Staff Performance Management- edited

Network of Networks of HIV
Positives in Ethiopia
(NEP+)
Staff Performance and Development Review

Procedure Manual
Prepared by
Wisdom Consult plc

Email: [email protected]
July 2017
Table of Contents
NEP+ - Staff Performance Management Manual
ABBREVIATIONS AND ACRONYMS......................................................................................................... 3

1. INTRODUCTION..................................................................................................................................... 4
1.1 PURPOSE..............................................................................................................................................................4
1.2 OBJECTIVES...........................................................................................................................................................4
1.3 ORGANIZATION OF THE MANUAL..............................................................................................................................5
2. GUIDING PRINCIPLES.......................................................................................................................... 5
3. ROLES & RESPONSIBILITIES............................................................................................................ 6
4. PERFORMANCE AND DEVELOPMENT REVIEW PROCESS.....................................................7
4.1 OBJECTIVE SETTING................................................................................................................................................8
4.2 ONGOING REVIEW AND FEEDBACK THROUGH ONE-TO-ONE COMMUNICATION................................................................10
4.3 THE MID-YEAR REVIEW..........................................................................................................................................10
4.4 END OF YEAR PERFORMANCE AND DEVELOPMENT REVIEW..........................................................................................11
5. LEARNING AND CAREER DEVELOPMENT..................................................................................12
5.1 PERSONAL DEVELOPMENT.....................................................................................................................................12
5.2 CAREER DEVELOPMENT.........................................................................................................................................13
6. FEEDBACK............................................................................................................................................. 14
7. PERFORMANCE REVIEW AND RATINGS....................................................................................14
7.1 PERFORMANCE RATING.........................................................................................................................................14
7.2 SPECIAL PERFORMANCE RATINGS............................................................................................................................17
7.3 THE PERFORMANCEREVIEW TEAM (PRT).................................................................................................................18
7.4 PERFORMANCE RATING PROCESS............................................................................................................................18
8. REWARDING PERFORMANCE......................................................................................................... 18
8.1 ELIGIBILITY FOR STEP INCREMENT AND BONUS REWARD..............................................................................................19
8.2 OTHER REWARDS.................................................................................................................................................19
8.3 POOR PERFORMANCE MANAGEMENT......................................................................................................................19
9. PERFORMANCE RELATED GRIEVANCE HANDLING...............................................................20
10. MONITORING PERFORMANCE MANAGEMENT?.................................................................21
11. FURTHER SUPPORT....................................................................................................................... 21
12. AMENDMENT OF THE MANUAL................................................................................................ 21
ANNEXES......................................................................................................................................................... 22
ANNEX I: EXAMPLES OF SMART OBJECTIVES.....................................................................................................................22
ANNEX II: PERFORMANCE OBJECTIVE CHECKLIST.................................................................................................................23
ANNEX III: EXAMPLES OF QUANTITATIVE & QUALITATIVE MEASURES......................................................................................24
ANNEX IV: EXAMPLES MID-YEAR REVIEW..........................................................................................................................24
ANNEX V: EXAMPLES OF CAREER DEVELOPMENT DISCUSSIONS..............................................................................................25
ANNEX VI: GUIDELINES FOR GIVING & RECEIVING FEEDBACK................................................................................................26
Abbreviations and Acronyms
ED Executive Director
HR Human Resource
IAP Individual Action Plan
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PIP Performance Improvement Plan

PM Performance Management
PMS Performance Management System
PRT Performance Review Team
SMART Specific, Measurable, Achievable, Relevant and Time bound
SP Strategic Plan
NEP+ Network of Networks of HIV Positives in Ethiopia
1. Introduction
1.1 Purpose
Managing employees’ performance is a continuous process. It is a process of evaluating an

employee’s achievements within a specific period of time against the set of requirements of an
assigned job. Performance Management System (PMS) is a management tool that serves as the
cornerstone of a number of essential management and Human Resources decisions. For a
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supervisor, the PMS is a tool for her/him to plan and direct performance, provide/receive
feedback, recognition, rewards and sanctions; and to focus on the development needs of the
employee and career development plans; separations and human resources planning.
An important function of the PMS is to promote regular and effective communication between
supervisor and employee. It is the means by which an organization articulates its mission; long-
range strategic goals and annual objectives into action. Through the PMS process, the employee
learns how he or she is seen by the organization, allowing her/him to develop and respond to the
organization changing needs for skilled and quality performance. Good performance management
aids motivation and supports accountability to our stakeholders.
Managing performance is central to how well your employees will be engaged in their work
and how well they will perform. If your employees are engaged in their work they are more
likely to be doing their best for your organization. An engaged employee is someone who:
1. Takes pride in their job and shows loyalty towards their line manager, team or
organization
2. Goes the extra mile – particularly in areas like beneficiaries service, or where
employees need to be creative, responsive or adaptable.
1.2 Objectives
The objectives of the PMS include:

a) To provide clarity of purpose and a shared understanding at all levels on organizational
strategy and objectives;
b) To develop individual performance plans and targets aligned to the NEP+’s operational
plans and strategic direction;
c) To measure achievement of progresses and results in individual performance plans;
d) To improve development and motivation of employee by enabling self-assessment,
effective and ongoing communication and feedback on performance and development;
e) To systematically identify and address learning and development needs;
f) To support reward and recognition of outstanding performance;
g) To address unsatisfactory performance;
h) To document an employee’s performance for current and future administrative decisions
and reference.
1.3 Organization of the Manual
This Performance and Development Review Procedure Manual is organized in 11 sections.

