Human Resources Policy Manual Section-7 (MANAGING EMPLOYEE PERFORMANCE )

SECTION 7. MANAGING EMPLOYEE PERFORMANCE

 

7.1 Performance Appraisal.  _________ is committed to supporting every employee to reach their potential and achieve their personal goals, which in turn will assist the organization to achieve its objectives.

 

7.1.1      Principles of the Appraisal Policy.

 

1. The appraisal process aims to improve the effectiveness of the organization by contributing to achieving a well motivated and competent workforce.

 

1. Appraisal is an ongoing process with an annual formal meeting to review progress.

 

1. The appraisal discussion is a two way communication exercise to ensure that both the needs of the individual and the organization are met, and will be met in the next year.

 

1. The appraisal discussion will review the previous year’s achievement, and will set an agreed Personal Development Plan for the coming year for each employee.

 

1. All permanent employees who have completed their probationary period are required to participate in the appraisal process. 

 

1. The appraisal process will be used to identify the individual’s development needs and support the objectives of the Training and Development Policy. 

 

1. The appraisal process will provide management with valuable data to assist succession planning.

 

1. The appraisal process will be a fair and equitable process in line with the Equality Policy of _________.

 

7.1.2      Appraisal Discussion.

 

Performance Appraisal discussion is a dialogue between the Evaluator and the Employee to evaluate previously assigned task/responsibility and accomplishments and areas where   improvement is required and method of improvement. (Evaluation Form is given at Annex R).  

 

Both the parties will set a schedule in advance for the discussion before evaluation is finalized and signed by them. The main purposes of evaluation discussion are to:

 

‐ provide for frank, honest communication and feedback regarding measuring progress in the current year;

‐     determining objectives for the next year;

‐     identifying development needs for future. 

 

An effective evaluation discussion begins with positive aspects of employee performance followed by developmental needs of the employee. In this session an agreement is necessary between them.

 

The appropriate forms will be completed and signed by both parties. The appraisee will be given the opportunity to note any comments that he/she does not agree with and complete a self assessment. The appraisee and the appraiser should agree on a Personal Development plan for the appraisee for the following year. This will reflect the appraisee’s aspirations and the organization’s requirements and goals. The organization and the appraiser will support the individual to achieve these goals during the forthcoming year. 

 

Any training needs, future training requirements, planned qualifications, development opportunities and career planning should be discussed in the light of the Personal Development Plan.

 

7.1.3      Guidelines to Fill‐in the Evaluation Form.

 

Part – A:     Personal information and employee picture

 

This part contains the employee’s personal and employment information along with a space to provide the employee’s picture for his or her employment record.

 

Part – B:     Aptitude/performance evaluation by the evaluator 

 

Aptitudes are the skills and behaviors which support effective performance and represent the core skills needed by all employees. In this part, the evaluator will highlight qualitative aspects on the overall performance of the employee in brief. The observations made in this part will have correspondence with the comments made in Parts D and E.

 

Rating System against aptitudes:   There are 9 aptitudes listed in the evaluation form. Evaluator will evaluate each of the aptitudes by ticking performance rating as applicable.

 

1. Excellent (4).  Always demonstrates exceptional performance; exceeds job requirements; initiative and outputs are of high quality; significantly contributes to Company growth. Is performing at the highest standards expected in the job role. 

 

1. Good (3).  Performance consistently meets the requirements of the position, maintains acceptable performance standard, meets objectives and demonstrates desired performance level. There are still some areas to develop.

 

1. Satisfactory (2). Performance requires improvement in some of the important areas critical to current position, partially meets job requirements, there are some gaps in achieving desired output, needs further improvements / training in some areas. 

 

1. Poor (1).  Inadequate performance, does not meet job requirements, quality of output significantly below standard, performance extremely unsatisfactory, needs to resolve performance gap / problems immediately.

 

Part– C:  Evaluators assessment on the commitment of the employee for organizational development 

 

This part is very important and requires special attention of the employee and the evaluator. It is essential for every appointment holder at every level to share his knowledge and expertise with his             subordinates     and                 prepare                the         subordinates     as            his          substitutes         so           that        in            his absence/transfer/promotion the job is not hampered. 

