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Regulatory Compliance - Performance Management Assessment Sample #2





Performance Management System:

Performance Assessments that include Regulatory Compliance:
Assessment 1 (5-point scale; IDP Comments)
Assessment 2 (3-point scale with Comments)
Assessment 3 (Manager Assessment; 360-Feedback)
Assessment 4 (3-point scale; Rating Limits)
Assessment 5 (3-point scale; Rating Limits)
Assessment 6 (5-point scale with Comments)
Assessment 7 (Comment Boxes Only; IDP)
Assessment 8 (Comment Boxes Only)
Assessment 9 (3-point scale with Letter Grade)
Assessment 10 (360-Feedback; Bonus/Merit Pay)
Assessment 11 (Core Values & Job Competencies)
Assessment 12 (4-point scale; 6 Comment Boxes)
Instructions:


This performance appraisal program is designed to provide a standardized method to:
  1. Provide an objective evaluation of an employee's performance and to share this feedback with the employee
  2. Assist in determining the true development needs of the employee and actions that should be taken to improve their job performance.
  3. This form is intended to ensure fair and equitable salary management. Please note that this review is one of several factors considered in salary decisions.

Employee Input

Please provide brief answers to the questions below. Your feedback is vital to us. We aim to capture all your achievements during the performance review period. The details you enter will be part of your Performance Appraisal. If you need to include any additional printed sheets, please sign, date, and submit them to your Department Head. Additionally, if someone else should contribute to this review, kindly provide their name and contact details.


Competencies Included:
Regulatory/Compliance, Analytical, Innovation, Juggling Multiple Responsibilities, Entrepreneurship, Company, Flexibility, Establishing Focus/Direction, Supervisory Skills, Persuasion and Influence

Part 1: Skills and Accomplishments




  1. Please provide a comprehensive list of your significant accomplishments and any special projects you contributed to during this evaluation period. Be sure to include:
    • The objectives and goals of each project.
    • Your specific role and contributions.
    • The outcomes or results achieved.
    • Any challenges you faced and how you overcame them.
    • The skills and knowledge you applied or developed.
    This information will help us recognize your efforts and understand the impact of your work.



  2. Please detail any professional development activities you have engaged in, such as
    college courses, additional training, seminars, and trade magazine readings.



  3. What do you think are your most valuable qualities in your current role? Could you explain on how these strengths have contributed to your success and impact at work?



  4. Discuss the aspects of your performance that you believe could benefit from further development? Please provide some details on how you plan to address these areas for improvement, and any resources or support that might help you enhance your skills and effectiveness in your role.


Part 2: Job Competencies

Rating Scale:

Exceeds ExpectationsPerformance consistently surpasses job requirements. Both the quality of your work and the manner in which you achieve it far exceed the standards and expectations for your position. You demonstrate exceptional competence and productivity. This high level of performance is evident throughout the year and across all critical aspects of your role.
SatisfactoryThe employee consistently shows satisfactory performance and effectively completes assigned tasks. They are fully competent in their role and perform their duties adequately. However, they may require some direction or supervision.
UnsatisfactoryThe employee consistently falls short of the performance standards expected for this role in nearly all key areas. The quality and manner of their work are below company standards and deemed unacceptable. Without significant and immediate improvement, this rating should prompt the employee to reflect on the suitability of their continued employment.
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Regulatory/Compliance

Periodically assesses the effectiveness of regulatory/compliance programs. Reviews anti-retaliation policies to ensure compliance with government standards. Reviews transactions for potential misconduct. Ensures the company meets legal requirements/standards regarding employees.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Analytical

Applies critical and analytical thinking to the situation. Is willing to seek out and consider alternative viewpoints. Examines for tiny defects in products which could lead to product failures and/or returns. Can effectively interpret and analyze data.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Innovation

Values diverse opinions among team members. Analyzes the competitive environment to determine where innovation would have the greatest impact. Optimizes the innovation process by incorporating feedback and lessons learned from previous experiences. Fosters a culture of disruptive innovation to drive significant market shifts and create unparalleled value for customers.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Juggling Multiple Responsibilities

Observes, analyzes, and responds to merchandise needs while serving customers and accomplishing operational tasks. Switches attention to more urgent tasks when necessary. Prioritizes tasks for efficiency. Coordinates the work of a team by assigning tasks to other team members.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Entrepreneurship

Devotes a certain amount of time and effort to developing new business opportunities. Seeks and utilizes mentors to help guide professional development. Able to adapt the department to changing business demands and climate. Can work effectively in an environment of uncertainty.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Company

Understands how decisions impact other business units beyond their immediate department of work group. Follows existing procedures and processes. Impresses upon others the important aspects of [Company]. Understands the "basics" as to how [Company] functions/operates.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Flexibility

Flexible in adjusting to the demands of the market place. Willing to deviate from rigid plans and consider a variety of methods, ensuring the most effective solution is applied. Effectively manages changes in financial resources. Open to adapting thoughts, behaviors, and strategies in response to evolving situations and new information.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Establishing Focus/Direction

Aligns the department's goals with the goals of the organization. Makes sure that employees understand and identify with the team's mission. Makes sure that employees understand how their work relates to organizational goals. Helps guide employees with prioritizing tasks.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Supervisory Skills

Listens to others. Maintains disciplinary policy and fair enforcement of work rules Instructs employees on the proper way to perform tasks. Willing to consider a spectrum of disciplinary measures, ranging from formal warnings to unpaid leave.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Persuasion and Influence

Understanding what others need. Has excellent influencing/negotiating skills. Persuades others to consider alternative points of view. Able to express own goals and needs.
Unsatisfactory
Satisfactory
Exceeds Expectations
Comments:

Part 3: Your Individual Development Plan

Short-term Goals
What goals do you wish to accomplish in the next year?


Long-term Goals
What goals do you wish to accomplish within the next 2 to 3 years?


Skill Acquisition
Describe the new skills you aim to acquire during the upcoming evaluation period? Please include specific areas of expertise or knowledge you intend to develop, and how these skills will enhance your performance and contribute to the company's overall success. Additionally, it would be helpful to list your plans for learning these skills, such as any courses, workshops, or mentorship opportunities you plan to pursue.