ANNEXURE I
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ANNEXURE II
Performance and Development Plan (PDP) Form <period of appraisal> for <level or grades of employees>
Name: / Age: / Function Head Name & SignatureTitle: / Grade: / Manager’s Name & Signature / Total Score
/500
Qualification Academic: / Qualification Professional: / Site / Commercial function:
Date of Joining / Employee No. / Location / Percentage Score
%
Experience in XYZ / Experience before XYZ: / Department:
Part A: Objectives (Use Bullet Points only)
Objectives / Criticality of Objectives / Performance Measures / Accomplishments / Manager Review (Year End) / Score
List objectives below. What do you need to accomplish this year to meet corporate & business objectives? / Total Weightage
100 points / List measures for each objective. Be sure measures are quantifiable and verifiable. / In preparation for review describe your progress to date towards meeting each objective based upon your performance measures. / Manager: to enter evaluation of achievement rating: 1 to 5 / Weightage
X
Rating
Rating parameters:- 1-Failed to meet objective, 2-Marginally short of objective, 3-Met objective, 4-Somewhat exceeded objective, 5-Greatly exceeded objective
Part B: Capabilities/Critical AttributesLeadership essentials / Behaviours / Observations / Manager Review
(Year End)
Leadership Essentials are how work gets done to support XYZ goals and culture. Identify 1-3 Essentials that are critical to successful performance. Both you and your manager must agree on these Essentials.
(Choose from list given overleaf) / Identify actions/behaviours for each Essential. Be sure they are verifiable and specific. / In preparation for periodic and annual reviews, describe your progress in demonstrating the Essentials / Manager to enter rating of demonstration of each Leadership Essential
Business-Specific Essentials / Behaviours / Observations / Manager Review
(Year End)
You may choose to add Business-specific technical/functional Essentials that are critical to your job. Both you and your manager must agree on these Essentials. (Indicative list given overleaf) / Identify actions/behaviours for each Essential Be sure they are verifiable and specific. / In preparation for periodic and annual reviews, describe your progress in demonstrating the Essentials. / Manager to enter rating of demonstration of each Business Specific Essential.
The Leadership Essentials / Description
Performance with integrity / Delivering on promises with organizational and individual trustworthiness.
People with Passion / Inspiring, motivating, enabling people to do their best work.
Innovation & Entrepreneurship / Creating and sustaining competitive advantage through well-executed ingenuity.
Sense of Urgency / Crating a focused, agile, productive and fast-learning organization.
Everyone Committed and contributing / Enabling, encouraging and allowing all employees the opportunity to make meaningful contributions and succeed on merit.
Accountability for Achievement / Setting, communicating, and committing to the critical few clear expectations. Superior performance matters and will be rewarded.
Alignment with XYZ Interests / Operating as “one team, in single-minded pursuit of our mission”; reflecting a common spirit and integrated strategies.
Develop Self and Others / Learning continuously and developing professional potential and ability. Leaders act as teachers, coaches and champions of development, creating career-long learning agility across the organization.
The Business Specific Essentials / Description
Analytical Skills / Ability to obtain and interpret data to identify critical issues and arrive at specific conclusions.
Conceptual Skills / Ability to understand concept parameters of own function and integrating with other functions leading to application possibilities.
Computer Skills / Ability to understand the capabilities of computer systems and determine relevant usage.
Communication Skills / Ability to consciously choose appropriate content and method of communication for highest impact.
Customer Orientation / Ability and inclination to establish and nurture customer partnerships.
Decision Making / Ability to choose timely and rationally best options based on internal and external factors.
Independence / Ability to assume responsibilities, as per requirements of the job, and act independently.
Negotiation Skills / Ability to influence and convince others to arrive at win-win solutions.
Networking Skills / Ability to establish linkages to obtain information and services.
Product/Process Knowledge / Ability to understand products/technology, its application and ways to maximize advantage in use.
Quality Orientation / Ability to be conscious about standards required for delivering excellent output.
Resource Management / Ability to use available resources for optimum return.
Strategic Thinking / Ability to forecast changes required and develop alternative courses of action.
Time Management Skills / Ability to prioritize and plan deliverables.
Part C: Periodic Reviews of Performance (Objectives + Capabilities)
Periodic Review Date / Summary Comments on Performance
1st Review / Employee’s Comments:
Manager’s Comments:
2nd Review / Employee’s Comments:
Manager’s Comments:
3rd Review / Employee’s Comments:
Manager’s Comments:
Part D: Annual Review of Performance (Objectives + Capabilities)
Employee’s Summary of Overall Performance (Self Appraisal)
Manager’s Summary of Overall Performance (After Discussing and Giving Feedback)
My manager and I have discussed this annual performance review and jointly prepared this document. My signature does not necessarily signify agreement or disagreement.
