Performance Management Tools





Employee Name:
Department: Position:
Date of Evaluation:
Employment Date:
Evaluation Period:
Type of Appraisal: () Annual     () 90-Day     () Other (explain):


This Performance Appraisal and Development Plan is designed to provide a means of evaluating, recording and communicating employee performance. The supervisor and employee may mutually establish goals for progress and identify actions that may be taken to enhance the employee’s development.




  1. The supervisor will assess the specified performance skills for each employee and take into consideration the employee’s Self-Appraisal. The supervisor will read the competency definitions and based upon the definition of each, choose the rating that most accurately describes the employee’s performance (see Performance Rating Definitions below). Evaluation of these factors should relate directly to the employee’s actual job performance. Each competency must be supported with objective comments.
  2. After completing the Appraisal, the supervisor will forward the form to his or her Senior Director for discussion and approval. After review of the Appraisal with the Senior Director, both the Senior Director and the supervisor will sign the Appraisal. The supervisor will then meet with the employee to discuss the review.


Performance Ratings Performance Definitions % of people who typically fall into this category
1 Satisfactory Behavior and/or results are below expectations. Performance is substantially short of the minimum requirements of the job. Employee demonstrates work clearly below the level of acceptability and immediate and substantial improvement is necessary. Quality of work is poor. Developmental opportunity is recognized. Less than 5%
2 Marginal Improvement is necessary. Performance and/or conduct are sometimes acceptable, but not consistent. Performance at this level requires improvement in order to be considered good. Developmental opportunity is recognized. Approx. 15%
3 Proficient Employee consistently demonstrates the expected standard of performance and/or behavior which means accomplishing goals and objectives as well as meeting all required job standards and may occasionally exceed requirements. Performance is steady, reliable and is maintained with a minimum of supervision. Good, solid performance. Approx. 50%
4 Excels Excellent achievement. Performance and/or conduct are consistently above established measures or criteria. Employee demonstrates unusual proficiency in performing the difficult and complex aspects of the job competently and thoroughly, including extra or unique tasks assigned. Approx. 30%
5 Outstanding Unique and exceptional accomplishments. Performance and/or behavior are extraordinary and invariably sustained at this level. Performance is of a rare quality found only in a small percentage of employees within the organization. Employee demonstrates a very high degree of expertise and serves as a model of excellence or coach to other employees. Quality of work is superior. Less than 5%


Appraisal of Core Competencies


In each case, the narrative describes the achievement of an outstanding performer.



Technical Knowledge.  Rating _________
Possesses and applies the technical knowledge and skills necessary to effectively and efficiently perform all aspects of the job. Understands when historical perspectives are relevant to current problems. Monitors developments and changes outside the organization which are relevant to the job and impact functional areas. Integrates new subject matter into existing operations. Generates workable ideas, concepts and techniques. Attempts to simplify and/or improve procedures and techniques. Serves as a resource person on whom others rely for advice.


Examples and Analysis: ______________________________________________________________________


Leadership.  Rating ________
Builds constructive relationships with internal and external customers. Is persuasive, convincing. Sets high standards. Establishes a focus and direction for department. Develops a shared sense of purpose amongst team members. Implements organizational policies. Is accessible and takes appropriate actions to assist, coach, counsel, discipline or respond to problems as needed. Inspires others. Leads by example. Communicates clear expectations, involves others and is committed to achieving personal and organizational goals. Demonstrates solid employee relations skills and workplace ethics knowledge.


Examples and Analysis: _______________________________________________________________


Customer Driven Performance.  Rating _________
Focuses on maintaining and building strong customer relationships. Knowledgeable of the business unit’s products, services, policies, and procedures. Identifies and responds to customer needs. Assesses needs and looks for ways to improve the quality of service. Anticipates problems and takes action to prevent/ minimize impact. Deals effectively with customers and follows through on commitments. Understands how measures used benefit the customer.

Examples and Analysis: _____________________________________________________________________


Organizational Knowledge.  Rating _________
Understands the operation’s culture. Can accurately explain the organization’s structure, major products/ services, and how various parts of the organization contribute to each other. Gets work done through formal channels and informal networks. Understands and can explain the origin and reasoning behind key policies, practices and procedures. Understands, accepts and communicates political realities and implications.

Examples and Analysis:___________________________________________


People Management. Rating _________
Defines roles and responsibilities. Assigns work to maximize group strengths. Promotes teamwork and cooperation. Exercises discipline and resolves conflict fairly and constructively. Orients, trains, coaches, and develops subordinates effectively. Creates a challenging environment. Utilizes collaborative management techniques. Treats staff fairly and equitably. Establishes clear performance standards and communicates them to staff. Reviews performance on a timely basis and provides meaningful and constructive feedback. Rewards effort, hard work and results. Effective in selecting, guiding, and appraising employees, including identification and appropriate handling of marginal performance.

