PERFORMANCE APPRAISAL POLICY AND

GUIDELINES

(English version)

Registered in the procedure manual under the number n° HR ………………….

Document details
Version Date Prepared by Position Comments

001 21/12/2019 Hawa Touré Senior HR Manager Initial draft

Performance appraisal policy 1

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
 PERFORMANCE APPRAISAL POLICY, PROCEDURE & GUIDELINES Document n°: Procedure N° RH 001
Owner : Hawa T. Barry
Revision : No: 001
Date: 21 December 2019
Page: 2 of 9

1. PURPOSE
The purpose of this policy is to define the requirements for supervisors and employees for completing
annual performance appraisals. The performance appraisal provides an opportunity to discuss, plan, and
review each employee’s performance, as well as to set objectives/work plans and develop professional
development plan for the coming year for each employee.

2. GENERAL PRINCIPLES

a. General Objectives
The SMB – WINNING CONSORTIUM is an organization that is engaged in the recruitment and the retention
of a quality manpower for its operations. One of the elements of this engagement is the appraisal of the
performance of the employees in order to develop them through annual objectives.

The Performance appraisal is a process with double sense of development, communication,

encouragement and motivation; but also the follow up and assessment of the contribution of each
employee towards the organization’s goals.

An efficient assessment will provide the Employee with:

 An Overview on how his/her work is perceived
 An Understanding of the needs and requests of his/her Management 
 An Opportunity to address the problems that are likely to affect his/her performance and find
suitable solutions
 A way of knowing how his/her activity contributes to the vision and strategy of the organization.

The Performance Appraisal processes in the Consortium are simple, important and constitute efficient tools
for Employees’ development.

3. SCOPE
The present procedure applies to all national workers who have signed a contract with at least one of
entities of the SMB – WINNING CONSORTIUM in Republic of Guinea.

The present document is developed in a way to:

 Encourage Employee’s development through a formal process; and
 Insure a clear understanding of the process itself.

3.1. Specific Objectives for the Assessors

 Know the performance of the Employees
 Know the expectations of the Employees
 Give necessary support and advise to Employees for their Improvement;
 Mobilize the team in respect of the Targeted objectives of the Department / Service
 Modify certain behaviors that negatively impact the excepted results ;
 Determine and monitor the objectives for the next assessments ;

3.2.Objectives for the Employees

Performance appraisal policy 2

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
  Know their Performance (area of improvement)
 Detect their Weak and Strong Points ;
 Start working on their weaknesses  ;
 Bring their expectations to the assessors and determine the targets for the next assessment.

3.3.Periodicity and Eligibility

At the end of the first semester of every year, between June 1st and 30th, Employees will be assessed
halfway according to the general and specific objectives that will be determined during the last
assessment.
A detailed assessment will be conducted between November 15th and December 20th for the annual
review of all the determined objectives.

This review will enable the Directors, Departments Managers and Supervisors to follow the Key
Performance Indicators, detect the problems and finally, insure that the assessed employee meet the
criteria of the position he/she hold.
An update of the PDP (Personal Development Plan), as well as the determination of the objectives for the
next assessment will be done.

Any employee who was hired and worked at least three (3) months before the effective date of the
halfway assessment (June 1) as a regular Consortium employee is eligible for a performance appraisal.
Therefore, any employee hired on or after March 1, will not receive a formal performance appraisal.

However, managers should consider meeting with those employees to establish work plans (see Work
Plans below) and ensure they fully understand the plans and expectations.

4. POLICY
The SMB-WINNING CONSORTIUM expects all managers to give performance feedback to their employees
that includes recognition, positive and constructive feedback, and, when necessary, corrective
instructions to foster effective job performance.

The annual performance appraisal is intended to help employees have a clear understanding of their
performance in relation to SMB-WINNING CONSORTIUM’s performance objectives, values and behaviors.
The performance appraisal is a key criterion in determining employees’ merit increases.

The performance appraisal is intended to help employees clearly define and understand their
responsibilities, to provide criteria by which their performance will be evaluated, and to suggest ways
they can improve performance.

The performance appraisal is not intended to replace ongoing feedback; such discussions and feedback
should occur throughout the year during the Performance Monitoring period. HR teams will monitors the
annual performance appraisal processes and ensures consistent application with SMB-WINNING
CONSORTIUM’s global standard.