Appraisee’s Signature / Date / Appraiser’s Signature / Date
______/ ______
Aspirations
Describe Professional interests / career aspirations both short term and long term. Consider company direction and work team needs.
Strengths / Areas of Improvement
Self Assessment / Self Assessment
Manager’s Comments: / Manager’s Comments:
Development Objectives & Action Steps
Development Objectives / Action Steps / Resources Needed / Timeline
Based on current role and future career aspirations, identify the Essentials, knowledge and experience to be developed. / Identify action steps to achieve development objectives. Types of activities to consider include:
∙Assignments (projects, career moves)
∙Learning from Others (coaching, feedback, mentoring)
∙Courses (seminars, e-learning, independent study) / Identify resources needed to achieve development objectives. Types of resources to consider include:
Financial, people, technology / Specify time frame for completion of activity.
Periodic Review Date / Summary Comments on Development
1st Review / Employee’s Comments:
Manager’s Comments:
2nd Review / Employee’s Comments:
Manager’s Comments:
3rd Review / Employee’s Comments:
Manager’s Comments:
Part G: Development Annual Review
Employee’s Overall Development Summary
Manager’s Overall Development Summary
My manager and I have discussed this annual development review and jointly prepared this document. My signature does not necessarily signify agreement or disagreement.
Appraisee’s Signature / Date / Appraiser’s Signature / Date
______/ ______
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ANNEXURE II (a)
PDP form Overview
The PDP form may consist of several sections (in our specimen format it contains Part A to Part E). These sections are briefly described below:
Section / DescriptionPart A / Objectives / This is the `what’ of the appraisee’s job which should conform to SMART criteria i.e. Specific, Measurable, Achievable, Realistic and Time-bound. A well-written objective clearly defines expected results.
Critical objectives are those that directly align with business priorities and cascade down from the top management.
The appraiser has to review the accomplishment of each objective.
Part B / Capabilities (critical attributes) / A capability is `how’ the job is done. It is a behaviour or group of behaviours required to perform effectively in one’s job and to accomplish one’s objectives.
The appraiser has to review demonstration of each capability.
Part C / Periodic Reviews / The appraisee has to set up reviews of his objectives and capabilities with his appraiser several times throughout the year. This will enable him to know how he is progressing in both areas and allow time to adjust, if necessary.
Part D / Annual Review / Annual review takes place at the end of the year. The appraiser first evaluates each objective and capability, noting results in Parts A and B and then reviews overall performance and documents the same in this section.
Part E / Development Plan / The purpose of a development plan is to develop skills and behaviour that enables the appraisee to be successful in his current position, as well as prepare him for future roles to which he aspire. The principles of development plan are:
- People development focuses on building the knowledge, skills and experiences required for current and future business success.
- Individuals are responsible for their own development.
- Managers are responsible for supporting the development of their people.
- In most situations, on the job experience is the preferred development approach.
- For career enhancement, one needs a variety of experiences (functions, businesses and locations).
- Everyone is responsible for sharing learnings.
Section / Description
Part F / Development Plan Periodic Reviews / The development plan should be reviewed several times a year. Any issues or any changes in the plan should be recorded. The review can be done simultaneously while reviewing objectives and capabilities or at some other time.
Part G / Development Annual Review / This review should take place at the end of the year and may be done at the same time as the review of the objectives and capabilities or at a separate time, as per the preference of the appraisee and the appraiser. This review helps in assessing how the appraisee is progressing on his development.
ANNEXURE III
Performance Appraisal Form of Executives
ABC Limited
Performance Review: January-December 2006
(FOR <level from … to ….>)
Name :Designation :Emp. Code :
Grade :Date of Joining : Qualification :
Last Promotion:SBU Head Dept :
Rewards /Rating : For Last 3 years______
2003 2004 2005
PART A
SELF APPRAISAL
(To be filled by the Appraisee)
- Describe your main achievements during the year in the order of significance.
Quantify them wherever possible :
______
2.
Indicate factors, which helpedIndicate factors, which hindered
In your performanceyour performance
FactorsIllustrationsFactorsIllustrations
PART B
PERFORMANCE / RESPONSIBILITIES REVIEW
Individual Objectives: (Total Weightage = 85%)
Column 1, 2 & 3 to be filled by the appraisee and column 4 by the appraiser after joint review of the performance by the two.
