9 Box Performance-Potential Matrix

The performance and potential matrix (9 box model) is one of the most widely used tools in succession planning and development. It can be a valuable tool for anyone who works in talent management, or for any manager. 

The performance and potential matrix, commonly referred to as “the nine box”, is a simple yet effective tool used to assess talent in organizations.

It assesses individuals on two dimensions:-

• Their past performance.
• Their future potential.

Performance :-

It is the technical skills, abilities, and subject matter knowledge in job related field; ability to develop and maintain working relationships which incorporate DOHR’s values.

Potential :-

The ability or capacity for growth and development into a leadership role.

Leader :-

One who guides, directs, influences, and shows the way to others.

The X axis (horizontal line) of 3 boxes assesses leadership performance and the Y axis of 3 boxes (vertical line) assesses leadership potential. A combination of Y and X axis makes up the box within the grid that the leader is placed.

1A - High Performance/High Potential,

3C - Low Performance/Low Potential, etc...

1A. Outstanding Performance/High Potential:

Definition:

• Individual is developing faster than the demands of his/her current position and/or division.
• Individual has been given additional assignments and has demonstrated high-level commitment/achieved significant results.
• Individual is ready to broaden his/her skill set and take on significantly greater scope and responsibility.

How do I know?

• Consistently performs above and beyond the current scope of his/her job; excels when given additional assignments
• Consistently integrates behaviors associated with DOHR’s values; demonstrates behaviors associated with DOHR’s core competencies
• Consistently seeks new opportunities for learning, leadership development, and advanced experience
• Independently researches solutions to problems and makes recommendations for improvement toward organizational excellence
• Demonstrates systems thinking and agency impact
• Places DOHR’s success above personal achievement

2A. Outstanding Performance/Moderate Potential:

Definition:

• Individual performs well in his/her current job, makes valuable contributions and consistently demonstrates competencies required.
• May be ready to take on greater scope and responsibility in the next 12 months.

How do I know?

• Performing above expectations; however, manager is not certain about his/her capability to handle increased scope and complexity
• Demonstrated capability to take on more work or additional projects; willingly accepts new assignments of increasing difficulty level
• Seeks opportunities to improve both self and organization
• Shows understanding of organizational mission, values, and core competencies through demonstrated behaviors; seeks to integrate them into daily work.

3A. Outstanding Performance/Limited Potential:

Definition:

• Individual is performing well in his/her current job but needs to continue development in current role, or may have valuable technical skills but has not exhibited leadership potential.
• Individual has not demonstrated willingness to take on significantly greater scope and responsibility in the next 12 months.

How do I know?

• Performing at or above expectations
• Has not outgrown his/her current job and has growth opportunities within his/her role
• Seasoned professional with technical skills who does not currently exhibit capacity/desire for continued leadership development
• Understands that organizational mission, values, and core competencies are important but is still inconsistent in demonstration of behaviors and integration into daily work.

1 B. Good Performance/High Potential:

Definition:

Individual is contributing as expected and is meeting performance expectations. Individual may be ready to take on greater technical and/or leadership responsibility in the next 12-24 months.

How do I know?

• Solid performer; meets expectations
• A valued contributor to the team
• Demonstrates capacity for advancement
• Frequently demonstrates behaviors associated with DOHR’s values and core competencies
• Frequently seeks out new tasks, projects and other opportunities for growth

2B. Good Performance/Moderate Potential:

Definition:

Individual is currently meeting expectations but may not be willing or able to advance; may not be ready to absorb additional scope or complexity in the next 12-24 months.

How do I know?

• Individual is currently meeting expectations; Solid, consistent technical performance
• May lack demonstrated strategic thinking or relationship skills, may need additional time in current role
• Minimally expresses interest in expanded opportunities
• Demonstrated behaviors associated with DOHR’s values and core competencies are not consistent

3B. Good Performance/Limited Potential:

Definition:

Individual is currently meeting the expectations of his/her role. Individual is not prepared to absorb additional scope or complexity in the next 12-24 months.

How do I know?

• Currently meeting expectations; steady, dependable
• Currently performing up to his/her potential
• If current role changed or expanded in scope, responsibilities may exceed this individual’s capability at this time
• Demonstrated behaviors associated with DOHR’s values and core competencies are not consistent
• Does not exhibit interest in additional responsibility or leadership role

1C. Poor Performance/High Potential:

Definition:

Individual is not meeting the requirements in his/her current role. It is possible that individual could be more successful in the current role with more direction or in another role or division that more appropriately suits his/her skill set.

How do I know?

• Does not consistently perform to technical expectations
• Beginning to demonstrate understanding of how the organization operates
• Seeks opportunities for improvement
• May be new in role or new to organization

2C. Poor Performance/Moderate Potential:

Definition:

Individual has not been in the position long enough to adequately demonstrate his/her technical abilities, or may have lost pace with changes in the organization.

How do I know?

