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Performance Management: Daily, year-round, continuing appraisal, coaching and feedback that involves helping employees understand the nature and quality of their performance, identify what they need to do to improve, and motivate them to do it. Your gap analysis may have revealed a significant gap between performance expectations and actual performance in your target classification/s. lthough improving employee performance often re!uires a multi-facetted approach involving staffing" policy and training" an important gapclosing strategy centers on improving the agency#s performance management system.
Performance !#$ecti%e *+upervisor and Casewor'er,% -ver the course of the coming year" ./0 of all investigations of child abuse and neglect will be completed within 12 days. Achie%ement &e%el *Casewor'er,% /10 of investigations were completed in 12 days. )30 percent were ) to 4 days late. 10 were 5 to )2 days late. 30 were between )2 and 12 days late. Super%isor's Analysis of (ele%ant Competencies" Planning and !rgani)ing" Casewor'er is always disorgani(ed and fails to set priorities. $he fact that )3 percent of the investigations were less than 4 days late suggests that better organi(ation and prioriti(ation very li'ely would have made the difference between timely reports and late reports. Stress *olerance" Casewor'er#s inability to handle stress appears to result in her &umping bac' and forth between tas's without completing them. +he almost becomes immobili(ed when deadlines approach. )
Performance Management
Mission/9ision/9alues
Core Competencies
What
Performance -b&ectives
.ow
Competencies
!#$ecti%es Competencies - P
Manager's (esponsi#ilities
Create conditions that motivate ;pdate ob&ectives Provide feedbac' Provide development opportunities =einforce effective behavior
0mployee's (esponsi#ilities
Phase /" 0%aluation
chieve ob&ectives +olicit feedbac' and coaching Communicate openly Collect and share data Prepare for reviews
!#$ecti%es Competencies - P
!#$ecti%es Competencies - P
Performance Management
$ip%
-b&ectives measure the
What of the &ob.
Competencies measure
the How of the &ob.
e%elopment% Creating <ndividual :evelopment Plans *<:Ps, to enhance employee strengths and to close performance gaps as determined by the competency evaluation.
<f an employee fails to meet certain wor' ob&ectives" the competency evaluation will typically reveal the reasons why. ?valuating employees on the critical competencies for a position does much more than that" however. n employee can meet their performance targets" yet be rude to customers" disrupt the team" and fail to 'eep commitments. Providing employees with performance feedbac' on competencies gives them the information they need to be successful.
<dentify ma&or wor' ob&ectives. =eview competencies. ?stablish individual development plans *<:Ps,. <dentify action steps for achieving both the performance ob&ectives and personal development.
Phase *wo Monitoring and Coaching% :uring Phase $wo" supervisors wor' closely with direct reports to monitor progress toward meeting the ma&or wor' ob&ectives and follow through with planned professional development activities. Phase $wo is really the bac'bone of the successful performance management system 7 it is a continuous process. ?mployees need regular reinforcement to help maintain focus on their goals" and get regular encouragement to participate in professional development activities. $here is a range of options for providing feedbac' 7 some organi(ations re!uire formal monitoring and coaching sessions on a !uarterly basis. <n others" supervisors incorporate monitoring and coaching into their everyday interactions with their direct reports.
Performance Management
Phase *hree 0%aluation% :uring Phase $hree" supervisors evaluate performance results for ob&ectives" <ndividual :evelopment Plans and competencies. <n many organi(ations" supervisors perform a unilateral assessment of all three. @owever" the process is much more effective when employees participate fully by completing self assessments of their ob&ectives and competencies. ?ven when employees# selfassessments are inaccurate" there can be tangible benefits from a process that re!uires employees to thin' through their degree of proficiency in the competencies most important for success. -n the next six pages" you#ll find a sample Performance Assessment and Development orm that you can customi(e to meet your specific needs. +ection ) focuses on identifying and assessing an employee#s competencies" +ection 3 on developing and evaluating ob&ectives" and +ection 1 on building an <ndividual :evelopment Plan.
