PRIVATE

BROOKHAVEN NATIONAL LABORATORY

# Exempt Employee Goal Planning and Performance Appraisal 

  -------------- ---------------------------- --------------------- ------------------
  **Employee's                                **Life Number:**           
  Name:**                                                           

  **Job Title:**                              **Dept./Division:**        

  **Period of          * *                    **Date:**                  
  Appraisal:**                                                      

  **Reviewer's                                **Title:**                 
  Name:**                                                           
  -------------- ---------------------------- --------------------- ------------------

**Abbreviated instructions for completing the goal planning and
performance appraisal can be found on the last page. For complete
instructions refer to SBMS [Section 2. Conducting Performance Appraisals
for Exempt
Employees](https://sbms-authqa.bnl.gov/standard/1s/1s02d011.htm) in the
[Performance
Appraisals](https://sbms-authqa.bnl.gov/standard/1s/1s00t011.htm)
subject area. For instructions on establishing performance goals and
measures refer to the SBMS [Performance Goals and Measures for
Employees](../../../../../../../../standard/1e/1e00t011.htm) subject
area.**

+-----------------------------------------------------------------------+
| **I.** **Goal Planning and Appraisal:**                               |
+-----------------------------------------------------------------------+
| Goal A:                                                               |
|                                                                       |
| ###                                                                   |
|                                                                       |
| ### Measure:                                                          |
|                                                                       |
| Metrics:                                                              |
+-----------------------------------------------------------------------+
| Additional input may be obtained from:                                |
|                                                                       |
| Reviewer\'s appraisal of Performance on Goal A:                       |
+-----------------------------------------------------------------------+
| Performance Level:                                                    |
+-----------------------------------------------------------------------+
| Goal B:                                                               |
|                                                                       |
| ###                                                                   |
|                                                                       |
| ### Measure:                                                          |
|                                                                       |
| Metrics:                                                              |
+-----------------------------------------------------------------------+
| Additional input may be obtained from:                                |
|                                                                       |
| Reviewer\'s appraisal of Performance on Goal B:                       |
|                                                                       |
| Performance Level:                                                    |
+-----------------------------------------------------------------------+
| **Note:** *Performance Levels: DP (Distinguished Performer), SP       |
| (Superior Performer), EP (Effective Performer), NI (Needs             |
| Improvement), or UP (Unacceptable Performer).* Refer to exhibit       |
| [Metrics for Evaluating Performance on Individual Goal                |
| Achievement](https://sbms-authqa.bnl.gov/standard/1s/1s04e011.htm).   |
+-----------------------------------------------------------------------+
|                                                                       |
+-----------------------------------------------------------------------+
| Goal C:                                                               |
|                                                                       |
| ### Measure:                                                          |
|                                                                       |
| Metrics:                                                              |
|                                                                       |
| Additional input may be obtained from:                                |
+-----------------------------------------------------------------------+
| Reviewer\'s appraisal of Performance on Goal C:                       |
|                                                                       |
| Performance Level:                                                    |
+-----------------------------------------------------------------------+
| Goal D:                                                               |
|                                                                       |
| ### Measure:                                                          |
+-----------------------------------------------------------------------+
| Metrics:                                                              |
|                                                                       |
| Additional input may be obtained from:                                |
|                                                                       |
| Reviewer\'s appraisal of Performance on Goal D:                       |
|                                                                       |
| Performance Level:                                                    |
+-----------------------------------------------------------------------+
| ### Goal Signatures                                                   |
|                                                                       |
| ### Employee\'s                                                       |
| Signature: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| ### Reviewer\'s                                                       |
| Signature: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
| \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
|                                                                       |
| Senior Reviewer\'s Signature:                                         |
| \_\_\_\_\_\_\                                                         |
| _\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ |
| Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_                                  |
+-----------------------------------------------------------------------+
| **Note:** *Performance Levels: DP (Distinguished Performer), SP       |
| (Superior Performer), EP (Effective Performer), NI (Needs             |
| Improvement), or UP (Unacceptable Performer).* Refer to exhibit       |
| [Metrics for Evaluating Performance on Individual Goal                |
| Achievement](https://sbms-authqa.bnl.gov/standard/1s/1s04e011.htm).   |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **II. Additional Goals: *Use this page and copies of it to document   |
| additional goals***                                                   |
+-----------------------------------------------------------------------+
| Goal   :                                                              |
|                                                                       |
| ### Measure:                                                          |
|                                                                       |
| Metrics:                                                              |
|                                                                       |
| Additional input may be obtained from:       Reviewer\'s Initials:    |
|       Employee\'s Initials:       Date:                               |
|                                                                       |
| Reviewer\'s evaluation of Performance on Goal   :                     |
|                                                                       |
| Performance Level:                                                    |
+-----------------------------------------------------------------------+
| Goal   :                                                              |
|                                                                       |
| ### Measure:                                                          |
|                                                                       |
| Metrics:                                                              |
|                                                                       |
| Additional input may be obtained from:       Reviewer\'s Initials:    |
|       Employee\'s Initials:       Date:                               |
|                                                                       |
| Reviewer\'s evaluation of Performance on Goal   :                     |
|                                                                       |
| Performance Level:                                                    |
+-----------------------------------------------------------------------+
| **Note:** *Performance Levels: DP (Distinguished Performer), SP       |
| (Superior Performer), EP (Effective Performer), NI (Needs             |
| Improvement), or UP (Unacceptable Performer.* **Refer to exhibit**    |
| [Metrics for Evaluating Performance on Individual Goal                |
| Ac                                                                    |
| hievement](https://sbms-authqa.bnl.gov/standard/1s/1s04e011.htm)**.** |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **III. Responsibilities and Other Significant Achievements:** *To be  |
| completed by the employee, attach additional sheets as necessary.*    |
|                                                                       |
| -   Attach current R2A2 and list new responsibilities that may have   |
|     been assigned during the year.                                    |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   ***Optional*:** List significant achievements for the past year   |
|     such as a summary of research accomplishments, peer reviewed      |
|     publications, professional recognition, committee memberships,    |
|     other professional activities, evidence of creativity, etc. Also  |
|     include any unanticipated accomplishments.                        |
|                                                                       |
|                                                                       |
+-----------------------------------------------------------------------+

