Managing Employee Workplans

Under the first column of page one of the form highlighted above, "Key Responsibilities / Results" (KRRs), list the major responsibilities and results for the employee to accomplish during the work cycle.

Keep the following tips in mind when you write the key responsibilities / results:

• A typical employee averages 3 to 8 KRRs, so the entire workplan is usually one page to one-and-a-half pages in length.
• List the KRRs in order of importance, from most to least important.
• KRRs are four words or less.

Important Notes:

• All employees, supervisors, and managers must have a KRR for customer service. See Result Expectations section for a complete explanation of the type of expectations that may be listed under the "customer service" KRR.
• All supervisors and managers must have a KRR for supervision. See Result Expectations section for a complete explanation of the type of expectations that may be listed under the "supervision" KRR.

As you think about creating the KRRs, consider:

• How much does the KRR contribute to reaching your work unit's and/or agency's objectives? (Linking employees' KRRs with the unit's goals helps your employees see a direct connection from their work to the work of the unit. It also helps you track the work unit's success.)
• Consider how each employee's KRRs will compliment the other employees' KRRs to fairly distribute the unit workload.
• How critical is the KRR related to the entire job?
• What percent of time does the employee spend performing this KRR?
• Is the KRR a short-term assignment or does it continue for the entire cycle?
• Does the sum of all KRRs for the employee create a challenging but fair workload?

The following are examples of KRRs for different types of positions:

Detailed Example: Jeffrey works in the Division of Child Development. He provides technical assistance, monitors day care centers, and provides training to licensed day care providers. He works out of his home and uses the phone and e-mail to link back with his supervisor in Raleigh. His workplan KRRs are listed below. While he has a number of tasks to perform to achieve these KRRs, the KRRs listed below are the most significant to his division, and the only ones that the supervisor chose to list on his workplan.

Since his supervisor needs to list the KRRs on the workplan in priority order, she has analyzed the percentage of time that he generally spends in each area. See chart below as an illustration of this percentage:

And this is how the KRRs would be listed on Jeffrey's workplan:

Other examples of KRRs:

Sue is an accountant who reviews agency accounts. One of her KRRs might be:

Elaine is a Public Health Statistician who collects and analyzes various health statistics. She might have one KRR related to her data analysis listed below.

Marcus is another statistician who has 2 KRRs related to data analysis because his work involves more varied data and a larger database.

Rachel is a supervisor in Vocational Rehabilitation. All supervisors and managers must have a KRR to cover their supervisory responsibilities:

Under the second column of page 1 of the form highlighted above (Result Expectations), write 1 or more Results Expectations for each Key Responsibility / Result listed in column 1. Often, no more than 3 Result Expectations are needed for each KRR. Include more if necessary, but try to limit the entire workplan to no more than one-and-a-half pages to keep it manageable for yourself and your employee.

Keep the following information in mind when you write the Result Expectations:

• Results Expectations must be
  • Measurable,
  • Realistic,
  • Tied to specific timeframes,
  • Easily understood by the employee, and
  • Within the control, knowledge, and skills of the employee to accomplish.
• Results Expectations must specify at least one measurement of
  • Time,
  • Cost,
  • Quality, or
  • Quantity.
• Results Expectations are written at the "Good" level. See NC Rating Scale at http://www.osp.state.nc.us/manuals/html/ratingsc.htm for an explanation of the scale. You should also discuss what would be considered "Outstanding" and "Below Good" performance for each expectation.
• While writing expectations at the "Good" level, make sure that you also provide challenging opportunities for employees that will support the agency's goals.
• Focus on the final outcome rather than a single task when you write the expectations.
• In making sure that all of your work unit's goals and outcomes are reflected in the sum of all of your employees' workplans, look at all of your employees' expectations to make sure that (if accomplished) all of them would add up to meeting those overall goals.

