Office of the CAO INDIVIDUAL PERFORMANCE PLAN & EVALUATION A) STATUS: PERFORMANCE PLAN _____ DATE: _____________ EVALUATION _____ DATE: ________________ TYPE OF PLAN: _____ INITIAL _____ ANNUAL _____ UPDATE TYPE OF EVALUATION: _____ ANNUAL _____ INTERMITTENT B) EMPLOYEE / RATER INFORMATION: EMPLOYEE'S NAME: __________________________________________________ Last First M.I. POSITION TITLE: __________________________________________________ OFFICE & AREA: __________________________________________________ POSITION APPOINTMENT DATE: __________________________ LAST PLAN UPDATE: __________________________ LAST EVALUATION DATE: __________________________ POSITION STATUS: _____ EXEMPT _____ NON-EXEMPT RATER'S NAME: __________________________________________________ Last First M.I. POSITION TITLE: __________________________________________________ C) PERFORMANCE PLAN CERTIFICATION: (Refer to sections D, E, and F) The Employee's and Rater's (immediate Manager/Supervisor) signatures confirm that both the Employee and Rater requirements contained herein have been jointly reviewed and agreed upon by both parties. EMPLOYEE SIGNATURE: ____________________________________ DATE: ____________________ RATER'S SIGNATURE: _______________________________________ DATE: ____________________ (IPPE) Employee Name: _______________________________________ Date: _____________________ D) POSITION RELATED EMPLOYEE REQUIREMENTS: Part 1: Employee Key Components/Tasks/Goals: Rater Requirements: Rater Comments: (Factors listed constitute Performance Plan) (To be completed when Plan/ (To be completed at time of Evaluation Factors are prepared) Rating) (IPPE) Employee Name: _______________________________________ Date: _____________________ D) POSITION RELATED EMPLOYEE REQUIREMENTS: (continued) Part 2: Employee One-Time/Incidental Tasks/Goals: Rater Requirements: Rater Comments: (Factors listed constitute Performance Plan) (To be completed when Plan/ (To be completed at time of Evaluation Factors are prepared) Rating) (IPPE) Employee Name: _______________________________________ Date: _____________________ E) EMPLOYEE TRAITS: Part 1: Knowledge, Skills, and Abilities: (Assessment should be based on Job Knowledge, Quality of Work, Communication Skills, Rater's Comments: Interpersonal Skills, Initiative, and Judgement / Decision Making, as well as Management / (Complete at time of Leadership Skills if in a Managerial or Supervisory position.) Performance Evaluation) Rater Requirements: (To be completed when Plan/Evaluation Factors are prepared) Part 2: General Characteristics: (Assessment should be based on such traits as Dependability, Adaptability, Attendance, Rater's Comments: Punctuality, and Professionalism.) (Complete at time of Rater Requirements: (To be completed when Plan/Evaluation Factors are prepared) Performance Evaluation) (IPPE) Employee Name: _______________________________________ Date: ____________________ F) PERFORMANCE PLAN COMMENTS: Rater's Comments: (Complete at time of Performance Plan' prior to the evaluation period) _________________________________________________________________________________________ Employee Comments: (Complete at time of Performance Plan, prior to the evaluation period) G) PERFORMANCE EVALUATION RATING: (Circle One) COMMENDABLE EFFECTIVE NEEDS IMPROVEMENT Rater's Comments: (Complete at time of Performance Evaluation -- Comments required for both "Commendable" and "Needs Improvement" ratings.) ________________________________________________________________________________________ Employee Comments: H) RATER'S RECOMMENDATION: (Awards, Recognition, Training) (IPPE) Employee Name: _______________________________________ Date: _____________________ I) PERFORMANCE EVALUATION CERTIFICATION: The Employee's signature does not necessarily imply that he/she agrees with this evaluation, but confirms that the contents have been reviewed and discussed with the rater (immediate manager/supervisor). EMPLOYEE SIGNATURE: _________________________________ DATE: ____________________ RATER'S SIGNATURE: ____________________________________ DATE: ____________________ * SENIOR RATER'S NAME: _______________________________________________________ TITLE: _________________________________________________________ SIGNATURE: __________________________________ DATE: ____________________ * SENIOR PERSONNEL OFFICIALS NAME: ______________________________________ DATE: ____________________ TITLE: _________________________________________________________ SIGNATURE: __________________________________ DATE: ____________________ (* In certain cases the senior rater and senior personnel official may be the same individual.) GENERAL INSTRUCTIONS: 1) The Individual Performance Plan and Evaluation (IPPE) is designed to be used as both a performance plan and evaluation. The rater should always be the employee's immediate manager/supervisor. The senior rater should be the rater's immediate manager/supervisor. 