Section one deals with the Introduction (Purpose, Objectives and Organization of the Manual).
The Guiding Principles and Roles and Responsibilities of actors are discussed in section two and
three respectively.
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The Performance and Development Review process is discussed in section four. Objectives
setting, Ongoing Review Feedback, The Mid-Year and End of Year Reviews are addressed in this
section.
The personal, professional and career development of NEP+ staff is addressed in section five.
Communication is the most critical component in the performance management process.

Feedback based on data gathered from observation is more likely to influence employee
performance than feedback that is not supported by such firsthand information. The receiving and
giving feedback is addressed in section six. The Performance Summary and Rating, Rewarding
Performance, Performance Related Grievance Handling are presented in sections seven to nine
respectively.
It is essential to monitor the performance management. This can cover both how well the system
is operating and how far it has contributed to the main goals of improving personal and
organizational performance. The Monitoring Performance Management is addressed in section
ten.For further support, important documents that are useful to refer to as part of this process and
concerned unit or specialist are mentioned in the final section.
2. Guiding Principles
The Guiding principles of the PMS are:
a) Creating performance excellence culture;

b) Alignment with the organizational core values, goals and objectives;
c) Enshrining of transparency;
d) Inclusiveness/participatory approach;
e) Accountability/responsibility;
f) Objectivity;
g) Link to employee development;
h) Link to reward and recognition and other administrative decision.
3. Roles & Responsibilities
Performance management is everybody’s business in NEP+. All employees of the NEP+(the ED,
Managers and other employees) have a shared responsibility. These roles and responsibilities are
presented below:
a) Executive Director:
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i. Ensures that the performance review and development procedure is applied fairly,
objectively and consistently across the organization in accordance with the HR Policy and
Procedures Manual;
ii. Ensures all employees receive the tools and skills they need to be successful in their
jobs;
iii. Ensure that the ‘People First’ philosophy of the NEP+ is realized in such a way that
efforts of teams and individual employees is properly appreciated, recognized and
rewarded through the system;
b) Managers:
i. Read and internalize the NEP+’s strategic and operational plans, Performance
Management System, Policies and Procedures;
ii. Ensure alignment of employee work plans to strategy through leading a goal cascading
process for their own work unit or team;
iii. Ensure that each employee under their domain understands the NEP+’s strategic and
annual goals and how performances will be measured and rewarded, and cascaded team
goals, individual performance goals for the year as per the NEP+’s policy;
iv. Support employee efforts to meet or exceed their performance plans and expectations by
attempting to enhance employee motivation and ability through examining performance
problems, and searching out causes and solutions and recognizing employee
performances;
v. Ensure that all employees are provided with clear job description of their role and receive
orientation on how the NEP+ performance management systems work;
vi. Ensure that the employee is given full induction with regard to the NEP+, work units and
the job itself;
vii. Assist the employee in developing SMART objectives aligned with the NEP+’s goals;
viii. Continuously communicate management’s expectations and goals to the employees;
ix. Provide ongoing and quality feedback (communicate clear examples of successful or
unsuccessful behavior) and coaching for their team to ensure performance improvement
and a holistic employee development;
x. Undertake midterm and annual employee performance appraisal and rating as per the
procedures in this manual;
xi. Sign and date all reviews;
xii. Impose corrective actions, if needed, using the performance improvement process or
disciplinary steps;
xiii. With respect to Performance Improvement Plans (PIPs), outline expectations clearly and
monitor progress and advice and or administer consequences fairly; and
xiv. Ensure complete documentation of performance assessment records, feedbacks and
corrective action pursued.
c) Employees:
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i. Read and internalize the NEP+’s strategic and operational plans, Performance
Management System, Policies and Procedures;
ii. Exert maximum effort to meet their performance expectations. If not they shall be
accountable;
iii. Request to be provided with clear job description of their role and receive orientation on
how internal performance management systems work;
iv. Take full responsibility to have a timely performance and development plan and both a
Mid-year review and Annual performance appraisal discussion, review and appraisal;
v. Own and demonstrate commitment to development and execution of their own personal
development plans;
vi. In consultation with the immediate supervisor, develop SMART goals aligned with the
NEP+’s goals and to commit to them;
vii. Actively participate in the performance review process in a constructive manner; and
viii. Sign and date his/her review, acknowledging that he or she has received the review,
whether or not he/she agrees with it.
d) The Finance &Administration Department:

i. Oversees, monitors, evaluates and controls proper implementation and application of the
performance management system;
ii. Tracks and follows up that all employees are provided with clear job description of their
role and receive orientation on how internal performance management systems work;
iii. Ensures that evaluations contain all the required signatures and dates, and are otherwise
complete;
iv. Takes initiatives to review and propose solutions to improve the performance management
system;
v. Prepares and submits periodic performance monitoring reports to senior management on
the implementation of the system, level of employee satisfaction on the integrity of
performance management processes and possible decisions that could be made based on
individual performance reviews.
4. Performance and Development Review Process
The diagram below (Chart1) gives an overview of NEP+’s performance and development review
process. This guide will look at each element in turn to help users understand the process and
follow good practice, so that they can have relevant and motivating discussions throughout the
year. A similar process should also be used for probation periods; objectives should be set when
the individual starts, and there should be ongoing feedback, with a mid and end of probation
review.
Chart I: Performance & Development Review Cycle
End of Year Objective