 

Part – D:     Previous year’s responsibilities and achievements

 

An integral part of the employee’s evaluation and appraisal emphasizes that employees are evaluated on previous year’s responsibilities and assignments. As a first step the employee fills in his/her assigned tasks/responsibilities in Part ‐ I. The achievements against each assigned task/responsibility are evaluated to conclude whether the task was completed, insufficient or not completed at all. The level of achievement of the assigned task/responsibility is an overall assessment marked by the evaluator on specified levels such as very good, good, satisfactory, average and poor.

 

Part – E:    Pen picture/ evaluator’s remarks 

 

In this part the evaluator summarizes the overall performance of the employee in narrative or statement form. Qualities, aptitudes, special observations etc which could not be reflected in Parts B, C and D must be mentioned here.  

 

Part–F:   Perceived development needs (to be filed by the evaluator after discussion with the employee). 

 

The Evaluation Form should also be best utilized as an employee development tool by evaluators. In this part evaluators are required to identify the areas need improvements by the employee. Employee development needs are of 2 types:   immediate or short‐term need and Mid or longterm need. 

 

The deficient areas may be improved by on‐the‐job‐training, self initiatives, practice, counseling, and mentoring by supervisor as well as by off‐the‐job‐training. In this part of the evaluation, action required for each of the deficient area will be mentioned. 

 

Examples: 

Part–G:  Objectives for Mid‐Term Review (usually for 6 months) ‐ to be completed by the evaluator and the employee.

 

Following the review of current year’s achievements against agreed objectives, the next mid‐term (6 months) objectives are set. 

 

An employee should have at least 3 (for more in some cases) objectives throughout the year, (please list on a separate sheet and attach with the evaluation form). An effective evaluation is grossly dependent on the clarity and validity of the objectives set for the review period. Objectives should be defined by the evaluator specifically and unambiguously. 

 

Part – H:    Overall Performance ‐ 2nd Level Supervisor’s Remarks. To be filled by the 2nd Level Supervisor if available, or by the Department Head if 2nd Level Supervisor is not available.

 

On the basis of evaluation in Part B, C, D; narrative comments in Part E and from his personal observations and notes, the 2nd level supervisor will apply qualitative judgment and determine overall rating in the Evaluation Form. For determination of performance as a whole, the immediate supervisor will consult with 2nd level supervisor. In case of poor rating, a separate note is required from the Department Head in support of the rating. 

 

Overall Ratings System

 

1. Excellent.     Has gone far beyond expectations as a whole and really has set an exceptional standard for him/her.  

 

1. Very Good.     Has exceeded overall performance objectives and standards.  

 

1. Good.  Has successfully achieved expected performance objectives and standards.  

 

1. Satisfactory. Has adequately performed, met most of the objectives and missed some; but on the balance has performed satisfactorily.  

 

1. *Poor .     Has continuously failed to meet the performance criteria in all key areas, unacceptable performance.  (* Must be supported by a note from the Department Head). 

 

Part – I:    Department Head’s Assessment and Recommendations

 

Basing on the remarks of the evaluator, remarks of the 2nd line supervisor and from his own observations/ notes, the Department Head will apply qualitative judgment and determine overall rating as a whole in the Evaluation Form. He may highlight his specific observations and summarize the performance in short narrative form. Thereafter he will recommend for promotion/increment/posting etc using his judgments and following company policy. 

 

Part –J:    HR’s Assessment and Recommendations

In this part the Head of HR will endorse comments/observations (if any) on the gradings /ratings made by the evaluator/2nd line supervisors and the recommendations made by the Head of Department which require attention of the Management. 

 

Part –K:    Comments/Approval of the Management

 

In this part the Head of HR will obtain the comments and remarks and/or approval of the management on the recommendations of Head of Departments for execution.

 

7.2          Attendance and Punctuality.

 

7.2.1      Attendance Policy.          

 

Tardiness and poor attendance disrupts workflow and customer service and hence, regularity in attendance and punctuality is desirable from all employees. All employees must be punctual for work every morning and after lunch. Employees who attend office late without justifiable reasons or have a poor attendance record will be subject to disciplinary action.

