Performance Management, Competency Assessment, and Career Development: Keep It Simple! Lynn Summers Office of State Personnel September 7, 2006

Performance Management, Competency Assessment, and Career Development:

Keep It Simple!

Lynn SummersOffice of State Personnel

September 7, 2006

Some Issues

1. Performance management process cumbersome and time-consuming

2. With addition of competency assessment for banded positions, appraisals are even more cumbersome and time-consuming

3. Legislature’s failure to fund Comprehensive Compensation System raises question: Why bother with performance management?

4. It’s called “career banding,” but not clear where the “career” part is

Agenda

• Performance management model

• Simplifying performance management

• Relationship between performance management and competency assessment

• When to do competency assessments

• Improvement, development, and careers

Performance Management Model

Performance Performance AppraisalAppraisal

U, BG, G, VG, OU, BG, G, VG, O



Performance Management

Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Work Work PlanPlan

Work Work PlanPlan

Ong

oing Ma

nagement of

Perform

anceO

ngoing M

anagem

ent of P

erformance

ResultsResultsResultsResults

COLA, CGRACOLA, CGRACOLA, CGRACOLA, CGRA

Perf bonusPerf bonusPerf bonusPerf bonus

Job Job DescriptionDescription

Job Job DescriptionDescription

A / U A / U MissionMission

A / U A / U MissionMission

Reasons for Doing Performance Management

• Meet legal requirements

• Clarify expectations

• Give feedback

• Instigate development

• Produce results

• It’s Management 101

Simplifying Performance Management

O

ngoing M

anagem

ent of P

erformance

Ong

oing Ma

nagement of

Perform

ance

Manager’s Time Budget

Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Work Work PlanPlan

Work Work PlanPlan




U, BG, G, VG, OU, BG, G, VG, O% of time

Engaged in managing

OPTIMIZE!

MINIMIZE!

Engaged in PM admin and

paperwork


Work Plan

Key responsibilities

Dimensions

Complete Acme project

Meet specs, w/in budget, by 11/30…

Results expectations

Customer service Anticipates & responds..

Support Director Director on time 80%, 2 calendar conflicts…

Customer service 95% sat, 24-hr resolution…

Behavioral expectations

Teamwork Develops trust & good…

Communications Organizes & presents…


Describe results expected and how they will be measured1

Describe the KSAs that will be most important for successfully achieving the expected results 2

Position: ABC Pay Band: XYZ Level: Journey Employee: J. Doe

Performance ManagementWork Plan

~~~ ~~~ ~~~~ ~~ ~~~

KSAs or competencies that will need to be improved or developed to meet performance expectations or to enhance employee’s career success

3

Signatures and dates4

Performance ManagementWork Plan

Interim Review

~~~ ~~~ ~~~~ ~~ ~~~

Supervisor’s comments on progress1 Signatures and dates2

~~~ ~~~ ~~~~ ~~ ~~~


3


Work Plan

Key responsibilities

Dimensions

Complete Acme project

Meet specs, w/in budget, by 11/30…

VG

Results expectations Ratings

Customer service Anticipates & responds.. G

Support Director Director on time 80%, 2 calendar conflicts…

O

Customer service 95% sat, 24-hr resolution…

BG

Behavioral expectations Ratings

Teamwork Develops trust & good… VG

Communications Organizes & presents… O

Clearly written, under budget…

Actual results

On time 95% of appts, 1 conflict…

82% sat, 10 of 120 complaints…

When cust called…

Rating Support

Helped out JK when..

Composed email…


Performance AppraisalDescribe results expected and how they will be measured1

Describe the KSAs that will be most important for successfully achieving the expected results 2

Concisely describe actual results achieved and enter ratings1

Concisely describe actual behavior observed and enter ratings2

Position: ABC Pay Band: XYZ Level: Journey Employee: J. Doe


VGOverall Rating3

Work Plan Performance Appraisal

Interim Review

~~~ ~~~ ~~~~ ~~ ~~~

Supervisor’s comments on performance and recommendations regarding improvement or development

4

Any significant changes in functional competency requirements or in demonstrated competency?

