The Practice of Performance Management at the North Carolina State Health Plan

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Performance Management, Competency Assessment,
and Career Development Keep It Simple!
Lynn SummersOffice of State PersonnelSeptember
7, 2006
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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
• Legislatures failure to fund Comprehensive
  Compensation System raises question Why bother
  with performance management?
• Its called career banding, but not clear where
  the career part is

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Agenda

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

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Performance Management Model
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Performance Management
Work Plan
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Reasons for Doing Performance Management

• Meet legal requirements
• Clarify expectations
• Give feedback
• Instigate development
• Produce results
• Its Management 101

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Simplifying Performance Management
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Managers Time Budget
Work Plan
Ongoing Management of Performance
MINIMIZE!
OPTIMIZE!
Performance Appraisal U, BG, G, VG, O
of time
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Work Plan
Performance Management
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
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Behavioral expectations
Dimensions
Customer service
Anticipates responds..
Teamwork
Develops trust good
Communications
Organizes presents
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Work Plan
Performance Management
3
KSAs or competencies that will need to be
improved or developed to meet performance
expectations or to enhance employees career
success

4
Signatures and dates
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Work Plan
Performance Management
3
KSAs or competencies that will need to be
improved or developed to meet performance
expectations or to enhance employees career
success

4
Signatures and dates
Interim Review
1
2
Supervisors comments on progress
Signatures and dates

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Work Plan
Performance Management
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
Ratings
Actual results
Complete Acme project
Meet specs, w/in budget, by 11/30
VG
Clearly written, under budget
Support Director
Director on time 80, 2 calendar conflicts
O
On time 95 of appts, 1 conflict
Customer service
95 sat, 24-hr resolution
BG
82 sat, 10 of 120 complaints
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
Ratings
Rating Support
Dimensions
Customer service
Anticipates responds..
G
When cust called
Teamwork
Develops trust good
VG
Helped out JK when..
Communications
Organizes presents
O
Composed email
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Work Plan
Performance Management
Performance Appraisal
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VG
Overall Rating
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KSAs or competencies that will need to be
improved or developed to meet performance
expectations or to enhance employees career
success
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Supervisors comments on performance and
recommendations regarding improvement or
development


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Signatures and dates
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Employees comments

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Any significant changes in functional competency
requirements or in demonstrated competency?
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Signatures and dates
Interim Review
1
2
Supervisors comments on progress
Signatures and dates

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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 / dos-and-donts elsewhere
• Give work plan the newspaper test

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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

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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 dont over-document
• Appraisal discussion is managerial task
• Position discussion as quality time with
  employees opportunity to reflect and look ahead

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Relationship between Performance Management and
Competency Assessment
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Pay and Performance
Job Description
Work Plan
Ongoing Management of Performance
Results
Performance Appraisal U, BG, G, VG, O
COLA, CGRA
Perf bonus
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When to Do Competency Assessments
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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
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Improvement, Development, and Careers
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Improvement vs. Development
Development Planning Arena
Actual
Should
Performance
Performance Improvement Arena
Actual
Time
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Performance Improvement Plan
Improvement and Development
Concisely describe what needs improvement, why,
and consequences
1

2
Describe how successful improvement will be
measured

Target dates
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Action steps to be taken by employee to improve

// // //
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Resources and support to be provided

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Signatures and dates
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Follow up
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Root Cause Analysis
Corrective Action
Likely Cause
Symptoms
Work habit
Contract
Knowledge
Training, work-with
Description of problem / opportunity
Competency
Development
System
Fix the system
Expectation
Revise the goal
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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.
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Career Stages
Disengagement
Maintenance
Establishment
Exploration
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
18-30
30-45
45-60
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Noe, Hollenbeck, Gerhart, Wright. Human
Resource Management Gaining a Competitive
Advantage (2nd ed.). Chicago Irwin, 1997.
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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.
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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
• TE 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
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Use Competency Profiles as a Resource
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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.
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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

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Thank you!