Employees while on their desk must be on business without idling away their time in any manner whatsoever or leaving the place of work except on business or in emergent personal matter for which permission of the immediate superior shall be taken. 

 

Attendance record is maintained by HR & Admin Department through bionic finger print machine. However, if there is a problem with the machine, one has to inform to HR & Admin Department for immediate solution. Till the machine is functional, attendance record to be endorsed with the register.

 

Non‐punching for any reason if not approved by competent authority should be treated as absence.  

 

For official job if someone goes directly to the intended place from his / her residence and unable to come to the office and punch on the same day, he / she has to take approval from the authority in the ‘Late Attendance/Early Departure/Absent Amendment Form’ (Annex S) and communicate to HR & Admin Department for necessary record/clearance. 

 

In some special cases, some employees may need to work very late (may be the whole night) and may require some rest to start the work on the following day. Allowing some hours off the next day is left at the discretion of the Supervisor (or the departmental head). This may be notified to HR for record purpose. 

 

If an employee is absent from work for 5 (five) consecutive days without notice, _________ will consider that the employee has voluntarily resigned from their position.

 

7.2.2 Punctuality.   Every employee must attend office punctually at 09:00 a.m. However, a grace period of 15 minutes may be allowed subject to the condition that, this grace time shall not be misused as a matter of habit. 

 

1. Late Arrival to the office.

 

• • • • An employee attending office between 09: 16 AM and 11:00 AM shall be marked “Late”.  

 

• • • • Reporting to work place between 11:01 AM and 01:00 PM shall be treated as half day’s unauthorized absence with or without pay at the discretion of the competent authority. 

 

• • • • Attendance beyond 01:00 PM shall be treated as unauthorized absence for the full day with or without pay at the discretion of the competent authority. 

 

1. Early Departure from the Office:

 

• • • • Leaving office between 03:01 PM and 05:00 PM shall be marked “Early”.

 

• • • • Leaving office between 01:01 PM and 03:00 PM shall be treated as half day’s unauthorized absence with or without pay at the discretion of the competent authority. 

 

• • • • Leaving office before 01:00 PM shall be treated as one full day’s unauthorized absence.

 

1. Penalty for Late Arrival and Early Departure.     First 3 (three) late attendance in a month shall be treated as one day’s unauthorized absence. Similarly, first 3 (three) early departure in a month shall be treated as one day’s unauthorized absence. Subsequent any single late or any single early departure in the month shall be treated as one day’s unauthorized absence.  If leave is allowed, this will be adjusted against causal leave or any other leave. 

 

7.3          Grievance Procedure.

 

7.3.1 Policy.    As a Company policy, _________ is committed to ensuring fair treatment of all employees when dealing with their grievances with a view to addressing problems in the best possible manner. _________’s policy is that employees should:‐

 

• • • • be provided a fair treatment on their grievances by the Management of the Company;
      • be given a fair hearing concerning any grievances;
      • have the right to channel their grievances to the Management; and
      • have the right to appeal to the Chairman/Managing Director against a decision made      by any senior executive.

 

7.3.2 Aim. The aim of this policy is to establish a proper channel for employees to voice out their grievances and to settle them. Employee grievances may include but are not limited to management deficiency, unfair treatment, sexual harassment etc. Regardless of the issues and/or individuals involved, no one shall suffer retaliation for involvement in employee grievances. All grievances shall be handled independently and treated in strictest confidence. Grievances made anonymously shall not be entertained.

 

7.3.3. Procedure.

 

1. 1. 1. 1. In the event of an employee wishing to raise a grievance, it is preferable for the grievance to be satisfactorily resolved as close to the individual and his immediate superior as possible. It is understood however, that this is not always possible and that a formal procedure is required to ensure the swift and fair resolution of matters which aggrieve the Company’s employees.

 

1. 1. 1. 1. If an employee considers that his grievance is unlikely to be resolved through discussions with his superior, the Head of Department or the Human Resources Department or is of a very sensitive or serious nature which requires the attention of the Management, he can raise his grievance direct with the Managing Director/Chairman in the form of a signed letter. 