  -------------------------------------------------------------------- ---------------
                                                                       

  **IV.a.** **Performance Factors:**                                   **Performance
                                                                       Levels:**

  Productivity and Reliability - Performs job in a timely manner,        
  sometimes under pressure, with attention to quality factors and      
  quantity of output; meets expected standards for the job.            

  Job Knowledge - Effectively analyzes the job and understands and       
  applies the principles and processes necessary to accomplish         
  assignments. Ensures that certifications and qualifications are kept 
  current.                                                             

  Compliance - Complies with Laboratory Policies, standards and          
  regulatory requirements.                                             

  Safety and the Environment - Maintains hazard free workplace. Makes    
  management aware of any unsafe conditions, potential hazards and     
  environmental concerns. Minimizes hazardous waste. Maintains initial 
  and re-qualification training requirements. Refer to the [Metrics    
  for Evaluating Performance on                                        
  Safety](https://sbms-authqa.bnl.gov/standard/1s/1s06e011.htm).       

  Planning & Organizing - Devises ways and means to get work done;       
  sets demanding but realistic goals; determines the best method of    
  analyzing work or assigning facilities to accomplish the established 
  objectives; and monitors the progress of the work.                   

  Problem Solving and Decision Making - Analyzes problems, defines a     
  course of action, comprehends ramifications of changes and           
  decisions, and assumes the responsibility for carrying out the       
  decision.                                                            

  Communication - Gathers and communicates timely and pertinent          
  information clearly, concisely, and directly in writing or orally.   

