SECTION
8.20 OVERVIEW AND INSTRUCTIONS
Last
Update: 2/04
State of Iowa
Individual Performance Plan and Evaluation
Overview and Instructions
|
Overview 1.
The
Individual Performance Plan is completed by
the supervisor and discussed with the employee at the beginning of the
evaluation period. The Performance Plan includes all of Part 1 and the
Individual Performance Strategies (Goals), Action Steps, Performance
Criteria, and Timetables in Part 2. The current Position Description
Questionnaire (PDQ) may be attached or the tasks in Item 9 of the PDQ may be
cut and pasted directly into this form. The employee, supervisor, and manager
sign the Plan at the beginning of
the evaluation period. 2.
The
Performance Evaluation is completed by the supervisor
at the end of the evaluation period. The Evaluation includes the Results and
Rating for each Individual Performance Strategy (Goal) in Part 2 and Part 3. 3.
Part
1, Employee, Position and Agency Information, is for information and
alignment purposes. Key sections include:
State Vision, Enterprise Goal(s), Agency Strategic Plan Goal(s),
Performance Plan Core Function(s), Agency Mission Statement, and Job
Contributes to the Mission By. This information describes how the individual
position’s functions, duties and responsibilities, and goals align with the
overall purpose and strategic direction of the unit, the department and the
enterprise.
4.
Part
2, Alignment with the Agency Performance Plan, Strategies for this Rating
Period, focuses on specific strategies (or goals)
assigned to the individual for the evaluation period. It is suggested that
only 3-5 strategies (goals) be set. This form includes four, the fourth
intended as a “catch all,” if desired, to ensure all duties and
responsibilities assigned to the position have been carried out in accordance
with predetermined standards. To add Individual Performance Strategies
(Goals), click the “Add Goal” button on the
toolbar at the top of the form. Once inserted, however, the additional
strategies (goals) cannot be easily removed. 5. Part 3, Achievements, Strengths and Overall Rating – This emphasizes goal achievement, future goals, and employee development. The supervisor should complete the left column and bottom. The right column is an optional section which the employee may complete. |
PART 1 – EMPLOYEE, POSITION AND
AGENCY INFORMATION
Use the tab key to move through the document.
Name: Enter employee’s full name, first, middle
initial, and last.
Department: Enter department name.
Class Title: Enter official title
from the DAS-HRE Classification Plan.
Division/Bureau: Enter division and
bureau names.
Position Number: Enter 18-digit position number, using
hyphens.
Work Unit: Enter work unit
name, if applicable.
Period Covered: Enter MM/DD/YY to MM/DD/YY. The year will
automatically convert to four digits. It is recommended that the date signed at
the bottom of the Plan should be within one month of the starting date for the
period covered.
Work Location: Enter location most frequently used by your
department. This may be a building name, a portion of a large building, a
street address, or other.
Purpose:
Check the appropriate box using the enter key or space bar. “Other” may
include additional short-term evaluation periods or special purpose
evaluations.
State
Vision: As part of the enterprise strategic
planning process, a vision for state government was developed. The State of
Iowa vision, “Growing Hope and Opportunity,” has already been included on the
form.
Enterprise
Goal(s): The State of Iowa strategic plan (Vilsack-Pederson
Leadership Agenda) identifies the strategic goals for state government as a
whole. This plan and its accompanying
goals can be found at www.dom.state.ia.us. Your department's AGA coordinator can assist
in identifying enterprise goals that align with individual performance
plans. If the employee’s work
contributes directly or indirectly to any of the enterprise goals, please list
them in this section of the Individual Performance Plan. There may be departments,
units or individual positions that do not relate directly to an enterprise
goal. In these cases, place “N/A” in this field.
Agency
Strategic Plan Goal(s):
Each department
has an agency strategic plan that aligns agency goals
and strategies with customer needs to target resources more effectively. If
the employee’s work contributes directly or indirectly to any of the agency
strategic plan goals, please list them in this section of the Individual
Performance Plan.
Performance
Plan Core Function(s):
Each department
has an agency performance plan that facilitates informed decision making, helps
to assess progress toward the achievement of goals, identifies improvement
opportunities and tells Iowans and other stakeholders
what was accomplished.
As part of the performance planning
process, agencies have identified agency core function(s) from the standardized list of core functions for the State of
Iowa. Core functions are also
included in the agency strategic plan. Please list the core function(s) that the
employee’s work contributes to in this section of the Individual Performance
Plan.
Agency Mission Statement: Enter your department’s mission statement.
For large departments, the division or unit mission statement may be more
appropriate. The purpose is to tie the duties performed by the position and the
results expected to the mission of the broader organization. If a unit smaller
than the department is used, this should be specified.
Job Contributes to the Mission by: This section is very important in helping
the employee understand how his or her job fits into the overall purpose of the
department. Where applicable, this may include reference to an Enterprise Goal
and/or Leadership Goal from the Governor’s Leadership Agenda, as well as a
specific goal/objective in your department’s strategic plan.