• Less than 6 months in position
• Longer term employee who has not progressed or adapted to changes within the organization
• Demonstrates understanding of how the division operates

3C. Poor Performance/Limited Potential:

Definition:

• Individual is not meeting performance expectations and there is still more to learn in the current position.
• There are questions about his/her ability to succeed in the current role long-term.

How do I know?

• Consistently underperforms in his/her role
• Having trouble keeping up with the demands of the current role
• Infrequently demonstrates the behaviors of DOHR’s values and core competencies
• Unwilling to take on additional responsibility.

What are the benefits? Why’s it so popular?

1. It’s simple and it works (95% of the time).

The beauty of the tool is in its simplicity and ease of use. With a little explanation and initial facilitation, managers usually can catch on pretty quickly. It helps overcome many of the common pitfalls when it comes to talent assessment, including:

- Overemphasis on current performance

- Overreliance on a single opinion

- A lack of assessment criteria, or inconsistent criteria

2. It’s cost-effective.

Actually, other than people’s time, or a paid facilitator, it’s free. There are other ways to assess potential – instruments and assessment centers are great – yet they are also expensive. If you can afford to send every manager through a $10,000 assessment center, then good for you. For the rest, this is the next best thing.

3. A catalyst for robust dialog.

It’s not about filling out the grid – it’s all about the discussion. It’s critical to keep that in front of you. Managers, in general, are not very skilled when it comes to assessing talent, and are very hesitant to discuss other manager’s employees, or hear feedback about their own. This tool helps provide a structured way to have those conversations in a professional, productive way.

4. Helps calibrate criteria and expectations.

Even if you don’t have clear, consistent, definitions of performance and potential going into a talent review, by using this tool, you will by the time you are done. If fact, for a lot of managers in the room, it’s the first time they’ve heard their own bosses’ expectations, so you’ll see them discreetly jotting down notes and assessing themselves. 

5. It’s more accurate than one person’s opinion.

The accuracy of assessing performance and potential improves with multiple data points. Managers often have blind spots with their own employees, and are unaware of how they are perceived by others. These discussions can help shine a light on superstars and poor performers.

6. Facilitates shared ownership, teamwork.

This is a ground rule for any talent management meeting and discussion: “We all, as a team, are collectively are responsible for building a stronger organization. We need to be candid, listen to each other, and help develop each other’s employees.”

In a functional or segmented organization, talent development is often one of the few things a management team can actually work on together.

7. A diagnostic tool for development.

A talent review meeting uncovers both individual and organizational strengths and weaknesses. The grid serves as a needs assessment for development actions that need to be taken.

How to use it:

1. Don’t do it alone for the first time.

The tool is best if used by a team and facilitated by someone who has experience with the process. This could be an HR person, OD consultant, or someone responsible for leadership development or succession planning. Once a team has used a couple times, they can usually do it themselves, but it still helps to have someone facilitate the dialog, take notes, etc…. If you are a talent management practitioner, try to shadow someone with expertise, hire someone to guide you through your first one, or at least work with someone to prepare you.

2. Have a pre-meeting.

You should present the tool and process to the team to make sure they all understand and buy in to the purpose and process. Don’t underestimate the amount of anxiety if a team has never done anything like this before (a ranking exercise). It’s best to decide ahead of time how performance will be assessed and how potential will be assessed. This is the time to establish ground rules as well, especially around meeting behaviors and confidentiality. 

3. Preparation.

Have each manager fill in a grid for their own employees and have the facilitator collect and consolidate them. You could also ask for any other relevant information, such as years in current position, diversity status, retention risk, or relocatability.

You can start with a 2-4 hour meeting, but it will usually take 1-2 follow-up meetings to finish. Bring copies of the consolidated grid for each participant. 

5. Getting started.

It’s easier picking someone in the 1A box (highest performance and potential) where you think there may be little disagreement. Ask the sponsor manager to explain the rationale for the assessment. Ask lots of why’s, then invite all others to comment. Don’t rush it, the benefit of this process is in the discussion. 

6. Establish your “benchmarks”.

After all have been heard from, if there is agreement, then you have a 1A benchmark, or poster child, for all others to compare against. If disagreement in perception, ask the sponsor manager if they want to change their mind based on the feedback – usually they do – but if not, leave it. Pick another name until you establish the benchmark. 

7. Discuss as many names as time allows.

You can then discuss rest of the names in the 1A box, then move to the bordering boxes (1B and 2A). Then move to the 3C box, and again, facilitate a dialog to establish another benchmark. Continue the discussion for each person, or as many as time permits. 

8. Move to development.

If time, or most likely at a follow-up meeting, the team can then discuss development plans for each leader. For succession planning, the focus should be on the upper right hand corner boxes (1A, 1B, and 2A) – this is your high potential pool.

9. Follow-up on a quarterly basis to monitor development plans. 

Repeat the assessment process at least once a year.

Regards,

Dr. Bassem Assi