<table>
<colgroup>
<col style="width: 36%" />
<col style="width: 1%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 7%" />
<col style="width: 19%" />
<col style="width: 0%" />
<col style="width: 6%" />
<col style="width: 0%" />
<col style="width: 25%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="10"><h1 id="national-institute-of-mental-health">National
Institute of Mental Health</h1>
<h2 id="national-institutes-of-health">National Institutes of
Health</h2>
<h1 id="individual-performance-plan">INDIVIDUAL PERFORMANCE
PLAN</h1></td>
</tr>
<tr class="even">
<td colspan="10"><h3 id="part-i-administrative-data">Part I –
Administrative Data</h3></td>
</tr>
<tr class="odd">
<td colspan="9"><p>Employee Name</p>
<p>     </p></td>
<td><p>Social Security Number</p>
<p>   -  -    </p></td>
</tr>
<tr class="even">
<td colspan="3"><p>Position Title</p>
<p>     </p></td>
<td colspan="4"><p>Pay Plan/Series/Grade</p>
<p>     </p></td>
<td colspan="3"><p>Date</p>
<p>     </p></td>
</tr>
<tr class="odd">
<td colspan="5"><p>Organization</p>
<p>NIMH/     </p></td>
<td colspan="5"><p>Covered by AD RS GM</p>
<p> GS WG/WL SL/ST</p></td>
</tr>
<tr class="even">
<td colspan="4"><p>Appraisal Period</p>
<p>From       To      </p></td>
<td colspan="2"><p>Rated Months</p></td>
<td colspan="4"><p>Number of Elements</p></td>
</tr>
<tr class="odd">
<td colspan="10"><h3 id="part-ii-plan-establishment">Part II – Plan
Establishment</h3></td>
</tr>
<tr class="even">
<td><p>Rater’s Name and Title</p>
<p>     </p></td>
<td colspan="7">Rater’s Signature</td>
<td colspan="2"><p>Date</p>
<p>     </p></td>
</tr>
<tr class="odd">
<td colspan="8"><p>Employee’s Signature</p>
<p>Copy of Plan given to employee </p></td>
<td colspan="2"><p>Date</p>
<p>     </p></td>
</tr>
<tr class="even">
<td colspan="10"><em><strong>Part III – Midyear Progress
Review</strong></em></td>
</tr>
<tr class="odd">
<td><p>Rater’s Name and Title – Midyear</p>
<p>     </p></td>
<td colspan="7">Rater’s Signature – Midyear</td>
<td colspan="2"><p>Date</p>
<p>     </p></td>
</tr>
<tr class="even">
<td><p>Reviewer’s Name and Title – Midyear</p>
<p>     </p></td>
<td colspan="7">Reviewer’s Signature – Midyear</td>
<td colspan="2"><p>Date</p>
<p>     </p></td>
</tr>
<tr class="odd">
<td colspan="8">Employee’s Signature - Midyear</td>
<td colspan="2"><p>Date</p>
<p>     </p></td>
</tr>
<tr class="even">
<td colspan="10"><em><strong>Part IV - Summary/Final
Rating</strong></em></td>
</tr>
<tr class="odd">
<td colspan="10">Appraisal Period (if different from above) From      
To      </td>
</tr>
<tr class="even">
<td colspan="5"> Acceptable EMPLOYEE MET OR EXCEEDED EXPECTATIONS</td>
<td colspan="5"> Unacceptable EMPLOYEE DID NOT MEET EXPECTATIONS</td>
</tr>
<tr class="odd">
<td colspan="2"><p>Rater’s Name and Title</p>
<p>     </p></td>
<td colspan="7">Rater’s Signature</td>
<td><p>Date</p>
<p>     </p></td>
</tr>
<tr class="even">
<td colspan="2"><p>Reviewer’s Name and Title</p>
<p>     </p></td>
<td colspan="7">Reviewer’s Signature</td>
<td><p>Date</p>
<p>     </p></td>
</tr>
<tr class="odd">
<td colspan="9"><p>Employee’s Signature</p>
<p>Copy of Plan given to employee </p></td>
<td><p>Date</p>
<p>     </p></td>
</tr>
<tr class="even">
<td colspan="10"><p><strong>Additional sheets may be attached to
document additional reviews.</strong></p>
<p><strong>EMPLOYEES ARE ENCOURAGED TO COMMENT ON ANY ASPECT OF THEIR
PERFORMANCE EVALUATION.</strong></p>
<p>EMPLOYEES MAY ATTACH A SEPARATE SHEET FOR THE RECORD.</p></td>
</tr>
</tbody>
</table>

NIMH 016

**NIMH PERFORMANCE MANAGEMENT PLAN**

PURPOSE: This plan outlines NIMH procedures for identifying performance
goals and monitoring and assessing performance.

