Vous êtes sur la page 1sur 39

PERFORMANCE MANAGEMENT

SYSTEM

Conception to Implementation
2006 - 2007

ACTIONAID INDIA
CONTENTS

SL. NO. ITEM PAGE NO.

a. Introduction ............................................................................................................................. i-ii


b. Foreword............................................................................................................................... iii-iv

Concept of Performance Management ...................................................................................... 1


I. About Performance Management .............................................................................................. 1
II. Performance Management in ActionAid .................................................................................... 1
III. Procedure for Effective Performance Management ................................................................... 2
IV. Stages of Managing Performance .............................................................................................. 2
V. Flowchart - Performance Management System - AA India ....................................................... 4
VI. Performance and Development Review (PDR) ......................................................................... 5
VI A. Individual Performance Review ................................................................................................. 6
VI B. Team Performance Review ........................................................................................................ 6
VII. Dovetailing Performance Management into Annual P&B Processes ......................................... 8

Process of Performance Management in AA India 2006-07 ................................................ 12


A. KRAs for the Strategy Period - Work Plans/Key Performance Indicators 2006 ......................... 12
B. Performance and Development Review 2007 ......................................................................... 17

Dovetailing the Performance Management System into the 2007


P&B Process - Setting Work Plans and KPIs for the year 2008 ....................................... 20
ActionAid India’s KRAs ............................................................................................................ 21
Annexures

1. Letter from CEO - Dated 14 February 2006 .......................................................................... 23


2. Appraisal Format - Self Appraisal - Plans / KPIs / Attitudes & Behaviours ........................... 26
3. ALPS - Attitudes and Behaviours ........................................................................................... 27
4. Performance Feedback Format ............................................................................................... 28
5. Truly 180° Matrix .................................................................................................................... 29
6. KRAs / Work Plans / KPIs Exercise Schedule ....................................................................... 31
7. Staff Performance and Development Review Schedule 2006-2007 ....................................... 32
8. Dovetailing PMS into P&B Exercise Schedule........................................................................ 34
INTRODUCTION

When I look back from my experiences of the last thirty five years with performance appraisal systems in
India and across the world, I realize that we are still struggling with the implementation of appraisal systems.

Many an organization uses "numbers" or scores to assess performance. Such a system reduces an entire
year's work to a mere figure. This figure has caused a few people to get promoted and some of them
undeservingly, a few others to leave their jobs and yet a few others to walk into office every day with low
interest and motivation and carry on with their jobs. Also, no two numbers are comparable in appraisals.

Expectation sharing and reviewing is the most important part of performance management. Except where
expectations can be quantitatively defined - eg, setting sales targets, setting targets for number of items
produced per day, etc, performance regarding interventions made and the impact thereof, cannot be
quantitatively measured - also in such outcomes, no single individual is solely responsible for the change or
transformation brought about. Rewards for performance must therefore only be team based and not individual
based.

Performance Management is one of the most important tools that can enable, empower, energize and develop
staff. It is a tool that can give a sense of direction to every member in an organization. The individual work
plans are made in the context of organization's mission, vision, long term plans and short term plans, including
annual plans. Providing the context and getting each individual to plan her or his work for the year brings in a
lot of meaning and motivation to the staff. Empowerment takes place through periodic review of the performance
against goals, giving feedback and acknowledging team contribution.

I am happy to see in the following document that ActionAid India has done a marvelous job of conceptualizing,
detailing and implementing a well thought out and comprehensive Performance Management System (PMS)
which has made it possible for staff to give feedback about their team members, including their line managers,
in a frank and honest manner, without fear or favour.

I have had an opportunity to look at some of the KPIs prepared by the staff for their own roles and found
them to be well articulated and which also meet all the requirements of a good PMS.

In my view the most valuable highlights of the PMS detailed here include:

1. clearly laid out objectives and plans


2. focus on and the continual development of staff in the role they perform
3. promoting a shared understanding of mutual accountabilities
4. inclusion of assessment by staff and other stakeholders and a move towards 360 degree feedback.

I am confident that this system will result in increased accountabilities, sense of purpose and pride in the staff
through enhanced contributions to the mission and vision of ActionAid India.

PERFORMANCE MANAGEMENT SYSTEM i


I congratulate ActionAid for bringing out such a useful and workable system which should be shared
and referred to by other organizations in the social development sector which work towards
transforming society.

T. V. RAO
Chairman, TVRLS
Formerly Professor IIMA
Founder President National HRD Network
Ahmedabad

August 15, 2007

ii PERFORMANCE MANAGEMENT SYSTEM


FOREWORD
MANAGING PERFORMANCE FOR TRANSFORMATION

ActionAid is a means to advance a larger vision - A world without poverty and injustice where every person
can realize her/his human rights and live with a sense of dignity. The performance of ActionAid as an organization
is to realize its sense of mission towards achieving the larger vision. Organization Performance in the context
of an organization committed to social transformation is therefore different from that in other sectors such as
the corporate or the government.

The performance of an organization is a cumulative outcome of the performance of the collectives of people
working within the organization which in turn is primarily derived from the courage of conviction, shared sense
of values and commitment, competence and clarity of purpose of the staff.

Performance Management is more than a mere management tool. In the social development sector performance
management is a part of the consistent efforts to influence as well as to create impact, beyond mere activities
and outputs. This requires a collective as well as individual sense of accountability towards ones own mission,
roles and tasks within an organizational context. Such an approach to Performance Management will have to
be based on transformative principles - transforming the self, transforming the teams, transforming the
programmes, transforming those we partner with and ultimately moving towards transforming the society.

There are two kinds of performance management: one based on competition within a team and organization
and the other based on solidarity. A competing kind of Performance Management encourages individualism
and career culture based on acquisition of power, incentives, salary, promotion etc. In such a case Performance
is a means to climb the ladder as distinct from serving a larger cause. A performance management and culture
based on solidarity emanates from a deep sense of empathy, an ethical perspective which is strengthening,
supporting and empowering, a sense of power derived from within and without. In the latter situation,
Performance itself becomes an ethical exercise in our everyday work, in our task, in the roles we play and in
our organization - an everyday act of Inspiration, Integrity, Intelligence, Identification and Innovation. Power
is derived from sharing knowledge, skills, passion, and information and from our conviction that every small
task we do is to serve a larger cause - our Vision. Every decision we take, every task or role we perform, we
need to think how it would make a difference to the poorest of the poor on the ground- whether it will help to
wipe the tears of the people who are at the receiving end of unjust and unequal power relationship.

People-Centered perspective of Performance Management would enable and empower people. Such a sense
of performance management would propel a culture of "power within"(courage of conviction), ''power with''
(collective solidarity) and "power to" (performance solidarity) act, learn, share and move together. There is no
space or scope for competing individualism or corporate careerism in such a culture.

A transformative approach to Performance Management requires a sense of organic linkages between "heart-set",
"mind-set" and "skill-set": this means a vibrant combination of 'dil' (heart), 'dimag' (mind) and 'dum' (dynamism).

PERFORMANCE MANAGEMENT SYSTEM iii


I am happy to note that AA India is making conscious efforts to build a culture of collective leadership and
people-centred approach and commitment to process, participation and performance. I am sure that the
present effort to build an effective performance management culture and system will not only help to serve our
larger vision and mission, but will also be a means to learn, reflect, review, refine and make each one accountable
and transformative in all spheres of action within and beyond ActionAid. I congratulate Prof. Babu Mathew
and the leadership team of ActionAid India for initiating such a process. I hope that the larger fraternity of
ActionAid across the world can learn from this process.