  Creativity - Generates new ideas; is innovative, resourceful and       
  versatile.                                                           

  Motivation - Maintains high personal standards, commitment to task     
  and to colleagues, and shows substantial enthusiasm and initiative   
  in work.                                                             

  Interpersonal Skills/ Teamwork - Cooperates and interacts              
  effectively with co-workers and others.                              

  Resources Utilization - Minimizes hazardous waste, is aware of         
  environmental impact of work, applies pollution prevention           
  techniques and uses funds, staff, and equipment economically and     
  effectively.                                                         

  Attendance - Is dependable in following assigned schedule and work     
  hours; plans for absences in advance (when possible) and ensures     
  that they are not excessive or unreasonable. Refer to the [Metrics   
  for Evaluating Performance on                                        
  Attendance](https://sbms-authqa.bnl.gov/standard/1s/1s05e011.htm).   

  **IV.b.** **Supervisory Performance Factors:**                       **Performance
                                                                       Levels:**

  Leadership - Plans, guides, directs, and motivates the actions of      
  individuals and groups toward organizational objectives. Effectively 
  advocates for employees to management.                               

  Supervisory Communication - Informs staff on matters affecting them    
  and their work in a timely manner. Provides clear instructions, and  
  provides regular and frequent feedback on performance to employees.  
  Conveys importance of each employee's work.                          

  Safety and the Environment - Administers Laboratory Safety             
  Procedures. Responds immediately when there are unsafe conditions or 
  practices. Takes action to prevent accidents and injuries and their  
  recurrence. Works to minimize hazardous waste. Ensures mitigation    
  for all identified hazards. Ensures that staff maintain initial and  
  re-qualification training requirements.                              

  Development of Staff - Identifies potential of staff and               
  recommends/provides training and development. Ensures staff is       
  competent, trained and qualified for assigned work. Rewards          
  effective performance.                                               

  Work Distribution and Control - Assigns resources and                  
  responsibilities to employees with proper authority. Monitors        
  progress and reviews for completeness and accuracy. Ensures          
  compliance with Laboratory Policies, Standards and Procedures.       

  Interpersonal Skills - Openly receives new ideas and suggestions.      
  Resolves conflicts effectively.                                      

  Equal Employment Opportunity - Takes initiative and assumes            
  responsibility for resolving EEO concerns, and actively supports     
  affirmative action recruitment strategies.                           

  **Note:** P*erformance levels: DP (Distinguished Performer), SP      
  (Superior Performer), EP (Effective Performer), NI (Needs            
  Improvement), or UP (Unacceptable Performer).*                       
  -------------------------------------------------------------------- ---------------

+-----------------------------------------------------------------------+
| V. Summary Performance Level.                                         |
|                                                                       |
| To determine the overall Summary Performance Level, the Reviewer      |
| should base the Summary Performance Level primarily on performance    |
| levels assigned in Sections I, II, and IV using performance against   |
| goals and objectives as the most important component of performance.  |
| Formulate an initial Summary Performance Level by matching overall    |
| performance with the Summary Performance Level definitions found      |
| below. Next consider the performance level ratings for the key        |
| performance factors in Section IV and modify the initial Summary      |
| Performance level if, when taken as a whole, the performance factors  |
| are sufficiently different and important.                             |
|                                                                       |
| Summary Performance Level Definitions:                                |
|                                                                       |
| **DP** (Distinguished Performer) = Unusually high level of            |
| performance. Consistently and markedly exceed job level expectations  |
| in all goals and performance factors Employee's performance level is  |
| an exceptional level seldom equaled by other Laboratory employees at  |
| the employee's job level with similar work assignments. Customarily   |
| given the most challenging and diverse assignments for the employee's |
| job level. The DP level of performance should be assigned only as an  |
| exception. If the employee is assigned a level DP, provide reasons in |
| the \"Additional Comments\" section.                                  |
|                                                                       |
| **SP** (Superior Performer) = Clearly and markedly exceeds job level  |
| expectations on a regular basis in all goals and key performance      |
| factors.                                                              |
|                                                                       |
| **EP** (Effective Performer) = Meets job level expectations on a      |
| regular basis in all goals and key performance factors. Some areas of |
| performance may exceed expectations. Accomplishes all assigned        |
| objectives typical of employee's job level. A performance factor      |
| rating of NI (Needs Improvement) in a non-key area may be assigned    |
| without impacting overall level of acceptable performance. Most fully |
| qualified employees at BNL are expected to fit this performance       |
| level.                                                                |
|                                                                       |
| **NI** (Needs Improvement) = Performance on one or more goals or key  |
| performance factors do not meet job expectations. Improvement is      |
| clearly required. Often achieves expected performance for many        |
| factors. Improvement goals are required in areas of performance that  |
| are deficient.                                                        |
|                                                                       |
| **UP** (Unacceptable Performer)= Performance in one or more goals or  |
| key performance factors does not meet minimum job expectations.       |
| Improvement is required to maintain employment with the Laboratory.   |
|                                                                       |
| **Additional Comments:**                                              |
|                                                                       |
| **Summary Performance Level:   **                                     |
+-----------------------------------------------------------------------+