Rating Scale :OS = Outstanding
E = Exceeded
FA = Fully Achieved
MA = Mostly Achieved
PA = Partially Achieved
NA = Not Achieved
(Total of Weightages of all Objectives / Performance Area should be 85%)
Objectives / Performance area in order of importance(1) / Self Rating
(2) / Appraiser’s Rating
(3) / Appraiser’s Weightage
(4) / Performance Score
(3 x 4)
Total Score
PART C
Performance Skills (Assessment of Exhibited Attributes)
(Total Weightage - 15 %)
Describe the employee’s performance giving specific description against each of the skills listed below:
SR. / ATTRIBUTES / APPRAISER’S RATING (1) / WEIGHTAGE (2) / SCORE(1X2)
1.
2.
3.
4.
5. / Planning & Organizing
Team Work & People Oriented
[LOVE1]
Innovation & Creativity
Customer Satisfaction
Problem Analysis / 3%
3%
3%
3%
3%
Total Part C = 15%
Overall Score:
Overall Rating:
PART: D
Strengths: Indicate behaviour or actions which resulted in desired output of job
______
Areas For Improvement: Indicate areas where performance can be improved.
______
Training needs during the review year.
Sr. No. / Functional/Job related / Behavioral______
Appraisee's Sign & Date Appraiser's Sign and Date
______
RECOMMENDATIONS
OVERALL RATING - ______
______
Appraiser's Sign & Date Reviewer's Sign and Date
TARGET SETTING : 2007
Name : ______Emp. Code : ______
Department: ______Location : ______
Designation : ______Grade : ______
______
PART IPERFORMANCE / RESPONSIBILITIES REVIEW
1. INDIVIDUAL OBJECTIVES ( 5 - 7 NOS) ( Total Weightage - 85 % )
(JOB RELATED KRAs)
Sr. No / Objectives/ Key Result Areas / WeightagePART II
Performance Skills (Assessment of Exhibited Attributes)
(Total Weightage - 15 %)
SR. / ATTRIBUTES / WEIGHTAGES1.
2.
3.
4.
5. / Planning & Organising
Team Work & People Orientation[LOVE2]
Innovation & Creativity
Customer Satisfaction
Problem Analysis
______Appraisee's Sign & Date Appraiser's Sign and Date
Annexure IV
MANAGEMENT BY OBJECTIVES APPRAISAL FORM
Objective 1:
Standard for acceptable performance:
Results:
Special factors and other comments:
Objective 1:
Standard for acceptable performance:
Results:
Special factors and other comments:
Objective 1:
Standard for acceptable performance:
Results:
Special factors and other comments:
Objective 1:
Standard for acceptable performance:
Results:
Special factors and other comments:
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ANNEXURE V
360° FEEDBACK PROCESS
source:
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ANNEXURE VI
Feedback Form(Please give us your perceptions of <name of the appraisee> in the areas of competency and responsibility listed below. Place an X in the appropriate square on the table, where 1 indicates that you think that this is an area of particular strength and excellence; 2 indicates that you perceive this person to be functioning well in this area; 3 indicates that you perceive this to be a development area for him/her)
Name of the Appraisee: Designation:
Department: Date of Joining;
Feedback respondent name: Date of feedback:
Competency / Area of responsibility / 3
Development area / 2
Area of competence / 1
Area of excellence / 0
Unable to comment
1 Manages attention
Manages attention through a compelling vision that brings others to a place they have not been before. Creates a sense of purpose; defines reality in the larger context; instills shared values and beliefs. Establishes standards and compelling aspirations that help the Department achieve its next stage of development. Acts as catalyst, inspiring and enabling others to act.
2 Manages trust
Inspires trust and confidence through consistency, reliability and integrity; delivers on promises; role models the University / Department values.
3 Manages self
Knows and understands his/her own strengths, skills, and weaknesses and manages these effectively. Responds constructively to criticism and personal feedback. Takes responsibility for his/her own development and actions. Is self motivated, persistent, and resilient. Recognises the impact of his/her own behaviour on others. Is able to perform consistently in a range of situations under pressure, and to appropriately adapt behaviour. Retains focus in the face of difficult situations. Regularly reviews and improves the effectiveness of his/her own leadership.
