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Power point Training Program

  1. 1. Performance Management Workshop NC Department of Environment and Natural Resources 2007
  2. 2. Introductions <ul><li>Name, years with State government </li></ul><ul><li>Division, position </li></ul><ul><li>Number supervised, type of work supervised </li></ul>
  3. 3. Workshop Objectives <ul><li>Increase your skill and confidence in: </li></ul><ul><li>Setting work goals (KRRs) with your employees </li></ul><ul><li>Managing your employees’ performance ongoing </li></ul><ul><li>Developing your employees </li></ul><ul><li>Preparing and conducting performance appraisals </li></ul>
  4. 4. Why Do We Do Performance Management? <ul><li>Meet legal requirements </li></ul><ul><li>Clarify expectations </li></ul><ul><li>Give feedback </li></ul><ul><li>Promote development </li></ul><ul><li>Produce results </li></ul><ul><li>It’s Management 101 </li></ul>
  5. 5. Where Does Your PM Policy Come From? State Law (GS 126-7) State Personnel Policies (OSP) Your Agency’s Personnel Policies <ul><li>Further outstanding performance </li></ul><ul><li>Distribute awards fairly </li></ul><ul><li>5 levels of performance </li></ul>Administrative Code Subchapter O
  6. 6. Requirements for PM System <ul><li>Each agency has an operative performance management system approved by OSP </li></ul><ul><li>System enables employees to: </li></ul><ul><ul><li>Have clear performance expectations </li></ul></ul><ul><ul><li>Receive ongoing feedback </li></ul></ul><ul><ul><li>Have opportunities for training and development </li></ul></ul><ul><ul><li>Be rewarded fairly and equitably </li></ul></ul><ul><li>Process is sequential and has 3 parts: </li></ul><ul><ul><li>Planning </li></ul></ul><ul><ul><li>Managing </li></ul></ul><ul><ul><li>Appraising </li></ul></ul>
  7. 7. Requirements for PM System, cont. <ul><li>Elements of an operative system: </li></ul><ul><ul><li>A 3-part process </li></ul></ul><ul><ul><li>Policy tailored to needs of agency </li></ul></ul><ul><ul><li>NC rating scale – 5-levels as required by GS 126-7 </li></ul></ul><ul><ul><li>Performance appraisal summary </li></ul></ul><ul><ul><li>Development or performance improvement plan </li></ul></ul><ul><ul><li>Training / information programs to enable supervisors to administer system fairly and consistently and employees to participate in process </li></ul></ul><ul><ul><li>Procedures to resolve disputes about performance pay or appraisal ratings </li></ul></ul>
  8. 8. Requirements for PM System, cont. <ul><li>Performance management integrates with other systems – appraisals are a factor in personnel decisions </li></ul><ul><ul><li>Selection, staffing, promotions </li></ul></ul><ul><ul><li>Discipline </li></ul></ul><ul><ul><li>Training and development </li></ul></ul><ul><ul><li>All performance-based disciplinary actions </li></ul></ul><ul><ul><li>Performance salary increases </li></ul></ul><ul><ul><li>Reductions in force </li></ul></ul>
  9. 9. Responsibilities Supervisor Employee Employee Employee HR Who is responsible for managing performance? Next-level Manager
  10. 10. Performance Management <ul><li>Can be the primary driver of a performance culture </li></ul><ul><li>Is not an HR program </li></ul><ul><li>Is a management process and a manager’s responsibility </li></ul><ul><li>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 </li></ul><ul><li>Is required by policy and by State law </li></ul>
  11. 11. Development Plan Perf. Improvement Plan Appraising Performing Planning May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr Interim Review Managing Performance Management Cycle
  12. 12. Part I: Planning
  13. 13. Requirements for Work Plans <ul><li>Every employee has work plan at beginning of cycle </li></ul><ul><li>Supervisor explains PM process to employees </li></ul><ul><li>Employees understand what is expected of them, their role in agency </li></ul><ul><li>Supervisor and employee actually meet to discuss </li></ul><ul><li>Supervisors inform employees of 5-level rating scale </li></ul><ul><li>It is supervisor’s responsibility to determine expectations, with next-level manager’s approval and involvement of employee </li></ul>
  14. 14. Requirements for Work Plans, cont. <ul><li>Contents of work plan: </li></ul><ul><li>How results measured </li></ul><ul><li>Defined at “Good” level </li></ul><ul><li>QQTC (quality,quantity,timeliness, cost) </li></ul><ul><li>Headline </li></ul><ul><li>Priority </li></ul><ul><li>Priority </li></ul><ul><li>Defined at “Good” level </li></ul>What How ~~~ ~~~~ ~~~~~~ ~~~ ~~~~ ~~~~~ ~~~~~ ~~~~~ ~~ ~~~~~~ ~~ ~~~~ ~~~~ ~~~~ ~~~~~ ~ ~~ <ul><li>~~~~~ </li></ul><ul><li>~~~~ </li></ul><ul><li>~~~~~~~~~ </li></ul>Behavioral expectations Dimensions / competencies ~~~~~ ~~~ ~~~~~~ ~ ~~~ ~~~ ~~ ~~~ ~~~ ~~~~~ ~~ ~~~ ~ ~~~~ ~~~~ ~~ ~~~~ ~~~ ~~~~ ~~ <ul><li>~~~ ~~~~ </li></ul><ul><li>~~~~~ ~~~ </li></ul><ul><li>~~~~ ~~~~ </li></ul>Results expectations Goals / KRRs
