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1
Performance Management Workshop
NC Department of Environment and Natural Resources2007
2
Introductions
• Name, years with State government
• Division, position
• Number supervised, type of work supervised
3
Workshop Objectives
Increase your skill and confidence in:
Setting work goals (KRRs) with your employees
Managing your employees’ performance ongoing
Developing your employees
Preparing and conducting performance appraisals
4
Why Do We Do Performance Management?
1. Meet legal requirements
2. Clarify expectations
3. Give feedback
4. Promote development
5. Produce results
6. It’s Management 101
5
Where Does Your PM Policy Come From?
State Law State Law (GS 126-7)(GS 126-7)State Law State Law (GS 126-7)(GS 126-7)
State State Personnel Personnel Policies Policies (OSP)(OSP)
State State Personnel Personnel Policies Policies (OSP)(OSP)
Your Agency’s Your Agency’s Personnel Personnel PoliciesPolicies
Your Agency’s Your Agency’s Personnel Personnel PoliciesPolicies
• Further outstanding performance
• Distribute awards fairly
• 5 levels of performance
Administrative Administrative Code Code
Subchapter OSubchapter O
Administrative Administrative Code Code
Subchapter OSubchapter O
6
Requirements for PM System
1. Each agency has an operative performance management system approved by OSP
2. System enables employees to:
a. Have clear performance expectations
b. Receive ongoing feedback
c. Have opportunities for training and development
d. Be rewarded fairly and equitably
3. Process is sequential and has 3 parts:
a. Planning
b. Managing
c. Appraising
7
Requirements for PM System, cont.
4. Elements of an operative system:
a. A 3-part process
b. Policy tailored to needs of agency
c. NC rating scale – 5-levels as required by GS 126-7
d. Performance appraisal summary
e. Development or performance improvement plan
f. Training / information programs to enable supervisors to administer system fairly and consistently and employees to participate in process
g. Procedures to resolve disputes about performance pay or appraisal ratings
8
Requirements for PM System, cont.
5. Performance management integrates with other systems – appraisals are a factor in personnel decisions
a. Selection, staffing, promotions
b. Discipline
c. Training and development
d. All performance-based disciplinary actions
e. Performance salary increases
f. Reductions in force
9
Responsibilities
SupervisorSupervisor
EmployeeEmployee EmployeeEmployeeEmployeeEmployee
HRHR
Who is responsible for managing performance?
Next-level Manager
Next-level Manager
10
Performance Management
Can be the primary driver of a performance culture
Is not an HR program
Is a management process and a manager’s responsibility
Is the way managers assure that the right things get done well and that they are able to deliver the results expected for their area of responsibility
Is required by policy and by State law
11
Development
Development
PlanPlanDevelopment
Development
PlanPlan
Perf. Perf. Improvement
Improvement PlanPlan
Perf. Perf. Improvement
Improvement PlanPlan
AppraisingAppraisingAppraisingAppraisingPerformingPerformingPlanningPlanningPlanningPlanning
May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr
Interim Interim ReviewReviewInterim Interim ReviewReview
ManagingManagingManagingManaging
Performance Management Cycle
12
Part I:Planning
13
Requirements for Work Plans
1. Every employee has work plan at beginning of cycle
2. Supervisor explains PM process to employees
3. Employees understand what is expected of them, their role in agency
4. Supervisor and employee actually meet to discuss
5. Supervisors inform employees of 5-level rating scale
6. It is supervisor’s responsibility to determine expectations, with next-level manager’s approval and involvement of employee
14
Requirements for Work Plans, cont.
7. Contents of work plan:
Goals / KRRs Results expectations
1. ~~~ ~~~~
2. ~~~~~ ~~~
3. ~~~~ ~~~~
~~~~~ ~~~ ~~~~~~ ~ ~~~ ~~~
~~ ~~~ ~~~ ~~~~~ ~~ ~~~
~ ~~~~ ~~~~ ~~ ~~~~ ~~~ ~~~~ ~~
Dimensions / competencies Behavioral expectations
1. ~~~~~
2. ~~~~
3. ~~~~~~~~~
~~~ ~~~~ ~~~~~~ ~~~ ~~~~
~~~~~ ~~~~~ ~~~~~ ~~ ~~~~~~ ~~
~~~~ ~~~~ ~~~~ ~~~~~ ~ ~~
• How results measured• Defined at “Good” level• QQTC
(quality,quantity,timeliness, cost)• Headline• Priority
• Priority • Defined at “Good” level
What
How
15
What Is “Performance”?
1. If you ran a zoological park, which would be more important?
A. Visitors who are happy, return to zoo, and tell their friends about their visit
B. The number of visitors
2. If you ran a training department, which would be more important?
A. Employees who could do something they couldn’t do before
B. The number of training sessions conducted
3. If you ran a retail store, which would be more important?
A. Customers who are happy with their purchases
B. A checkout procedure that was precisely followed
Adapted from Jack Zigon, “Results-Based Measurement: Better Measures in Less Time.”
