Performance Management Policy

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Performance Management Policy

Prepared by
Khan Sarfaraz Ali
National Human Resource Specialist
and
CEO, LIFE
www.lifebangladesh.com

sarfarazbim@gmail.com / lifebangladesh.com Page 2 of 21

Performance Management (PM)

Performance Management (PM) includes activities which ensure that goals are consistently being
met in an effective and efficient manner. Performance management can focus on the performance
of an organization, a department, employee, or even the processes to build a product of service, as
well as many other areas. PM is also known as a process by which organizations align their
resources, systems and employees to strategic objectives and priorities.
Performance management originated as a broad term coined by Dr. Aubrey Daniels in the late
1970s to describe a technology (i.e. science imbedded in applications methods) for managing both
behavior and results, two critical elements of what is known as performance. A formal definition of
performance management, according to Daniels' is a scientifically based, data-oriented
management system. PM consists of three primary elements - measurement, feedback and
positive reinforcement.
As a part of Human Resource Development process introducing a Performance Management
policy and procedure for KWASA is obvious that will apply regarding hiring, advancement,
performance appraisal, discipline, and retirement. This performance management policy and
procedure is internal to KWASA only, and in no way circumvent the civil service rules on
advancement, performance appraisal, discipline, etc. It is only designed to make clear the job tasks
and outputs performance criteria required between the employee and the supervisor within the
KWASA organization.

Job Descriptions

A Performance Management System comprises three (3) basic parts. The first part is the job
description. A job description is a basic HR management tool that helps to increase individual and
organizational effectiveness. For each employee, a good job description helps the job holder to
understand:
Their responsibilities and tasks
Their outputs
The importance of their responsibilities
How their position contributes to the mission, goals and objectives of the organization

For the organization, good job descriptions contribute to organizational effectiveness by:
Ensuring that the work carried out by staff is aligned with the organization's mission
Helping management clearly identify the most appropriate employee for new
responsibilities and realigning work loads

Job descriptions are also the foundation for most HR management activities particularly the
Performance Management System where the job description and the Performance Review Report
are used to monitor performance. While job descriptions establish the activities that need to get
done in order to deliver the services of the organization, performance objectives define the
qualitative and quantitative standards for each of the key activities. Employees at all levels in the


organization should be able to clearly understand how their job activities and the level of their
performance directly contribute to the success of the organization.

Employee performance management provides an opportunity to build trust and foster constructive
and productive working relationships, particularly between employees and their supervisors. A
performance management process that encourages collaboration in setting performance objectives
and evaluation results is more effective in motivating employees.

Performance Appraisal

Formal performance appraisal is governed by GoB civil service rules. The following discussion and
process is internal to KWASA only.

While most organizations require an annual performance review be done with all employees,
effective people management is based on on-going feedback, coaching and support throughout the
year. Supervisors are responsible for monitoring day-to-day performance and providing employees
with timely and constructive feedback - both positive and negative. Monitoring day-to-day
performance does not mean watching over every aspect of how the employee carries out assigned
activities and tasks, and produces outputs. Supervisors should not micro-manage employee
performance but instead should focus their attention on results achieved, as well as individual
behaviors and team dynamics affecting the work environment.

In most organizations supervisors are required to conduct a formal review with all of their
employees, usually annually. The Performance Appraisal process will be integrated with local
and/or national government civil service requirements.

Performance Management

Performance management is a process by which supervisors and employees work together to
plan, monitor and review the employees work objectives and overall contribution to the
organization. Its more than just an annual performance appraisal, performance management is the
continuous process of setting objectives, assessing progress and providing on-going coaching and
feedback to ensure that employees are meeting their objectives and career goals.

It involves the supervisor using an approved job description to sit down with the employee at the
beginning of a work period or new job and developing a Performance Review Plan, which
describes the tasks to be performed and the outputs required. Then at scheduled intervals or
informal discussions the supervisor and the employee will review how well job requirements are
being met. Performance Management involves four (4) activities: setting performance criteria,
performance planning, ongoing coaching, and performance review.

The objectives of the Performance Management System are:
To help achieve departmental objectives through staff
To help employees achieve better performance
To evaluate employee performance and improve communication between managers and
staff on managing performance
To provide opportunities for development for staff


The Performance Management System has a one-year appraisal period over which the phases
described are completed. The appraisal period starts from the employee's anniversary date and
every year thereafter. The following timeline shows an overview of what tasks should be completed
at each month.