In Solidarity

JOHN SAMUEL
International Director
ActionAid

August 16, 2007

iv PERFORMANCE MANAGEMENT SYSTEM


CONCEPT OF PERFORMANCE MANAGEMENT

I. ABOUT PERFORMANCE MANAGEMENT

Performance Management involves the entire gamut of processes in identifying critical dimensions of
performance - setting work plans against laid down objectives, reviewing the work done against indicators
of performance and developing and enhancing competencies for improved performance.

THE ORGANIZATIONAL GOAL PROVIDES THE PERSPECTIVE TO DETERMINE THE


DEPARTMENTAL (REGION/THEME/UNIT) GOAL WHICH IN TURN PROVIDES THE
CONTEXT FOR AN INDIVIDUAL PERFORMANCE PLAN.

II. PERFORMANCE MANAGEMENT IN ACTIONAID

As per the Global HR/OD Framework :-

ActionAid International's performance management systems aim to ensure :

◆ The continual development of staff in the role they perform, as well as acknowledging
their contribution.

◆ The assessment of future potential and development needs (professional and personal).

◆ A shared understanding of mutual accountability, including receiving and giving feedback,


thus supporting overall organisational accountability.

All of the above support the development of a staff member and the enhancement of organizational
performance with a view to fulfilling AAI's mission. Performance development is a continuous
process and should not be treated as an event.

Each location will have an appropriately designed performance management system. A multiple
feedback mechanism (360º) is a norm that meets the accountability aspirations of ALPS and
should be implemented at least at the senior levels of staff.

Line managers and staff will mutually negotiate performance targets - both qualitative and
quantitative - and accountability in line with appropriate strategies and plans

Performance reviews should take stock of KRAs (Key Result Areas) as stated in job descriptions
though staff are not encouraged to operate solely within the confines of a given role.

Multiple feedback is collected from all relevant sources, ie: peers, reportees*, horizontal work
groups at national and international level and relevant external stakeholders (eg: partners,
donors, community etc). Feedback sourcing is based on principles of multiple and downward
accountability and relates to job competency, values, attitude and behaviour, and sensitivity to

PERFORMANCE MANAGEMENT SYSTEM 1


gender and diversity including how individuals support the work-life balance of reportees and
peers. It is important to emphasise critical reactions and learn from failures and successes.

The performance management system is used primarily as a staff development tool. Salary
increments are not linked to performance.

Though performance systems in AAI are primarily a staff-development tool, they may highlight
exceptional individuals and teams. The performance of such individuals and teams - especially
the latter - maybe recognised through innovative, non-monetary reward and recognition
mechanisms designed by themselves and senior management teams.

* Such staff who are line managed by the person whose performance is being appraised.

III. PROCEDURE FOR EFFECTIVE PERFORMANCE MANAGEMENT

An effective Performance Management System should be based on :-

a) Setting up KRAs for the Region/Theme/Unit/Department

b) Clarity of Individual Roles and Responsibilities

c) Laying down Plans and Performance Indicators for each position

d) Periodic assessment of performance of the individual against such Plans/ Performance Indicators

e) Identifying factors facilitating and hindering achievement of Plans - development of action plans
for overcoming hindering factors and strengthening facilitating factors

f) Periodic review of role incumbents' behavior, which contributes to effective functioning and working
out action plans for developing such behavior.

g) Identification of role incumbents' developmental needs and preparing plans for staff development
through training and related activities.

h) Implementation and review.

IV. STAGES OF MANAGING PERFORMANCE

1. Identification of KRAs (Key Result Areas)

KRA(s) for the Organisation need to be identified and collectively agreed upon. The KRA(s)
for the organization will be drawn out from the Country Strategy paper (2005-2010) which
has evolved through a bottom-up approach, from consultations held with over a 1000 persons,
with participation from the partners and communities AAI-India works with. KRA(s) for the
organization will hold good for the Strategy Period 2005-2010.

2 PERFORMANCE MANAGEMENT SYSTEM


KRAs for the Region/Theme/Unit/Department which will be drawn primarily from the CSP
and essentially from the KRAs of the organization reflect where the Region / Theme / Unit /
Department will see itself at the end of the Strategy Period ie end of the year 2010. KRAs for
the Region/Theme/Unit/Department should not be too many in number, say a maximum of 4-5.
From the KRAs (of the Region/Theme/Unit/Department) the job holder should be able to
derive her / his Plans for the year.

2. Setting of Plans each year for the following year

To enable clear understanding of the expectations from each position, it is important to have a
laid down job description for the position which should be clear and should also have a degree
of flexibility built-in so that modifications are possible as per organizational need. Each individual
staff member to set Work Plans both as derived from the KRAs of the Region/Theme/Unit/
Department they are placed in as well as with reference to and within the framework of her/his
job description.

3. Key Performance Indicators (KPIs)

From the Plans laid down for the year, each individual staff member must put down the Key
Performance Indicators which are as measurable and quantifiable as possible some of which
may also be qualitative in nature, which will enable the appraiser to determine whether the
planned output has been achieved or not.

4. Identification of Attitudes and Behaviours that are critical for effective Performance

A good Performance Appraisal System should also have a set of attitudes and behaviour that
are critical for effective performance. Accountability, Learning and Planning Systems (ALPS)
contains the core of the attitudes and behaviour that the organization desires in its staff. These
must form the basis for evolving the set of Attitudes and Behaviour against which staff may be
appraised.

5. Annual Review of Performance against Plans and Behavioural Dimensions

The review of performance will be done annually in a structured manner covering all staff. This
will also help to identify the enabling and hindering factors affecting performance - both internal
and external to the organisation. It is therefore necessary to set realistic goals and assess
performance against them. Appraisal of Attitudinal and Behavioural factors may be done by
assessing attitude, behaviour patterns, values-orientation and the like.

Regions/Themes/Units/Departments may also choose to do a mid-year (or quarterly) review


of their Performance against Plans laid down, among team members.

6. Identification of Development Needs

Performance Appraisal data is useful in identifying the training needs of the staff. This should
be followed by laying down an Action Plan with definite commitment by the staff and her / his
line manager for its fulfillment.

PERFORMANCE MANAGEMENT SYSTEM 3


Performance Management needs to operate at organizational, team and individual levels if it
is to be effective. This means that organizational objectives inform the development of team
and individual objectives and also that individuals and teams support the development of future
organizational objectives and plans.

V. FLOW CHART - PERFORMANCE MANAGEMENT SYSTEM - AA INDIA

Setting KRAs /Plans /KPIs

KRAs for the Country Program for the Strategy Period 2005-2010* (drawn from the CSP)

KRAs for the Regions/Themes/Units/Departments for the Strategy Period 2005-2010

Work Plans for each staff member for each year of the Strategy Period (done each year for
the following year)

Key Performance Indicators (which should be measurable, quantifiable as far as possible)


both qualitative and quantitative for appraising achievement of plans laid down for the year

'360 Degree' Feedback Process #

Feedback will be elicited from all Relevant Sources:- Line Manager, Other Seniors, Peers,
Reportees (such staff who are line managed by the person whose performance is being
appraised), members of Horizontal Working Groups, External Stakeholders (e.g. Partners,
Donors, Communities we work with etc.)

Feedback will focus on Key Performance Indicators laid down and will relate to Job
Competency, Values, Attitude and Behaviour, Work-Life Balance, Areas of Improvement
and Major Achievements.

