SECTION 8.40 FREQUENTLY ASKED QUESTIONS
Last Update: 2/04
Responses to Questions about Implementing
the Revised Performance Evaluation Forms
We suggest you use the expectations on the revised forms. Even if the employee wasn’t aware of specific job expectations, these are so universal, everyone should already expect to perform them as part of their job. If possible, share these in advance with the employee. At this point, as you’re “catching up,” focus most on the future and what you expect from the employee in the next evaluation period. Also, be sure to include the relevant parts of the employee’s Position Description Questionnaire as a framework for the rating. If no PDQ exists, this is a good time to develop one.
2. If the employee hasn’t been evaluated for several years, what period of time should be covered in this evaluation?
Since the DAS-HRE Rules prescribe an “annual review,” the period of time covered by this evaluation should be no more than the previous twelve months.
3. Is an evaluation overdue if an employee didn’t receive one during the probation period but is still in their first year of employment?
Although not required by rule, all employees should receive a six-month evaluation at the conclusion of the probationary period to document why they should or should not attain permanent status.
We suggest you do two things. First, establish an Individual Performance Plan as soon as possible so they will know what the job expectations are. If they don’t have a PDQ yet, do that as well. Then, sometime during the first year of employment, evaluate them using that performance plan. Do a follow-up evaluation as they near the review date so that you can then move them to an annual performance review cycle.
4. What data will DAS-HRE be collecting on completed evaluations and how will this be done?
The data fields in HRIS include the evaluation period beginning date, the evaluation period end date, the overall rating, and the sign-off date of the reviewing official (person who writes the Evaluation). After the Evaluation has been signed by the supervisor, employee, and next level of higher management, a hard copy is to be forwarded to the personnel assistant for the official employee file. Upon receipt, the personnel assistant will enter these data.
5. How will the data collected by DAS-HRE be used?
Initially, we are mainly interested in establishing baseline data. We will use it to determine if all Evaluations that were due, were completed on time. We will also be able to gauge how soon after the end of the evaluation period Evaluations are completed.
6. Is it necessary for the next higher level of management to sign Part 1 of the revised form as it is completed?
We recommend they do so as a means of indicating they have been a part of the process of developing the Individual Performance Plan.
7. When do I start using the new version of the form?
You should begin using the new version of the form as the evaluation period ends for the employee at some point during FY ’04. Use the performance plan you developed on the former version of the form as the basis for the evaluation of the evaluation period just completed, then develop an Individual Performance Plan for the employee using the new form. The new form was implemented July 1, 2003, and should have been being used since then, as new evaluation periods started. Some evaluation periods won’t be ending until June 2004. Therefore, those employees won’t receive their Evaluation using the new form until June 2005. (Note: Charter agencies have been exempted from implementing the new form until July 1, 2004, if they choose.)
8. How do I know I have the most current version of the form to work with?
DAS-HRE maintains the most current version of the form on our website at http://das.hre.iowa.gov/performance_plan_and_evaluation.html. You can download the form from the Internet at any time. The version date of the form is listed in the bottom left-hand corner, in case you want to compare what’s on the Internet with other versions you may already have.
9. How do I arrive at an overall rating?
There is no set formula for arriving at the Overall Rating. It is not an average of the ratings of all the Individual Performance Strategies/Goals. The supervisor needs to consider which of the strategies/goals are most critical to the job, or if not done well, will negatively impact the job as a whole. See Pages 4-5 of “The Evaluation” on our Internet site,
http://das.hre.iowa.gov/docs/EDPD/TheEvaluation.doc.
10. Can I evaluate sooner than 12 months?
Yes. You can evaluate the employee as frequently as there is need to do so. We recommend it be done at least twice during the probationary period: approximately at the end of the first three months and then just before the end of the probationary period. You may also want to evaluate permanent employees more often than annually, especially when needing to monitor someone’s performance more closely to encourage improvement or when new tasks or projects are assumed. You may also need to evaluate the employee sooner if they transferred from another position/agency and did not receive an evaluation at the time that action became effective.
11. Can I have more than four individual performance strategies/goals?
Yes. The button at the top of the template that says “Add Goal” will allow you to do this. When downloading the form from the Internet and transferring it to your hard drive, be sure you save it correctly so this formatting remains. Before adding a fifth or sixth individual performance strategy/goal, or more, carefully consider whether it is truly needed. The more you add, the more the document starts to become a work plan or “to do” list rather than a performance plan and the less focus the employee will have on key results to be achieved.
12. What if the employee isn’t able to meet the Individual Performance Strategy/Goal through no fault of their own?
If it’s possible to update or revise the Individual Performance Plan during the evaluation period as changes occur which affect the employee’s performance, you should do so, making sure the employee receives a copy of the revised version. You may also refer to extenuating circumstances in the “Results” section of the Evaluation.
13. Do I have to update the Individual Performance Plan every year if the job doesn’t change?
Yes, although this may be no more than revising Part 1 to put in new evaluation period dates. Even though some state jobs don’t change much over time, it doesn’t hurt to discuss expectations for the year ahead with the employee. There may be changes in leadership or organizational philosophy that need to be discussed, even if job duties and responsibilities remain the same.
14. Do I have to do an Evaluation for someone who transfers or demotes to another unit?
Personnel Rule 13.2 requires that an evaluation be done for someone who transfers, promotes, or demotes to another position or unit. Even though the full evaluation period will probably not be over, this “closes out” the employee’s stint in the current position and provides documentation of their performance during the evaluation period to date. The employee will probably not receive an evaluation in the new position for another year. Not to provide an evaluation at this time means the employee could conceivably go almost two years without an evaluation. That shouldn’t happen.
February 2004