16
Effective Goals*
Goals should be …
* AKA key responsibilities / results
MeasurableFocused on
results
Aligned
17
Statute
Alignment: Where Do Goals Come From?
KRR
KRRKRR
KRR
Customers
Responsibilities (job description)
Higher-level goals
18
Results Focused and Measurable
Key responsibilities / results
Acme project completed
• Meet client requirements• Within budget• By 11/30
Results expectations
Director supported • 95% on time• 1-2 calendar conflicts
Customers served • 97% satisfaction• 24-hr resolution
19
Model Work Plan
Check out an example of an effectively written work plan. It may not fit you exactly, but…
Hand out
Hand out
20
Practice Writing KRRs
Take one employee’s KRRs (2 or 3 of them) and refine them to make them more aligned, results focused, and measurable.
• What is the goal?
• How will you measure its achievement?
• What will be considered “Good”?
21
Part II:Managing
22
Requirements for Ongoing PM
1. Supervisor and employee track employee’s performance
2. Interim review of performance
a. At least one meeting at cycle midpoint
b. Discuss overall rating – not necessary to record
3. Improvement plan
a. If performance BG or U, supervisor initiates, documents
b. Specifies actions employee and supervisor will take, results to be achieved, timeframes
4. If expectations change, should be noted on work plan
23
Ongoing Performance Management
Here’s what supervisors should be doing as part of their ongoing performance management responsibilities:
Tracking performance
Giving / receiving feedback
Counseling
Documenting
Coaching
Macromanaging
24
Performance Improvement Arena
Development Planning Arena
“Should”
“Actual”
“Actual”
Time
Per
form
ance
Improvement vs. Development
25
Improvement plan – Short-term action plan for bringing performance up to expectations in current job
Development plan – Action plan for raising level of performance in order to excel in current job or prepare for new responsibilities
Career plan – Long-term process involving:
– Learning about self – strengths and weaknesses, satisfiers and dissatisfiers
– Learning about jobs – opportunities within organization, requirements for success
– Setting career goals
– Planning developmental experiences to acquire needed skills and credentials
Some Useful Distinctions
26
Root Cause Analysis
If cause of performance issue is …
Then consider this type of approach …
Work habit Contract
Knowledge Training, work-with
Competency Development
System Fix the system
Expectation Revise the expectation
27
1. ~~~ ~~~ ~~ ~ ~~~~2. ~~~~ ~~~~ ~~~~~ ~~~ ~~~3. ~~ ~~~ ~~~~
Concisely describe what needs improvement, why, consequences1
Signatures and dates5
Action steps employee will take Target dates
~/~/~~ ~/~~/~~~~/~/~~
2
3
~~~ ~~~ ~~~~
Describe how successful improvement will be measured
~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~
~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~
4 Resources and support to be provided
6 Follow up
Performance Improvement Plan
28
You can diagnose and prepare a solution remotely
But your solution will seldom hold up when introduced into the employee’s world
The required end result is for the employee to meet performance expectations
What changes employee will make to achieve those expectations must be worked out in face-to-face
Remember, a performance problem is not resolved by completing a series of actions in an improvement plan, but only when performance expectations are met
Addressing Performance Problems
29
Performance Issues
List 5-6 problems or challenges you have encountered, or are encountering, with your employees’ performance.
30
Practice Addressing Performance Issues
Select one performance problem. How would you address it?
• Do a root cause analysis. What would be a reasonable solution to the problem, from your perspective?
• What would your discussion with the employee look like? Create a discussion template (or plan) that you can use with this and other, similar problems.
31
Addressing Performance Issues
Here are some discussion templates to help you help employee focus on achieving expectations…
[See back of workbook]
32
Reinforcing Good Things
What can you do to “lock in” an employee’s improved performance or to ensure the high performance level continues?
Acknowledge … and pinpoint
Individual differences
Keep it positive … and brief
33
Development Tools
What is the most effective tool for development? Rank these development activities from most (1) to least (4) effective:
___ Read a book
___ Attend a workshop
___ Take on a special assignment
___ Observe an expert
34
Secret Ingredients
Which of these characteristics is it most important to build into a development plan in order to make development really happen? Rank from most (1) to least (6) important.
___ Challenge
___ Structure
___ Support
___ Comfort
___ Feedback
___ Reflection
35
1
5
2
3
4
6
Concisely describe:• Purpose of plan – KRRs to be driven, career plans to be pursued • 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
Development Plan
36
Part III:Appraising
37
Requirements for Appraisals
1. Supervisor conducts at least annually, at end of cycle
2. Supervisor documents performance, rates each expectation, rates overall performance, and writes summary statement
3. Disciplinary actions should influence overall rating
4. Overall rating submitted
5. Supervisor discusses appraisal with employee
38
Requirements for Appraisals, cont.