  15. 15. What Is “Performance”? <ul><li>If you ran a zoological park, which would be more important? </li></ul><ul><ul><li>Visitors who are happy, return to zoo, and tell their friends about their visit </li></ul></ul><ul><ul><li>The number of visitors </li></ul></ul><ul><li>If you ran a training department, which would be more important? </li></ul><ul><ul><li>Employees who could do something they couldn’t do before </li></ul></ul><ul><ul><li>The number of training sessions conducted </li></ul></ul><ul><li>If you ran a retail store, which would be more important? </li></ul><ul><ul><li>Customers who are happy with their purchases </li></ul></ul><ul><ul><li>A checkout procedure that was precisely followed </li></ul></ul>Adapted from Jack Zigon, “Results-Based Measurement: Better Measures in Less Time.”
  16. 16. Effective Goals* Goals should be … * AKA key responsibilities / results Measurable Focused on results Aligned
  17. 17. Statute Alignment: Where Do Goals Come From? KRR KRR KRR KRR Customers Responsibilities (job description) Higher-level goals
  18. 18. Results Focused and Measurable Key responsibilities / results Acme project completed <ul><li>Meet client requirements </li></ul><ul><li>Within budget </li></ul><ul><li>By 11/30 </li></ul>Results expectations Director supported <ul><li>95% on time </li></ul><ul><li>1-2 calendar conflicts </li></ul>Customers served <ul><li>97% satisfaction </li></ul><ul><li>24-hr resolution </li></ul>
  19. 19. Model Work Plan Check out an example of an effectively written work plan. It may not fit you exactly, but… Hand out
  20. 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. <ul><li>What is the goal? </li></ul><ul><li>How will you measure its achievement? </li></ul><ul><li>What will be considered “Good”? </li></ul>
  21. 21. Part II: Managing
  22. 22. Requirements for Ongoing PM <ul><li>Supervisor and employee track employee’s performance </li></ul><ul><li>Interim review of performance </li></ul><ul><ul><li>At least one meeting at cycle midpoint </li></ul></ul><ul><ul><li>Discuss overall rating – not necessary to record </li></ul></ul><ul><li>Improvement plan </li></ul><ul><ul><li>If performance BG or U, supervisor initiates, documents </li></ul></ul><ul><ul><li>Specifies actions employee and supervisor will take, results to be achieved, timeframes </li></ul></ul><ul><li>If expectations change, should be noted on work plan </li></ul>
  23. 23. Ongoing Performance Management Here’s what supervisors should be doing as part of their ongoing performance management responsibilities: <ul><li>Tracking performance </li></ul><ul><li>Giving / receiving feedback </li></ul><ul><li>Counseling </li></ul><ul><li>Documenting </li></ul><ul><li>Coaching </li></ul><ul><li>Macromanaging </li></ul>
  24. 24. Performance Improvement Arena Development Planning Arena “ Should” “ Actual” “ Actual” Time Performance Improvement vs. Development
  25. 25. <ul><li>Improvement plan – Short-term action plan for bringing performance up to expectations in current job </li></ul><ul><li>Development plan – Action plan for raising level of performance in order to excel in current job or prepare for new responsibilities </li></ul><ul><li>Career plan – Long-term process involving: </li></ul><ul><ul><li>Learning about self – strengths and weaknesses, satisfiers and dissatisfiers </li></ul></ul><ul><ul><li>Learning about jobs – opportunities within organization, requirements for success </li></ul></ul><ul><ul><li>Setting career goals </li></ul></ul><ul><ul><li>Planning developmental experiences to acquire needed skills and credentials </li></ul></ul>Some Useful Distinctions
  26. 26. Root Cause Analysis Revise the expectation Expectation Fix the system System Development Competency Training, work-with Knowledge Contract Work habit Then consider this type of approach … If cause of performance issue is …
  27. 27. <ul><li>~~~ ~~~ ~~ ~ ~~~~ </li></ul><ul><li>~~~~ ~~~~ ~~~~~ ~~~ ~~~ </li></ul><ul><li>~~ ~~~ ~~~~ </li></ul>Concisely describe what needs improvement, why, consequences 1 Signatures and dates 5 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. 28. <ul><li>You can diagnose and prepare a solution remotely </li></ul><ul><li>But your solution will seldom hold up when introduced into the employee’s world </li></ul><ul><li>The required end result is for the employee to meet performance expectations </li></ul><ul><li>What changes employee will make to achieve those expectations must be worked out in face-to-face </li></ul><ul><li>Remember, a performance problem is not resolved by completing a series of actions in an improvement plan, but only when performance expectations are met </li></ul>Addressing Performance Problems
  29. 29. Performance Issues List 5-6 problems or challenges you have encountered, or are encountering, with your employees’ performance.
