Caltech 2011 Employee Review

INSTITUTE CONFIDENTIAL

EMPLOYEE INFORMATION

Employee Name      

Title      

Department      

Supervisor Name      

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Individual Job Objectives / Initiatives FY11

Individual Objectives / Target Actual Remarks FY10

Initiatives FY10 Completion Completion
Date FY10 Date FY10
(MM/YYYY) (MM/YYYY)

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TRAITS & CHARACTERISTICS DEFINITIONS

1. KNOWLEDGE OF WORK
Skills-Experience-Special Abilities
This factor concerns the employee’s knowledge of the elements that make up the job and the skills or special abilities required to carry
out the tasks with a high degree of competence. Disregard knowledge, skills, and abilities in unrelated work that does not affect
performance in this job.
 What degree of proficiency has the employee demonstrated in the skills required for the job?
 Can the employee perform any phase of the job and related work without assistance?
 Does the employee show a thorough knowledge of the procedures, processes, equipment, materials and practices relating to the
job?
 Does the employee possess the special abilities required or desirable for effective performance in his or her job?

2. QUALITY OF WORK
Consistency-Presentation-Accuracy-Thoroughness
Since concentration on details is of extreme importance in some positions, but in others means a misdirection of effort, it is essential
that the requirements of the position be used as the standard in reviewing “Quality” of work.
 Does the employee’s work have to be revised or redone; how free is it from mistakes or error?
 Does the employee’s work meet presentation requirements of the job?
 Is the employee’s work complete in all details, or is it frequently lacking in one or another aspect?
 How consistently is the quality of the employee’s work under varying conditions?

3. OUTPUT
Quantity-Results-Effectiveness-Speediness
Standard output will vary for different kinds and levels of positions. The supervisor should refer to the job description in determining a
reasonable standard.
 How does the volume of work completed during the review period compare with what was reasonable to expect?
 How effective was the employee in completing tasks on time, especially where stringent time limitations may have been involved?
 Does the employee achieve the expected results in completing assigned tasks?

4. COMMUNICATION
Clear-Concise-Courteous
A skilled communicator is an employee who initiates and shares information by expressing ideas, concepts, and technical or non-
technical data in a manner that is received through listening or verbal and written techniques.
 Can the employee communicate effectively with supervisors, associates, subordinates, customers and others?
 Can the employee write clearly and concisely using correct grammar?
 Is the employee courteous and helpful?
 Does the employee provide timely updates to supervisor on own initiative?
 Does the employee foster communication among work group members?
 Does the employee solicit input from the customer and actively listen to the customer needs?
 Does the employee respond appropriately and accurately to internal and external (if applicable) customers?

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5. COOPERATION
Willingness-Adaptability-Teamwork-Relationships
Cooperation is an essential ingredient of high-level performance and should be rated both in terms of how it is reflected in the
employee’s own work and in terms of the employee’s impact on those with whom he or she comes into contact or works with in the
course of activities.
 Has the employee shown eagerness to get the job done under varying circumstances?
 Will the employee modify his or her schedule or plan when needed to fit in better with the requirements of others, or due to a
change in conditions or schedules?
 Has the employee contributed to cooperation and good performance in his or her group?
 Can the employee be described as a “team player” or is he or she more productive working alone?
 Does the employee exhibit a good working relationship with customers?

6. DEPENDABILITY
Reliability-Discretion-Punctuality
A fully dependable employee is one who can be trusted completely and who can be relied upon at all times to do what is expected,
follows directions, asks questions when in doubt, carries out tasks conscientiously, and requires only limited supervision and follow-up.
 Can you have absolute confidence that you will get what you want when you want it?
 Can you depend on the employee to proceed on the tasks at hand and apply full effort, even though you are not “looking over the
employee’s shoulder”?
 Is the employee punctual in his or her work habits? Can the employee be counted on to put in a full day of work?
 Can the employee be relied upon to abide by generally accepted rules and standards and to use good judgment and discretion?
 Does the employee anticipate and meet the customer needs?

7. INITIATIVE
Self Starter-Problem Solver-Self Confident
Initiative considers the tendency to contribute to, develop and/or carry out new ideas or methods. The employee is aggressive in
seeking out and accepting responsibilities. The employee takes ownership of assigned projects, is energetic and zealous in the
performance of duties.
 Is the employee judicious in carrying out assignments without direction?
 Is the employee a solution seeker?
 Does the employee make practical suggestions?
 Does the employee identify new areas for opportunity?
 Does he or she apply new concepts and techniques?
 Does the employee continuously find new and better ways of performing the job?
 Does the employee display ingenuity in anticipating and meeting unexpected situations?