COVERAGE: This plan applies to all General Schedule employees (including
GM employees covered by Public Law 103-89, the Performance Management
and Recognition System Termination Act of 1993), prevailing rate
employees, and senior-level, scientific and professional employees paid
under 5 U.S.C.5378.

APPROACH: This plan allows supervisors to choose the standardized
competency based appraisal or a traditional approach where they and
their employees develop the performance standard. Supervisors will
provide employees with a formal mid-year review and final rating.

APPRAISAL PERIOD: The appraisal period begins on January 1 and ends on
December 31. Employee must receive a plan within 30 days following the
plan establishment date. The minimum appraisal period is 120 days.

DOCUMENTATION AND RECORD KEEPING: Performance standards and ratings may
be documented in MS Word 97. NIMH supervisors will use this format to
identify and communicate performance standards; document the
progress/mid-year review; and record and communicate a final rating. The
final rating will be retained for four years in the NIMH Personnel
Office and a copy of the final rating will be given to the employee.

INDIVIDUAL PERFORMANCE PLAN:

1.  Each Individual Performance Plan must contain one or more critical
    elements. Non-critical elements will not be used.

2.  Two distinct levels, acceptable and unacceptable will be used to
    document performance. A written benchmark performance standard will
    be established for the acceptable level only.

3.  Leadership and supervisory (code 2) plans include EEO critical
    goals.

4.  The Reviewing Official must approve and sign Unacceptable progress
    reviews and final ratings.

REQUIREMENTS:

1.  To receive an overall ACCEPTABLE rating, all elements must be
    evaluated as ACCEPTABLE. An employee who receives an UNACCEPTABLE
    rating on one element will receive a final rating of UNACCEPTABLE.

2.  Performance in all positions (e.g., details or temporary promotions)
    will be considered in the final rating.

3.  An UNACCEPTABLE final rating must be well documented, specifically
    reflecting how the job performance failed to meet the acceptable
    level of the performance standard(s).

4.  Performance periods will be extended for employees who have not
    worked under a performance plan for the minimum period of 120 days.

5.  Supervisors should have regular discussions with employees to
    provide feedback on performance. One formal progress/mid-year review
    is mandatory for all employees.

6.  Results of external reviews (Board of Scientific Counselors or other
    peer reviews) can be factored into the final rating when they are
    timely. However, they cannot substitute for the supervisor's review
    and final rating.

7.  See the NIMH Performance Management System issuance for overall
    guidance and additional information and specifics regarding
    Unacceptable performance.

