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Regulatory Compliance - Performance Management Assessment Sample #6





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 your employee's performance and to share this feedback with the employee
  2. Assist in determining the true development needs of your 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.

Manager's Assessment

As a manager, your insights are essential to capture the accomplishments and performance of your team members during the review period. Please provide brief answers to the questions below. The information you provide will be included in the employee's Performance Appraisal.

If you need to submit additional printed sheets, ensure they are signed, dated, and handed over to your Department Head. Additionally, if you believe another individual should contribute to this review, please provide their name and contact details.


Competencies Included:
Regulatory/Compliance, Trustworthy, Goals, Customer Focus, Negotiation, Strategic Focus, Planning, Bias for Action, Leadership

Part 1: Skills and Accomplishments


  1. Please provide a comprehensive list of this employee's significant accomplishments and any special projects they contributed to during this evaluation period. This information will help us recognize their efforts and understand the impact to the organization.



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



  3. What do you consider this employee's greatest strengths in your current job?



  4. Which areas of their performance at the company do you feel they need to improveme?


Part 2: Job Competencies

Rating Scale:

Exceeds ExpectationsPerformance consistently surpasses job requirements. Both the quality of their work and the manner in which they achieved it far exceeded the standards and expectations for the position. They demonstrated exceptional competence and productivity. This high level of performance is evident throughout the year and across all critical aspects of their 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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  1. Regulatory/Compliance:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Is professional and courteous in interactions with auditors and regulators. Develops compliance reports to share with stakeholders. Knows who to contact at various regulatory agencies if needed. Implements regulatory changes in a timely manner.
Comments, Compliments, and/or Constructive Criticism:


  1. Trustworthy:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Is trustworthy; is someone I can trust. Communicates an understanding of the other person's interests, needs and concerns. Seeks to mitigate grievances by clarifying intentions and finding suitable remedies. Is a person you can trust.
Comments, Compliments, and/or Constructive Criticism:


  1. Goals:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Makes sure that I have a clear idea of our group's goals. Understands & contributes to development of strategic goals. Conducts timely follow-up; keeps others informed on a need to know basis. Goal Setting
Comments, Compliments, and/or Constructive Criticism:


  1. Customer Focus:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Understands what resources are needed to meet customer needs. Is pro-active in dealing with customers and addressing their needs. Adapts to changes proposed by the customer. Asks questions and listens carefully to determine customer needs and to ensure that the customer's needs are met.
Comments, Compliments, and/or Constructive Criticism:


  1. Negotiation:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Researches the needs of the other party to identify strengths and weaknesses of positions. Is resolute in positions to better withstand pressure and resist making hasty concessions. Adjusts methods to suit the current situation. Establishes clear communications to avoid misunderstandings.
Comments, Compliments, and/or Constructive Criticism:


  1. Strategic Focus:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Develops strategies to seek new opportunities. Coordinates the implementation of the strategy with stakeholders. Implements and executes the company's strategy for advancing production capabilities. Makes quick and creative decisions to adjust the strategy to meet the demands of changing situations.
Comments, Compliments, and/or Constructive Criticism:


  1. Planning:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Notifies staff when the plan is not on schedule. Involves relevant coworkers in the development of the plan. Plans for future staffing needs. Determines the steps required for completion of a task.
Comments, Compliments, and/or Constructive Criticism:


  1. Bias for Action:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Completes a large volume of work. Completes work on time Identifies ways to simplify work processes and reduce cycle times Coach others to foster an environment which can adapt quickly and willingly to rapid change.
Comments, Compliments, and/or Constructive Criticism:


  1. Leadership:
Unsatisfactory.
Needs Improvement
Satisfactory
Above Expectations
Outstanding
Motivates and challenges employees to attain a shared vision. Sets a high level of performance expectations and challenges others to do the same. Is a highly effective supervisor. Acts decisively in implementing decisions.
Comments, Compliments, and/or Constructive Criticism:



Part 3: Employee's Individual Development Plan

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


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


Skill Acquisition
What new skills should the employee plan to acquire within the next evaluation period?