Month 1 Create Performance Plan
Month 2 Identify critical elements for upcoming year
Identify developmental and training needs
Create a plan for monitoring performance and
communicating throughout the year
Month 3
Month 4
Month 5
Month 6 Conduct Progress Review
Month 7 Check employee progress
Provide feedback on performance so far
Adjust critical elements if necessary
Month 8
Month 9
Month 10
Month 11
Month 12 Rate Performance
Discuss employee performance
Provide the employee with a summary rating
Explain grievance process if necessary

Performance Criteria is the information that provides the foundation for measuring performance
competencies, expectations, and goals. It is derived mainly from the job description. Performance
Planning is the discussion between a supervisor and employee to establish clear, specific
performance goals and expectations at the beginning of the performance cycle.

Performance Planning is the next step in the Performance Management process. It is a discussion
between a supervisor and an employee to:
Outline the major tasks and outputs assigned to the position
Establish and agree upon performance goals and expectations
Clarify what the employee will be evaluated on
Set the stage for ongoing feedback and coaching throughout the year

In the Performance Management process, the supervisor and employee will engage in a
performance planning discussion at least once annually; ideally, performance planning should
occur at any point in which performance goals and expectations change. For new employees, this
discussion must occur within the employees first week on the job. It is important that the
supervisor documents the agreed-upon goals and expectations in the Performance Review Plan
and makes a copy for the employee. The Performance Review Plan, located in Appendix 1, is
provided as the documentation tool for this activity.

Job descriptions are written using broad responsibility statements to describe a job that could be
held by several employees. Duties that are specific to and only performed by one individual may or
may not be found in the broad responsibility statements in a job description. The Performance
Management Plan allows a supervisor, in conjunction with the employee, to list duties that may be


specific to the individual position rather than using the broad responsibility statements. Any duties
listed must, of course, be job-related and remain consistent with the broader statements of the job
description.

The Human Resources Department is available to consult with work units and supervisors on their
specific needs and the use of this Policy. In addition, Human Resources can provide overview
training on the Performance Management process as well as in-depth training on specific topics
related to performance management.

Coaching is an ongoing process of communication between the supervisor and the employee
focused on improving current performance and building capabilities for the future. It involves
informal conversation or notes, as well as more formal coaching meetings and written
documentation.

The actual performance review discussion is an extremely important component of the
performance management process. It is the conversation between the supervisor and employee
regarding:

Where performance exceeded, met, or fell below expectations
The learning and development needed and received
Goals that were set and achieved by the staff member
Feedback from others affected by the staff members performance
Future goals

Information from the performance review is critical not just for performance improvement, but for
other human resource decisions, including appropriate job assignments. In the Performance
Management Process, it is a requirement that every staff member will receive, at minimum, an
annual review on their anniversary hire date that will be discussed, documented, and submitted to
Human Resources for the employees personnel file.

A Performance Review Plan is in Appendix 1. The various parts give guidance on how supervisors
and employees can work together to build the Performance Review Plan; that is a formal set of
developmental goals with action steps and targeted completion dates, established at the beginning
of the performance year. As we use the term here, development includes training (learning
directed toward specific objectives such as following certain regulations or procedures or the
application of an acquired skill) and education (learning directed at broader objectives such as
becoming a more effective supervisor or better leader).

Rating Scale

A Rating Scale is provided in Appendix 2 for indicating the task and output performance attained.
The rating scale has five (5) measures ranging from exceptional performance to unsatisfactory.

Performance Improvement Plan (PIP)

A Performance Improvement Plan is in Appendix 3 to use in planning developmental activities to
improve Level 1 (Unsatisfactory Performance).


If at any time during the performance cycle an employee's performance becomes Level 1
(Unsatisfactory) in one or more critical elements, document the specific performance deficiencies
on the performance plan and afford the employee an opportunity to demonstrate acceptable
performance. Subsequently, complete a Performance Improvement Plan (PIP).
What the PIP Should Contain?
A description of the critical element in which performance is unsatisfactory and specific instances
of Level 1 (Unsatisfactory) performance:
What the employee must do in order to demonstrate acceptable performance
Time period allowed for the opportunity to improve
Suggestions for improving performance
Offer of assistance to the employee to improve performance including training, if applicable
Statement of the possible consequences of failure to raise performance to an acceptable
level during the opportunity period

The Human Resources Department will provide guidance and technical assistance to the
supervisor throughout the duration of the PIP, including any subsequent performance-based
actions.

Instructions on how to complete the Performance Improvement Plan and the PIP form can be
found in Appendix 3.

Performance Management Policy

The Khulna Water Supply and Sewerage Authority is committed to supporting its employees to
achieve their job performance and career goals. Performance management in the form of regular
constructive feedback and development plans, and facilitates the professional and career success
of our staff to align their performance goals with the goals of the KWASA organization.