# AAI-India will do a "180 degree" feedback process initially which refers to obtaining
feedback only from staff within the organization. After external stakeholders like partner
organizations, communities AAI-India works with etc. are trained and enabled to provide
feedback, AAI-India shall graduate to full-fledged 360 degree feedback process.

◆ Individual Performance
◆ Team Performance
◆ Organisation Performance

ActionAid India's KRAs – Refer Page No. 21.

4 PERFORMANCE MANAGEMENT SYSTEM


VI. PERFORMANCE AND DEVELOPMENT REVIEW (PDR)

PDR as a part of Performance Management System (PMS) involves the appraisal of staff against
laid down Plans and Behavioural patterns. All staff members and teams of ActionAid International -
India will be part of the PMS that has been specially designed to enable them to perform at their
highest levels of efficiency, identify their developmental needs and in the overall scheme, enable
the increased/enhanced performance of the organization. All staff members will go through the PDR
exercise comprising a mid-term and annual appraisal process.

OBJECTIVE

The objective of Performance and Development Review (PDR) is to :

1. Acknowledge staff's contribution to the organization

2. Review and appraise the performance of individual staff members and teams

3. Identify factors facilitating and hindering performance of individual staff members and teams

4. Identify the developmental needs of individual staff members and teams

GUIDING PRINCIPLES

The PDR exercise has been designed to be motivating and non-threatening.

The PDR recognizes that there are multiple stakeholders and diverse perspectives which contribute to effectual
team functioning. The 360 degree feedback is a process of receiving feedback from all relevant sources and
is based on the following principles:

1. Objectivity

2. Collective Responsibility and Accountability

3. Improveing Individual and Team Capacities

4. Providing Honest, Constructive and useful feedback to individual staff members, which will be adopted
for the purpose of appraising performance, major contribution/achievement of teams.

5. Equal Importance to process and outcome.

The PDR is essentially divided into two parts : the first part being individual performance review
and the second part being team performance review.

PERFORMANCE MANAGEMENT SYSTEM 5


VI A. INDIVIDUAL PERFORMANCE REVIEW

PROCESS AND GUIDELINES

AA India follows a "360 degree" feedback process ("180 degree" presently) for the PDR. This will be an
annual exercise with a mid term review done at the region/theme/unit/departmental team levels (to be decided
by each team). The annual process would be as follows :

STEP 1. Self-Appraisal by the staff member - As a first step towards a "180 Degree" feedback
process, each individual staff member will do a self-appraisal of her/his performance, specifying
whether plans were achieved; what were the hindering factors, if any, in performance. The staff
member will also appraise herself/himself against statutory requirements planned and self-
development plans laid in the previous year. Along with this, the staff member will also appraise
herself / himself against the laid down expected Attitude and Behaviours as per ALPS -
Attitude and Behaviours.

STEP 2. Appraisal of individual by Team - All team members who have worked with the staff member
in the region/theme/unit/department will appraise the individual staff member's performance
against the plans laid down as well as the expected attitude and behaviour patterns. This will be
based on the Self Appraisal by the staff member.

STEP 3. Feedback by Line Manager - Feedback provided by each member of the team regarding
every other member of the team will be forwarded to the Line Manager of each staff member,
who in turn will prepare a collective fedback note and have a one - one with each team member
and provide verbal feedback as well as hand over the collective feedback note to the staff
member.

STEP 4. Feedback recorded in the Personal File - The collective feedback note regarding each of
the staff members will be forwarded to Director HROD by the concerned line manager for
placing in each staff members' personal file.

◆ Based on the feedback, support will be provided by HROD Department in capacity building
and overall competency development in order to facilitate better performance and
motivation.

◆ If however the performance does not show substantial improvement, a committee


constituted for the purpose of reviewing such cases will decide on the future course of
action.

VI B. TEAM PERFORMANCE REVIEW

i. SELECTING "BEST PRACTICES"

A committee will be constituted by Director HROD and Country Director comprising external
experts to decide on the Best Practices Teams. Please note the word 'Teams'.

6 PERFORMANCE MANAGEMENT SYSTEM


A write up on the best practice / major achievement in the year may be prepared by each of
the Regions / Themes / Units / Departments across the organization and forwarded to the
HROD Department. The write-ups will be shared and discussed among the specially constituted
committee for the purpose, to identify the best practices. Regions will focus on major achievement
by their team at Regional (Geographic) level while Themes/Social Groups will focus on major
achievement at National level.

Parameters which may be considered by the teams while preparing their major achievements
include:-

1. Identifiable impact on most excluded communities vis a vis themes and social groups

2. Evidence for team cohesiveness and conducive team environment

3. Relationship with partners

4. Financial and programmatic performance in terms of budget utilization, meeting deadlines and
cost efficiency

5. Ethical fund raising (including the organizations which follow fair and ethical practices like not
employing child labour etc)

6. Quality research and documentation - communication material generated

7. Innovative initiatives

8. Facilitating Government and civil society interface

9. Furthering and strengthening Alliance Building initiatives.

10. Any additional/special assignment(s) taken up. E.g. supporting other Regions / Themes Units /
Departments or facilitating interstate alliances on specific issues.

ii. NEXT STEPS

◆ Country Director will announce the Best Practices selected as implemented by the teams from
across the Country Program and acknowledge the ''Best Practices" during AA India Meet
where all staff are present.

◆ Any required team building and capacitating processes will be taken up in teams which have
any major hindering factors in performance at Team level.

PERFORMANCE MANAGEMENT SYSTEM 7


VII. DOVETAILING PERFORMANCE MANAGEMENT INTO ANNUAL P&B PROCESSES

If all our work must be connected with the realities of the poor and excluded people we work with, to learn
from them and be inspired by them, fully conscious that we have come together as an organization to facilitate
and enable the actualization of a world without poverty where every woman, man, girl, boy can live a life of
dignity, we need to make a conscious effort, not only to cross reference our long term plans with the strategy
as we have already done in arriving at our KRAs, but also through a bottom up approach, develop our work
plans from that which the Partner organizations share as their plans for the ensuing year.

The sharing happens during the Plans & Budgets exercise, which is an organization wide, annual process,
done in a meticulous, participatory manner, bringing together at each location, the Regional Manager, relevant
Thematic Leaders and Social Group Incharges, Partner organizations and synergizing the efforts of the whole
organization.

It is therefore most appropriate to dovetail the exercise of setting staff work plans to the P&B exercise and
this will mean that the preparation of work plans for the year 2008 will be synchronized with the Plans and
Budgets exercise in August / September 2007.

The Calendar year will be reckoned as the period for the annual performance appraisal process.

Diagrammatic Representation of Processes for Setting Work Plans and KPIs

I. The essentially ‘bottom up’ approach followed in the Evolution of the CSP III – in
alignment with the ISP.

8 PERFORMANCE MANAGEMENT SYSTEM


II. KRAs (Key Result Areas) drawn up from the RSPs (Regional Strategic Papers) which
were drawn up from the CSP.

III. Work Plans & KPIs arrived at for each staff member for the year 2007

PERFORMANCE MANAGEMENT SYSTEM 9


IV. Proposed Process for deriving Work Plans and KPIs of staff for the year 2008

PROCESS FOR SETTING WORK PLANS AND KPIs FOR THE YEAR 2008

(i) The Regional team to put together the Plans laid down by the Partners.

(ii) The team to juxtapose the KRAs of the Region against the Plans of the Partners – to ensure that the
Plans of the Partners are in sync and within the overall framework of the KRAs of the Region.