Work Performed/Core Responsibilities (activities, services
provided and/or products produced by the position): It
is suggested that you cut and paste Item 9 from the employee’s PDQ here, or you
may attach a copy of the PDQ if you are completing the Plan and Evaluation on
paper. This section is included to help the employee and the supervisor focus
specifically on the job being reviewed.
The Individual
Performance Plan for this period has been discussed by the employee and the
supervisor:
This section includes the sign-offs and dates of sign-off for the
employee, the supervisor and the next higher level of management. This section
should be signed or so noted by the supervisor the date it was discussed with
the employee at the beginning of each rating period, even if the job changes
little from one rating period to the next. The reason for this is to ensure
that, on an ongoing basis, the employee understands his/her expectations and
that the employee and supervisor continue to discuss those expectations.
PERFORMANCE PLAN:
Individual Performance Strategy (Goal): In this
section, list the 3–5 key strategies the individual is to focus on during the
evaluation period. Each strategy should in some way link to the agency’s annual
performance plan or agency mission statement. For more information on how to
develop individual performance strategies, see “The Individual Performance
Plan” at:
http://www.das.hre.iowa.gov/performance_plan_and_evaluation.html
Action Steps: The
strategy tells the employee “what” he or she will be rated on for the evaluation
period. Action steps provide more specific direction as to how the supervisor
sees the strategy being achieved and help the employee plan what needs to be
accomplished. Action steps may refer to “services provided,” “products
produced,” or “actions to be taken.” Like the rest of the form, this section is
expandable so that as many steps can be listed as are appropriate to the
strategy envisioned. For more information on writing action steps, see “The
Individual Performance Plan” on the website noted above.
Performance Criteria: Performance
criteria are the standards, measures, targets, and other criteria the
supervisor will use to determine if the employee met, exceeded, or did not meet
the expectations of the stated strategy and action steps. The definitions of
“measure” and “targets” are the same as those used for the agency performance
plan. The types of criteria used in this section have been left deliberately
broad to provide the kind of flexibility needed for the wide spectrum of jobs
in state government. However, the supervisor should strive to be as specific as
possible as far as critical success factors are concerned. See the Individual
Performance Plan examples and “The Individual Performance Plan” on the website
noted above for more specifics.
Timetable: Generally,
the timetable is either a completion date or milestone date for an individual
action step, although other time references may be used, particularly when they
are related to other actions the employee does not initiate, such as: (Completes
action step) within x hours of receipt, (completes action step) according to
time frames specified by law, or completion date to be set upon completion of
work plan. Other examples of timetables include: ongoing, monthly, at least x
times monthly, as required.
Timetables should be treated as absolutes, not
desirables. That’s the only way the supervisor can objectively determine if the
employee accomplished the strategy (goal) as intended. Timetables can be
changed throughout the evaluation period if the circumstances warrant it, but
the changes should be noted on the Individual Performance Plan and discussed
with the employee at the time they are made.
EVALUATION: This part is completed by the
supervisor at the end of the evaluation period.
Results:
Describe the results achieved by the
individual during the evaluation period according to the action steps,
performance criteria, and timetables set in the Individual Performance Plan.
Each box in this section is expandable, so there is room for whatever needs to
be said to adequately cover the results. Something should be written for
“Results” for each individual performance strategy (goal). Results described
need to be clear, objective, and succinct. For a more in-depth discussion of
this part of the process, see “The Evaluation” at the website noted above.
Rating: Each individual performance strategy is
rated. The rating levels are:
Meets
Expectations – Performance consistently fulfills
the job requirements and expectations (strategies/goals, action steps,
performance criteria, and timetables). The employee is doing the job expected
for employees in this classification.
Exceeds
Expectations – The employee consistently performs
well beyond expectations (strategies/goals, action steps, performance criteria,
and timetables) and does outstanding work.
Does
Not Meet Expectations – Performance does not consistently
meet expectations (strategies/goals, action steps, performance criteria, and
timetables).
“Exceeds Expectations” has
been included to emphasize the State’s expectation of continuous improvement
and high quality performance. A rating of “Exceeds Expectations” requires
specific examples under “Results” of how the employee frequently went above and
beyond in accomplishing the strategy, action steps, performance criteria, and
timetables. To place the X in the
rating box, advance the cursor to the rating to be given and hit either the
enter key or the space bar.
When a rating of
“Does Not Meet Expectations” is given, it should not be the employee’s
first notice that his or her performance needs to improve in this individual
performance strategy (goal). At the very least, the supervisor should have met
with the employee soon after the performance problem became evident. The
supervisor should have provided the employee with concrete examples of how the
performance was lacking as well as provided guidance and examples of how the
performance should improve.
This
section is completed at the end of the evaluation period. The supervisor
should complete the “Supervisor’s Comments” on the left side. The “Additional
Comments” box is optional. The employee
may choose whether or not to complete any of the “Employee Comments” sections
on the right side. Although employees are strongly encouraged to sign the
Evaluation, it is not mandatory. In such cases, the supervisor includes a note
on the Evaluation indicating that the employee refused to sign and dates and
initials that. This section is in expandable format in case additional space is
needed.