e%elopment 2orm
0mployee -dentification
Aame% Classification% +upervisorBs Aame% ?mployee <: Aumber% >or' ;nit% =eview Period +tart :ate% ?nding :ate%
Certification
< certify that < have had the opportunity to read this review and understand that < am to receive a copy of it. < further understand that my signature does not necessarily mean that < agree with the review. 0mployee4s Signature and ate" < certify that this report constitutes my review of the performance of this employee for the period covered. Super%isor4s Signature and ate" < certify that < have read this review and concur with it. Manager4s Signature and ate" 4
Meets ?xpectations
Contributes to organi(ational goals Carries fair share of responsibility -ffers to help teammates +hares credit !ptional Competencies for the Child Welfare Caseworker
6reatly ?xceeds ?xpectations ?xceeds ?xpectations Meets ?xpectations -ccasionally Meets ?xpectations ;nsatisfactory 6reatly ?xceeds ?xpectations ?xceeds ?xpectations Meets ?xpectations -ccasionally Meets ?xpectations ;nsatisfactory
!#$ecti%e ," -ver the course of the coming year" ./0 of all investigations of child abuse and neglect will be completed within 12 days 0%aluation%
03ceeded
Achie%ed
Partially Achie%ed
id 6ot Achie%e
1:8
!#$ecti%e 1" -ver the course of the coming year" ..0 of investigations will be initiated within 38 hours of when the report of abuse and/or neglect is received by the agency. 0%aluation%
03ceeded
Achie%ed
Partially Achie%ed
id 6ot Achie%e
1;8
03ceeded
Achie%ed
Partially Achie%ed
id 6ot Achie%e
,;8
03ceeded
Achie%ed
Partially Achie%ed
id 6ot Achie%e
/:8
03ceeded
Achie%ed
Partially Achie%ed
id 6ot Achie%e
,:8
e%elopment Plan
ate Completed Super%isory Comments
*arget ate
)2
e%elopment Plan
ate Completed Super%isory Comments
*arget ate
8/)4/322x 5/12/322x ./12/322x )3/1)/322x 3/)G/322x G/12/322x )3/1)/322x
Competency to e%elop
Cultural Competence
Collaboration
4/12/322x
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Performance Management
Guidelines for
!b"ectives
+etting meaningful and measurable performance ob&ectives is 'ey to any good performance system. Creating good performance ob&ectives re!uires careful thought. $he +M =$ acronym will be useful as supervisors and employees design appropriate ob&ectives. 6ood performance ob&ectives should be% Specific 7 $hey must state exactly what an employee is to achieve.
$ip%
Cor most employees" focusing on between three and seven ob&ectives is appropriate during each performance evaluation cycle.
Measura#le 7 $hey must include !uantifiable terms" usually dealing with !uality or !uantity. $hey must be measurable enough to determine whether the employee met the ob&ective. Achie%a#le 7 $hey must be reasonable and realistic with a reasonable effort. >hile many organi(ations use the term HstretchI ob&ectives to connote the idea of challenging one#s capacity" they must still be something the employee believes is possible to achieve. (ele%ant 7 $hey must be aligned with the strategic direction of the organi(ation or the employee#s own personal development. *ime-#ound 7 $hey must state when the employee is expected to complete the ob&ective. $he most worthwhile performance ob&ectives concentrate on outcomes" not on activities. <n the child welfare area for example" an outcome-driven ob&ective might be to reduce the average length of time to finali(e adoptions. n employee may successfully perform many activities in finali(ing adoptions" but this doesn#t necessarily mean that the employee has reduced the average length of time to finali(e those adoptions. <n identifying specific strategic outcomes" the goal is to push them down through the organi(ation to the direct service delivery level to the extent
*he .amilton County 7!hio9 Pay for Performance System <n )../" @amilton County Job and Camily +ervices *@CJC+, introduced a pay-for-performance system where all frontline staff are eligible for merit pay based on their success in meeting specific performance ob&ectives. @CJC+ places tremendous value on developing meaningful and measurable performance ob&ectives lin'ed to the agency#s strategic plan. $hey use a collaborative approach where union and management committees wor' together to develop and refine the ma&or wor' ob&ectives for each &ob classification. Dey units within the agency 7 Kuality ssurance" Policy and @uman =esources 7 are also involved in this collaborative effort" and have developed sophisticated data trac'ing systems to help supervisors measure and evaluate performance. ma&or outcome of the continuous focus on performance ob&ectives is that virtually all employees clearly understand what is expected of them and how their individual accomplishments contribute to the agency#s success in achieving its strategic goals.