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8. PEOPLE MANAGEMENT
Supervising-Motivating- Leading: managers and supervisors only
A manager defines roles and responsibilities, motivates and challenges employees, delegates effectively, provides feedback and
coaching, evaluates performance, recognizes contributions, and manages collaboratively.
 Effectively resolves conflicts between the individuals’ needs and the requirements of the organization
 Encourages subordinates to take ownership of their projects thereby being accountable for the results
 Displays an effective productive management style
 Provides unity to the organization
 Achieves high productive output while maintaining high morale
 Encourages efforts toward common goals
 Provides subordinates with the resources to obtain results
 Gives clear direction
 Maintains high ethical standards
 Effectively manages change

9. OVERALL PERFORMANCE RATING

This determination constitutes the core of the review, and requires careful attention. It represents the supervisor’s judgment as to the
overall performance of the job’s responsibilities and requirements. In determining the overall evaluation, consideration should be given
to the relative importance of each key performance factor and the performance level definitions given on Page 6.

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PERFORMANCE LEVEL DEFINITIONS

Exceptional: One of the best I have ever supervised.

Leads the Way: Always or almost always demonstrates top performance. Often surpasses expectations for the
role. Regularly does more than what is required.

Effective: Achieves good results. Making a contribution that meets or exceeds operating and functional
requirements.

Developing: An acceptable / average level of performance. Meets expectations with supervisor’s effort and
guidance, however required to develop additional skills and areas of work.

Needs Improvement: An employee rated at this level is performing below the expectations. Effort, guidance,
and remedial action to be taken to improve the performance.

Unsatisfactory: An unacceptable level of performance. Employee does not fulfill basic requirements of the
position. Urgent remedial steps should be taken to address the deficiencies.

Not Applicable: This item does not apply to the employee’s position or role.

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Traits and Characteristics

The purpose of this section is to rate and evaluate the employee for competence,
strength, and qualities possessed by the employee relative to the requirements of the
job.

KNOWLEDGE OF Unsatisfactory Needs Developing Effective Leads Exceptional Not

Improvement the Way Applicable
WORK
Skills-Experience-Special Abilities

Comments

QUALITY Unsatisfactory Needs Developing Effective Leads Exceptional Not

Consistency-Presentation-Accuracy- Improvement the Way Applicable
Thoroughness

Comments

OUTPUT Unsatisfactory Needs Developing Effective Leads Exceptional Not

Quality-Results-Effectiveness-Speediness Improvement the Way Applicable

Comments

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COMMUNICATION Unsatisfactory Needs Developing Effective Leads Exceptional Not

Clear-Concise-Courteous Improvement the Way Applicable

Comments

COOPERATION Unsatisfactory Needs Developing Effective Leads Exceptional Not

Willingness-Adaptability-Teamwork- Improvement the Way Applicable
Relationships

Comments

DEPENDABILITY Unsatisfactory Needs Developing Effective Leads Exceptional Not

Reliability-Discretion-Punctuality Improvement the Way Applicable

Comments

INITIATIVE Unsatisfactory Needs Developing Effective Leads Exceptional Not

Self Starter-Problem Solver-Self Improvement the Way Applicable
Confident

Comments

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PEOPLE Unsatisfactory Needs Developing Effective Leads Exceptional Not

Improvement the Way Applicable
MANAGEMENT
Supervising-Motivating-Leading
Managers and supervisors
only
Comments

OVERALL Unsatisfactory Needs Developing Effective Leads Exceptional

Improvement the Way
PERFORMANCE
RATING

Comments

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Summary – FY11 Performance Appraisal

(To be completed by Supervisor)

Summary – FY11 Performance Appraisal

(To be completed by Employee)

___________________________________
Employee Acknowledgment/Date

___________________________________ ______________________
Preparer Signature/Date Reviewed by/Date
(Immediate Supervisor) (Next Level Management)

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Development Plan FY12

Skills and Knowledge to be Priority Action Plan FY11 Estimate Date of
developed FY11 FY11 Completion
(MM/YYYY)

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