4 Fosters unity and collaboration
Creates a climate of community; builds morale; sets a positive tone; resolves disagreements; fosters collaboration and ownership; recognizes individual and team contributions; facilitates teamwork. /
Competency / Area of responsibility / 3
Development area / 2
Area of competence / 1
Area of excellence / 0
Unable to comment
5 Exercises power effectively
Takes ownership and accountability; empowers others to act; shares authority; nurtures the skills of group members. Delegates responsibly and holds individuals accountable.
6 Establishes an environment conducive to learning
Champions continuous learning at all levels in the Department. Encourages appropriate levels of risk-taking and innovation. Models the need for learning by continuous self-development. provides consistent feedback to members of the team on both successes and failures. Deals with team failure or error constructively and developmentally.
7 Solves problems
Anticipates potential problems; identifies key issues and explores options and perspectives in order to generate solutions; develops and encourages innovative and creative approaches to problems; able to analyse and break down problems and identify issues and implications.
8 Manages resources
Effectively manages resources in a “doing more with less” environment; innovative and creative in development and use of resources; exercises sound and responsible fiscal management; able to identify and prioritize areas of spend or resource allocation; able to take hard decisions about resource allocation and follow these through responsibly; actively seeks out opportunities to maximise resources
9 Makes decisions / thinks strategically
Understands and defines global Dept purpose and focus; able to take a big picture overview; understands long term impact of decisions and external pressure on the University / Division / Dept; sets key strategic objectives; anticipates changes in context and trends and plans ahead; offers strategic and practical solutions. Makes policy and strategy and translates these into achievable goals and programmes of action.
ANNEXURE VII
eAppraisal (using Balanced Scorecard method) for managerial level
eAppraisal Form / Request No. : ______<name of the reviewer>, you have logged in as Reviewer.
Initiated By <name of appraisee> on <date> <time> / Status : Rated by Reviewer
Pending with MC (name of HR person)
Name / <name of appraisee> / Location / <place of work>
Designation / Date of Joining the Company
SBU / Department / Date of last Promotion (if any)
Grade / Name of Appraiser
Employee ID / Name of Appraiser's Superior
(A) Performance Review WRT Targets Set at the Start of Financial Year ______
Financial MeasureFinancial MeasureKey Performance Area / Achievement / Self Appraisal / Appraiser
Rating / Weight / Score / Rating / Weight / Score
Total
Customer MeasureCustomer Measure
Key Performance Area / Achievement / Self Appraisal / Appraiser
Rating / Weight / Score / Rating / Weight / Score
Total
Internal ProcessInternal Process
Key Performance Area / Achievement / Self Appraisal / Appraiser
Rating / Weight / Score / Rating / Weight / Score
Total
People (Learning & Growth)People (Learning & Growth)
Key Performance Area / Achievement / Self Appraisal / Appraiser
Rating / Weight / Score / Rating / Weight / Score
Total
Grand Total
Overall Self Rating /
Appraisal Summary and ReviewAppraisal Summary and Review
Identity / Name / Overall Rating / Date
Score / Rating
Appraisee / <email ID of appraisee> / <date> <time>
Appraiser / <email ID of appraiser> / <date> <time>
Reviewer / <email ID of reviewer> / <date> <time>
Final Rating by MC / <email ID of HR person>
Promotion Promotion
Recommended By Appraiser
Recommended By Reviewer
CommentsComments
Identity / Comments
Appraiser
(name)
Reviewer
(name)
HR
(B) - Overall Assessment, Strengths & Training Needs(B) - Overall Assessment, Strengths & Training Needs
1. Summary of Performance (by the Appraiser)
2. Strengths - (by the Appraiser)
Clarity of Purpose / Influencing Others
Practical Creativity / Entrepreneurial Drive
Objective Analytical Power / Self Confidence
Market Orientation / Team Commitment
Leading Others / Learning from Experience
Developing Others
Any Other (Please specify)
Training Needs identified for development (by the Appraiser / Appraiser's Superior) :Training Needs identified for development (by the Appraiser / Appraiser's Superior):
Functional / Job related, etc / Behavioral
- / -
- / -
- / -
- / -
- / -
- / -
- / -
Document History______
Rating entered by <name of reviewer> <date> <time>
Rating entered by <name of appraiser> <date> <time>
Submitted by <name of appraisee> on <date> <time>
Return by <name of appraiser> <date> <time>
Comments : <comments of appraiser, in case of return/non acceptance>
Submitted by <name of appraisee> on <date> <time>
Created by <name of appraisee> on <date> <time>
ANNEXURE VIII