6


~~~ ~~~ ~~~~ ~~ ~~~

Employee’s comments5

~~~ ~~~ ~~~~ ~~ ~~~

Supervisor’s comments on progress1 Signatures and dates2

~~~ ~~~ ~~~~ ~~ ~~~


3


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

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

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

Relationship between Performance Management and Competency Assessment

Pay and Performance

Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Job DescriptionJob DescriptionJob DescriptionJob Description Work Work PlanPlan

Work Work PlanPlan





Banded Banded ClassClass



Ong

oing Ma

nagement of

Perform

anceO

ngoing M

anagem

ent of P

erformance


Base pay rangeBase pay rangeBase pay rangeBase pay rangePerf bonusPerf bonusPerf bonusPerf bonus

Position LevelPosition LevelC, J, AC, J, A


Competency Competency AssessmentAssessment

C, J, AC, J, A


C, J, AC, J, A

When to Do Competency Assessments


C, J, AC, J, A


C, J, AC, J, A

When to Do Competency Assessments

Jul

Aug

Sep

Oct

Nov

Dec

Jan

Feb

Mar

Apr

May

Jun

Job DescriptionJob DescriptionJob DescriptionJob Description Work Work PlanPlan

Work Work PlanPlan








Significant Significant change in …change in …

Significant Significant change in …change in …



3-Ye

ar Re-a

ssessment

… person’s demonstrated

competencies?

… competencies required by position?

Ong

oing Ma

nagement of

Perform

anceO

ngoing M

anagem

ent of P

erformance


Base pay rangeBase pay rangeBase pay rangeBase pay rangePerf bonusPerf bonusPerf bonusPerf bonus

Improvement, Development, and Careers

Performance Improvement Arena

Development Planning Arena

“Should”

“Actual”

“Actual”

Time

Per

form

ance

Improvement vs. Development

Improvement and DevelopmentPerformance Improvement Plan

1. ~~~ ~~~2. ~~~~ ~~~~3. ~~ ~~~ ~~~~

Concisely describe what needs improvement, why, and consequences

1


Action steps to be taken by employee to improve

Target dates

~/~/~~ ~/~~/~~~~/~/~~

2

3

~~~ ~~~ ~~~~

Describe how successful improvement will be measured

~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~

~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~

4 Resources and support to be provided

6 Follow up

Development Plan

1

5

2

3

4

6

Concisely describe purpose of plan (goals to be affected, career plans to be pursued) and competencies to be developed, skills / knowledge to be acquired

~~~ ~~~ ~~~~

Development opportunities to be undertaken by employee

1. ~~~ ~~~2. ~~~~ ~~~~

~/~/~~ ~/~~/~~

~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~

Describe how successful development will be measured

~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~

Time frames

Resources and support to be provided

Signatures and dates

Follow up

Root Cause Analysis

Description of problem / opportunity

Description of problem / opportunity

Work habitWork habitWork habitWork habit

KnowledgeKnowledgeKnowledgeKnowledge

CompetencyCompetencyCompetencyCompetency

SystemSystemSystemSystem

ExpectationExpectationExpectationExpectation

Fix the system

Corrective ActionLikely CauseSymptoms

Revise the goal

Training, work-with

Development

Contract

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.

Career Stages

Identify interests, skills, fit between self & work

DisengagementMaintenanceEstablishmentExploration

Develop-mental tasks

Activities

Relationships to other

employees

Approximate age range

Advancement, growth, security, develop life-style

Hold on to accomplish-ments, update skills

Retirement planning, adjust balance between work & non-work

• Helping• Learning• Following

directions

Making independent contributions

• Training• Policy

making

Phasing out of work

Apprentice Colleague Mentor Sponsor

18-30 30-45 45-60 61+

Noe, Hollenbeck, Gerhart, & Wright. Human Resource Management: Gaining a Competitive Advantage (2nd ed.). Chicago: Irwin, 1997.

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.

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

Use Competency Profiles as a Resource

Derailers

– ArrogantArrogant

– AvoidantAvoidant

– EccentricEccentric

– ImpulsiveImpulsive

– Risk averseRisk averse

– VolatileVolatile

– Narrow thinkingNarrow thinking

– Resistant to changeResistant to change

– Failure to meet objectivesFailure to meet objectives

– Approval dependent Approval dependent

– Imperceptive / reservedImperceptive / reserved

– Attention seeking (self-Attention seeking (self-promoting)promoting)

– Perfectionistic (micromanager)Perfectionistic (micromanager)

– Argumentative (defensive)Argumentative (defensive)

Adapted from Center for Creative Leadership and Development Dimensions International.

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

Thank you!

Documents

Performance Management, Competency Assessment, and Career Development: Keep It Simple! Lynn Summers Office of State Personnel September 7, 2006