SUPERVISOR’S COMMENTS: This section should be completed
by the supervisor.
Achievements and Strengths: Though Part 2 is the main area of
performance rated, frequently, the supervisor will have additional comments to
make about the employee’s performance. This segment is for the positives, both
accomplishments of the individual as well as their strong points on which
future development may be based.
Additional comments: This space is provided for any other
information, stated in objective terms, the supervisor wants to include that
was not addressed elsewhere in the evaluation.
Development Plans: This segment can be used more
than one way. In cases where performance meets or exceeds expectations, this
section could describe areas for career growth and enrichment. In cases where
performance improvement is needed, it can spell out how that should be
accomplished. Generally, one or two competencies may need strengthening in some
way. Sometimes, other types of action steps may play into the development plan.
The Individual Development Plan may be confined to this segment of the
performance evaluation, or this may simply outline the major points to be
covered and discussed more thoroughly in a separate, more comprehensive development
plan. A development plan model, “The Individual Development Plan,” is available
on the Performance Evaluation website noted above.
EMPLOYEE’S COMMENTS: This
section is optional, but the employee is encouraged to complete it.
My noteworthy achievements: In this section, the employee lists
accomplishments during the rating period which she or he would like recognized.
If this section does not reflect what the supervisor listed in the rest of the
evaluation, it is important that this difference in perspectives be addressed
in the performance meeting between the supervisor and the employee.
ADDITIONAL COMMENTS: This space is provided for any other
information the employee wants to include that was not addressed elsewhere in
the evaluation.
Support I need to improve my
performance: In this section, the
employee reflects on his or her past performance as a basis for what the
department could do to help improve it. This may also refer to the proposed
Individual Development Plan.
OVERALL RATING: The supervisor will mark “Exceeds
Expectations,” “Meets Expectations,” or “Does Not Meet Expectations” here. The
overall rating should reflect the majority of ratings for the individual
performance strategies (goals) or the rating(s) of the most critical strategy. Depending
on the unique elements of the job, one or more individual performance
strategies (goals) may be “weighted” heavier than the others. If this is the
case, these weightings should be shared with the employee at the beginning of
the performance period when the Individual Performance Plan is discussed.
Ultimately, the supervisor must use her or his best judgment to determine the
overall rating and be prepared to discuss this reasoning with the employee.
EVALUATION SIGN-OFFS: Signatures and dates signed by the
supervisor and next higher level of management must be included here before the
evaluation becomes final. (The employee is strongly encouraged to sign, but the
employee’s signature is not mandatory.) As a general rule, the Evaluation
should be finalized within thirty days after the end of the evaluation period.
RECOMMENDED ACTIONS: This section provides a place for the
supervisor to indicate follow-up actions for the personnel assistant. For
non-contract positions only, a salary increase may be indicated by checking the
Yes or No box. For contract employees, leave both boxes blank. If this is a
review done at the end of the probationary period and the employee is to become
permanent, check the Permanent Status box (this applies to both non-contract and
contract-covered employees). “Other” may include the amount of the pay increase
or other types of follow-up actions the supervisor wants to document and bring
to the attention of the personnel assistant.
NEXT STEPS
Once
the supervisor has completed the Evaluation, the next higher level of
management reviews it and may add comments. Once both the supervisor and the
next higher level of management agree on the content, they both sign and date
the Evaluation. The supervisor sets up a meeting with the employee to go over
the supervisor’s comments. The next higher level of management may also elect
to attend this meeting. Generally, the Evaluation is given to the employee to
review prior to the meeting so she or he has a few days to reflect on what has
been said. Though this form is in electronic format, the supervisor should
provide it to the employee as hard copy.
At
the time of the performance meeting, the supervisor may have already prepared
the Individual Performance Plan for the next evaluation period for the employee
to review. This tends to be the case if the job expectations do not change much
from year to year. Another option is to wait until the meeting has taken place
to develop the Individual Performance Plan, so areas discussed in the meeting can
be incorporated.
The supervisor and employee do not have to be in agreement
about all areas of the Evaluation. The employee signs to the effect that “the
Performance Plan for this period has been discussed by the employee and
supervisor” (this is not mandatory). Areas of disagreement may be included in
the “Employee’s Comments” section of Part 3. Once the employee has signed and
dated the document (or the supervisor has indicated the employee refused to
sign), the supervisor forwards a hard copy to the personnel assistant to retain
in the department’s official personnel files. The employee is given a signed
and dated hard copy of the final document.
Once the Evaluation has been completed, it is should not be
filed away and forgotten. Instead, it should serve as an ongoing means of
managing performance and basis for future development. Employee strengths and
areas needing improvement, once identified through the Results, Ratings, and
other performance-related comments in the Evaluation should serve as the foundation
of the next individual performance plan and the Individual Development Plan.
DAS-HRE tracks performance evaluation completion to help
ensure that all employees receive an annual performance evaluation. Tracking is
based on the “Evaluation Date” data field, which is the date the supervisor
signs the Evaluation.