ANNEXURE I

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 ANNEXURE II
Xyz ltd.
Xyz’s logo Performance and Development Plan (PDP) Form <period of appraisal> for <level or grades of employees>

Function Head
Name: Age:
Name & Signature
Manager’s Name &
Title: Grade:
Signature Total Score
Qualification Qualification Site / Commercial /500
Academic: Professional: function:
Date of Employee
Location Percentage
Joining No.
Score
Experience Experience %
Department:
in XYZ before XYZ:

Part A: Objectives (Use Bullet Points only)

Criticality of Manager Review
Objectives Performance Measures Accomplishments Score
Objectives (Year End)
List objectives below. What In preparation for review describe your Manager: to
Total List measures for each Weightage
do you need to accomplish progress to date towards meeting each enter evaluation
Weightage objective. Be sure measures X
this year to meet corporate & objective based upon your performance of achievement
100 points are quantifiable and verifiable. Rating
business objectives? measures. rating: 1 to 5

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
Manager Review
Leadership essentials Behaviours Observations
(Year End)
Leadership Essentials are how work gets done to Identify actions/behaviours for each In preparation for periodic and annual Manager to enter rating of
support XYZ goals and culture. Identify 1-3 Essentials Essential. Be sure they are verifiable and reviews, describe your progress in demonstration of each
that are critical to successful performance. Both you specific. demonstrating the Essentials Leadership Essential
and your manager must agree on these Essentials.
(Choose from list given overleaf)

Manager Review
Business-Specific Essentials Behaviours Observations
(Year End)
You may choose to add Business-specific Identify actions/behaviours for each In preparation for periodic and annual Manager to enter rating of
technical/functional Essentials that are critical to your Essential Be sure they are verifiable and reviews, describe your progress in demonstration of each
job. Both you and your manager must agree on these specific. demonstrating the Essentials. Business Specific
Essentials. (Indicative list given overleaf) Essential.

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Critical Attributes
The Leadership Essentials
Performance with integrity
People with Passion
Innovation & Entrepreneurship
Sense of Urgency
Everyone Committed and contributing
Accountability for Achievement
Alignment with XYZ Interests
Develop Self and Others
The Business Specific Essentials
Analytical Skills
Conceptual Skills
Computer Skills
Communication Skills
Customer Orientation
Decision Making
Independence
Negotiation Skills
Networking Skills
Product/Process Knowledge
Quality Orientation
Resource Management
Strategic Thinking
Time Management Skills
Description
Delivering on promises with organizational and individual trustworthiness.
Inspiring, motivating, enabling people to do their best work.
Creating and sustaining competitive advantage through well-executed ingenuity.
Crating a focused, agile, productive and fast-learning organization.
Enabling, encouraging and allowing all employees the opportunity to make meaningful contributions and succeed on merit.
Setting, communicating, and committing to the critical few clear expectations. Superior performance matters and will be rewarded.
Operating as “one team, in single-minded pursuit of our mission”; reflecting a common spirit and integrated strategies.
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.
Description
Ability to obtain and interpret data to identify critical issues and arrive at specific conclusions.
Ability to understand concept parameters of own function and integrating with other functions leading to application possibilities.
Ability to understand the capabilities of computer systems and determine relevant usage.
Ability to consciously choose appropriate content and method of communication for highest impact.
Ability and inclination to establish and nurture customer partnerships.
Ability to choose timely and rationally best options based on internal and external factors.
Ability to assume responsibilities, as per requirements of the job, and act independently.
Ability to influence and convince others to arrive at win-win solutions.
Ability to establish linkages to obtain information and services.
Ability to understand products/technology, its application and ways to maximize advantage in use.
Ability to be conscious about standards required for delivering excellent output.
Ability to use available resources for optimum return.
Ability to forecast changes required and develop alternative courses of action.
Ability to prioritize and plan deliverables.
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Part C: Periodic Reviews of Performance (Objectives + Capabilities)