(iii) The Regional staff to work out their individual Work Plans and KPIs ensuring that the plans of the
partners have been incorporated into their work plans.

(iv) The Work Plans and KPIs prepared by staff for the year 2008 to be shared with the Partners. This may
be done in an appropriate forum like the RPPMs. The sharing will also facilitate a move towards enabling
a truly 360 degree feedback process in due course.

Note : Work Plans of POs to include :-

I. (i) The facilitation and support to be provided in the achieving of the Plans laid down by the
DA / NS Partners.

(ii) The facilitation and support to be provided in the achieving of the Plans of the NF Partners.
(iii) Work related to the Theme of which s/he is the focal person.

(iv) Support in high quality report preparation for institutional donors as per prescribed time
lines.

(v) Specific assignment related to the ‘Conclave Declaration’.


(vi) Specific assignment related to the Hunger Free Campaign.

(vii) Compliance issues raised by the P&B review team

(viii) Actions to be taken relating to managing the risk status of the partners.

10 PERFORMANCE MANAGEMENT SYSTEM


(ix) Monitoring of the requirements of the Global Monitoring Framework.
(x) Outcome of the Performance Appraisal exercise – which may necessitate including some
part of the ongoing assignments into the next year’s work plans.
(xi) The Statutory Requirements to be fulfilled.

(xii) The Self Development Plans for the year.

II. Work Plans of PMs to include :-

ALPS, REFLECT, QFG, Sponsorship, Communication and Support in ensuring that high quality
reports for the institutional donors and any other reports are prepared by the concerned
programme staff in the region within specified timelines. Also any follow up action as required
during the P&B exercise. All this besides the statutory requirements to be fulfilled and self
development plans for the year.

III. Work Plans of RMs to include :-

Their regular responsibilities besides oversight in respect of compliance, risk management and
quality and timely report preparations and submission.

PERFORMANCE MANAGEMENT SYSTEM 11


PROCESS OF PERFORMANCE MANAGEMENT IN AA INDIA 2006-2007
A. KRAS FOR THE STRATEGY PERIOD 2005 - 2010
WORK PLANS/KEY PERFORMANCE INDICATORS 2006

1. THE SETTING

1.1 ActionAid India Country Program was set up in 1972 and currently operates out of 14 Regional
Offices (ROs) covering 23 States across the country.

The locations of the 14 ROs and the States they cover are as follows :-

◆ Ahmedabad RO – Gujarat
◆ Bangalore RO – Karnataka
◆ Bhopal RO – Madhya Pradesh
◆ Bhubaneshwar RO – Orissa
◆ Chennai RO – Tamil Nadu
◆ Delhi RO – Delhi, Haryana, Himachal Pradesh, Jammu & Kashmir and Punjab
◆ Guwahati RO – Assam, Manipur, Meghalaya, Nagaland
◆ Hyderabad RO – Andhra Pradesh
◆ Jaipur RO – Rajasthan
◆ Kolkata RO – West Bengal
◆ Lucknow RO – Uttar Pradesh, Uttaranchal
◆ Mumbai RO – Maharashtra
◆ Patna RO – Bihar, Jharkhand
◆ Raipur RO – Chattisgarh

ActionAid India is now transiting to work on focused Themes and with Social Groups in line
with our Mission "To work with poor and excluded people to eradicate poverty and
injustice".

Social groups : Dalits, Tribals, Informal Sector labour/Urban Poor, Minorities (Muslims),
Most Backward Classes.

Themes : Right to Education, Right to Food and Livelihood, Rights of People living with HIV
and AIDS, Women's and Girls' Rights, Right to Peace and Human Security, Housing and
Shelter Rights.

Cross Cutting Themes : Women's Rights, Child Rights and Disability Rights.

Cross Cutting Process : ALPS and REFLECT.

12 PERFORMANCE MANAGEMENT SYSTEM


1.2 Based on the size of our operations and the spread, we divided the Regions into 4 Zones for
the purpose of doing the KRA exercise :-

NORTHERN ZONE
Bhopal, Delhi, Lucknow

EASTERN ZONE
WESTERN ZONE
Bhubaneshwar, Guwahati,
Gujarat, Jaipur, Mumbai
Kolkata, Patna

SOUTHERN ZONE
Bangalore, Chennai,
Hyderabad, Raipur

Box 1

1.3 The exercise has also been done in the Country Office covering all the 13 support units/
departments viz. :

◆ Administration
◆ ALPS and REFLECT
◆ CDs Secretariat
◆ Communications
◆ Finance
◆ Fund Raising
◆ HROD
◆ Internal Audit
◆ IT
◆ Operations
◆ Partnership Development Unit
◆ Programmes Unit
◆ Sponsorship Administration Unit

The exercise was next scheduled for the Thematic Leaders together with those incharge of
Social Groups.

The schedule and venue for the exercise covering sample regions, zones, themes, social groups
and units is given in Annexure 6.

PERFORMANCE MANAGEMENT SYSTEM 13


2. THE PROCESS

In the year 2005, the Country Strategy Paper (CSP-III) of ActionAid India was evolved through the
participation of over 1000 persons including our internal staff, external stakeholders like our partner organizations,
communities we work with and external specialists in the field besides others. The processes which were
bottom-up, have now given us our mandate.

2.1 THE PROCESS AT REGIONAL LEVEL (SAMPLE REGIONS)

From the CSP, the regions worked out their Regional Strategic Plans (RSPs) for the strategy
period 2005-2010.

(a) The Regions were requested to prepare

(i) A presentation of the work they had done in the year 2005

(ii) A presentation of Matrix showing the social groups and themes they would be focusing
on during the Strategy Period. This matrix was derived from their RSPs.

(b) A sample of 4 Regions covering North, West, South and East was identified viz. -

Lucknow – North
Jaipur – West
Hyderabad – South
Kolkata – East

(c) The process commenced with HR sharing the concept of Performance Management System -
which is different from Performance Appraisal process in that the former comprises the entire
gamut of activities viz setting KRAs/goals for the Region/Theme/Unit/Department, followed by
individual Work Plans and Key Performance Indicators for the year 2006, a mid - year review
done locally with the respective teams, revisiting the plans if necessary, ensuring that the required
support is provided and doing a performance appraisal process at the end of the year.
Recognizing the performance, at individual and more essentially at team level would complete
the Performance Management circuit. Performance Appraisal however is a process conducted
at the end of the year.

(d) Attention was drawn to CEO's communication of 14th February 2006, wherein there is clear-
cut mention of Accountability. The need for accountability at all levels was also highlighted by
referring to the recent visit of Country Director, ActionAid - India to the Sponsorship Unit in
UK, where the staff conveyed that sometimes they may need to knock on a 1000 doors to get
a confirmed sponsorship! Reference was also drawn to the CEO declaring 2006 as the year
of Quality. CEO's communication is given in Annexure 1.

(e) The regions presented their work done in 2005 followed by presentation of the Matrix.

14 PERFORMANCE MANAGEMENT SYSTEM


(f) The team then collectively brainstormed and arrived at their KRAs (Key Result Areas) for
their Region for the 5 year strategy period. 'Where does the Region see itself at the end of
the 5th year (end of the Strategy Period)?

(g) The team members their worked on their individual Work Plans for the year 2006 and Key
Performance Indicators (KPIs) against each of their Plans for the year.

(h) Staff were also advised to clearly specify the Statutory requirements to be fulfilled during the
year and their Self Development needs for the year.