Examples and Analysis:_____________________________________________________


Development and Learning. Rating _________
Recognizes performance strengths and weaknesses for self and others. Accepts and provides constructive criticism. Improves weaknesses by identifying problems and establishing and accomplishing plans and/or training. Improves own and others’ capabilities to meet changing demands and job requirements. Seeks and provides information. Encourages risk taking and accepts mistakes.

Examples and Analysis: ______________________________________________


Appraisal of Individual Competencies


Verbal and Written Communication.   Rating _________
Communicates ideas clearly and concisely. Listens to others in order to understand issues, problems or needs and asks appropriate questions. Effectively, and in a timely manner, lets internal and external customers know of decisions, changes, key developments, issues, problems, and other relevant information. Tactful, courteous. Writes and speaks in a clear, concise and effective manner. Uses appropriate style, format, grammar, spelling, and tone in informal and formal business communications.


Examples and Analysis: _________________________________________________


Judgment, Decision Making, and Problem Solving.  Rating _________
Analyzes problems and makes thoughtful, well-reasoned, timely decisions. Obtains and evaluates pertinent information to determine source of and alternative solutions to problems. Has the ability to make and stick with unpopular decisions. Can make decisions on limited but adequate information. Able to make decisions under pressure. Anticipates and prevents problems. Follows up to ensure problem areas have been corrected.


Examples and Analysis: _________________________________________________


Responsibility.   Rating _________
Is personally accountable for all aspects of work. Understands that results are a direct result of his or her personal decisions and actions. Takes responsibility for actions and accepts responsibility for mistakes. Does not offer or accept excuses for failures. Follows through on assignments despite setbacks. Shifts priorities when necessary. Is punctual and has a low absence rate.


Examples and Analysis: ____________________________________________________


Ethics, Integrity and Credibility.  Rating _________
Honest. Straightforward. Maintains and promotes the operation’s mission, vision, and values. Considers ethical implications and the operation’s reputation in decision making. Supports the operation’s objectives, decisions, and policies. Effective in building and retaining trust and respect of internal and external customers. Persuasive. Opinions are sought and valued by others.


Examples and Analysis: _____________________________________________________


Approach to Job. Rating _________
Displays enthusiasm and positive attitude toward internal and external customers. Conscientious. Willing to share ideas and suggestions. Pursues goals with commitment and takes pride in accomplishment. Desires to excel. Demonstrates self-confidence and positive attitude towards self and others. Maintains a high energy level. Encourages cooperation by example. Works well in team efforts.


Examples and Analysis: ____________________________________________________


Adaptability.  Rating _________
Adjusts to and is receptive to change and new ideas. Remains poised in tough situations and when decisions have to be made quickly. Articulates several perspectives on a problem and sees merit in differing points of view. Maintains high performance under conditions of pressure or uncertainty. Deals with varying workload requirements. Can change or modify strong opinions and switch to alternative strategies when necessary.


Examples and Analysis: _________________________________________________


Professional Conduct and Interpersonal Relations.  Rating _________
Positive attitude toward personal, departmental, and organizational goals expressed by actions, feelings, and thoughts. Exhibits appropriate sensitivity to and is respectful of others’ feelings. Approaches and negotiates situations with a “win-win” concept. Works to reduce conflict and establish smooth working relationships. Positive, constructive, and enthusiastic approach to job. Seeks out feedback and accepts constructive criticism. Networks to build relationships.


Examples and Analysis: __________________________________________________


Planning and Organization.   Rating _________
Prioritizes and plans work activities to optimize time. Uses time efficiently. Plans for additional resources. Integrates changes smoothly. Sets goals and objectives. Works in an organized manner. Engages in short and long-term planning. Proposes milestones which allow progress to be adequately measured. Foresees changes and trends relevant to areas of responsibility. Adheres to schedules and plans. Initiates projects and sees them through completion.


Examples and Analysis: ____________________________________________________


Initiative. Rating _________
Anticipates problems and voluntarily takes appropriate action to tackle problems. Recognizes and acts upon opportunities, generates new ideas, and is interested in self-development. A self-starter. Assumes responsibilities for work without being told. Seeks out or willingly accepts tough assignments. Requires minimum supervision. Identifies tasks and pushes for results. Pursues goals with commitment and takes pride in accomplishments. Results-oriented. Desires to excel on the job. Works steadily and actively. Demonstrates self-confidence and positive attitude towards self and others. Maintains high energy level.


