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ANNEXURE I

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67

ANNEXURE II
Xyz ltd.
Xyzs logo

Performance and Development Plan (PDP) Form <period of appraisal> for <level or grades of employees>

Name:

Age:

Title:

Grade:

Qualification
Academic:
Date of
Joining
Experience
in XYZ

Qualification
Professional:
Employee
No.
Experience
before XYZ:

Part A: Objectives (Use Bullet Points only)


Criticality of
Objectives
Performance Measures
Objectives
List objectives below. What
Total
List measures for each
do you need to accomplish
Weightage
objective. Be sure measures
this year to meet corporate &
100 points
are quantifiable and verifiable.
business objectives?

Function Head
Name & Signature
Managers Name &
Signature
Site / Commercial
function:

Total Score
/500

Location

Percentage
Score
%

Department:

Accomplishments
In preparation for review describe your
progress to date towards meeting each
objective based upon your performance
measures.

Manager Review
(Year End)
Manager: to
enter evaluation
of achievement
rating: 1 to 5

Score
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

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Part B: Capabilities/Critical Attributes


Leadership essentials

Behaviours

Observations

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

Business-Specific Essentials

Behaviours

Observations

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 Review
(Year End)
Manager to enter rating of
demonstration of each
Leadership Essential

Manager Review
(Year End)
Manager to enter rating of
demonstration of each
Business
Specific
Essential.

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Critical Attributes
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)

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Periodic Review Date


1st
Review

Summary Comments on Performance


Employees Comments:

Managers Comments:

2nd
Review

Employees Comments:

Managers Comments:

3rd
Review

Employees Comments:

Managers Comments:

Part D: Annual Review of Performance (Objectives + Capabilities)


Employees Summary of Overall Performance (Self Appraisal)

Managers 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.
Appraisees Signature
Date
________________________________________________________________

Appraisers Signature
Date
______________________________________________________________

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Part E: Development Plan


Aspirations
Describe Professional interests / career aspirations both short term and long term. Consider company direction and work team needs.

Strengths
Self Assessment

Areas of Improvement
Self Assessment

Managers Comments:

Managers Comments:

Development Objectives & Action Steps


Development Objectives
Based on current role and future career
aspirations,
identify
the
Essentials,
knowledge and experience to be developed.

Action Steps
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)

Resources Needed
Identify resources needed to achieve
development objectives. Types of
resources to consider include:
Financial, people, technology

Timeline
Specify time frame
for completion of
activity.

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Part F: Development Plan Periodic Reviews


Periodic Review Date
1st
Review

Summary Comments on Development


Employees Comments:

Managers Comments:
nd

2
Review

Employees Comments:

Managers Comments:
rd

3
Review

Employees Comments:

Managers Comments:

Part G: Development Annual Review


Employees Overall Development Summary

Managers 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.
Appraisees Signature
Date
________________________________________________________________

Appraisers 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

Description

Part A

Objectives

This is the `what of the appraisees 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 ones
job and to accomplish ones 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.

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Part E

Development The purpose of a development plan is to develop skills and


Plan
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.

Development plan needs to be reviewed periodically and


annually.
Section

Description

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Part F

Development The development plan should be reviewed several times a


Plan Periodic year. Any issues or any changes in the plan should be
Reviews
recorded. The review can be done simultaneously while
reviewing objectives and capabilities or at some other time.

Part G

Development This review should take place at the end of the year and
Annual
may be done at the same time as the review of the
Review
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.

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Page 2 of 2

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)
1. Describe your main achievements during the year in the order of significance.
Quantify them wherever possible :

_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
______________________________
2.
Indicate factors, which helped
In your performance
Factors

Illustrations

Indicate factors, which hindered


your performance
Factors

Illustrations

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PART B
76

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)

Appraisers
Rating
(3)

Appraisers
Weightage
(4)

Performance
Score
(3 x 4)

Total Score

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PART C
Performance Skills (Assessment of Exhibited Attributes)
(Total Weightage - 15 %)
Describe the employees performance giving specific description against each of the
skills listed below:
SR.

ATTRIBUTES

APPRAISERS
RATING (1)

WEIGHTAGE
(2)

1.

Planning & Organizing

3%

2.

Team Work & People Oriented

3%

3.

Innovation & Creativity

3%

4.

Customer Satisfaction

3%

5.

Problem Analysis

3%
Total Part C =

SCORE
(1X2)

15%

Overall Score:
Overall Rating:

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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

_______________________
Appraisee's Sign & Date

Behavioral

_________________________
Appraiser's Sign and Date

___________________________________________________________________
RECOMMENDATIONS
OVERALL RATING -

________

________________________
Appraiser's Sign & Date

_______________________
Reviewer's Sign and Date

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TARGET SETTING : 2007


Name : ______________________________ Emp. Code : __________________
Department: _________________________

Location : ____________________

Designation : _______________ Grade : __________________


_________________________________________________________________________

PART I
PERFORMANCE / RESPONSIBILITIES REVIEW
1. INDIVIDUAL OBJECTIVES ( 5 - 7 NOS) ( Total Weightage - 85 % )
(JOB RELATED KRAs)

Sr. No

Objectives/ Key Result Areas

Weightage

PART II
Performance Skills (Assessment of Exhibited Attributes)
(Total Weightage - 15 %)
SR.