(i) The KRAs were prepared collectively and signed off by all staff members reflecting ownership
of the same. The individual work plans for the year were signed off by the concerned staff
member and the Line Manager.

2.2 THE PROCESS AT THE ZONAL MEET

(a) The Regions belonging to each zone including the sample region, were met with at zonal level.
The above-mentioned process was repeated at the zonal level. The additional benefit being
that when the regions were ready with their regional KRAs, they shared it in the plenary and
benefited from inputs that they received from staff belonging to other regions who were present
there.

HR specifically mentioned that while inputs from other regions may be considered, the final set
of KRAs of each region will be developed and owned by the concerned region.

(b) After all the regions(belonging to the zone) prepared their KRAs, Work Plans and KPIs,
Country Director was invited to participate on the last day (of the 4 days process). The
proceedings started with the RM (generally the RM hosting the zonal meet) sharing the process
undergone in preparing the KRAs, Work Plans and KPIs. This was followed by each of the
RMs presenting the KRAs for the Region for the 5 year period and each staff member of each
Region presenting her/his work plans and KPIs to the CD.

(c) The above was repeated in all 4 zones covering the 14 Regional Offices.

2.3 THE PROCESS AT THE THEMES / SOCIAL GROUPS MEET

(a) HR shared with each Theme Leader and Social Group Incharge the matrices prepared by each
of the Regions, which reflected the Themes as well as the Social Groups being focused on in
each Region. This enabled each of the Theme Leaders and Social Group Incharges to gain a
quick understanding of

◆ the nature of focused work planned in each region.

◆ the type of networking and cross functioning required among the themes and social groups
to effectively provide the necessary inputs, support and interventions to enable the regions
to achieve their KRAs for the strategy period.

(b) From these matrices, the Theme Leaders and Social Group Incharges drew up their respective
matrices by culling out that which pertained to their respective Themes/Social Groups reflecting

PERFORMANCE MANAGEMENT SYSTEM 15


what was expected of them during the strategy period. Also present was the person incharge of
Rights of Persons with Disabilities (PWDs), a Cross Cutting Issue. The matrix relating to Rights
of PWDs too was drawn up vis a vis various themes and social groups.

(c ) Each theme leader and social group incharge (including the person incharge of Rights of PWDs)
worked individually and then shared their draft KRAs at the plenary, where all the theme
leaders / social group incharges (Rights of PWDs) were present. Through this collective process
of sharing and inputting, each of them arrived at the KRAs for their respective themes/ social
groups, for the strategy period.

(d) HROD also proposed that since each theme / social group (Disability) would be working at
National level they may also develop a VISION for their respective themes etc. To avoid the
confusion with the organization's Vision, the term ‘AIM’ was appropriately adopted to reflect
the long term vision for each of the themes/social groups (Disability) extending well beyond the
Strategy Period (2010). This was also firmed up collectively in the plenary.

(e) Each of them then worked out their Work Plans/Key Performance Indicators for the year
2006.

(f) On the 3rd and final day of the exercise, presentations of the processes gone through and the
KRAs / Work Plans / KPIs prepared were made to the Country Director by each of the
Theme Leaders, Social Group Incharges and the Incharge of Rights of PWDs.

2.4 THE PROCESS AT THE COUNTRY OFFICE UNITS / DEPARTMENTS MEET

(a) Of the 13 Units, 12 are based in Delhi. These 12 Units were divided into 2 groups (for
manageability) and the exercise of setting KRAs/Work Plans / KPIs was done.

(b) All the staff belonging to each of the Units/Departments participated in the exercise and through
brainstorming arrived at their KRAs for the Strategy period and their Work Plans/KPIs for the
year 2006. Country Director participated in the presentations by all Units / Departments.

(c) The exercise for the Sponsorship Administration Unit (SAU), which is based at Bangalore,
was organized at Bangalore (for logistical reasons). After the exercise was completed, CD
participated in the presentation by the team.

16 PERFORMANCE MANAGEMENT SYSTEM


B. PERFORMANCE AND DEVELOPMENT REVIEW

As a logical sequel to setting the KRAs for each of our Regions/Themes/Social Groups/ Units for the Strategy
period and each staff member laying down Work Plans and KPIs for the year 2006, the Performance Appraisal
Process was introduced in ActionAid India this year (2007).

1. THE PERFORMANCE APPRAISAL PROCESS

A small committee comprising 1 RM, 1 Theme Leader, 1 PM and 1 PO and HR OD was constituted
(ensuring gender balance) which deliberated upon and arrived at a draft Performance Appraisal process
which was then presented and collectively adopted at the SMT Meet held in January 2007. The
Performance Appraisal process done this year involved the following steps :-

(a) Each staff member prepared her/his Self Appraisal of the Work Plans and KPIs laid down for the
previous year. (Appraisal Format - Annexure 2).

(b) This exercise required each staff member to specify what was achieved/what was not achieved
and what were the hindering factors, if any, in the achievement of their plans.

(c) Also what was achieved over and above what was laid down in the Work Plans/KPIs

(d) Were the statutory requirements fulfilled as per the prescribed timelines.

(e) Were the self development plans met

(f) Also, based on self introspection, how did the individual assess herself/himself on the Attitudes
and Behavioural front - with reference to the ALPS-Attitudes and Behaviours. (ALPS - Attitudes
and Behaviours - Annexure 3)

1.1 IN THE REGIONS

(a) The Regional Team sat together and each staff member presented her/his self appraisal.

(b) After the presentation of the self appraisal, the rest of the team filled-up the feedback
form comprising of questions focusing on the achievements, areas of improvement and
the styles of behaviour etc. (Performance Feedback Form - Annexure 4).

(c) The feedback regarding the programme staff, provided by staff belonging to support
functions essentially related to styles of behaviour, attitude only. Where they had an
understanding of programmes/the work done by the programme staff, such support staff
also gave feedback regarding their achievements on the programmatic front.

(d) Feedback forms filled-up by the team members for each staff member were put into a
single envelop and handed over to the concerned line manager. Thus there was one
envelop per staff member - containing all the feedback forms regarding her/him. In this manner,
feedback regarding all staff members was handed over to their respective line managers.

PERFORMANCE MANAGEMENT SYSTEM 17


(e) The exercise also involved the team members giving feedback about the RM. The envelop
containing the feedback regarding the RM was handed over to the Line Manager of the
RM i.e. the CD.

1.2 IN THE THEMES / SOCIAL GROUPS / ALPS UNIT

(a) At the respective Thematic Horizontal Working Group Meetings, the Theme Leader /
Social Group incharge / ALPS Incharge presented her / his Self Appraisal and the
Horizontal Working Group members provided feedback using the same standard format.

(b) The envelop containing the feedback regarding the Theme Leader / Social Group incharge
was handed over to the line manager i.e. the CD.

1.3 IN THE COUNTRY OFFICE

Each Unit team sat together and the process involved each member presenting her / his self
appraisal to the team - the team members provided feedback and the set of such feedbacks
regarding each individual staff member was handed over to the concerned line manager. If the
Incharge was an SMT member, the feedback envelop was handed over to the line manager i.e.
the CD.

1.4 IN THE DIRECTORS CATEGORY

The 3 Directors, viz Director Programs, Director Operations and Director HROD, presented
their Self Appraisal to the entire SMT and all SMT members gave feedback in the standard
format and the CD himself was present to receive the feedback forms.

2. TRULY 360°

In keeping with the spirit of 360° (presently 180°) feedback process, feedback was sought from seniors, peers
and juniors vis-à-vis each staff member. ("TRULY 180°" Matrix - Annexure 5).