5. ROLES and RESPONSIBILITIES

5.1.Human Resources Manager

The HR Manager ensure(s) that all performance appraisals are conducted in accordance with this
policy and timeline and signs off on each appraisal conducted on his business unit.

5.2.Heads of Departments

Performance appraisal policy 3

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
 The Heads of Departments ensure(s) that all performance appraisals are conducted in accordance
with this policy and procedures are followed. They also ensure to provide the Supervisors and
Employees with means and time to conduct this process.

5.3.Supervisors
The supervisors monitors and documents the performance of their direct reports throughout the
performance cycle; completes the appraisal document; reviews, completes and supports work plans
(optional); and conducts the review meetings with employees during the review cycle.

5.4.Employee
Completes a self-appraisal (optional based on job grades), and draft professional development plan (all
employees of job grade CO 1 and above) and submits to supervisor for review. The employee meets
with his or her supervisor to discuss the performance appraisal and work plan. Employees are also
expected to seek clarification from supervisors on any portion of the work plan or performance
appraisal process that is unclear.

6. TIMELINE
At the end of the first semester of each year, between June 1 and June 30, employees will be
subjected to mid-term evaluation according to the general and specific objectives set for them during
the evaluations of the previous year. An in-depth evaluation will take place between November 15 and
December 20 for the annual review of all the objectives set.

This review will allow the various Managers, Heads of departments and Supervisors to monitor
performance indicators, detect gaps and finally, ensure that the employee meets the criteria of the
position he / she occupies. An update of the PDP (personal development plan, depending on the job
grade/position), as well as the setting of objectives for the next evaluation will be carried out.

Below is the detailed calendar of the appraisal process:

1. October: The CHRO communicates performance appraisal guidelines, timeline, forms, and
other related details and resources to HR Managers;

2. November – December: HR Managers with the support of the Consortium HR Team execute
the performance appraisal process through centered communication with HODs, Supervisors
and Union Representatives on one hand; and a mass communication for employees on the
other hand;

3. January: Definition of Objectives and KPIs;

4. February: Dispatching of final Performance Appraisal Forms to Employees and

Supervisors;

5. May – June: Halfway review (short sessions to follow up and assist Supervisors and
employees if needed);

6. November – December: Launch of the Annual Performance Appraisal process. Start of the
Training Plan preparation;

7. December – January 15th: Finalization and revision of Salaries and/or progress of

employees through the Categorization grid. Finalization of the Training Plan preparation and
approval;

Performance appraisal policy 4

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
 8. January 31: Announcement / Information of the results of the Performance Appraisal
Process.

9. Implementation of the Assessment’s results and Training plan.

7. DESCRIPTION OF THE ASSESSMENT FORM

The performance review form focuses on a review by the assessor and the employees (depending of the
grades/positions) and the results are shared with the assessed (employees) who have the opportunity to
justify and possibly defend themselves knowing that the final grade is awarded by the assessor. The
description of the form includes the following sections:

1) Upper part of the document:

It details the information of the employee and his/her Supervisor

2) Body of the document:

• Section 1: Health, Safety and Environment, it measures the performance of the employee over the period
evaluated in this area and is common to all staff;

• Section 2: Behavior, it measures employee performance in this area and is common to all staff;

• Sections 3, 4, 5: Individual objectives, they allow to measure and assess the individual objectives fixed for
a determined period. They are set on an individual basis;

The total number of points to be awarded is 500, which is obtained by multiplying the value assigned to
each indicator referred to above by the performance index. It should be noted that the first two focal
points have a value of 20 points each, whereas the last three individual objectives are left to the evaluation
of the evaluator, knowing that the total to be awarded cannot exceed 100 points for these five focal points.
Therefore maximum to allocate: 100 (value) x 5 (indicator) = 500.

3) Lower part of the document

It allows the signature of all the parties having been involved in the evaluation process.