2) The IPPE should be used as a performance plan prior to the employees rating period; initially upon GENERAL INSTRUCTIONS: (continued) the employees appointment and on an annual basis thereafter. The plan should include both the requirements of the employee and the rater. When completed, the plan must be certified by both the employee and the rater. 3) The rating system is as follows: COMMENDABLE Recognizes Outstanding or Superior Performance EFFECTIVE Reflects Performance at the Required Level NEEDS IMPROVEMENT Performance is Below the Minimum Requirements or Satisfactory Level 4) All aspects of the IPPE afford the opportunity for both employee and rater comments. Rater's comments are encouraged for all ratings and are required for both "Commendable" and "Needs Improvement" ratings. In the case of a "Needs Improvement" rating, suggestions for improvement, to include position related training, should be provided. 5) After completing the performance evaluation the rater may make a recommendation. Recommendations may be submitted for meritorious increases, awards, recognition, career/skills training, performance related guidance, or other action. 6) When the employees evaluation has been completed, the IPPE must be signed by the employee, rater, senior rater and senior personnel official. (In certain cases the senior rater and senior personnel official may be the same individual.) 7) The employee is to be given copies of his/her IPPE for their records both at the time the performance plan is finalized as well as at the completion of the performance evaluation. Official copies of all documentation are to be kept on file by the rater and/or the departments administrative point-of-contact. _________________________________________________________________________________________________ SPECIFIC INSTRUCTIONS: The IPPE form has nine (9) sections, "A" through "I." These are defined as follows: A) STATUS: The rater should first designate if the action at hand is a performance plan or evaluation, and then further designate what type of plan or evaluation is being undertaken. B) EMPLOYEE / RATER INFORMATION: To be fully completed by the rater. C) PERFORMANCE PLAN CERTIFICATION: This certification, to be completed by both the employee and rater acknowledges that both parties have jointly reviewed and agreed upon the requirements of the plan, which ultimately is the basis of the employee's evaluation. (Refer to sections D, E, and F) D) POSITION RELATED EMPLOYEE REQUIREMENTS: Part 1: Employee Key Components/Tasks/Goals: Factors and requirements listed should be based on the employees primary duties as outlined in their position description. Part 2: Employee One-Time/Incidental Tasks/Goals: This section should identify/highlight special projects and/or miscellaneous responsibilities required by the employee during the rating period. Both Parts 1 & 2 should include "rater's requirements" which should address any type of support, ie. specialized training, instruction, or tools, which must be provided by the rater prior to or during the rating period in order for the employee to meet his/her performance requirements. The employee should not be rated on those factors SPECIFIC INSTRUCTIONS: (continued) for which he/she did not receive the support required. E) EMPLOYEE TRAITS: Part 1, Knowledge, Skills, and Abilities, and Part 2, General Characteristics, highlight several common employee traits which employee's should be aware of and rated on. To assist the rater and inform the employee, a list of definitions follows the instruction section of this form. As outlined in section D, both Parts 1 & 2 should include "rater's requirements" which should address any type of support, ie. specialized training, instruction, or tools, which must be provided by the rater prior to or during the rating period in order for the employee to meet his/her performance requirements. The employee should not be rated on those factors for which he/she did not receive the support required. F) PERFORMANCE PLAN COMMENTS: This section affords both the rater and the employee the opportunity to comment on the employee's performance plan, which ultimately is the basis of the employee's evaluation. G) PERFORMANCE EVALUATION RATING: This section is to be completed by the rater. Rater's comments are encouraged for all ratings and are required for both "Commendable" and "Needs Improvement" ratings. In the case of a "Needs Improvement" rating, suggestions for improvement, to include position related training, should be included. In conjunction with the rater's evaluation and comments, this section also affords the employee