency-Based Performance Management