www.cornerstones8'ids.org/images/Performance032Pays=>).pdf
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Performance Management
possible. +ometimes this is easier said than done. You must ta'e into account the ability of the frontline wor'er to have a real impact on the outcomes. +econdly" outcomes are often more difficult to measure the lower in the organi(ation one goes. Aonetheless" the goal should be to find ways to focus on outcomes rather than activities. <n most human services agencies" employees and supervisors *and sometimes even managers, are not accustomed to focusing on outcomes. You may receive considerable Hpush bac'I when introducing outcome-based performance ob&ectives. -rgani(ations that introduce the concept gradually over several performance-evaluation cycles may meet less resistance. Aot all of your agency#s performance ob&ectives should be driven from the top. Crontline supervisors and their direct reports should be encouraged to develop unit-specific and employee-specific ob&ectives. ?mployees will feel a greater sense of ownership and commitment when they have a say in setting the ob&ectives that impact their &obs. successful approach for some organi(ations has been to have a wor'group identify a series of s'illfully crafted ob&ectives from which the employee and supervisor select 7 and customi(e as necessary 7 the ones that are most appropriate for that specific employee.
#ompetencies
$he $ap-#losing %ool &it - %ool ' describes the process for identifying the critical competencies for your target classification. Competencies measure the How of a &ob. $he table on the next page shows an example of the competencies for a Child >elfare Casewor'er positionF column 1 shows which competencies would be used in the performance management process.
)1
Performance Management
ll twelve competencies are important for employees in the &ob classification. +ome organi(ations may choose to provide performance feedbac' on all twelve competencies during each performance evaluation cycle. -thers might do a more thorough assessment on seven or eight competencies. <n the example above" five competencies are identified as .equired and seven as !ptional. $he .equired competencies are ones that the agency wishes everyone in the classification to focus on. Your agency may want to identify re!uired competencies when% $hey see a classification-wide need to strengthen certain competencies. $hey want to signal an organi(ational culture shift to support a change in the strategic direction of the agency. $hey are implementing a new initiative or other program change where new competencies will be re!uired. +upervisors and their direct reports can select from the !ptional competencies those that are specific to the employee#s situation. $hese will supplement the list of re!uired competencies" so that each employee will be evaluated on a specific list of seven or eight total competencies.
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Performance Management
$ypically" the optional competencies selected are ones that may be important to a specific assignment or ones where the employee needs to focus developmental attention.
0%aluating Competencies
$here are countless ways of evaluating employees on their proficiency in a competency. >e#ve identified three options with varying degrees of complexity that will all provide wor'able results. <n each of the options we use a five-level scale% 6reatly ?xceeds ?xpectations ?xceeds ?xpectations Meets ?xpectations -ccasionally Meets ?xpectations ;nsatisfactory
$ip%
6ood performance management systems re!uire 7 or at least encourage 7 supervisors to provide their own narrative comments to supplement the competency evaluation. ?mployees appreciate and are more receptive to honest and constructive comments than they are to a chec' mar' in a box.
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Which Performance 0%aluation !ption Should - Use= $o a large extent" the evaluation option you choose will depend on how rigorously accurate your competency assessments need to be. nd this in turn depends on how much weight you place on the competency portion of the overall assessment and how you intend to use the overall assessment. <f your agency uses the competency assessment to reinforce agency values and/or primarily as a development tool" then the rigor of the assessment is less important. $he purpose of the assessment *particularly when employees do a self-assessment, is to encourage a dialogue between the employee and supervisor about competency strengths and developmental needs. $his discussion serves as the foundation for the <:P. !ption , may be sufficient for your purposes. <f your agency weights the components of the performance evaluation" the rigor of the competency assessment should correspond to its overall weight. Cor most human services &obs" we believe a good weight distribution is -b&ectives% 520" Competencies% 820. Cor weighed components" try using !ption 1. <f your agency is using competency evaluations as the basis for merit pay *i.e." where the competency assessment carries a greater weight than the performance ob&ectives assessment," then the competency assessment process must be as ob&ective and rigorous as possible. You may want to consider using !ption / below.