 

1. 1. 1. 1. The Chairman/Managing Director, as the case may be, shall acknowledge receipt of the grievances in the first instance. He or his designate shall review and examine the case and decide whether any meeting with the employee and/or other relevant parties is required so as to obtain further information or better understanding of the case. All cases shall be handled independently and treated in strictest confidence.

 

1. 1. 1. 1. Having reviewed and evaluated all the facts relating to the grievance, the Chairman/Managing Director, as the case may be, shall come to a conclusion. The aggrieved employee shall duly be advised of the views/decisions of the Chairman/Managing Director as well as any follow up actions, if warranted. A written report of the conclusion shall be issued by the Chairman/ Managing Director, as the case may be, and shall be filed as an official record by the Head of HR. 

7.4          Computer, Internet and Email Usage Policy and Guidelines.

 

7.4.1 Introduction.     This policy sets out the obligations and expectations on employees of the Company who use the Company’s computers and IT facilities for internet and email purposes. IT facilities are provided to assist with day to day work. It is important that they are used responsibly, are not abused, and that individuals understand the legal professional and ethical obligations that apply to them.

 

7.4.2. Authorization.   No person is allowed to use Company IT facilities who has not been authorized to do so by the Company IT Department.  Unauthorized access to IT facilities is prohibited and may result in either disciplinary action or criminal prosecution.

 

7.4.3 Responsibilities.     All users are expected to act in a manner that will not cause damage to IT facilities or disrupt IT services. Any accidental damage or disruption must be reported to IT Department as soon as possible after the incident has occurred. Users are responsible for any IT activity which is initiated under their username.

 

7.5 Use of Computer.    Computers /laptops will be issued to the employees as per the requirement with the recommendation of the concerned Head of Department, IT Department, HR Department and the approval of the Management. While issuing a computer to an employee IT Department will obtain an agreement from the user affirming the users’ obligations and responsibilities. (Sample of the agreement is shown at Annex T). 

 

7.5.1      Rules for the Computer Users. The computer users must:

 

1. 1. 1. 1. Check all the components like Monitor, UPS, Keyboard, Mouse etc.

 

1. 1. 1. 1. Inform the IT Department immediately on facing a problem with the computer.

 

1. 1. 1. 1. Not open computer casings, and connect or disconnect any types of input and output devices without permission of IT Department.

 

1. 1. 1. 1. Set up any software without permission of IT Department.

 

1. 1. 1. 1. Log off and shut down the computer and then the IPS/UPS while leaving the desk/office.

7.6 Use of Internet.   Use of the Internet by employees is encouraged where such use is consistent with their work and with the goals and objectives of the Company in mind. Reasonable personal use is permissible subject to the following: 

 

• Users must not participate in any online activities that are likely to bring the Company into disrepute, create or transmit material that might be defamatory or incur liability on the part of the Company, or adversely impact on the image of the Company.

 

• Users must not visit, view or download any material from an internet site which contains illegal or inappropriate material. This includes, but is not limited to, pornography, obscene matter, violence condoning messages, criminal skills, terrorism, cults, gambling and illegal drugs.

 

• Users must not knowingly introduce any form of computer virus into the Company’s computer network.

 

• Personal use of the internet must not cause an increase for significant resource demand, e.g. storage, capacity, speed or degrade system performance.

 

• Users must not download commercial software or any copyrighted materials belonging to third parties, unless such downloads are covered or permitted under a commercial agreement or other such license.

 

• Users must not use the internet for personal financial gain.

 

• Users must not use the Internet for illegal or criminal activities, such as, but not limited to, software and music piracy, terrorism and fraud.

 

• Users must not use the internet to send offensive or harassing materials to other users.

 

• Use of the internet for personal reasons (e.g. online banking, shopping, information surfing) must be limited, reasonable and done only during non‐work time such as lunch‐time.

 

• Use of gambling sites, online auction sites and social networking sites such as, but not limited to, Face book, LinkedIn, You tube, Twitter, Bebo, Flickr, MySpace etc is not permissible. 

 

• Employees may face disciplinary action or other sanctions if they breach this policy and/or bring embarrassment on the Company or bring it into disrepute.