Periodic Review Date Summary Comments on Performance

st
1 Employee’s Comments:
Review

Manager’s Comments:

2nd Employee’s Comments:

Review

Manager’s Comments:

3rd Employee’s Comments:

Review

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

________________________________________________________________ ______________________________________________________________
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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 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 Identify action steps to achieve development objectives. Types Identify resources needed to achieve Specify time frame
aspirations, identify the Essentials, of activities to consider include: development objectives. Types of for completion of
knowledge and experience to be developed. ∙ Assignments (projects, career moves) resources to consider include: activity.
∙ Learning from Others (coaching, feedback, Financial, people, technology
mentoring)
∙ Courses (seminars, e-learning, independent study)

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Part F: Development Plan Periodic Reviews
Periodic Review Date Summary Comments on Development
1st Employee’s Comments:
Review

Manager’s Comments:
nd
2 Employee’s Comments:
Review

Manager’s Comments:
rd
3 Employee’s Comments:
Review

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 Description
Part 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 A capability is `how’ the job is done. It is a behaviour or
(critical group of behaviours required to perform effectively in one’s
attributes) job and to accomplish one’s objectives.
The appraiser has to review demonstration of each
capability.
Part C Periodic The appraisee has to set up reviews of his objectives and
Reviews 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 Annual review takes place at the end of the year. The
Review 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 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.

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Section Description
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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 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 Indicate factors, which hindered
In your performance your performance

Factors Illustrations Factors Illustrations

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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 Self Appraiser’s Appraiser’s Performance

in order of importance Rating Rating Weightage Score
(1) (2) (3) (4) (3 x 4)

Total Score

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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 WEIGHTAGE SCORE

RATING (1) (2) (1X2)

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 = 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. Functional/Job related Behavioral

No.

_______________________ _________________________
Appraisee's Sign & Date 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 WEIGHTAGES

1. Planning & Organising

2. Team Work & People Orientation
3. Innovation & Creativity
4. Customer Satisfaction
5. Problem Analysis

________________________ ________________________
Appraisee's Sign & Date 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:

3 2 1 0
Competency / Area of responsibility Development Area of Area of Unable to
area competence excellence 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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 3 2 1 0
Competency / Area of responsibility Development Area of Area of Unable to
area competence excellence 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.

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 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>

Date of Joining the

Designation
Company

Date of last Promotion

SBU / Department
(if any)

Grade Name of Appraiser

Name of Appraiser's
Employee ID
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
Self Appraisal Appraiser
Key Performance Area Achievement
Rating Weight Score Rating Weight Score

Total

Internal Process
Self Appraisal Appraiser
Key Performance Area Achievement
Rating Weight Score Rating Weight Score

Total

People (Learning & Growth)

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

Total
Grand Total
Overall Self Rating
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 Appraisal Summary and Review
Overall Rating
Identity Name 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
Recommended By
Appraiser
Recommended By
Reviewer
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

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> Status: Rated by Reviewer

Pending with MC (name of HR person)
eAppraisal Period

Name Location

Date of Joining the

Designation
Company

Date of last Promotion

SBU / Department
(if any)

Grade Name of Appraiser

Name of Appraiser's
Employee ID
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 0 85 85

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

Target Self Appraisal Appraiser
Key Performance Setting
Achievement
Area Weightage Rating Weight Score Rating Weight Score

Team Work &

People Oriented
Innovation &
Creativity
Customer
Satisfaction
Problem Analysis
Total 0 15 15
Grand Total 0 100 100
Overall Self Rating

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 Appraisal Summary and Review
Overall Rating
Identity Name Date
Score Rating
Appraisee <email ID of appraisee> <date>
Appraiser <email ID of appraiser> <date>
Reviewer <email ID of reviewer> <date>
Final Rating by MC <email ID of HR person>

Promotion and Performance Potential

Identity Promotion Recommendation Performance-Potential
Appraiser

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

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