Performance Plans: Communicating Your Specific Expectations

A performance plan lets you communicate your specific expectations for an employee.

What Is a Performance Plan?

A performance plan describes the results that a worker should achieve during an appraisal period. The appraisal period is the period during which the worker is expected to achieve the intended results. It usually lasts between 6 months (for newer workers) to 1 year (for more experienced workers).

Another term for the results stated in the performance plan is objectives. These objectives (called performance objectives) are expressed in observable measurable terms--as tangibly as possible, without being so specific that the plan cannot accommodate changes arising after the plan is set.

The objectives described in the performance plan should directly relate to the responsibilities described in the job description. Because these objectives are intended to guide or manage the worker's efforts during the appraisal period, a performance plan is called management by objectives.

The performance plan is formally written, but presented in a face-to-face meeting with the worker (even workers who work at different locations than their managers).

To be most effective, the performance plan should be given as early as possible in the appraisal period. That is, if the appraisal period runs from beginning of November in one year to the end of October in the next, the manager and employee should prepare a performance plan within the first month of the appraisal period (by the end of November).

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Purpose of a Performance Plan

The performance plan serves several purposes. They include:

• Observable, measurable goals (called objectives) to guide workers
• A tool that a manager can use to provide workers with intermediate feedback and assess their performance at the end of the appraisal period

Although most organizations only require that managers prepare performance plans for permanent employees, many managers also prepare performance plans for long-term contractors (those who will work 4 or more months). The performance plan allows a manager to clarify expectations for these temporary employees, increase the likelihood of their success, and enhance their feelings about the work experience.

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Format of a Performance Plan

Three to four sections, that include:

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Example of a Performance Plan for a Technical Writer

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Process for Writing a Performance Plan

Ideally, a performance plan is mutually negotiated between a manager and an employee at the beginning of an appraisal period. However, managers typically take most of the initiative with newer employees, who usually do not have experience with the performance planning process.

1. Determine the length of the appraisal period (the period of time that the objectives address) . Usually, the appraisal period is 6 months for workers who have been in a position for less than 1 year and 1 year for all other workers. Note, however, that each company usually has guidelines on this.
2. Prepare notes for the plan.
1. Identify the key "deliverables" that the employee should produce. Some of these might be ongoing, others may be one-time products. (Try not to list more than 4 or 5.)

2. After identifying the deliverables, identify 2 or 4 related responsibilities responsibilities.
3. Within categories, identify:
• Ongoing responsibilities to the business, such as keeping within 2 percent of an assigned budget. Each member of the organization has ongoing responsibilities to the business, but they vary based on the person's job
• One-time responsibilities
4. Identify ongoing responsibilities to co-workers, such as maintaining cooperative relationships and developing information sources.

(Each member of the organization has ongoing responsibilities to co-workers, but they vary based on the person's job.)

5. For each key area (the 2 you identified in step 2, as well as the ones named in steps 3 and 4), identify at least 3 criteria that you will use to assess performance.
6. f. Altogether you should have 3 or 4 key areas of responsibility, including business and work relationships.
7. Identify the priority of each of the 3 or 4 areas (1 or 2).

Notes:

• If you are writing a performance plan for a less experienced worker, you would most likely identify this list of deliverables on your own.
• If you are writing one for a more experienced worker, you should meet in person with the worker and develop the list together.
3. Draft the performance plan.
4. Review the plan to make sure that you have:
• Only 3 or 4 key areas with specific responsibilities in each
• Described all responsibilities in observable and measurable terms.
5. Check the plan
• Assess whether the worker can perform each of the responsibilities stated with the current skills and knowledge.
• Identify training and mentoring needed, or adjust the responsibilities.
• Assess whether the worker has the equipment and financial resources to perform the responsibilities in the performance plan. If not, either develop a plan to acquires these resources or adjust the plan.
6. In an in-person conversation, meet with the worker to review the completed plan and reach agreement on it. Note that the worker might request some adjustments. Once both of you agree to the plan, sign it and place it in the worker's personnel folder.

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Issues in Writing a Performance Plan

The tone of the performance plan should be positive. After reading it, workers should ideally feel that they can achieve the goals and that, in doing so, they will have meaningfully use their skills.

To emphasize the positive:

• State expectations in terms of observable and measurable products or outcomes, rather than broad but unmeasureable goals. For example, rather than state "develop technical knowledge of our products" describe what the worker should be able to do (such as install and customize the information without assistance).
• Avoid value words, such as excellent and quality. The definitions of these terms vary among individuals. Because definitions differ, the expectation the employee assumes might differ from the one that the manager has.

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(c) Copyright. 1999, 2000, 2001, 2002. Saul Carliner. All rights reserved.