At the SMT level ( RMs, Sr Managers, Thematic Leaders, Social Group incharges) peer feedback was
sought, electronically, from other SMT members by the CD and the feedback givers were requested to send
their feedback directly to the CD and if they so desired, they could also share the feedback with the concerned
peer. CD also filled the feedback form regarding each of his reportees.

The Directors too received peer feedback as their self appraisal was presented at the SMT Meet and other
Directors too were present. CD also filled the feedback form regarding each of the Directors.

Feedback from their respective teams ensured feedback from the juniors.

3. PROVIDING COLLECTIVE FEEDBACK

The feedback forms regarding each reportee was handed over to the line manager concerned who then
collated/compiled and prepared a collective feedback note. The line manager then organized to have a
one-to-one feedback session with each staff member, provided verbal feedback as well as handed over the

18 PERFORMANCE MANAGEMENT SYSTEM


180 degree collective feedback note to the staff member. A copy of the 180 degree collective feedback note
vis-à-vis each staff member has been given to the HROD department for records.

4. ANALYSIS OF PERFORMANCE FEEDBACK

We categorized the feedback as follows :

1. Hindering factors which are an organization wide phenomenon, such as inefficient functional systems /
processes.
2. Hindering factors that are region specific :
a) those related to the socio/political/cultural situation prevailing there
b) those related to the regional leadership or interpersonal relationships
3. Factors pertaining to specific staff relating to competencies including knowledge, skills and attitude.

From points 2(b) and 3, we identified the staff who were non-performers and an opportunity will be given to
them to express themselves.

Requisite support from HROD Department, for the staff, as the need may be, in the areas requiring
strengthening/improvement, be it technical competencies in terms of skills, or softer skills in terms of Attitude
and Behaviour, for enhancing performance, will be provided. Both in-house and suitable external training
programs will be identified for enabling staff to fill the competency gap.

(The above analysis has so far been completed for staff across 4 Regions.)

5. SHARING BEST PRACTICES

Each region/theme/social group/unit will send to HROD department what they have identified as their major
achievement during the year. This will be shared at organization level at an appropriate forum.

Note : (i) The Line Manager in each case has been at the centre of the process and has been
responsible for providing feedback to all her / his reportees

(ii) HROD has facilitated the Performance and Development Review in each Region / Theme
/ Unit etc across the organization

(iii) In one of the Horizontal Working Group Meets, there were 3-4 partners present during
the Performance and Development Review process. They too provided feedback regarding
the Senior Manager whose performance was being appraised.

(iv) Another special circumstance was the closure of one of the Regional Offices. Staff of the
region were transferred to other Regions / Locations. The self appraisal of such staff was
electronically shared with their erstwhile team members who in turn passed on their
feedback regarding each other to the concerned line manager. The line manager then
prepared the collective feedback note and provided feedback to the reportee.

PERFORMANCE MANAGEMENT SYSTEM 19


DOVETAILING THE PERFORMANCE MANAGEMENT SYSTEM
INTO THE 2007 P&B PROCESS
SETTING WORK PLANS AND KPIs FOR THE YEAR 2008

1. BACKGROUND

1.1 The Plans for the year 2008 were shared by the long term DA and NS Partners during the
P&B exercise conducted across the organization during August and September 2007.
The P&B exercise was preceded by :-
1.1.1 The PRRP (Participatory Review and Reflection Process) which entailed meetings and
discussions of the concerned programme staff with the Partner organizations and the partner
communities, at community level, in order to understand and reflect upon the interventions
(issues , activities) undertaken by them during the first half of the year. The review and reflection
processes also enabled taking on board the challenges faced and the learnings from the work
done and incorporating the suggestions made by the communities and partner organizations for
improving and strengthening the work on the ground, thus identifying the priority issues and
designing related interventions.
1.1.2 Discussions and deliberations on the proposed Plans and Budgets of all Partner Organizations
at the RO level in order to facilitate firming them up for the year 2008.

2. THE P&B PROCESS

2.1 During the P&B Process, the Partner Organizations presented : their work done during the
previous year, the learnings gained during the period, the challenges faced, which need to be
worked on and overcome. Based on this, clarifications were sought and questions were posed
by the review team comprising of senior staff from Programmes Unit, relevant Thematic and
Social Groups and the Finance. Suggestions and recommendations were also made for
strengthening and enriching the Plans laid down by the Partners, which were incorporated by
the partners.

3 SETTING WORK PLANS FOR THE REGIONAL STAFF FOR YEAR 2008

With the Plans of the Partners in place and having ensured that they are within the overall framework
of the KRAs of the Region, HR facilitated the preparation of the Work Plans and KPIs of the
Regional Staff for the year 2008, as drawn from the Plans of the Partners for the year 2008. (Staff
also refered to their Work Plans 2007). The process thus made possible a bottom up approach
right from the stage of setting the work plans for the programme staff. The core contents were
included by the staff in their Work Plans / KPIs for the year 2008.

20 PERFORMANCE MANAGEMENT SYSTEM


ActionAid India's KRAs

..................TOWARDS FULL CITIZENSHIP FOR ALL

To achieve the above, ActionAid India will focus on the following KRAs for the strategy period :

1. Practicing collective functioning through bottom - up participatory processes

2. Having high degree of credibility through transparency in quality processes and accountability
at all levels

3. Synergizing platform processes for facilitating national alliances of the excluded with focus on
women

4. Proactively addressing the HIV and AIDS situation through processes of inclusion, care (through
PHCs), protection and dignity

5. Engaging with individuals, organizations and institutions through high quality processes for ethical
fund raising in India

6. Achieving affiliate status and taking forward internationalism

7. Working through the Human Rights Based Approach at grassroot levels through the active
participation of partners, CBOs, CSOs and critically engaging with the State while fighting
patriarchy, power and exclusion.

ALL STAFF OF ACTIONAID INDIA

PERFORMANCE MANAGEMENT SYSTEM 21


A N N E X U R E -1

Letter from CEO


Ramesh Singh
Chief Executive

Dear Colleagues

Greetings from Johannesburg.

We have reached an incredibly exciting time of our organisational development. We are now in the second
year of our six-year strategy, Rights to End Poverty and, having laid strong foundations, are well poised to
start delivering it. We have set clear priorities for the year ahead which you can see in the attached copy of
'Annual Plan Highlights 2006'.

2005 was a tough but successful year for us. We responded well to the big disasters - the tsunami, famines
and earthquakes in Asia and Africa - which affected poor people on an unprecedented scale. We played a
major role in the Global Call to Action Against Poverty by campaigning and mobilising poor and excluded
people and communities, making sure their voices were heard by world leaders, politicians and governments
at the G8 meeting, United Nations summit, World Trade Organisation meetings and beyond. While we still
have much further to go in fighting poverty and injustice, we can take much strength for our coming work from
the remarkable passion and force displayed by civil society in both the north and the south.

As an organisation, in 2005 we worked much better internationally between countries, themes and functions,
and learnt a lot about how we can strengthen our work as an international organisation. As a result, our
international visibility and credibility has risen substantially.

Thus we start the year 2006 on high note and with renewed confidence and commitment.

We have declared 2006 as the year of quality.

Why did we want to have this overarching focus on the quality of work? Two main reasons:

1. First, we know that we have pockets of excellent work in all countries and in all themes but we also
know that some of our work needs to improve. We are confident that if we put in that extra bit of effort
we can make the rest of our work as good as, or even better than, the best of our work.