Performance & Setting
Development Review (Dec)
(Dec)
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4.1 Objective Setting
A performance objective is a specific end result that contributes to the success of the unit or the
organization and that an employee is expected to accomplish or produce. It provides focus to an
employee’s work to ensure that his or her actions are directed towards achieving important
mission-related outcomes. Performance objectives are not work activities, task descriptions, or
responsibilities listed in a performance description.
A work activity is the action that an employee takes when performing his or her job.
. A performance objective specifies the outcome or end result of a work activity.
Clear objectives are the foundation of this process, so it is important to develop good objectives at
the beginning of the project year.
a) Objectives should come from Strategic Plan (SP),

Chart II: Objective Setting
Department/Organization annual plans so that individuals
are contributing to the achievement of these. The diagram
opposite illustrates this. Objectives may also capture day-to-
NEP+ Strategy day and service-driven activities, if these form a core part of
the job.
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b) For all line managers objectives should include at least one

team objective which focuses on how you plan to manage,
develop and lead your team. (Please see Annex I for a
simple example which you may wish to use as a basis and
adapt, for example your objective may include managing
your team through a change initiative or building a new
capability in your team).
c) New objectives may build on previous ones with new targets
and timescales, as well as including new areas to improve
overall performance and develop career aspirations.
d) Objectives should be agreed between the line manager and the individual.Both the line
manager and individual should be clear on what is expected when setting objectives – in
terms of outputs and measures, and also in terms of what success looks like for each
objective and the year overall.
e) Up to 6 objectives could be in place for the full financial year(Key will be defining the
milestones and what success will look like).
f) Avoid listing tasks to be completed in the ‘measures’ section – otherwise there is a
danger, that it will become a ‘tick list’ to work through, rather than focusing on the
desired outputs and impacts. Instead focus on ‘What does success look like for this
objective/activity? This may be a combination of tangible outputs and qualitative
measures as is appropriate (see Annex III for examples of measures you could use, as
relevant for you).
g) It is not only important that a person delivers his/her objectives, but it is important to
recognize how they are delivered, in a way that is consistent with the NEP+ values. In
the example objectives, feedback from the others would be a measure of this.
h) Individuals and line managers may together agree to update, amend or change agreed
objectives following one-to-one or the mid-year review, if changes in the organization’s
or individual’s circumstances make it appropriate.
How should employee performance be planned?

There are three aspects to planning an individual’s performance:
1. Objectives which the employee is expected to achieve
2. Competencies or behaviours – the way in which employees work towards their
objectives (see Performance Review & Development Form section B)
3. Personal development – the development employees need in order to achieve
objectives and realize their potential.
Employees must be able to understand their objectives and know what they need to do in order to
achieve them.The employee and line manager jointly develop an individual action plan(IAP)
summarizing the performance expectations for the employee over the coming fiscal year.
Objectives may be agreed following discussion or the individual may frame the objectives for
subsequent discussion and agreement with the line manager. Involving the individual in framing
objectives is likely to make them more relevant and better understood.
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Objectives should be clear and robust. The ‘SMART’ acronym is a useful way of getting objectives
right. Objectives should be Specific, Measurable, Achievable, Relevant, Time bound i.e.:
a) Specific: The objective clearly describes the points that need attention. objectives
should state a desired outcome. What does the employee need to achieve?
b) Measurable: It includes clear measurement in terms of quantity or quality
c) Achievable: Does the individual has the skills, capability and resource to achieve it?
Is the objective something the employee is capable of achieving but also
challenging?
d) Relevant: The objective is relevant to the individual’s role or development and is
connected to department plans
e) Time bound: It contains agreed timescales for achievement
4.2 Ongoing Review and Feedback through One-to-One Communication
One-to-one communications an important way to monitor the progress of team members as

well as to discuss plans for the future. They give the opportunity for regular coaching support
around key challenges as well as the chance to support an individual’s personal development.
It is good practice for these meetings to take place at least monthly, in person or on the phone/by
Skype where individuals are not based in the same location.
Objectives should be reviewed during one-to-one communication to ensure they continue to be

relevant and realistic throughout the year. See the one-to-one guidelines and template for
further support with this.
4.3 The mid-year review
During June a mid-year review needs to be carried out. The aim is to check progress and plan for
the rest of the year, provide feedback, identify support needs and update objectives where
needed.
a) Ensure both (the supervisor and the employee) have time to prepare for the mid-year
review before the meeting.
b) Allow at least an hour for the joint mid-year review.
c) Firstly remind yourselves of the objectives and activities agreed earlier in the year, discuss
and agree what has been achieved, how well and what else needs to be achieved.
Summarize the discussion for each of the objectives and make comments on progress.
d) Agree whether there needs to be any amendments to the objectives themselves and write
down these changes on the performance review form. It may be useful to make the
amendments with tracked changes so there is a record of the changes made.
e) Individuals should update the form following this discussion, with line managers adding
their comments as appropriate (example are shown in Annex IV).
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4.4 End of Year Performance and Development Review
The end of year review is a formal two-way discussion which takes place at the end of the project
year (December) between an individual and their line manager to review performance and
development. It should be open, honest and encouraging as well as challenging on the areas for
improvement.
4.4.1 The performance review:
a) Analyses an individual’s contribution to the NEP+, reviewing objectives, and recognizing