Important Notes:

• Workplans should be written at the "Good" level. In recent years, supervisors have written expectations to ensure that employees receive "very good" or "outstanding" ratings to qualify for legislative pay increases. This practice results in overall reduced productivity of the work unit.
• All employees, supervisors, and managers must have a KRR for customer service. See example below for the type of Results Expectations that may be listed under the "customer service" KRR.
• All supervisors and managers must have a KRR for supervision. See example below for the type of Results Expectations that may be listed under the "supervision" KRR.

The following are examples of Results Expectations for different types of employees' KRRs. The expectations are written at the "Good" level as required by policy. (Only the first two columns of the form are shown.)

Examples of Well Written and Poorly Written Expectations:

Supervisory Result Expectations

Examples of Expectations that Support Unit Goals:

The following examples illustrate that what employees do as well as how they do it affects the overall work unit’s ability to meet mandated goals.

Marcia and Charles both work for the Division of Medical Assistance in the Medicaid Fraud office. Their unit is charged with reducing fraudulent claims by 15% this year. Successfully reducing fraud by this percentage will result in a savings of millions dollars to the State of North Carolina. The results they achieve directly impact the State's budget.

Marcia, a processing assistant logs data about possible fraud cases into the unit’s database. Her job of accurately logging the data can help the unit meet it's goals by making sure that the reports are accurate and timely as well as sharing any identified case assignment problems with her supervisor.

Charles, a fraud investigator, reviews cases with claimants, physicians, and insurance companies.

Under the first column of page two of the form highlighted above, choose appropriate Dimensions^© from the NC Dictionary of Dimensions at http://www.osp.state.nc.us/divinfo/frames/divisions/hrd/pm/pm.pdf that are needed by an employee to be successful on the job. (See note below if link does not work.)

In a human service agency, Dimensions are as critical as the results we achieve. DHHS has an exception to Office of State Personnel (OSP) policy that allows Dimensions to have equal weight to the KRRs in the employee workplans.

Keep the following information in mind when you select the Dimensions:

• Select Dimensions that support the KRRs. Of the 42 Dimensions, many may have some link to the job. Select those that have the greatest impact. Usually 5 to 7 Dimensions are sufficient.
• Dimensions should be
  • Observable,
  • Within the control of the employee, and
  • Understandable by the employee and supervisor.
• List each Dimension on the workplan in order from most to least important. In some cases, the Dimensions may have equal weight.

If you are not familiar with the NC Dictionary of Dimensions, you may want to access the file now and take a look as you read through the following explanation of the components. (It may open up in a second "window" on your screen so you can easily click back and forth from the Dictionary to this guide. If it does not open a second window, you can use your "back" and "forward" button to go back and forth or open a second window using the "file" "new window" selection at the top of your browser window.)

In completing a workplan, you will probably select the Dimensions and corresponding "key behaviors" to use as a basis for the employee's Behavioral Expectations at the same time. So, the following explanation contains information on both sections. (You will find more detailed instructions on the "key behaviors" in Step 4, "Writing Behavioral Expectations.")

Starting on page 8 of the Dictionary of Dimensions, you'll find a section that contains one "Dimension" per page. For each Dimension, you'll find three major components:

• Definition and Description:
  The first phrase defines how a behavior, skill, or competency is used by the employee. The paragraph that follows describes how the Dimension is likely to be used by state government employees.

  You must select Dimensions from the listing without modifying the wording. You cannot combine Dimensions or add new Dimensions that are not in the list. Read the definitions carefully to select the Dimensions that best relate to the work being done by the employee.

  Note: Go to pages 4 and 5 of the Dictionary to find dimensions divided into suggested lists appropriate for supervisors and non-supervisors. Go to page 6 for a listing of common work-related terms to help you search for related Dimensions.

• Key Behaviors:
  This section gives examples of how an employee might use the Dimension on the job. You may quote a "key behavior" directly from the list as a Behavioral Expectation on an employee's workplan.