+-------------------------+--------------------------------------------+
| #                       |                                            |
|  Part V -- Job Elements |                                            |
+-------------------------+--------------------------------------------+
| ELEMENTS AND            | SUPERVISOR SHOULD PROVIDE DESCRIPTION OF   |
| PERFORMANCE STANDARDS   | ACCEPTABLE/UNACEPTABLE PERFORMANCE RATING  |
|                         | (CHECK ONE BOX FOR EACH ELEMENT)           |
+-------------------------+--------------------------------------------+
| ELEMENT 1: **TECHNICAL  | **PROGRESS:**                              |
| KNOWLEDGE**             |                                            |
|                         |                                            |
| [ACCEPTABLE             |                                            |
| PE                      | **FINAL:**                                 |
| RFORMANCE:]{.underline} |                                            |
|                         |                                            |
| Employee demonstrates   |                                            |
| sound                   | **MEETS OR EXCEEDS EXPECTATIONS DOES NOT   |
| technical/scientific    | MEET EXPECTATIONS**                        |
| knowledge and           |                                            |
| accomplished work       | **ACCEPTABLE** **UNACCEPTABLE**            |
| assigned, consistent    |                                            |
| with the employee's     |                                            |
| grade level including:  |                                            |
|                         |                                            |
| -   Decision            |                                            |
|     making/problem      |                                            |
|     solving: employee   |                                            |
|     obtains information |                                            |
|     necessary to make   |                                            |
|     decisions,          |                                            |
|     exercises           |                                            |
|     discretion and      |                                            |
|     sound judgement,    |                                            |
|     demonstrates        |                                            |
|     decisiveness        |                                            |
|     through             |                                            |
|     recommending        |                                            |
|     actions;            |                                            |
|                         |                                            |
| -   Quality of work:    |                                            |
|     work products are   |                                            |
|     accurate, clear,    |                                            |
|     and well organized; |                                            |
|                         |                                            |
| -   Comprehension:      |                                            |
|     understands routine |                                            |
|     and special         |                                            |
|     procedures;         |                                            |
|     properly operates   |                                            |
|     equipment;          |                                            |
|                         |                                            |
| -   Regulations and     |                                            |
|     policies: work is   |                                            |
|     performed within    |                                            |
|     established         |                                            |
|     standards.          |                                            |
+-------------------------+--------------------------------------------+
| ELEMENT 2: **ORGANIZING | **PROGRESS:**                              |
| SKILLS**                |                                            |
|                         |                                            |
| [ACCEPTABLE             |                                            |
| PER                     | **FINAL:**                                 |
| FORMANACE:]{.underline} |                                            |
|                         |                                            |
| Employee organizes,     |                                            |
| plans, prioritizes      | **MEETS OR EXCEEDS EXPECTATIONS DOES NOT   |
| work, and meets         | MEET EXPECTATIONS**                        |
| deadlines. Employee's   |                                            |
| organization skills may | **ACCEPTABLE** **UNACCEPTABLE**            |
| include:                |                                            |
|                         |                                            |
| -   Prioritizing:       |                                            |
|     manages work to     |                                            |
|     comply with         |                                            |
|     office/laboratory   |                                            |
|     policy and meets    |                                            |
|     customers' needs    |                                            |
|     (if applicable);    |                                            |
|                         |                                            |
| -   Planning:           |                                            |
|     accomplished long   |                                            |
|     and short term      |                                            |
|     planning to         |                                            |
|     facilitate specific |                                            |
|     assignments or      |                                            |
|     mission goals;      |                                            |
|                         |                                            |
| -   Meeting deadlines:  |                                            |
|     accomplishing tasks |                                            |
|     or goals within     |                                            |
|     established         |                                            |
|     deadlines.          |                                            |
+-------------------------+--------------------------------------------+
| ELEMENT 3:              | **PROGRESS:**                              |
| **COMMUNICATION**       |                                            |
|                         |                                            |
| [ACCEPTABLE             |                                            |
| PE                      | **FINAL:**                                 |
| RFORMANCE:]{.underline} |                                            |
|                         |                                            |
| Employee communicates   |                                            |
| in an organized, clear, | **MEETS OR EXCEEDS EXPECTATIONS DOES NOT   |
| and concise manner      | MEET EXPECTATIONS**                        |
| appropriate to the      |                                            |
| situation including:    | **ACCEPTABLE** **UNACCEPTABLE**            |
|                         |                                            |
| -   Written             |                                            |
|     Communication;      |                                            |
|                         |                                            |
| -   Verbal              |                                            |
|     Communication;      |                                            |
|                         |                                            |
| -   Accepts             |                                            |
|     constructive        |                                            |
|     feedback;           |                                            |
|                         |                                            |
| -   Provides effective  |                                            |
|     feedback.           |                                            |
+-------------------------+--------------------------------------------+