and rewarding progress.
b) Reviews learning and development from the year.
c) Provides information and focus that will feed into setting new objectives.
d) Provides an opportunity to openly discuss future aspirations.
An effective discussion will generally take one to two hours and should draw upon any
performance discussions that have taken place throughout the year.
You may find the following useful as a template agenda for your end of year performance review:
a) Overview of the year including highlights, key achievements and challenges experienced
b) Review each objective in turn.
c) Consider achievements and opportunities overall.
d) Reflect on the 360 degree feedback that was gathered (the line manager should also give
their feedback to the individual at this stage).
e) The manager should seek feedback from the individual on how they work together and
any further support required.
f) Consider learning and development from the past year, and personal development needs
for the coming year.
g) Discuss future career aspirations.
h) Summarize overall performance and agree a recommended performance rating.
4.4.2 Preparation for the end of year review
After agreeing on a suitable date, time and place for the performance review, both the manager
and direct report need to prepare for discussion. Consider the following points:
a) Think about the main achievements and highlights in the year, as well as the biggest
challenges and toughest times and tasks in the year.
b) Consider the results that have been achieved against the objective and the impact this
had.
c) Consider the approach taken to achieve the result and ask whether it was consistent with
the values. For example: Did it inspire others? How did you/they learn from it and use the
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learning of others? Did you/they take accountability for the project? How did you/they
show courage in the approach taken?
d) For anyone managing others also consider the approach taken to managing and leading
the team. For example: What aspects of leadership are you most proud of? What aspects
do you need to develop/strengthen? What are your key achievements as a leader?
e) Gather any useful data such as notes from discussions over the year, 360 degree
feedback (see 360 feedback guidelines), feedback from other stakeholders etc.
f) All managers should collect 360 degree feedback as part of their preparation for their
performance review. All others are encouraged to collect feedback as part of the
performance review process.
g) Finally individuals should come to the end of year performance review prepared to discuss
future career aspirations
5. Learning and Career Development
NEP+ takes the personal, professional and career development of its staff both as a means to
achieve set goals as well as an end on its own. It is important that a person achieves his/her
personal learning and development plan objectives as well as the main objectives, and the
achievement of these should be considered when awarding a rating. In order to achieve a fully
successful rating, an individual must have successfully achieved their personal development
objectives as well as the main objectives.
5.1 Personal Development
When preparing for end-of-year review look first at what has been achieved against the personal
development plan from the past year, It would be helpful to think about:
a) What learning activities were undertaken?

b) What have been the key learnings?
c) How are learnings being put into practice?
d) What impact is the learning having, on the performance of individual, the team, NEP+?
e) Is there anything further needed on these areas?
Before moving on to discuss the personal development objectives for the coming year:
a) Each person should have two or three learning objectives to focus on over the next year.
b) Each manager within the NEP+ must have at least one personal development objective
focused on developing their leadership behaviors or management skills (Chart III below
shows the various sources of information that may provide useful inputs for building
personal development objectives for the year).
Chart III: Source of Information for Personal Development Plan
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Challenges experienced
Self awareness
Opportunities identified
Personal Development Plan

Feedback from line manager
Feedback from others
Career aspirations
Objectives
c) Development can be achieved by a variety of methods and this should be reflected in your
personal development plan to ensure maximum learning:
 The majority of learning comes from experience, for example taking on a new
project, trying a new skill on the job, practicing the skill/behaviour and getting
feedback. Ensure this is factored into objectives and personal development plans.
 Learning from others is a very effective way to build skills, confidence and
experience; this could include coaching, action learning, mentoring and work
shadowing.
 Workshops, training courses, and programs are usually a popular development
choice, but are not always the most effective method. As a guideline these should
account for only 10% of an individual’s learning experience over the year.
 The plan needs to be realistic and achievable (SMART will also be useful here) and you
should review it during the year and as part of your ongoing review of progress and
performance.
5.2 Career Development
An important part of the end-of-year performance review is a conversation about individual career
aspirations and what the potential next role might be. This is one factor that will also feed into
developing an appropriate personal development plan for the coming year.
Useful questions to cover in discussing career development may include:

a) What are your future career aspirations?
b) What would you like your next step to be?
c) What do you need to develop or gain experience to help you get there?
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d) Who can help you with these?
It is important that there is honesty about future career aspirations and that both parties are
realistic in terms of next role and timescales (for examples of Career Development Discussions
See Annex V).
6. Feedback
Feedback is an important part of the performance review since it allows individuals and line
manager to:
 Build their working relationship and adapt to each other’s’ style and preferences.
 Understand how they are performing (as an individual or as a line manager).
 Understand the impact they have on others.
 Identify areas for improvement and development.
All line managers are expected to gather 360 degree feedback as part of their end-of-year review
- all others are highly encouraged to do so.
Please see the 360 degree feedback guidelines for support with gathering feedback from
others as part of your end of year performance review.
During the end of year performance review meeting line managers should also give their feedback
on the questions used in the 360 degree feedback process to the individual (refer Annex VI: for
Giving and Receiving Feedback).
7. Performance Review and Ratings
The final part of the discussion is to agree an overall rating recommendation, and to record overall
comments from the end-of-year review discussion.
7.1 Performance Rating
The NEP+ has five performance ratings, which are: Significantly Exceeds, Exceeds, Meets
Partially meets and Does Not meet. Please refer to The Performance Review &
Development Form document for the full rating definitions and examples.
The performance review and rating is a documented “picture” of the employee as a performer,
and also includes the numerical rating described below. Performance ratings should not come as
a surprise, so it is important that individuals understand how they are performing throughout the
year.
7.1.1 Significantly Exceeds
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The employee consistently demonstrates superior performance. Initiative and outputs are over
and above the stated requirements. The employee is an extremely competent and knowledgeable
individual who consistently exceeds requirements. This rating should be reserved for clearly
outstanding performance.
A 4.60 and above rating is unusual and implies a rare, consistent, recognized and clearly
outstanding performance results covering the entire performance for the whole year. The way that
results are achieved far exceeds, both in quality and quantity, normal results expected from the
IAP. This type of performance may have a major impact on the work of the Unit, or the whole
organization.
A rating at this level must be fully supported by “critical incidents” or description of the
performance behavior over the year with examples that fully meet the criteria above. Please refer
the NEP+ Template Case for Significantly Exceeding Rating.
7.1.2 Exceeds
The employee consistently demonstrates excellent performance. Initiative and outputs are
dependable and of high quality as per the stated requirements. The employee is a very
competent, knowledgeable individual who consistently meets all the requirements of the position.
Rating is intended for employees who frequently exceed the realistic expectations of the IAP and
the Job Description over the appraisal period. It means distinctly better performance overall than
could reasonably be expected given the circumstance and factors affecting performance during
the appraisal period.
A 4.00 – 4.59 rating is often characterized by acceptance of additional responsibilities and tasks
over and above those in the IAP and Job Description. In summary, performance results in this
category are recognized within the Unit, as clearly above average/usual expectations.
7.1.3 Meets
The employee consistently demonstrates satisfactory performance. Initiative and outputs are
dependable and of high quality as per the stated requirements. The employee is a competent,
knowledgeable individual who consistently meets all the requirements of the position.
Rating is intended for employees who frequently meet the realistic expectations of the IAP and the
Job Description over the appraisal period
A 2.5 – 3.99 rating is often characterized by acceptance of responsibilities and tasks in the IAP
and Job Description. In summary, performance results in this category are recognized within the
Unit, as clearly within average/usual expectations.
7.1.4 Partially Meets
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The employee demonstrates just satisfactory performance, but needs improvement in one or
more aspects which are important to the position. Initiative and outputs are generally good as per
stated requirements. The employee is competent and knowledgeable in many aspect of her/his
work but needs improvement in one or more critical areas of the job.
This assessment describes performance that tangentially meets the expectations the organization
has set for the employee. It implies that full responsibility of the job and IAP have been carried
out in a satisfactory manner. This rating (2.00 – 2.49) should be applied to the employee who has
generally met most of the requirements of her/his position and the agreed performance plan.
7.1.5 Does Not Meet
The employee consistently performs below the level expected of this position. Initiatives, outputs
and the quality of work are below the stated requirement. The employee lacks the competence
and knowledge of critical aspects of her/his position and consistently fails to meet the
requirements of the job.
This rating, below 2.00, describes that performance is below expectation in most respects which
does not satisfy some of the important performance expectations of the Job Description or the IAP
for the year. Additional development or repositioning of skills and knowledge may be needed in
order for the performance level to meet the expectations of the IAP. Employees who are rated as
such receive no salary increment for the period.
For an employee rated for the first time in this category, a more elaborate performance
improvement plan may be established for the coming fiscal year with more frequent interim
reviews, arresting progress specifically in areas identified as needing improvement. Supervisors
will need to keep track of specific critical incidents of poor performance and behavior as well as
clear instances of improvement, to help the employee understand in precise terms those where
performance requires improvements.
Please note that in terms of agreeing an end-of-year performance rating:

a) The manager and direct report should aim to reach agreement on the overall rating. The
manager has responsibility for the final decision if agreement cannot be reached.
b) Individuals should be thanked and recognized for the contribution they have made.
c) Where improvement is needed, individuals should have a clear understanding of what they
need to do, and be supported by their manager to put in place an appropriate plan with
timescales.
d) All ratings are provisional until agreed by the manager's manager following the
performance reviews to ensure fairness and consistency across the organization.
e) Pay progression, where relevant, will be based on the agreed overall rating.
Following the performance review the individual should update the form with any final comments.
Their line manager should then add their comments.
Forms should be sent back to the individual for their review and agreement, and then a copy sent
to the HR Department.
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For Significantly Exceeds rating to be awarded a written case must be approved. At the
performance review meeting the manager should therefore agree a fully successful rating with the
individual and then complete the ‘case for Significantly Exceeds rating form’. The
completed form should be submitted for approval by the Performance Review Team (PRT) to be
established by the ED.
7.2 Special Performance Ratings
Other circumstances for mandatory performance management planning, review and appraisal
shall be:
a) Probation period
i. For new employee (on probation period), the Line Manager shall establish
performance objectives of his or her newly assigned employee during the first month of
employment with the NEP+.
ii. The Line Manager would conduct one or more reviews prior to the completion of the
probationary period using the Probationary/Assessment Period Form.
iii. If, at the end of the introductory period, performance is considered satisfactory, status
as an employee will be confirmed and the employee will then follow the NEP+’s normal
performance planning/review/appraisal calendar;
iv. Discussion with the employee as to how to best meet requirements should be
conducted long before the end of the probationary period to give the employee the
opportunity to make improvements.
v. At the end of the probationary/assessment period, if performance is satisfactory, an
updated performance plan for the balance of the period of the NEP+’s next
performance planning/review point shall be established at the time status as an
employee is confirmed.
vi. If the performance is determined to be unsatisfactory before the end of the
probationary period, the supervisor, will inform Human Resources for the termination of
the employment relationship.
b) Before any transfer or promotion is considered:

i. An employee transferring to a new position, whether within the same division/unit/office
or to a new one should have a performance review with his or her Line Manager prior
to the change; and
ii. Within the first month of the new position, the new Line Manager shall establish and
agree up on performance objectives for the next review period in the employee’s new
position.
7.3 The Performance Review Team (PRT)
The PRT is the final step in the year-long PMS cycle. It is a meeting of two or more senior
managers appointed by the ED.
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The main purpose of the PRT is to review and approve appraisals and performance ratings by
comparing performance across departments/Regional Offices.
7.4 Performance Rating Process
The following shows the process used to agree performance ratings at the NEP+:
Chart IV: Performance Rating Process
Line manager
and individual
agree
Performance ratingPRT
agreed
Further
by line
calibrate
manager’s
ratings
lineacross
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mid-year
Line manager
reviewkeeps
indicate
their
howlinethe
manager
individual
up is
toperformingprovisional
date on individual’s performance
Ongoing Ongoing rating in
Jan Feb
performance
review meeting
Dec
This process is designed to ensure:

a) The consistent application of ratings across the team/department.
b) Those ratings are being applied objectively and fairly.
c) That there are no surprises:
i. the individual should not be surprised by their rating because they have had
regular one to one reviews; and
ii. the manager’s manager should not be surprised by the rating submitted for
agreement as they have been regularly informed of progress during the year.
8. Rewarding Performance
Pay is always linked with Performance. Performance increment is a step increment that is applied
annually; market movement is an increase in the labor cost for the fiscal year and bonus is based
on the distribution of a portion of the organization’s net earnings.
8.1 Eligibility for Step Increment and Bonus Reward
This shall depend on the ratings employees receive during annual performance appraisal process
as per the following guide:
a) Staff members with an Evaluation of “Meets” and above are entitled to annual increment,
rate to be decided by the management.
18
b) Staff members with an evaluation of Partially meets are not entitled to annual increment
and the necessary personnel action including termination will be taken.
c) Bonus recommendations to staff members should be supported with critical incidents
record demonstrating performance throughout the year. Bonuses will not be
recommended in the Performance Review and Development Form. However, supervisors
will forward a separate confidential memo with the necessary justification to the MRT for
decision by ED.
Employees who are entitled for bonus based on their performance rating but have left the NEP+:
a) If they left before the end of the fiscal year of the performance period, they shall not be
eligible for bonus;
b) If they leave after the end of the fiscal year of the performance period shall be eligible for
bonus proportionately;
c) If they are leaving due to disciplinary dismissal they are not eligible.
d) To be eligible for merit increases an employee shall work for at least nine months; in case
of women with maternity leave this is eight months, during the performance periods; and
e) Employees who are entitled for bonus based on their performance rating and have left the
NEP+ before the end of the fiscal year due to retirement of the performance period shall
be eligible for bonus on a prorated basis proportionate to their length of service.
8.2 Other rewards
Pay is not the only way to reward good performance. NEP+ may also apply:
a) Increased development opportunities
b) Letter of appreciation for outstanding performance
c) For exceptional performance (innovation of new idea, system) letter of appreciation and
trophy or gold pin
d) In addition those employees who perform well and develop their skills may also be
promoted.
8.3 Poor Performance Management
Under-performance may have a variety of causes and some of them may be outside the individual
employee’s control. It is therefore important to discuss any problems carefully with employee
rated for the first time as underperforming category, so that practical solutions can be agreed.
Often an Enhanced Development Plan is used to support such employees. This is a clear plan
over a period of two to three months with progress meetings at least fortnightly.
Supervisors will need to keep track of specific critical incidents of poor performance and behavior
as well as clear instances of improvement, to help the employee understand in precise terms
those where performance requires improvements.
If performance continues to be lacking and the employee is rated a second time in this category,
the following steps may be taken:
19
a) Support and coaching by managers will help employees understand possible options for
improving performance and take the necessary action.
b) Training if management considers that this will bring about a sharp improvement in
performance;
c) Separation from service;
d) Transfer to a different position or function, usually at a lower level of responsibility;
e) Counseling, if performance problems appear attributable to serious illness, acute personal
problem, etc.
9. Performance Related Grievance Handling
a) Both the employee and the Line Manager shall sign and date the completed appraisal and
submit the appraisal to the next level manager (Mid of December);
b) If the employee has concerns on the ratings provided by the Line Manager, he/she may
express his/her concerns on the form and sign;
c) Refusal to sign on Performance Review and Development Form will be a ground for
disciplinary measures. Instead, under all circumstances, employees shall sign their
Performance Review and Development Form and can appeal their grievances, if any;
d) A line manager who receives performance document with employee concerns or
comments should initiate a discussion with the concerned employee and manager before
a final performance rating is determined;
e) The second level Line Manager shall then decide on final performance rating, which will be
final, and sign and submit by end of December to the HR Department for employees’
personal file; and
f) Up on receiving the completed annual performance appraisal the HR Department shall
consolidate and prepare annual performance appraisals reports and submit to the PRT by
beginning of January.
Where informal approaches fail the NEP+ may decide to take more formal action which could
eventually result in dismissal if employees fail to make the necessary improvement. Where this is
the case always follow the NEP+’s disciplinary procedure in line with the HR policy manual.
Managers should be trained to use the procedure and it should be made clear which
Officers/Managers have the authority to take disciplinary action. If the disciplinary action is
dismissal the decision has to be made by the ED. A delegate of the ED can’t make such decision.
Instead he/she has to defer until the ED is back on duty.
10. Monitoring Performance Management?
Once PMS is up and running HR will need to check how well it is working. The simplest way is to
ask all those involved – managers and employees. This can be done through general discussion
at staff meetings, one to one meetings, focus groups, consultative committees, staff surveys, etc.
This can cover both how well the system is operating and how far it has contributed to the main
goals of improving personal and organizational performance.
20
Changes in absence and employee turnover levels following the introduction of a new PMS may
also be indicators of how the system is working. Other indicators may be:
a) Completion rates for appraisals/performance record forms
b) The number of appeals against assessments/ratings
c) How well documentation – e.g. recording of objectives, work records, appraisal reports
– is being completed.
11. Further Support
Some documents those are useful to refer to as part of this process include:
 360 feedback Process