  However, it may be better to write a Behavioral Expectation that specifically describes the work done. By using the "key behavior" as a starting point, you can make the Behavioral Expectation more understandable for the employee by modifying the wording to fit the employee's job. (You'll find an example in Step 4 on the following page.) Contact your Training Coordinator or Human Resource representative if you need help in revising the wording.

  Behavioral Expectations are written at the "Good" level. See NC Rating Scale for an explanation of the scale. You should also discuss what would be considered "Outstanding" and "Below Good" performance for each expectation.

• Key Words:
  At the bottom of each Dimension page, you'll find a list of "key words" related to the Dimension that may help you select the best Dimensions. You may also use the listing of common terms on page 6 of the Dictionary as a "shortcut" to help you select the Dimensions that apply to your employee.

As you think about selecting the Dimensions, also consider the following:

• Many Dimensions are similar. Select those that best apply to the job without listing duplicates. For example, a manager may need "Leadership Influence" while a supervisor would only need "Delegation" listed as a Dimension. See Example 2 below.
• Dimensions are evaluated as trends in employee behavior. As you select appropriate Dimensions for your employees, you should use the STAR tool to document the trends. This tool allows you to document how an employee uses a Dimension by capturing specific examples. Using the tool, you can document the situation and task assigned related to a particular Dimension, what action the employee took or did not take, and the outcome or result of the action or inaction.

*Note: If you were unable to access the Dictionary of Dimensions by clicking on the link, you need to download the Acrobat Reader since it is a PDF file. Go to the Adobe Acrobat Reader download page at http://www.adobe.com/products/acrobat/readstep2.html to get a free reader.

Example 1:

Dion investigates nursing home complaints. He must survey the facilities, observing and documenting actual conditions against state code or laws. He uses Judgment to determine what information or data is relevant to the investigation and when to involve other agencies or his supervisor. He also needs a number of other skills related to the dimensions listed in the Dictionary of Dimensions.

Dion's dimensions would probably be listed on his workplan in the order of importance as follows:

In looking through the Dictionary of Dimensions, Marilyn finds these two dimensions and their definitions related to leadership:

• Leadership / Influence - using proper interpersonal styles and methods to guide individuals or groups to accomplish a task. Maintaining group cohesiveness and cooperation; helping group process and gaining agreement/commitment to ideas, plans, or course of action.
• Delegation - Using employee(s) effectively. Giving decision making and other responsibilities to the appropriate employees.

Marilyn realizes that she needs to select the dimension that best applies to her unit manager's job. She decides to list "Leadership / Influence" on the workplan for Robert rather than "Delegation." For Robert, delegation may be part of his job, but the scope of his leadership role is broader than that. He defines the unit’s goals, determines individual assignments, and works to build a team atmosphere. So, "Leadership / Influence" is more important for his success than the ability to delegate.

On the other hand, Robert would probably list "Delegation" on John's workplan, since his responsibilities are narrower and well defined. It would probably be important for John to have good delegation skills as he schedules work, makes assignments, and adjusts the work load among his employees.

The Dimensions would be listed on the workplans of Robert and John, as illustrated below. We have included a few more Dimensions to illustrate a priority order that may have been chosen for the first few Dimensions.

As these examples illustrate, think about the person's scope and level of responsibilities in selecting the best dimensions for the workplan.

Under the second column of page two of the form highlighted above (Behavioral Expectations), list Behavioral Expectations that correspond to the Dimensions you have selected for your employee.

You may select the applicable "Key Behaviors" listed under the Dimensions from the NC Dictionary of Dimensions. (See note below if link does not work.) These "Key Behaviors" were validated to cover many of the skills, behaviors, or competencies used by most state employees, so you may quote them directly from the dictionary as Behavioral Expectations (or modify them as described below). Do not list all Key Behaviors that may apply to your employee. Select only those that are the "best fit" for your employee.