The policy can be found below. The policy proposes an annual performance review cycle for
employees consistent with GoB civil service rules. The process emphasizes establishing and
reviewing job performance and career goals, and determining the resources and support needed to
achieve those performance goals for each employee within each Department.
Policy Name Performance Management
Application/Scope: Applicable to all Khulna Water Supply and Sewerage
Authority (KWASA) employees
Governing Regulations: Government of Bangladesh (GoB)
Approved (date):
Review (date):
Revised (date):


Approved by:
1. Purpose: 1.1 The performance review process is intended to provide
an assessment of an employee's accomplishments over a
one-year period
1.2 Assessment will consider the outcome of plans made
and goals set at the time of the previous years evaluation
1.3 Plans for upcoming consecutive years should promote
individual staff development and recognize departmental
needs and resources
1.4 To ensure that KWASA staff are covered by a single
integrated performance management process
1.5 To establish goals against which performance will be
assessed
1.6 To document performance to determine progress toward
job competency
2. Definitions: 2.1 Performance Management: the process of identifying,
measuring, and improving the performance of staff
2.2 Performance Review: an element of Performance
Management defined as the regular review and assessment
of an individual's job performance against established
criteria and organizational objectives, and providing
feedback to the individual
2.3 Performance Criteria: expectations used to measure
performance

3. Policy: 3.1 Performance Reviews shall be conducted annually and
semi-annually or more often as needed
3.2 Formal annual and semi-annual Performance Review
meetings are held with each employee to objectively and
collaboratively review the employee's performance
3.3 Employees shall maintain satisfactory performance
based on the tasks and outputs outlined in the job
description
3.4 The annual performance review cycle is set by the civil
service rules.
3.5 Employees' performance is assessed at a minimum on
an annual and semi-annual basis through a Performance
Review and compared to the performance standards for that
employee's position


3.6 To begin the performance review cycle in accordance
with civil service rules, the employee and supervisor
complete a Performance Review Plan using the format
provided in Appendix 1 and the Rating Scale in Appendix 2
3.7 The supervisor must ensure that the job description
reflects the current tasks and outputs of the employee
3.8 The supervisor will conduct a formal, face-to-face
meeting with the employee about the employee's job
description and performance standards.
3.9 The supervisor and the employee are required to
acknowledge receipt of the Performance Review by signing
the Performance Review Plan and the employee will be
provided a copy
3.10 The employee may make comments or respond to the
review in the section provided on the Performance Review
Report Plan
3.11 Annual Performance Review Plans must be submitted
in accordance with the civil service rules
3.12 An employee who has one Performance Review that
falls below expectations shall be required to meet with the
Department Head to discuss a plan for correction and
provide achievable targets for the next review period
3.13 An employee who has two or more Performance
Reviews with documented performance which falls below
expectations or whose performance is inadequate or
unacceptable may have their job duties redistributed until
performance has returned to satisfactory
3.14 Inadequate performance is documented in accordance
with civil service rules and the employee is informed in
writing of any area(s) which require improvement
3.15 The employee and supervisor shall complete a
Performance Improvement Plan, Appendix 3, for all
tasks/outputs which are deemed unsatisfactory


Appendix 1

Performance Review Plan
Name:
Department:
Review period: From: To:
Part 1: Reviewing last years performance
General review: General review of the year
Setting objectives: Review progress against previous years objectives
Tasks and outputs: Review of progress against job description and common
performance tasks and outputs
Personal development: Reviewing your personal and professional development
Part 2: Planning for the year ahead
Setting objectives: Setting objectives for the year ahead
Personal development: Setting personal and competency development goals for the year
ahead

Part 1: Reviewing last years performance
Section 1: General review of the year
General review of the past year - what went well, any difficulties encountered

Section 2: Previous objectives What did you accomplish?
Objectives agreed to for
timeframe under review
Success measures Indicate whether objectives
were exceeded, met, partially
met or not met

Other key achievements/successes


Job Performance: Tasks and Outputs

Use the Rating Scale in Appendix 2 to mark performance for each task and output.

Section 3
Key technical/professional
requirements of your job
Please list specific technical or professional requirements of the
job, and any comments; (place checkmark [] in the appropriate
column under satisfactory or unsatisfactory)

Tasks

Outputs
Satisfactory Unsatisfactory
E EE ME IN U

Comments


Development Needs for Job Performance Tasks and Outputs

Section 3a:
Development needs for key
technical/professional
requirements of your job
Please list specific technical or professional requirements of
the job, and any comments
Tasks/Outputs Needs Action Steps Implementation
Date

Comments


Common Performance Tasks and Outputs

Use the Rating Scale in Appendix 2 to mark performance for each task and output.