 One-to-one communication guidelines and template
 Performance review and Development forms
 Template Case for Significantly Exceeds rating
For further support in the first instance please speak to the Finance and concerned HR Specialist
responsible for Performance Monitoring and Evaluation of the NEP+. Otherwise please contact
the Finance and Administration Manager.
12. AMENDMENT OF THE MANUAL
The issue and implementation and when necessary the revision of this Manual shall be made with
the approval of the Boar of NEP+. This manual replaces all Staff performance Management
policies and procedures manuals issued previously and shall come into effect from 1 August
2017.
Approved by ________________________________ _________________________

Name Signature
Title NEP+ Board Chairperson
Annexes
Annex I: Examples of SMART Objectives
Objective 1:
To effectively manage the delivery of the XYZ project.
21
Activities
Measures of success Delivery date
 Create a virtual project team.  Activities outlined are delivered. 29 January

 Develop project plan to be signed off  Project is completed within
by project team and project sponsor. timescales and within 2% of
 Ensure regular communication of budget.
the project status across the  Feedback from project team
organization. members and project sponsor
 Regular monitoring of budget, indicates good project leadership.
reporting any variances to the  Project benefits are realised.
steering committee.
 Manage and report on risk.
 Lead and motivate project team.
Objective 2:
Effectively lead and manage my team to deliver the annual plan.

Activities
Measures of success Delivery date
 Objective setting.  One-to-one meetings and reviews Ongoing

 One-to-one meetings throughout the are completed. throughout
year.  360 feedback from team members the year
 Mid and end of year performance indicates good leadership and
and development reviews management.
conducted.  Team members achieve a ‘fully
 On-going development, coaching successful’ rating or performance
and mentoring of individuals. issues are addressed in a timely
 Fill team vacancies. manner.
 The team achieves our plan for
the year.
 Improvement in our Employee
Engagement Survey results on
management and leadership
Annex II: Performance Objective Checklist
The checklist below provides criteria to help you evaluate the effectiveness of your performance
objectives.
Does the performance objective clearly link to the strategic goals or objectives of the
1.
organization?
22
Does the performance objective clearly link to the goals or objectives of the work unit and/or
2.
your supervisor?
Does the performance objective relate to a critical or important work activity you perform
3.
(Was the objective written using a position description, duty statement, performance
example, or other guidelines as a reference to ensure relevance?)?
Is the performance objective broad or flexible enough to allow for minor changes in your job
4.
(e.g., receive an important new project) to occur and have the objective still apply?
Is completing the performance objective within your control, given environmental constraints
5.
and available resources?
Is the performance objective appropriate to your work categories and work level?
6.
Does the performance objective provide a degree of challenge that will stretch you, yet will
7.
still be achievable?
Does the performance objective specify an end result rather than just the work activity?
8.
Is the result described in the performance objective observable or verifiable?

9.
Does the performance objective include at least one type of measurement (e.g., quality,
10.
quantity, cost-effectiveness, or timeliness)?
Does the performance objective specify a period of performance (i.e., is it time-bound, such
11.
as “within one month” or “by June 1st”)?
Can the performance objective be accomplished within a single evaluation period?
12.
Is the performance objective written in a way that allows you to exceed it (i.e., it is not written
13.
as pass/fail and avoids using words like all, always, or never.)?
Is this performance objective consistent with objectives written for other, similar jobs within
14.
the organization in terms of responsibilities and difficulty of the work?
Is the performance objective written in a way that avoids the use of jargon or acronyms?
15.
Is the performance objective focused around a single result or outcome?