  30. 30. Practice Addressing Performance Issues Select one performance problem. How would you address it? <ul><li>Do a root cause analysis. What would be a reasonable solution to the problem, from your perspective? </li></ul><ul><li>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. </li></ul>
  31. 31. Addressing Performance Issues Here are some discussion templates to help you help employee focus on achieving expectations… [See back of workbook]
  32. 32. Reinforcing Good Things What can you do to “lock in” an employee’s improved performance or to ensure the high performance level continues? <ul><li>Acknowledge … and pinpoint </li></ul><ul><li>Individual differences </li></ul><ul><li>Keep it positive … and brief </li></ul>
  33. 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. 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. 35. 1 5 2 3 4 6 <ul><li>Concisely describe: </li></ul><ul><li>Purpose of plan – KRRs to be driven, career plans to be pursued </li></ul><ul><li>Competencies to be developed, skills / knowledge to be acquired </li></ul>~~~ ~~~ ~~~~ Development opportunities to be undertaken by employee <ul><li>~~~ ~~~ </li></ul><ul><li>~~~~ ~~~~ </li></ul>~/~/~~ ~/~~/~~ ~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~~ ~~ ~~~ ~~~~~ Describe how successful development will be measured ~~~ ~~~ ~~~~ ~~ ~~~ ~~~~ ~~ ~~~ ~~~~ Time frames Resources and support to be provided Signatures and dates Follow up Development Plan
  36. 36. Part III: Appraising
  37. 37. Requirements for Appraisals <ul><li>Supervisor conducts at least annually, at end of cycle </li></ul><ul><li>Supervisor documents performance, rates each expectation, rates overall performance, and writes summary statement </li></ul><ul><li>Disciplinary actions should influence overall rating </li></ul><ul><li>Overall rating submitted </li></ul><ul><li>Supervisor discusses appraisal with employee </li></ul>
  38. 38. Requirements for Appraisals, cont. <ul><li>Employee, supervisor, next-level manager date and sign appraisal </li></ul><ul><li>Employee may comment on rating </li></ul><ul><li>Completed appraisal </li></ul><ul><ul><li>Supervisor gives employee copy, informs where original is kept </li></ul></ul><ul><ul><li>Kept in personnel file or a performance appraisal file </li></ul></ul><ul><ul><li>Confidential, retained for 3 years </li></ul></ul>
  39. 39. The Appraisal Sequence <ul><li>Collect information needed </li></ul><ul><li>Enter results on work plan </li></ul><ul><li>Rate performance </li></ul><ul><li>Write summary </li></ul><ul><li>Get approval </li></ul><ul><li>Discuss with employee </li></ul>
  40. 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. 41. Meets expectations Performance improvement plan Appraisal Rating Scale Performance bonus Cost of Living Adjustment Career Growth Recognition Award Unsatisfactory Below Good Good Very Good Outstanding
  42. 42. Who, Me? Biased? <ul><li>Halo </li></ul><ul><li>Horns </li></ul><ul><li>Stereotyping </li></ul><ul><li>Recency </li></ul><ul><li>Leniency </li></ul><ul><li>Severity </li></ul><ul><li>Negative Event </li></ul><ul><li>Comparison </li></ul><ul><li>Central Tendency </li></ul><ul><li>Similar to Me </li></ul>
  43. 43. Model Appraisal Check out an example of an effectively written performance appraisal. It may not fit your situation perfectly, but… Hand out
  44. 44. Appraisal <ul><li>For one of your employees: </li></ul><ul><li>Select one key responsibility / result and one dimension </li></ul><ul><li>Write a description of the employee’s performance. </li></ul><ul><li>Assign a rating. </li></ul><ul><li>Use real information and real behavior examples. Real names will not be shared. </li></ul>
  45. 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. 46. The Evaluation Discussion <ul><li>Evaluation stirs up emotions </li></ul><ul><li>Describe performance, not personality </li></ul><ul><li>Use examples – employees long for real feedback, not platitudes </li></ul><ul><li>Address issues – if something is obvious and you don’t bring it up … credibility </li></ul><ul><li>Stay on track – points to make, actions to follow </li></ul><ul><li>No surprises </li></ul>