8. PROCEDURE
The following steps should be followed when conducting the process:

1. The General Manager with the assistance of the HR Manager and Heads of Departments should
identify all supervisors who will be responsible for conducting performance appraisals and ensure
they understand the policy, procedures, and timeline and to answer any questions the supervisors
may have regarding the process;

2. It is advised that all supervisors review the recommended performance appraisal ratings of their
respective staff with their HODs/HRM prior to communicating with employees to ensure ratings are
equitable and consistent. If there is a discrepancy, the HRM and supervisor should discuss the reason
for the discrepancy. They should agree upon the final appraisal for the employee before it is
communicated.

3. The supervisor communicates the process and timelines to employees, discusses and agrees on
objectives to be measured, and requests employee to nominate secondary reviews (all employees of

Performance appraisal policy 5

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
job grade AE 1 - AE 4), self-appraisal (all employees of job grade AM 1 and above), and draft
professional development plan (all employees of job grade CO 1 and above) in preparation for the
performance appraisal meeting.

4. The supervisor evaluates each employee using the appraisal form provided in preparation for the
performance appraisal meeting. The supervisor must include written comments on all key objectives
and final summary.

5. The supervisor should provide the employee with the performance appraisal at least 24 hours in
advance of the performance appraisal meeting to allow the employee time to review the
performance appraisal and prepare for the discussion.

6. In a private meeting with the employee, the supervisor should review the appraisal form, the
rating, results, and supporting comments for each Key Objective and the ratings and supporting
comments for the Competencies and Standards. In addition, any needed improvement or area for
development for the upcoming performance year should be discussed and documented. The
employee must be given the opportunity and should be encouraged to write any comments on the
final Performance Appraisal Form.

7. The employee must be given a copy of the final Performance Appraisal Form with all comments,
attachments, and signatures. Information may not be added to the completed summary without the
employee's knowledge. Any subsequently added information must be initialed and dated by the
employee, supervisor, HOD, HRM and General Director.

8. The employee's signature does not imply agreement with the performance appraisal; rather it
acknowledges that the appraisal took place and that the employee was given the opportunity to
discuss it with the supervisor and understands the outcome. In the event that an employee refuses
to sign the Performance Appraisal Form, the supervisor should document the employee's refusal on
the form and have it initialed by a witness that the employee refused to sign the performance
appraisal.

9. The annual performance appraisal ratings will be entered by the HRM into the database that will
be created and the report.

9. DISTRIBUTION OF RATINGS
The Performance Appraisal Form is prepared in an effort toward aligning the performance appraisal
process with the Consortium’s global performance appraisal standard.

Five performance ratings and associated behaviors are provided for Key Accomplishments/Results.
The definitions of each rating are included below.

1. Substantially Exceeded Expectations: Significantly exceeded normal expectations and/or

objectives of current classification

Associated Behaviors:

 This Category is reserved for performance which is recognized as being of extraordinary

quantity and quality, above expectation in all aspects of the major responsibilities

 Employee displays great initiative and skill in all aspects of work

 Employee excels at finding improved ways to deliver job expectations

 Performance at this level has been consistently delivered over the course of the year

Performance appraisal policy 6

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
2. Exceeded Expectations: Consistently exceeded the normal expectations and/or objectives of
current classification

Associated Behaviors:

 Performance exceeds quality and quantity expectations on the most significant

responsibilities of the job

 Employee anticipates problems and initiates actions necessary to meet and surpass job
expectations

 Employee demonstrates a deep knowledge and skill, practical as well as theoretical, in all
aspects of the job responsibilities

 Employee identifies new and improved ways to deliver job expectations

3. Achieved Expectations: Consistently achieved and occasionally exceeded normal expectations

and/or objectives of current classification

Associated Behaviors:

 Performance meets quantity and quality expectations of the job and rarely misses scheduled
deadlines for projects or assignments

 Employee has general level of knowledge and skill to handle projects and assignments within
the scope of job responsibility

 Employee handles objectives or assigned tasks efficiently and effectively and initiates action
necessary to fulfill job responsibilities

4. Inconsistently Achieved Expectations: Inconsistent achievement of normal expectations and/or

objectives of current classification

Associated Behaviors:

 At times work does not meet all of the expectations of quantity, quality, and timeliness

 Employee does not fully demonstrate or utilize the knowledge and skill required

 Employee rarely initiates any improvements or additional tasks required to fulfill

responsibilities unless directed to do so by supervisor

5. Failed to Achieve Expectations: Did not achieve normal expectations and/or objectives of current
classification

Associated Behaviors:

 Work does not meet expectations of quantity, quality, and timeliness

 Employee does not demonstrate or utilize the knowledge and skill required

 Employee does not initiate improvements or additional tasks required to fulfill

responsibilities even when directed to do so by supervisor

In addition, three ratings are provided for evaluation of Competencies and Standards. The definitions
of each rating are included below.