the opportunity to comment on their rating. H) RATER'S RECOMMENDATION: After completing the performance evaluation the rater may make a recommendation. Recommendations may be submitted for meritorious increases, awards, recognition, career/skills training, performance related guidance, or other action. I) PERFORMANCE EVALUATION CERTIFICATION: This certification, to be completed by both the employee and rater, does not necessarily imply that the employee rated agrees with the evaluation, but confirms that the contents have been reviewed and discussed with the rater. This certification also requires the endorsement of the senior rater as well as the appropriate designated senior personnel official. _________________________________________________________________________________________________ DEFINITIONS, Employee Traits: Knowledge, Skills, and Abilities: 1. Job Knowledge (Technical/Functional Expertise): Applies technical and procedural know-how to get the job done. Demonstrates job knowledge and skills essential to the effective performance of current position responsibilities. Serves as a resource for others and keeps informed of latest developments in area of specialty. Integrates new subject matter into existing operations. 2. Quality of Work (Work Results/Products): Employee completes assignments in a thorough and accurate manner regardless of volume. Strives for quality work and sets high standards for own performance. Puts forth extra effort to ensure quality work. 3. Communication Skills (Written/Oral): Able to convey information and ideas effectively. Listens effectively; responds clearly and directly. Uses appropriate vocabulary. Prepares clear, concise reports or records. Able to receive and/or give written and oral instructions as well as appropriately articulate ideas. 4. Interpersonal Skills (Human Relations): Works effectively with associates at all levels and responds DEFINITIONS, Employee Traits: (continued) positively to situations requiring internal cooperation. Interacts with coworkers, customers, and public with courtesy and tact. Able to focus on performance rather than personality in relating to others. Manages conflict with associates and customers and recognizes their own strengths and limitations. Able to function and cooperate in team efforts. 5. Initiative (Creativity): Assumes additional assignments and can be expected to follow through. Accepts responsibility for completion of work assignments and expends the effort and time to do the job well. Works steadily and strives to excel on the job. Applies and expands job knowledge and skills to address problems related to work assignments. 6. Judgment/Decision Making (Problem Analysis/Solving): Able to obtain and assess pertinent information and arrive at accurate conclusions. Clearly isolates and defines problem areas; evaluates and identifies alternative solutions. Exercise good judgment in taking appropriate action and makes sound decisions based upon available information; willingly makes necessary decisions related to job responsibilities. 7. Management/Leadership Skills: Assigns work based upon demonstrated skills and knowledge and in order to maximize group strengths. Involves employees in the identification and solution of work related problems. Promotes teamwork and cooperation. Clearly defines responsibilities with employees, delegates authority, and formulates clear group goals and objectives. Establishes and maintains performance standards, exercises discipline when necessary, and resolves conflict fairly and constructively. Trains, coaches, and develops subordinates and counsels employees in both positive and negative circumstances. Motivates employees to think and work independently and fosters team efforts and cooperation. Plans for and allocates resources to meet internal and external organizational objectives. General Characteristics: 1. Dependability: Consistent in performance of duties and adheres to project schedules and timetables. Organized in their work routine. 2. Adaptability: Able to handle a variety of tasks and willingness to perform them without much prompting or prodding. Maintains composure under pressure. Able to work with individuals and work teams outside area of routine job responsibilities. 3. Attendance and Punctuality: Adheres to organization leave policies and is consistently prompt in attendance. 4. Professionalism: Pursues goals with commitment and demonstrates pride in accomplishment. Willingly takes on responsibilities and participates as a team member. Encourages and provides ongoing information concerning decisions, problems, and successes regarding job responsibilities. Works within and supports organizational policies and guidelines. Considers organizational priorities in completing assignments.