If you are not familiar with the NC Dictionary of Dimensions, you may want to access the file now and take a look as you read through the following explanation of the components. (It may open up in a second "window" on your screen so you can easily click back and forth from the dictionary to this guide. If it does not open a second window, you can use your browser's "back" and "forward" button to go back and forth or open a second window using the "file" "new window" selection at the top of your browser window.)

In completing a workplan, you will probably select the dimensions and corresponding "Key Behaviors" to use as a basis for the employee's Behavioral Expectations at the same time. The following explanation contains information on both sections (repeated from Step 4 on the last page of this guide).

Starting on page 8 of the Dictionary of Dimensions, you'll find a section that contains one "Dimension" per page. For each Dimension, you'll find three major components:

• Definition and Description:
  The first phrase defines how a behavior, skill, or competency is used by the employee. The paragraph that follows describes how the Dimension is likely to be used by state government employees.

  You must select Dimensions from the listing without modifying the wording. You cannot combine Dimensions or add new Dimensions that are not in the list. Read the definitions carefully to select the Dimensions that best relate to the work being done by the employee.

  Note: Go to pages 4 and 5 of the Dictionary to find dimensions divided into lists appropriate for supervisors and non-supervisors. Go to page 6 for a listing of common work-related terms to help you search for related Dimensions.

• Key Behaviors:
  This section gives examples of how an employee might use the Dimension on the job. You may quote a "Key Behavior" directly from the list as a Behavioral Expectation on an employee's workplan.

  However, it may be better to write a Behavioral Expectation that specifically describes the work done. By using the "Key Behavior" as a starting point, you can make the Behavioral Expectation more understandable for the employee by modifying the wording to fit the employee's job. See examples below. Contact your Training Coordinator or Human Resource representative if you need help in revising the wording.

  Behavioral Expectations are written at the "Good" level. See NC Rating Scale for an explanation of the scale. You should also discuss what would be considered "Outstanding" and "Below Good" performance for each expectation.

• Key Words:
  At the bottom of each Dimension page, you'll find a list of "key words" related to the Dimension that may help you select the best Dimensions. You may also use the listing of common terms on page 6 of the Dictionary as a "shortcut" to help you select the Dimensions that apply to your employee.

*Note: If you were unable to access the Dictionary of Dimensions by clicking on the link, you need to download the Acrobat Reader since it is a PDF file. Go to the Adobe Acrobat Reader download page to get a free reader.

The following are examples of Behavioral Expectations. The expecations are written at the "Good" level as required by policy. (Only the first two columns of the form are shown.)

Example 1:

Samantha is a lab technician. Her job includes working with chemicals, so safety awareness is one of the Dimensions on her workplan. The supervisor found this Key Behavior from the Dictionary of Dimensions:

"Performs day-to-day work using regulated safety equipment."

The supervisor decided to modify this Key Behavior to describe Samantha's Behavioral Expectations as follows:

Example 2:

Margarite is a vocational rehabilitation counselor. In her job, she has a large caseload to meet the agency's client demands. Her workplan lists integrity as a dimension due to the confidentiality issues involved in her work with clients. The supervisor selected this Key Behavior from the Dictionary of Dimensions:

"Keeps information confidential and in a safe place."

The supervisor decided to modify this Key Behavior to describe two more specific Behavioral Expectations:

Example 3:

Using "Robert, the Unit Manager and John, the Line Supervisor" from the last Step 3 example, here are some "Key Behaviors" that came directly from the Dictionary since they seem to apply without any modification.

Under the third column of pages one and two of the form highlighted above (Tracking Source / Frequency), record how the employee's performance will be tracked and how often. You will define the tracking methods for the Results Expectations (based on the "Key Responsibilities / Results - KRRs") on page one and the Behavioral Expectations (based on the "Dimensions") on page two.

Setting both the Tracking Source and Frequency lets you and your employees plan how often you will document their efforts and give them feedback on how well they're doing. Employee motivation may also increase when they know that their supervisors are paying attention to how hard they are working.