1. Consistently Demonstrates

Performance appraisal policy 7

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
 a. Consistently demonstrates effective behaviors in this competency

b. Takes the initiative to encourage others to exhibit the behaviors

c. Serves in a coaching role for others who need to improve in this area

2. Frequently Demonstrates

a. Frequently demonstrates effective behaviors in this competency

b. Should strive to further strengthen skills or performance by consistently demonstrating effective

behaviors in all situations

c. Should encourage others to demonstrate this competency

3. Inconsistently Demonstrates

a. Inconsistent demonstration of effective behaviors b. Improvement in the frequency of the

behaviors is needed

Note: If behaviors are rarely or never demonstrated, please note this in the comment field of the
competency.

*****

The expectation is that most employees (60%) shall achieve their job expectations. A small number (25%) of
employees will exceed expectations while a smaller number (5%) will substantially exceed expectations. It
is further expected that (10%) of staff will inconsistently achieve job expectations or need considerable
improvement in performing their job duties.

10. IMPACT OF CORRECTIVE ACTION ON PERFORMANCE

Performance improvement actions (e.g., performance improvement plans, warning, and/or suspensions)
prescribed during the review cycle must be taken into consideration when determining annual
performance ratings as this may impact the employee’s eligibility for a merit increase.

Employees who are currently on a Performance Improvement Plan or who are receiving or have received
disciplinary warnings or suspensions may not receive an overall performance appraisal rating higher than
“Inconsistently Achieved Expectations” for the appraisal period under review.

11. WORK PLANS / PERFORMANCE OBJECTIVES

During the performance appraisal meeting, the supervisor and the employee (of job grade CO 1 and above)
also discuss a work plan for the upcoming year. The work plan should set forth major objectives that the
employee is expected to accomplish and will be measured throughout the year and during next year’s
performance appraisal process.

A work plan allows for a clear understanding of the expectations of all involved parties. The following are
key points in developing a work plan:

The work plans should consist of primary and priority objectives for the performance year. These
objectives should be listed in priority order.

The expected level of performance (describing quality, quantity, timeliness, achievable result etc.)
should be included for each objective.

Performance appraisal policy 8

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium
 When developing the work objectives, new employees should be provided with the project’s work
plan and objectives within 30 working days of employment. Employees whose responsibilities and
duties change significantly should have new objectives established within 30 days of the changes.

12. PROFESSIONAL DEVELOPMENT PLAN

During the performance appraisal meeting, the supervisor and the employee (of job grade CO 1and above)
also need to discuss a profession development plan for the upcoming year.

This is mainly to identify what support and development the staff needs in order to meet their performance
objectives (work plan). It might include learning and training needs, access to resources, specific support
the manager can commit to provide to enable success e.g. coaching. The purpose of Professional
Development Plan is to increase the employee's learning, growth, performance, and satisfaction in his/her
current job.

13. RECORD KEEPING

The original copy of the Performance Appraisal Form with all attachments must be kept in the local office
personnel files. A copy of the Performance Appraisal Form should be given to the employee. Performance
Appraisal Forms are confidential documents and the information should only be shared with appropriate
personnel.

14. CONFIDENTIALITY

All meetings or documents involved in the performance appraisal process are kept confidential between
employees, evaluators, Human Resources and General Management.

All forms and documents are kept in a locked cabinet in the HR office and / or stored in a confidential file
on the server.

The parties concerned have the duty to follow the different stages in order to keep all information and
documents relating to the process confidential.

15. ENTRY INTO FORCE AND REVISION

This procedure comes into effect upon signature and distribution. It may be revised once a year.

Performance appraisal policy 9

Controlled diffusion– all reproduction, even partial, all transfer to another party other than the designated, in any form whatsoever, is strictly prohibited
without permission from the SMB – WINNING Consortium