Section 4
Common performance
criteria
All employees are responsible for demonstrating these
performance criteria (place checkmark [] in the appropriate
column under satisfactory or unsatisfactory)

Tasks

Outputs
Satisfactory Unsatisfactory
E EE ME IN U
1. Teamwork Establishes and maintains
respectful, cooperative, and
productive
working relationships with
co-workers, team members,
supervisors, and other
members of the university
community

2. Organizational
Commitment
Demonstrates a productive
work style that is compliant
with university and
department policies and
procedures in support of
established goals and
objectives

3. Stakeholder Focus Demonstrates concern for
satisfying the organizations
external and/or internal
stakeholders/customers

4. Diversity Commitment Seeks to recognize,
understand, and respond
effectively to similarities and
differences in people and
makes better decisions
based on that understanding;
recognizes and responds to
the needs of various groups
in the workplace and
stakeholders/customers base


so as to improve working
relationships, productivity,
and stakeholder/customer
satisfaction
5. Maintaining a Safe and
Secure Work
Environment
Committed to maintaining a
safe, secure, and non-
threatening work
environment

Comments


Development Needs for Common Performance Tasks and Outputs

Section 4a
Development needs for
common performance
criteria
All employees are responsible for demonstrating
these performance criteria
Tasks/Outputs Development Needs Action Steps Implementation
Date
1. Teamwork

2. Organizational
Commitment

3. Stakeholder Focus

4. Diversity Commitment

5. Maintaining a Safe and
Secure Work
Environment

Comments


Section 5

What did you learn? Reviewing Personal and Professional Development
Previous development
objectives agreed to
What did you do to learn and
develop
Progress made towards
achieving objectives

Comments


Section 1: Setting objectives
Setting objectives Setting objectives for the year ahead
Objectives to be
achieved this year
Links to organizational
vision and mission
How will success be
measured
List new skills,
knowledge needed to
develop so that you
can meet objectives

Notes and amendments at review

Is there anything specific your supervisor and colleagues could do (more of, less of, better,
differently) to help you be successful


Section 2: Planning Personal and Professional
Development
What skills, knowledge or
competencies you need to
develop
How you will develop them;
what will you do and when
How will success be measured; how
you will know you have succeeded;
who will give feedback


Notes and amendments at review

Employees Name
Supervisors Name
Date

Employees signature at initial review
Supervisors signature at initial review

Employees signature at semi-annual review
Supervisors signature at semi-annual review

Employees signature annual review
Supervisors signature at annual review


Appendix 2
Use this Rating Scale to mark performance for each Job and Common Performance Task and Output.

Rating Scale
Level 5 (E)

Exceptional: Performance far exceeded expectations due to exceptionally high quality of work
performed in all essential areas of responsibility, resulting in an overall quality of work that was
superior; and either 1) included the completion of a major goal or project, or 2) made an
exceptional or unique contribution in support of unit, department, or organization objectives. This
rating is achievable by any employee though given infrequently.
Level 4 (EE)

Exceed expectations: Performance consistently exceeded expectations in all essential areas
of responsibility, and the quality of work overall was excellent. Annual goals were met.
Level 3 (ME)

Meets expectations: Performance consistently met expectations in all essential areas of
responsibility, at times possibly exceeding expectations, and the quality of work overall was very
good. The most critical annual goals were met.
Level 2 (IN)

Improvement needed: Performance did not consistently meet expectations performance
failed to meet expectations in one or more essential areas of responsibility, and/or one or more
of the most critical goals were not met. A professional development plan to improve
performance must be outlined in Section 3a and 4a, including timelines, and monitored to
measure progress and correct deficiencies.
Level 1 (U)

Unsatisfactory: Performance was consistently below expectations in most essential areas of
responsibility, and/or reasonable progress toward critical goals was not made. Significant
improvement is needed in one or more important areas. In Section 3a and 4a, a plan to correct
performance, including timelines, must be outlined and monitored to measure progress to
correct deficiencies.


Appendix 3
Performance Improvement Plan

Use this form to document the Performance Improvement Plan.

Enter any development needs. Supervisors and employees revisit how the employee has
progressed against the development plan and supervisor should complete the comments section.

Employee Name:

Job:

Department:

Supervisor Name:

Date:

Job Tasks/Outputs Unsatisfactory (list all);

Common Tasks/Outputs Unsatisfactory (list all):

What the employee must do in order to
demonstrate acceptable performance:

Time period allowed for the opportunity to
improve:

Suggestions for improving performance:


Offer of assistance to the employee to improve
performance including training, if applicable:

Statement of the possible consequences of
failure to raise performance to an acceptable
level during the opportunity period (each
statement is unique for the employee and the
situation):

Comments

Use additional sheets of paper if necessary. Each additional sheet should contain
the following identifying information

Employee Name:

Job:

Department:

Supervisor Name:

Date:

Employees Signature:
Date:
Supervisors Signature:
Date:

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