!ption 1 =elatively easy to implement but does re!uire that you identify the 'ey elements of the competency.
)5
!ption /
;tili(es Behaviorally nchored =ating +cales *B =+, which minimi(e the sub&ectivity of evaluating employees on competencies. Provides both employees and supervisors with the common yardstic' to use in evaluating performance.
:eveloping good B =+ can be time intensive and difficult wor'. ?valuators find the evaluation process very tedious. ?ven when the statements are concise" reading through the B =+ for four to six 'ey elements for seven or eight competencies is tedious. ?valuators may become frustrated by the fact that concisely-worded B =+ still do not accurately describe observed performance.
Unsatisfactory
Comments%
)G
)/
&istening Skills
Cails to share important information or passes on trivia >ritten communications are unclear" disorgani(ed" lac' substanceF contain grammatical and/or spelling errors <nsensitive to cultural" gender" educational and other individual characteristics when communicating with others
Written Communication
Communications are error free" have positive tone" and seem professionally written.
Sensiti%ity to !thers
Continuously tailors communications to match the listener/sF uses appropriate style" level of detail" grammar and organi(ation of thoughts to actively engage the listener/s.
Consistently sensitive to cultural" gender" educational and other individual characteristics when communicating with others
Comments%
).
Performance Management
lthough we#ve based our Performance Assessment and Development orm on -ption 3 which we thin' wor's well for most human services &obs" you can easily modify the form to wor' with the other options.
Development
<ntegrating competencies into training and development provides a valuable support system for employees to improve in areas where they have developmental needs and to enhance those areas where they have strengths. >hen employees have a better understanding of the behaviors the organi(ation values" they can wor' on strengthening them. >e use the same Competency Model as the foundation for the professional development process as we did for the performance management process. Column 8 of the table below identifies the competencies an agency could use for professional development activities" again for a Child >elfare Casewor'er position.
s in the performance management process" your agency may re!uire all employees within the target classification to engage in professional development activities when% $here is a classification-wide need to strengthen certain competencies.
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Performance Management
$he agency wants to signal an organi(ational culture shift to support a change in the strategic direction of the agency. $he agency is implementing a new initiative or other program change where new competencies will be re!uired. ;nder such circumstances" an agency may re!uire that all employees focus on the same competencies for both performance management and professional development. $ypically" however" employees cannot focus on developing in more than three competency areas at one time. s a result" your agency may re!uire development in fewer competencies than it re!uires for performance evaluations.
-ndi%idual
e%elopment Plans
Michigan epartment of .uman Ser%ices s an outgrowth of their strategic planning process" the ?xecutive Management $eam of the Michigan :epartment of @uman +ervices decided in the spring of 322) to reemphasi(e its commitment to !uality client service. $he agency developed a two-day customer service training program that all employees were re!uired to attend. $hey also re!uired that all employees be evaluated on the #ustomer ocus competency as part that year#s performance management process.
<ndividual :evelopment Plans *<:Ps, are a natural outgrowth of the performance management process. You can construct your <:Ps based on the competency evaluation component of your performance management process. ;se the sample model Performance Assessment and Development orm to develop and monitor your <:Ps. Many successful organi(ations re!uire all employees to have an <ndividual :evelopment Plan *<:P, based on the competencies critical for successful &ob performance.
lthough the same critical competencies will apply to everyone doing the same 'ind of wor'" individual employees will have different developmental needs depending on their own strengths and wea'nesses. :eveloping <:Ps with individual employees" based on their uni!ue needs and learning styles" results in a more productive" efficient and cost-effective approach to professional development. +ome employees may benefit from training in managing stress" while others have a greater need for training on time management and organi(ational s'ills. ?mployees may also have very different learning styles. +ome do well with formal classroom training" while others do far better with self-paced methods such as online courses" boo's and videos. <n the $ap-#losing %ool &it - %ool /" we#ll discuss how your agency can provide professional development resources and opportunities designed to meet employee needs as identified in their <:Ps.
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