+-------------------------+--------------------------------------------+
| ELEMENTS AND            | SUPERVISOR SHOULD PROVIDE DESCRIPTION OF   |
| PERFORMANCE STANDARDS   | ACCEPTABLE/UNACEPTABLE PERFORMANCE RATING  |
|                         | (CHECK ONE BOX FOR EACH ELEMENT)           |
| (continued)             |                                            |
+-------------------------+--------------------------------------------+
| ELEMENT 4: **PLANS AND  | **PROGRESS:**                              |
| CONDUCTS HIGH QUALITY   |                                            |
| RESEARCH**(Independent  |                                            |
| Scientist only)         |                                            |
|                         | **FINAL:**                                 |
| [Independently and/or   |                                            |
| in collaboration with   |                                            |
| others, plans and       |                                            |
| conducts high quality   | **MEETS OR EXCEEDS EXPECTATIONS DOES NOT   |
| research in field of    | MEET EXPECTATIONS**                        |
| expertise, producing    |                                            |
| results which advance   | **ACCEPTABLE** **UNACCEPTABLE**            |
| the field in knowledge, |                                            |
| theory, technique, or   |                                            |
| product]{.underline}.   |                                            |
|                         |                                            |
| [ACCEPTABLE             |                                            |
| PE                      |                                            |
| RFORMANCE:]{.underline} |                                            |
|                         |                                            |
| Research problems must  |                                            |
| be appropriate to the   |                                            |
| state-of-the-art, the   |                                            |
| goals of the            |                                            |
| laboratory, and the     |                                            |
| mission of the DIRP;    |                                            |
| and must be achievable  |                                            |
| within available        |                                            |
| resources. The          |                                            |
| scientist must perform  |                                            |
| high quality research,  |                                            |
| employing rigorous and  |                                            |
| acceptable methods of   |                                            |
| planning,               |                                            |
| experimentation, data   |                                            |
| collection, analysis,   |                                            |
| and reporting. Results  |                                            |
| are expected to         |                                            |
| generate advances in    |                                            |
| knowledge, theory,      |                                            |
| technique, or product.  |                                            |
| Evidence of high        |                                            |
| quality research        |                                            |
| includes the following: |                                            |
|                         |                                            |
| -   Members of the      |                                            |
|     group are           |                                            |
|     frequently invited  |                                            |
|     to collaborate on   |                                            |
|     important problems, |                                            |
|     to participate in   |                                            |
|     major symposia, to  |                                            |
|     consult and /or to  |                                            |
|     lecture at other    |                                            |
|     research            |                                            |
|     institutions;       |                                            |
|                         |                                            |
| -   Receipt of honors   |                                            |
|     or awards;          |                                            |
|                         |                                            |
| -   High quality        |                                            |
|     research papers     |                                            |
|     documenting         |                                            |
|     findings are        |                                            |
|     produced in a       |                                            |
|     timely manner, in   |                                            |
|     numbers appropriate |                                            |
|     to the field and    |                                            |
|     the                 |                                            |
|     state-of-the-art,   |                                            |
|     and most are        |                                            |
|     published in        |                                            |
|     prestigious         |                                            |
|     referred journals;  |                                            |
|                         |                                            |
| -   Work is frequently  |                                            |
|     cited by other      |                                            |
|     scientists working  |                                            |
|     in the forefront of |                                            |
|     the field;          |                                            |
|                         |                                            |
| -   When applicable, a  |                                            |
|     favorable review by |                                            |
|     the Board of        |                                            |
|     Scientific          |                                            |
|     Counselors or other |                                            |
|     peer groups.        |                                            |
+-------------------------+--------------------------------------------+

Addendum to Individual Performance Plan

Program Objectives

1\) Apply technical knowledge effectively to reach or exceed expected
productivity.

2\) Work with appropriate level of independence and initiative to
minimize required supervision.

3\) Maintain up-to-date technical expertise through on-the-job
experience, coworker interactions, experimentation, self-study, or
formal training.

4\) Evaluate and recommend new techniques or technologies to increase
work efficiencies or improve work products.

Management Objectives

1\) Facilitate effective teamwork and organizational productivity by
maintaining pleasant work relationships, assisting coworkers, sharing
information, and providing constructive feedback.

2\) Participate in maintaining a clean, well-organized, and safe work
environment.

3\) Contribute to the prudent utilization of time, and monetary / space
resources.

4\) Support efforts to reduce paper-based transactions through the
increased application of information technology to automate
administrative and scientific processes.

5\) Comply with NIH and NIMH IT security policies and procedures.