Examples and Analysis: __________________________________________________


Budgetary Controls.  Rating _________
Creates accurate and realistic budgets. Tracks and adjusts budget expenses. Adjusts budget to meet changing organizational needs. Communicates budgetary priorities. Achieves budget revenue and expense targets. Controls operating costs by effectively utilizing staff, materials, and equipment. Minimizes expenses without sacrificing quality. Makes decisions as if they were spending their own money. Uses time and resources in an efficient and effective manner. Cost conscious. Produces little waste. Seeks economy.


Examples and Analysis: _____________________________________________________


Sum of Performance Ratings [Sum] divided by 16 Performance Factors = [Score]


Overall Performance Rating: Indicate with an “X” the overall rating achieved.


Unsatisfactory (1) Marginal (2) Proficient (3) Excels (4) Outstanding (5)


My signature is an acknowledgement that this appraisal has been discussed with me.
________________________________ Employee/Date
________________________________ Approving Manager/Date


Developmental Plan


The purpose of this section is to identify the projects and/or goals that you and the employee have agreed upon for the next year. In general, the number of goals and/or projects should be limited to four. If additional goals and/or projects are required, they may be described on a separate attached sheet. An employee’s goals should relate directly to the key areas of his or her job description. Remember, be S.M.A.R.T. when setting your goals and objectives. Using these criteria to develop goals will ensure a higher level of understanding, commitment, and success.

S pecific M easurable A chievable R esults-oriented T imeframes


1. Goal/Project: ______________________________________________
Time Frame for Completion: ____________________________________
Performance Measures: _________________________________________


2. Goal/Project: ______________________________________________
Time Frame for Completion: ____________________________________
Performance Measures: _________________________________________


3. Goal/Project: ______________________________________________
Time Frame for Completion: ____________________________________
Performance Measures: _________________________________________


4. Goal/Project: ______________________________________________
Time Frame for Completion: ____________________________________
Performance Measures: _________________________________________







Employee Name:
Department: Position:
Position: Date of Evaluation:
Employment Date:
Evaluation Period:


Type of Appraisal: () Annual     () 90-Day     () Other (explain):


Please review and assess your performance by answering the questions which appear on the next [Number] pages. Comments and examples are encouraged to help validate or clarify your assessment. You may also include additional points that assess unique or more specific aspects of your performance or your position.


Please return to [Supervisor Name] by [Date], so that he or she may obtain any additional information that may be helpful during your discussion. If necessary, you may use the back of this form or additional paper to summarize your thoughts.


1. How would you assess your overall performance of the responsibilities in your job description since hired or since your last performance review? _____________________________________________________________


2. What have been your most significant achievements this past evaluation period? _________________________________________


3. Are there any areas of your performance with which you have been dissatisfied? If so, explain. __________________________________________


4. List the obstacles that may have interfered with your ability to do you job at the [Operation Name], if any. _____________________________________


5. Do you have any questions as to what is expected of you in your position? If so, explain. ________________________________________


6. What challenges are there for you to pursue in your area of responsibility? __________________________________________


7. What changes would make your job/department more effective and efficient? ___________________________


8. What areas of your personal development do you feel most need improvement and how would you like to address these? ____________________________________________________


9. Have you completed any special training and/or classes since you were hired or since your last review? If so, describe. _________________________________________________________


10. What is most satisfying about your position at the [Operation Name]? Why? ____________________________________________________________________


11. What is least satisfying about your position at the [Operation Name]? Why? ____________________________________________________


12. What are your career goals and interests? _____________________________________________


13. Indicate what your supervisor can do to assist you to carry out your responsibilities more effectively. _____________________________________________


14. Other comments you have about your position or other topics you would like to discuss: _____________________________________________




Employee Name: ______________________
Date of Incident: ___________________


Action to be Taken: () Verbal Correction   () First Written Correction () Second Written Correction () Suspension () Termination () Other


Reason for Discipline: () Attendance () Conduct () Work Performance () Safety () Policy Violation


Offense Number: () 1 () 2 () 3 () 4 Last Offense Date: _____


Reason for Counseling: __________________________________________________


Corrective Action: _____________________________________________________________


Assistance to be given to Employee: _____________________________________________________


Method of Follow-up to Ensure Resolution: __________________________________________________________________


Failure to Resolve Problem Will Result In: ________________________________________________________________


Employee Signature/Date: ________________________________                                                   Supervisor/Date: ________________________________



Reference to products in this publication is not intended to be an endorsement to the exclusion of others which may be similar. Persons using such products assume responsibility for their use in accordance with current directions of the manufacturer. The information represented herein is believed to be accurate but is in no way guaranteed. The authors, reviewers, and publishers assume no liability in connection with any use for the products discussed and make no warranty, expressed or implied, in that respect, nor can it be assumed that all safety measures are indicated herein or that additional measures may be required. The user therefore, must assume full responsibility, both as to persons and as to property, for the use of these materials including any which might be covered by patent. This material may be available in alternative formats.