2. Secondly, as we deepen our rights based approach, take sides with poor and excluded people, challenge
powerful people, institutions and governments, we will need to put our own house in order. We will
need to walk the talk better, not only to minimise the risk and insecurity to the staff and organisation but
also to achieve our ambitious goals set out in Rights to End Poverty.

So how we do we improve quality?

We will need to raise our game and perform even better. Raising our game requires commitment and hard
work from all of us. From a management perspective we are improving operational systems and practices to
support all staff to deliver effectively. Likewise, we will be looking for maximum performance from every
ActionAider.

PERFORMANCE MANAGEMENT SYSTEM 23


Improving quality and performance will require us to strengthen the capacity and accountability of our staff
and team, and to prioritise.

CAPACITY

I am pleased that countries, regions, themes and functions have planned and budgeted towards strengthening
core capacity of staff and team to deliver our organisational ambitions. Our emphasis here is in developing
women's leadership across ActionAid International.

An important driver of quality is our political and emotional capacity. Strengthening this will require each of us
to remain sufficiently connected with the realities of the poor and excluded people we work with, to learn from
them, to be driven by them.

I will soon spend a block of time living with a community for whom poverty and injustice is a daily reality. I
hope to persuade all the International Directors and thematic heads to do the same. I hope that you will all
take time to remain connected with and inspired by poor and excluded people directly.

PRIORITY

Over the past 18 months, in the process of developing our international strategy, Rights to End Poverty, our
strategic plans and our budgets, we have been able to bring some focus and priority. However, I am afraid
this is still not in our habit. Let us continue to remind ourselves that we must prioritise. Let us prioritise what is
really important and essential. Let us take on what we can do and deliver well, in time and in quality. Let us
empower ourselves and colleagues to negotiate priorities. We are working in an increasingly complex world,
with a demanding strategy and plans, and we need, therefore, to openly engage with the tensions across the
organisation produced by the multiple priorities we face.

The organisation, with its geographies, functions and themes is complex. The International Directors and I are
working together to provide as much clarity and direction for managing in this environment as is possible and
sensible. A strong mindset to work together as team achieving a common purpose is fundamental.

ACCOUNTABILITY

Perhaps the best way of enshrining the practice of prioritising our work is through strengthening accountability
- holding individual staff and teams accountable for their commitment and performance. The big push led by
the HR-OD community to strengthen our performance management system and practice is to improve our
performance through mutual accountability. We are emphasising the role of peers and team members in
performance plans and feedback. Let us establish the space and habit of giving and taking regular feedback to
each other - both appreciative feedback for good work and critical and constructive comments for the gaps in
performance. What we must also create is a habit and culture of not accepting or tolerating unjustifiable poor
performance or poor quality of work.

24 PERFORMANCE MANAGEMENT SYSTEM


Ultimately, we must deliver accountability to the poor and excluded people and communities we work with
and also to our supporters and partners. Implementing our Open Information Policy at all levels will be crucial
in delivering accountability both externally as well as internally.

Improved quality and performance are key to delivering Rights to End Poverty. Our strategy highlights other
areas for delivering our strategic vision, and I encourage you to make a conscious effort to cross reference
your work plans with the strategy and the Annual Plan highlights - to ensure that all our work is connected and
mutually reinforced.

Let me also tell you a bit about how we plan to provide international support and keep an overview of the
priorities we have set out.

We have an expanded 'Change Management Group' - chaired by Thomas Joseph, International OE Director
and reporting to me and the International Directors' team - to see that we are implementing the changes we
must make to deliver our promises laid out in Rights to End Poverty.

I will personally support a 'Quality Concern Group', to facilitate decentralised discussion, reflection and action
towards enhancing the quality of our work, particularly at community level, with poor and excluded people.

Indeed, together with the International Directors team, I take the overall responsibility to ensure fulfilling our
commitment against Rights to End Poverty and will thus continually monitor, support and report the progress
to you.

Finally, I want to let you know that I will remain in regular and direct contact with you this year, including
through letters such as this. You should feel free to write to me if you wish to inform me of our outstanding
work or want me to cover any particular issues in my future communication. I would appreciate if you could
channel your emails or letters to me through Clare Parry (clare.parry@actionaid.org) who coordinates my
office - and I will make every effort to respond personally.

Warm wishes,

RAMESH SINGH
Chief Executive

PERFORMANCE MANAGEMENT SYSTEM 25


A N N E X U R E -2

APPRAISAL FORMAT

SELF APPRAISAL - WORK PLANS/KPIs / ATTITUDES & BEHAVIOURS

NAME :

DESIGNATION :

REGION/THEME/UNIT :

LOCATION :

STAFF - PERFORMANCE AND DEVELOPMENT REVIEW

Sl. No. Parameters (What was achieved What were the


vis-à-vis the Plans Hindering Factors in
and provide achieving the Plans
comments on the
quality of output.
Specify major
achievements)

A Work Plans

B Statutory Requirements

C Self-Development

D Any Additional/Special Assignment(s)

E Attitudes & Behaviours (Please give


honest feedback about yourself regarding
your attitudes and behaviours. You may
refer to ALPS Attitudes and Behaviours).

Signature of staff member

26 PERFORMANCE MANAGEMENT SYSTEM


A N N E X U R E -3

ALPS - ATTITUDES AND BEHAVIOURS

Alps can only be effective if our staff, volunteers, activists, trustees and partners hold attitudes and behave in
ways that fit with our shared vision, mission and values. These include:

◆ Behaviour that is not domineering or patronising but that genuinely shares power with others rather than
keeps it for oneself.

◆ Behaving in a way that genuinely supports those who are excluded to fully participate, bringing poor and
excluded people into the heart of decision-making, rather than simply informing and consulting them.

◆· Behaving with confidence and commitment to address discrimination due to sex, age, caste, ethnic
identity, race, colour, class, sexuality, disability, religion and HIV/AIDS status, in all of our work.

◆ Actively seeking to learn from and build alliances with others who are aiming for similar goals by different
methods. In so doing, we are aware that we are not working in isolation in searching for a lasting
solution to eradicating poverty and injustice.

◆ Reflecting a desire for the best knowledge, even if such knowledge fails to support or undermines one's
preconceptions, beliefs or self interests.

◆ Actively seeking to learn from and share our knowledge, skills and experience with our colleagues
internationally and others working for equity and justice.

◆ Demonstrating a willingness to listen, understand and take account of the different cultural, language and
communications characteristics of others.

◆ Striving to achieve effective communications within ActionAid, recognising that people are faced with
different demands and taking initiative in writing and communicating lessons and experiences which are
in accessible formats and language.

Facilitating behaviour and attitudinal change is a continual process. ActionAid will provide the space and
opportunities to support its staff, volunteers, activists, trustees and partners to examine contradictions, personal
behaviours and values. This will require different approaches, including coaching, mentoring and feedback
mechanisms.

PERFORMANCE MANAGEMENT SYSTEM 27


A N N E X U R E -4

PERFORMANCE FEEDBACK FORMAT

Name of the feedback giver:

Date :

Performance Feedback Regarding.........................................2006

Feedback in respect of..............................................................................may please be given with a focus


on the following :

1. What according to you were her/his key achievements in the year 2006?

2. In what areas has s/he performed less well in 2006?

3. Which particular areas of work would you recommend that s/he should prioritise or improve upon
during the year?

4. In terms of her/his behaviour, style or way of working, what would you like her/him to do more of or less
of?

5. Any other suggestions?

Note :

Your comments would be much more helpful if they are specific and have examples.