ATTRIBUTES

1.
2.
3.
4.
5.

Planning & Organising


Team Work & People Orientation
Innovation & Creativity
Customer Satisfaction
Problem Analysis

________________________
Appraisee's Sign & Date

WEIGHTAGES

________________________
Appraiser's Sign and Date

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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: http://www.wits.ac.za/depts/cult/360GeneralInfo.doc

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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.
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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 selfdevelopment. 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.

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ANNEXURE VII
eAppraisal (using Balanced Scorecard method) for managerial level
eAppraisal Form
<name of the reviewer>, you have logged in as Reviewer.

Initiated By <name of appraisee> on <date> <time>


Pending with MC (name of HR person)
Name

<name of appraisee>

Request No. : ___________

Status : Rated by Reviewer

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 Measure
Self Appraisal
Appraiser
Key Performance Area Achievement
Rating Weight Score Rating Weight Score

Total

Customer Measure
Key Performance Area Achievement

Self Appraisal
Appraiser
Rating Weight Score Rating Weight Score

Total
Internal Process
Key Performance Area Achievement

Self Appraisal
Appraiser
Rating Weight Score Rating Weight Score

Total
People (Learning & Growth)
Key Performance Area Achievement

Self Appraisal
Rating Weight Score

Appraiser
Rating Weight Score

Total
Grand Total
Overall Self Rating

Page 1 of 2

Appraisal Summary and Review


Identity

Name

Overall Rating
Score
Rating

Date

88

Appraisee
Appraiser
Reviewer
Final Rating by MC
Promotion
Recommended By
Appraiser
Recommended By
Reviewer

<email ID of appraisee>
<email ID of appraiser>
<email ID of reviewer>
<email ID of HR person>

<date> <time>
<date> <time>
<date> <time>

Comments
Identity
Comments
Appraiser
(name)
Reviewer
(name)
HR
(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):
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>
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ANNEXURE VIII
eAppraisal Process
89

Appraisee writes his self-appraisal

Submits to Main appraiser

Goes to additional appraiser1

Goes to additional appraiser2

Optional

Comes back to Main Appraiser

Main Appraiser submits it to Reviewer

Reviewer reviews and writes

Reviewer submits it to HR

Management Committee Moderation and other stages


(HR to enter results)

HR submits to reviewer

Reviewer releases to main appraiser

Main appraiser releases it to appraisee with a


request to set up time for discussion

Discussion done and Appraisee Confirms.


Process completed

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ANNEXURE IX
eAppraisal for Executive/Officer level
eAppraisal Form
<name of appraiser>, you have logged in as Appraiser.

Initiated By <name of appraisee> on <date> <time>


Pending with MC (name of HR person)

Status: Rated by Reviewer

eAppraisal Period
Name

Location

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 eTargets


Performance / Responsibility Review (Maximum weight should be 85)
Target
Self Appraisal
Appraiser
Key Performance
Achievement
Setting
Area
Rating Weight Score Rating Weight Score
Weightage

Total

85

85

Performance Skills (Assessment of Exhibited Attributes) (Maximum Weight should be 15)


Self Appraisal
Appraiser
Target
Key Performance
Achievement
Area

Setting
Weightage Rating Weight Score Rating Weight Score

Team Work &


People Oriented
Innovation &
Creativity
Customer
Satisfaction
Problem Analysis
Total
Grand Total

0
0

15
100

15
100

Overall Self Rating


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Appraisal Summary and Review


Overall Rating
Score
Rating

Identity

Name

Appraisee
Appraiser
Reviewer
Final Rating by MC

<email ID of appraisee>
<email ID of appraiser>
<email ID of reviewer>
<email ID of HR person>

Promotion and Performance Potential


Identity
Promotion Recommendation
Appraiser
Comments
Identity
Appraiser
(name)
Reviewer
(name)
HR

Date
<date>
<date>
<date>

Performance-Potential

Comments

(B) - Overall Assessment, Strengths & Training Needs


1. Summary of Performance (by the Appraiser)

2. Strengths - (by the Appraiser)


Clarity of Purpose
Practical Creativity
Objective Analytical Power
Market Orientation
Leading Others
Developing Others
Any Other (Please specify)

Influencing Others
Entrepreneurial Drive
Self Confidence
Team Commitment
Learning from Experience

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>
Created by <name of appraisee> on <date> <time>
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