16.
Annex III: Examples of Quantitative & Qualitative Measures
23
Example quantitative measures Example qualitative measures

 Beneficiaries or user numbers.  360 degree feedback from others.
 Usage/uptake.  Feedback from workshops / meetings.
 Any service level agreements in your  Learning is put into practice / shared with
role or department. others.
 Other targets (e.g. number of meetings,  How the values and/or leadership
workshops, attendees, proposals, new behaviors are demonstrated.
initiatives, etc.).
 Results from any reviews / surveys /
evaluations.
 Activities agreed are delivered within
budget and agreed timescales.
 Employee Engagement Survey results.
Annex IV: Examples Mid-Year Review
Mid-year comments/ results (what was delivered and how were the values demonstrated?)
I am on track with this objective. We have sign off from the senior management team and
project team is in place. I now need to put together a communication timetable to start regular
communication to the NEP+.
We agreed a mid-year addition to this objective in the review:

Due to the challenging budget constraints I will start a regular update with the team on where
we are against budget.
Annex V: Examples of Career Development Discussions
Career aspirations/comments
As this is my first year in the role my current focus is on consolidating my experience and
developing in role. It would be good to pick up on this at my next performance review.
24
Potential next role Timescales

Current focus is development in role Not Applicable
Career aspirations/comments
I have had a very successful year, in particular I enjoyed managing the project team and the
opportunity to lead and motivate others. Longer term I am keen to do more line management
and in the future I would like to be managing a team. To help me develop these skills we have
agreed that I will take on a mentoring role for the new person joining our team. I am looking
forward to this as it will help me continue to build my coaching skills.
Potential next role Estimated timescale
Team Leader 2 - 3 years
Annex VI: Guidelines for Giving & Receiving Feedback
1. Giving Feedback
a) Base feedback on specific, observable or verifiable data about performance objectives and
expectations;
b) Adopt and communicate the attitude that the feedback is intended to be helpful;
25
c) Deliver the feedback as close to the behavior or event as possible;

d) Provide a balance between positive and negative feedback;
e) Focus on performance, not on personality;
f) Discuss the impact or consequences of the performance on the organization, work
unit/team or individual;
g) Praise positive performance immediately, freely and honestly;
h) Make suggestions regarding how performance may be improved and offer rational for
them;
i) Ensure understanding of the feedback by asking the receiver’s input or response to it;
j) Avoid using absolutes (e.g., always, never, every);
k) Give negative feedback in private;
l) Avoid giving feedback in anger.
2. Receiving Feedback
a) Listen do not interrupt, become distracted, or jump to conclusions. Listen for the
constructive elements that may help you to improve;
b) Try to avoid taking negative feedback personally or getting defensive;
c) Assume that the feedback is intended to be helpful to the organization, work unit/team,
and individual;
d) Paraphrase what you heard to validate your perception of the feedback;
e) Ask questions to clarify feedback that is not understood;
f) Request specific examples about areas that are unclear or in which disagreement occurs;
g) Request negative feedback if only positive feedback is given;
h) Ask specifically for suggestions on how performance or behavior can be improved.
26

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Network of Networks of HIV

Staff Performance and Development Review

Wisdom Consult plc

ABBREVIATIONS AND ACRONYMS......................................................................................................... 3

Abbreviations and Acronyms

PIP Performance Improvement Plan

Managing employees’ performance is a continuous process. It is a process of evaluating an

The objectives of the PMS include:

1.3 Organization of the Manual

This Performance and Development Review Procedure Manual is organized in 11 sections.

Communication is the most critical component in the performance management process.

The Guiding principles of the PMS are:

a) Creating performance excellence culture;

3. Roles & Responsibilities

d) The Finance &Administration Department:

4. Performance and Development Review Process

Chart I: Performance & Development Review Cycle

End of Year Objective

4.1 Objective Setting

a) Objectives should come from Strategic Plan (SP),

b) For all line managers objectives should include at least one

How should employee performance be planned?

4.2 Ongoing Review and Feedback through One-to-One Communication

One-to-one communications an important way to monitor the progress of team members as

Objectives should be reviewed during one-to-one communication to ensure they continue to be

4.3 The mid-year review

4.4 End of Year Performance and Development Review

4.4.1 The performance review:

a) Analyses an individual’s contribution to the NEP+, reviewing objectives, and recognizing

4.4.2 Preparation for the end of year review

5. Learning and Career Development

5.1 Personal Development

a) What learning activities were undertaken?

Chart III: Source of Information for Personal Development Plan

Personal Development Plan

5.2 Career Development

Useful questions to cover in discussing career development may include:

d) Who can help you with these?

7. Performance Review and Ratings

7.1 Performance Rating

7.1.1 Significantly Exceeds

7.1.4 Partially Meets

7.1.5 Does Not Meet

Please note that in terms of agreeing an end-of-year performance rating:

7.2 Special Performance Ratings

b) Before any transfer or promotion is considered:

7.3 The Performance Review Team (PRT)

7.4 Performance Rating Process

Chart IV: Performance Rating Process

This process is designed to ensure:

8.1 Eligibility for Step Increment and Bonus Reward

8.2 Other rewards

8.3 Poor Performance Management

9. Performance Related Grievance Handling

10. Monitoring Performance Management?

11. Further Support

 360 feedback Process

12. AMENDMENT OF THE MANUAL

Approved by ________________________________ _________________________

Title NEP+ Board Chairperson

Approved by ________ _