6. Employee, supervisor, next-level manager date and sign appraisal
7. Employee may comment on rating
8. Completed appraisal
a. Supervisor gives employee copy, informs where original is kept
b. Kept in personnel file or a performance appraisal file
c. Confidential, retained for 3 years
39
The Appraisal Sequence
• Collect information needed
• Enter results on work plan
• Rate performance
• Write summary
• Get approval
• Discuss with employee
40
Words on an Appraisal
Read sample statements from an appraisal…
Which ones are appropriate? Which ones are not and how would you change them to make them more appropriate?
41
Meets expectations
Performance improvement plan
Appraisal Rating Scale
Outstanding
Very Good
Good
Below Good
Unsatisfactory
Perform
ance bonus
Cost of Living A
djustment
Career G
rowth
Recognition A
ward
42
Who, Me? Biased?
Halo
Horns
Stereotyping
Recency
Leniency
Severity
Negative Event
Comparison
Central Tendency
Similar to Me
43
Model Appraisal
Check out an example of an effectively written performance appraisal. It may not fit your situation perfectly, but…
Hand out
Hand out
44
Appraisal
For one of your employees:
Select one key responsibility / result and one dimension
Write a description of the employee’s performance.
Assign a rating.
Use real information and real behavior examples. Real names will not be shared.
45
And now (drum roll) … the Overall Rating
KRRs Dimensions
U BG G VG O U BG G VG O
U BG G VG O
Actual results weighted by priority and rated
Overall rating
46
The Evaluation Discussion
Evaluation stirs up emotions
Describe performance, not personality
Use examples – employees long for real feedback, not platitudes
Address issues – if something is obvious and you don’t bring it up … credibility
Stay on track – points to make, actions to follow
No surprises
47
Administrative MattersAdministrative Matters
48
Administrative Requirements
1. Personnel decisions:
a. Must be supported by current (within past 12 months) appraisal
b. If decision inconsistent with appraisal, then written justification required
2. Probationary employee
a. Work plan within 30 days
b. Appraisal at end of agency’s work cycle
c. Review completed before moving into permanent appointment
49
Administrative Requirements, cont.
3. Employee in training progression:
a. Work plan within 30 days
b. Review completed before each salary increase granted within progression
4. Employee whose responsibilities change or who is transferred:
a. New work plan within 30 days
50
Administrative Requirements, cont.
5. Employee who is transferred within state government:
a. Provide receiving unit with review of employee performance, signed by employee, supervisor, next-level manager (use Summary Transfer Form)
b. New supervisor may consider performance both in former unit and in new unit in determining amount of performance increase
6. Changes in supervision:
a. Next-level manager must be aware of and document employees’ performance
51
Practice
FAQs (frequently asked questions) and FEIs (frequently encountered incidents)
Read, discuss, and recommend how they should be answered or resolved
52
MarketMarketMarketMarket
Pay and Performance
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
Jan
Feb
Mar
Apr
Key results / Key results / responsibilitiesresponsibilities
Key results / Key results / responsibilitiesresponsibilities
Base pay rangeBase pay rangeBase pay rangeBase pay range
COLA, COLA, CGRACGRA
COLA, COLA, CGRACGRA
Perf Perf bonusbonus
Perf Perf bonusbonus
Competency Competency assessmentassessment
C, J, AC, J, A
Competency Competency assessmentassessment
C, J, AC, J, A
AppraisalAppraisalAppraisalAppraisal
Ongoing Ongoing performanceperformance
Ongoing Ongoing performanceperformance
ResultsResults
Behaviors / Behaviors / skillsskills
Behaviors / Behaviors / skillsskills
ResultsResults
Classification Classification systemsystem
Classification Classification systemsystem
Career banding Career banding systemsystem
Career banding Career banding systemsystem
Fu
nd
ing
by
Fu
nd
ing
by
Leg
islature
Leg
islature
Fu
nd
ing
by
Fu
nd
ing
by
Leg
islature
Leg
islature
53O
ngoing M
anagem
ent of P
erformance
Ong
oing Ma
nagement of
Perform
ance
May
June
July
Aug
Sep
Oct
Nov
Dec
Jan
Feb
Mar
Apr
Work Work PlanPlan
Work Work PlanPlan
Performance Performance AppraisalAppraisal
U, BG, G, VG, OU, BG, G, VG, O
Performance Performance AppraisalAppraisal
U, BG, G, VG, OU, BG, G, VG, O% of time
Engaged in managing
OPTIMIZE!
MINIMIZE!
Engaged in PM admin and
paperwork
ResultsResultsResultsResults
Manager’s Time Budget
54
3-7 KRR’s reflecting primary responsibilities of job
Give focus to KRR’s based on:
– Alignment to higher goals
– Customer expectations
– Defined responsibilities
Raise “level” of KRR’s – from tasks to results
Publish SOPs / do’s-and-don’ts elsewhere
Give work plan the “newspaper” test
Simplify Work Planning
55
Position PM as essence of managerial role, not an annoying add-on – it is 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 Ongoing Management
56
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 behaviors / skills … 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
Simplify Performance Appraisal
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