  47. 47. Administrative Matters
  48. 48. Administrative Requirements <ul><li>Personnel decisions: </li></ul><ul><ul><li>Must be supported by current (within past 12 months) appraisal </li></ul></ul><ul><ul><li>If decision inconsistent with appraisal, then written justification required </li></ul></ul><ul><li>Probationary employee </li></ul><ul><ul><li>Work plan within 30 days </li></ul></ul><ul><ul><li>Appraisal at end of agency’s work cycle </li></ul></ul><ul><ul><li>Review completed before moving into permanent appointment </li></ul></ul>
  49. 49. Administrative Requirements, cont. <ul><li>Employee in training progression: </li></ul><ul><ul><li>Work plan within 30 days </li></ul></ul><ul><ul><li>Review completed before each salary increase granted within progression </li></ul></ul><ul><li>Employee whose responsibilities change or who is transferred: </li></ul><ul><ul><li>New work plan within 30 days </li></ul></ul>
  50. 50. Administrative Requirements, cont. <ul><li>Employee who is transferred within state government: </li></ul><ul><ul><li>Provide receiving unit with review of employee performance, signed by employee, supervisor, next-level manager (use Summary Transfer Form) </li></ul></ul><ul><ul><li>New supervisor may consider performance both in former unit and in new unit in determining amount of performance increase </li></ul></ul><ul><li>Changes in supervision: </li></ul><ul><ul><li>Next-level manager must be aware of and document employees’ performance </li></ul></ul>
  51. 51. Practice <ul><li>FAQs (frequently asked questions) and FEIs (frequently encountered incidents) </li></ul><ul><li>Read, discuss, and recommend how they should be answered or resolved </li></ul>
  52. 52. Pay and Performance Market Key results / responsibilities COLA, CGRA Perf bonus Competency assessment C, J, A Appraisal Ongoing performance Results Behaviors / skills Results Classification system Career banding system Funding by Legislature May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr Base pay range
  53. 53. Ongoing Management of Performance Work Plan Performance Appraisal U, BG, G, VG, O % of time OPTIMIZE! MINIMIZE! Manager’s Time Budget May June July Aug Sep Oct Nov Dec Jan Feb Mar Apr Engaged in managing Engaged in PM admin and paperwork Results
  54. 54. <ul><li>3-7 KRR’s reflecting primary responsibilities of job </li></ul><ul><li>Give focus to KRR’s based on: </li></ul><ul><ul><li>Alignment to higher goals </li></ul></ul><ul><ul><li>Customer expectations </li></ul></ul><ul><ul><li>Defined responsibilities </li></ul></ul><ul><li>Raise “level” of KRR’s – from tasks to results </li></ul><ul><li>Publish SOPs / do’s-and-don’ts elsewhere </li></ul><ul><li>Give work plan the “newspaper” test </li></ul>Simplify Work Planning
  55. 55. <ul><li>Position PM as essence of managerial role, not an annoying add-on – it is Management 101! </li></ul><ul><li>Focus day-to-day conversations around KRRs </li></ul><ul><li>Treat issues as problem-solving / learning opportunities with twin outcomes </li></ul><ul><ul><li>Getting the work done </li></ul></ul><ul><ul><li>Building a collaborative learning environment </li></ul></ul><ul><li>Set up meaningful performance tracking mechanisms that involve employees </li></ul>Simplify Ongoing Management
  56. 56. <ul><li>OK, filling out the form is paperwork – but getting the information right is important </li></ul><ul><li>Have employees supply information for their KRRs, behavioral examples for their behaviors / skills … then vet the information </li></ul><ul><li>Be concise – don’t over-document </li></ul><ul><li>Appraisal discussion is managerial task </li></ul><ul><li>Position discussion as “quality time” with employees – opportunity to reflect and look ahead </li></ul>Simplify Performance Appraisal