**Appraisal Signatures**

### Reviewer\'s Signature: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

### Senior Reviewer\'s Signature: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

  -----------------------------------------------------------------------
  **VI. Employee's Comments** (optional)**:      **

  -----------------------------------------------------------------------

**\*Employee Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

\* Your signature indicates neither agreement nor disagreement with the
appraisal, but it does indicate that you have read the appraisal and it
has been discussed with you.

***Procedure for administering the employee goal planning and
performance appraisal:***

1.  *At the start of the performance period, define goals, measures, and
    metrics in Section I (and II, if needed). If additional goals are
    set during the year, employee and reviewer should document these on
    the current performance period form, and initial and date each goal
    as it becomes established.*

2.  *At the close of the performance period, the employee completes
    Section III by attaching the current R2A2 and by listing new
    responsibilities that may have been assigned during the performance
    period. It is optional for the employee to list significant
    achievements.*

3.  The reviewer completes Sections I,II, and IV using performance
    levels defined in the table below for each goal and performance
    factor:

+--------------------+-------------------------------------------------+
| ####               | #### Definition                                 |
|  Performance Level |                                                 |
|                    | Outstanding                                     |
| DP (Distinguished  |                                                 |
| Performer)         |                                                 |
+--------------------+-------------------------------------------------+
| SP (Superior       | Exceeds expectations on a consistent basis      |
| Performer)         |                                                 |
+--------------------+-------------------------------------------------+
| EP (Effective      |                                                 |
| Performer) Meets   |                                                 |
| expectations on a  |                                                 |
| regular basis      |                                                 |
|                    |                                                 |
| NI (Needs          |                                                 |
| Improvement) Some  |                                                 |
| aspects of         |                                                 |
| performance are    |                                                 |
| below expectations |                                                 |
| for the job        |                                                 |
| requirements and   |                                                 |
|                    |                                                 |
| improvement is     |                                                 |
| needed             |                                                 |
|                    |                                                 |
| UP (Unacceptable   |                                                 |
| Performance) Most  |                                                 |
| aspects of job     |                                                 |
| performance are    |                                                 |
| unacceptable       |                                                 |
+--------------------+-------------------------------------------------+

4.  *Reviewer formulates the Summary Performance Level in Section V and
    adds comments on overall performance.*

5.  *For any performance level of DP, NI, or UP, the reviewer provides
    reasons in Section V.*

6.  *After completing Sections I through V, the reviewer and the next
    level of supervision (Senior Reviewer) review the appraisal and sign
    the form, prior to discussion with the employee.*

7.  *Reviewer discusses the appraisal with employee, requests the
    employee's signature, and offers the employee an opportunity to make
    written comments in Section VI, regarding both the completed
    appraisal form and the discussion.*

**Note:** *Goals, measures, and metrics for the next performance period
should be documented on a new performance appraisal form.*