After defining the tracking method, you will collect data, notes, and document STARs over the course of the employee's work cycle. This documentation will then be available for your employee's Interim Review or final Performance Appraisal. You can also use the data in an employee's Improvement Plan or Development Plan, if necessary. (You'll find more detail on the Improvement Plan and Development Plan in the next two sections.)

Keep the following information in mind when you determine the performance tracking methods:

• Usually, you will already have some reporting or other data gathering measures set up in your work unit to track your employees' Results Expectations based on their Key Responsibilities / Results (KRRs). For example, you may have monthly processing reports, case activity logs, or other records of work unit activity that include individual employee activities or production.
• To track Behavioral Expectations on the Dimensions, however, you will need to plan how to observe your employees' Behavioral Expectations such as "Greets customers promptly and courteously" or "Reviews work carefully for completeness and accuracy." You can monitor trends related to the employee's Behavioral Expectations using the STAR method.

Consider the following as you plan methods for tracking employees' performance:

• As you select tracking measures, think about how often you will be able to observe or document each expectation, since it may not be possible to directly observe each employee on a daily basis. You may also ask the employees and others to provide documentation of these performance expectations on a regular basis.
• You will need to set up specific time frames for observation or data collection to keep up with performance trends. This will allow you to work with the employee to correct performance problems if they come up.

The following are examples of Tracking Source / Frequency plans for two employees.

Review Workplan With Manager

Once you have written the your employee's workplan, review it with your manager. This allows you and the manager to make sure that work is spread evenly among the employees of your work unit and that the goals of the unit can be attained during the cycle.

Meet with the employee to review both the Results Expectations and the Behavioral Expectations. Listen carefully to any employee concerns about skill levels, resources to complete a listed outcome, measurement levels of a Result Expectation, etc. If you make any adjustments to the expectations based on the employee's input, note them on the workplan. After reviewing any changes to the workplan with your manager, have the manager sign the form.

Keep the following information in mind when you review the workplan with the employee:

• Remember to use the "Key Principles" and "Critical Steps" to communicate effectively with employees as you discuss the workplan. Go to Effective Communication for a summary.
• Gaining your employees' commitment to the tracking of reasonable expectations should increase their motivation to do well.
• You and your manager have the final decision on setting the Results and Behavioral Expectations. The employee does not have the right to dispute workplan expectations set by you and your manager.
• If you are reviewing a workplan with an employee who lacks some of the skills that have been listed, you will need to develop an "Improvement Plan" identifying what areas that need improvement and how the employee will make the necessary changes. Complete Improvement Plan instructions are included in another section of this guide.
• Job responsibilities or unit needs may change during the workplan cycle. (A new record-keeping process may be introduced, for example.) If the planned changes will require the employee to learn or develop some new skills, you will complete a Development Plan for the employee.

• Ask your manager, contact your HR office, or ask your Performance Management Coordinator whether your institution or division requires signatures on all pages or just the front cover.
• After you, the manager, and the employee have signed the workplan, provide copies for the employee and the manager, and keep the original in a confidential file that you maintain.
• An employee is not required to sign the workplan. You can explain to the employee that the signature only indicates that the workplan has been discussed and understood, not that the employee agrees with the requirements. If the employee continues to refuse to sign following this explanation, you should have your manager verify the employee's refusal to sign. You could ask your manager to come in your office with the employee present and ask the employee to acknowledge his or her refusal to sign. Add a note to the workplan cover page concerning the employee's refusal to sign along with your signature and date and the witnessing manager's signature and date. Note: The witness cannot be an informal lead worker.

{ }Midcycle            { }Special

Strengths/Weaknesses

Employee's Signature:

Complete the Interim Review section as pictured above on the 4th page of the DHHS workplan form, making any appropriate comments to describe the employee's "Strengths / Weaknesses" and any other comments under "Supervisor's Comments" related to the review.

Lavonda is a processing assistant in a Child Support Enforcement unit. The following is an excerpt from her workplan and a sample of the comments her supervisor might make on her Interim Review.