 

7.7 Use of E‐mail.   Emails sent or received on the email system form part of the official records of the Company; they are not private property. Users are responsible for all actions relating to their email account/pc username and should therefore make every effort to ensure no other person has access to their account.

 

7.7.1      Users’ Responsibilities.   When using Company email, users must:

 

‐ Ensure that  they do not disrupt the Company’s wider IT systems or cause an increase for significant resource demand in storage, capacity, speed or system performance e.g. by sending large attachment to a large number of internal recipients.

 

‐ Ensure they do not harm the Company’s reputation, bring it into disrepute, incur liability on the part of the Company, or adversely impact on its image.

 

‐ Not seek to gain access to restricted areas of the network or other “hacking activities” is strictly forbidden.

 

‐ Must not use email for the creation, retention or distribution of disruptive or offensive messages, images, materials or software that include offensive or abusive comments about ethnicity or nationality, gender, disabilities, age, sexual orientation, appearance, religious beliefs and practices, political beliefs or social background. Employees who receive emails with this content from other employees of the Company should report the matter to their supervisor/IT Department immediately.

 

‐ Not send email messages that might reasonably be considered by recipients to be bullying, harassing, abusive, malicious, discriminatory, defamatory, and libelous or contain illegal or offensive material, or foul language.

 

‐ Not upload, download, use, retain, distribute, or disseminate any images, text, materials, or software which might reasonably be considered indecent, obscene, pornographic, or illegal.

 

‐ Not engage in any activity that is likely to corrupt or destroy other users’ data or disrupt the work of other users.

 

‐ Be outside of the scope of normal work‐related duties – for example, unauthorized selling/advertising of goods and services.

 

‐ Affect or have the potential to affect the performance of damage or overload the Company system, network, and/or external communications in any way.

 

‐     Not send chain letters or joke emails from a Company account.

 

7.7.2      Good Practice.

 

1. During periods of absence when highly important emails are anticipated, the employee should make arrangements for notification and access by another appropriate member of staff. 

 

1. Where sensitive and confidential information needs to be sent via email for practical reasons, please be aware that email is essentially a non‐confidential means of communication. Emails can easily be forwarded or archived without the original sender’s knowledge. They may be read by persons other than those they are intended for.

 

1. Users must exercise due care when writing emails to avoid being rude or unnecessarily terse. Emails sent from the Company may be interpreted by others as Company statements. Users are responsible for ensuring that their content and tone is appropriate. Emails often need to be as formal and businesslike as other forms of written correspondence.

 

1. Users should delete all personal emails and attachments when they have been read and should also delete all unsolicited junk mails.  In the process of archiving emails, users should ensure inappropriate material is not archived.

 

1. The Company provides a current and up to date automatic virus checker on all networked computers. However, caution should be used when opening any attachments or emails from unknown senders.  Users must best Endeavour to ensure that any file downloaded from the internet is done so from a reliable source. It is a disciplinary offence to disable the virus checker. Any concerns about external emails, including files containing attachments, should be discussed with the IT Manager. 

 

7.7.3 Remote Users.  Users may sometimes need to use Company equipment and access the Company network while working remotely, whether from home or while travelling. The standards set out in this document is equally applicable whether or not Company equipment and resources are being used.

 

7.7.4 Monitoring.  All resources of the Company, including computers, email, and voicemail are provided for legitimate use. If there are occasions where it is deemed necessary to examine data beyond that of the normal business activity of the Company then, at any time and without prior notice, the Company maintains the right to examine any systems and inspect and review all data recorded in those systems. This will be undertaken by authorized IT Personnel only. Any information stored on a computer, whether the information is contained on a hard drive, USB pen or in any other manner may be subject to scrutiny by the Company. This examination helps ensure compliance with internal policies and the law. It supports the performance of internal investigations and assists in the management of information systems.

 

7.7.5      Penalties for Improper Use. 

                 

1. Withdrawal of Facilities.    Users in breach of these regulations may have access to Company IT facilities restricted or withdrawn.

 

1. Disciplinary Action.   Breaches of these regulations may be dealt with under the Company’s disciplinary procedures. It may lead to termination of employment from the

Company.

 

1. Breaches of the law.  Where appropriate, breaches of the law will be reported to the police.

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