Your feedback shall be treated with utmost confidentiality and will be utilized for her/his development
purposes only.

Warm regards

N. SRIMATI

28 PERFORMANCE MANAGEMENT SYSTEM


A N N E X U R E -5

TRULY 180° MATRIX

APPRAISEES APPRAISERS
Sl. No. Performance Assessment of Seniors Peers Juniors

1. Director CD (Line Manager) Other Directors • Other SMT


Members
• Respective
Team
Members

2. Head of Communications CD (Line — • Other SMT


Manager), Director members

3. RM CD (Line Manager), Other RMs, Regional Team


Director(s) Sr. Managers,
Theme Leaders,
Social Group
Incharges

4. Theme leader / Social Group CD (Line Manager), RMs, Horizontal


Incharge Director(s) Sr. Managers, Working Group
Theme Leaders, Members
Social Group
Incharges

5. Sr. Manager (Functional) CD (Line Manager), RMs, Respective


Director(s) Sr. Managers, Functional Team
Theme Leaders,
Social Group
Incharges

6. Functional Manager Director Unit Managers Units Staff in


(Line Manager), in Bangalore Bangalore
RM, Theme Leader,
Sr. Manager

7. • Program Manager (Region). RM (Line Manager) Other PMs POs and other
(if placed in the juniors in the
Region) Region

• Program Manager SMT Member Other PMs POs and other


(Other Functions) (Line Manager) juniors in
the concerned unit.

PERFORMANCE MANAGEMENT SYSTEM 29


Sl. No. Performance Assessment of Seniors Peers Juniors

8. • PO (Region). RM (Line Manager), Other POs in Rest of the


PM in the Region the Region Regional Team

• PO (Other Functions) Line Manager Other POs Rest of the


(equivalent in Functional Team
the Unit)

9. • Accountants (Region) RM (Line Manager), Other Grade IV Rest of the


PM, POs staff in the region Regional Team

• Accountants (Country Office) / Line Manager Other Grade IV Rest of the


Sr. Desk Officer staff in the Unit Functional Team

10. Desk Officer Director / RM Other Grade V Rest of the


(Line Manager as staff in the Regional /
the case may be) Region / Unit Functional Team
PMs, POs,
Accountants

11. Office Assistant / Driver Line Manager, Other Grade VI


other seniors staff in the —
Region / Unit

30 PERFORMANCE MANAGEMENT SYSTEM


A N N E X U R E -6

KRAs / WORK PLANS / KPIs EXERCISE SCHEDULE : 2006

Sl. No. Location of the Meet Regions/Units Covered Date

1. Lucknow RO • Uttar Pradesh 10th - 14th February 2006


LUCKNOW • Uttaranchal

2. Jaipur RO • Rajasthan 23rd - 25th February 2006


JAIPUR

3. Hyderabad RO • Andhra Pradesh 3rd - 5th March 2006


HYDERABAD

4. Kolkata RO • West Bengal 6th - 7th March 2006


KOLKATA

5. Zonal Meet - South • Andhra Pradesh 9th - 12th March 2006


CHENNAI • Chattisgarh
• Karnataka
• Tamil Nadu

6. Zonal Meet - North • Delhi 17th & 20th March 2006


DELHI • Madhya Pradesh
• UP & Uttranchal

7. Zonal Meet - West • Gujarat 18th - 19th March 2006


DELHI • Maharashtra
• Rajasthan

8. Zonal Meet - East • Bihar & Jharkhand 21st - 24th March 2006
KOLKATA • North East
• Orissa
• West Bengal

9. Country Office • 12 Units except 14th & 16th March 2006


DELHI Sponsorship
Administration Unit (SAU)

10. SAU • SAU 31st March - 1st April 2006


BANGALORE

11. Themes & Social Groups Meet • 6 Themes 10th - 12th April 2006
CHENNAI • 2 Social Groups
• 1 Cross Cutting Unit

PERFORMANCE MANAGEMENT SYSTEM 31


A N N E X U R E -7

STAFF PERFORMANCE AND DEVELOPMENT


REVIEW SCHEDULE : 2006 - 2007

Sl. No. Region/Theme/Social Group/Unit Date of Performance Location


Appraisal Process

1. Peace&Human Security 7th February 2007 Jaipur


2. Jaipur RO 17th February 2007 Jaipur
3. Gujarat RO 23rd February 2007 Ahmedabad
4. Food Rts&Livelihood 1st March 2007 Bhubaneshwar
5. Country Office Admin 7th March 2007 Delhi
6. HIV&AIDS 8th March 2007 Delhi
7. HROD 9th March 2007 Delhi
8. CD's Secretariat 10th March 2007 Delhi
9. Delhi RO 12th March 2007 Delhi
10. Mumbai RO 14th March 2007 Mumbai
11. Bhubaneshwar RO 15th March 2007 Bhubaneshwar
12. Chennai RO 16th March 2007 Chennai
13. National Tsunami Project (TN & A&N Is.) 17th March 2007 Chennai
14. Patna RO 18th March 2007 Patna
15. Guwahati RO 20th March 2007 Guwahati
16. Women's Rights 21st March 2007 Delhi
17. SAU 23rd March 2007 Bangalore
18. Internal Audit 23rd March 2007 Bangalore
19. IT 23rd March 2007 Bangalore
20. Bangalore RO 26th March 2007 Bangalore
21. Sabala (Disability Unit) 26th March 2007 Bangalore
22. ALPS 27th March 2007 Delhi
23. Right to Shelters & Housing 28th March 2007 Delhi
24. Bhopal RO 30th March 2007 Bhopal
25. Hyderabad RO 2nd April 2007 Hyderabad

32 PERFORMANCE MANAGEMENT SYSTEM


Sl. No. Region/Theme/Social Group/Unit Date of Performance Location
Appraisal Process

26. Dalit Social Group 2nd April 2007 Hyderabad


27. Right to Education 5th April 2007 Ahmedabad
28. Communications 5th April 2007 Delhi
29. Campaigns 5th April 2007 Delhi
30. Kashmir Project 9th April 2007 Delhi
31. Chattisgarh RO 13th April 2007 Delhi
32. Lucknow RO 14th April 2007 Lucknow
33. Kolkata RO 23rd April 2007 Kolkata
34. Fundraising 19th April 2007 Bangalore
35. Programmes (Unit) - Director 19th April 2007 Bangalore
36. Operations (including Fundraising, IT, Admin)-Director 19th April 2007 Bangalore
37. IPD 6th June 2007 Delhi
38. Indigenous Social Group 10th May 2007 Mt. Abu
39. Finance 17th December 2006 Lonavala

PERFORMANCE MANAGEMENT SYSTEM 33


A N N E X U R E -8

DOVETAILING PMS INTO P&B EXERCISE SCHEDULE

Sl. No. Region(s) Location Work Plans&KPIs

1. Mumbai & Bhopal Bhopal 9th August 2007

2. Ahmedabad & Jaipur Jaipur 18th August 2007

3. Bhubaneshwar Bhubaneshwar 22nd August 2007

4. Guwahati Guwahati 25th August 2007

5. Patna & Lucknow Lucknow 31st August 2007

6. Chennai & Bangalore Bangalore 9th September 2007

7. Hyderabad Hyderabad 12th September 2007

8. Delhi Delhi 17th September 2007

9. Kolkata Kolkata 20th September 2007

34 PERFORMANCE MANAGEMENT SYSTEM