Performance Management

Performance Management
Human Resources Department Manual
Document No: HRDM-SOP-2020

Document No: HRDM-SOP-2020 Effective Date: ________ Version: 1.0 Page 2 of 9
This material is intended for SUSTENA Inc. use only. It must not be reproduced in whole or in part, in any form, or by any means without a formal agreement or
the written consent of the Human Resources Department. Any hard copy or unprotected soft copy of this document shall be regarded as uncontrolled copy.
REVISION HISTORY
Rev. No. Description of Change Author Date Change Ref. No.

TABLE OF CONTENTS
1.0 4
2.0 4
3.0 4
4.0 5
5.0 5
6.0 6
7.0 7
8.0 10
9.0 10
10.0 10
11.0 10
12.0 10

1.0OBJECTIVES
To ensure that Sustena Inc. will achieve its business objectives and continue to grow, we need a
performance management system that will continue to drive for a high performance culture which is
aligned with our mission, vision and our company’s business goals. An effective performance
management system will ensure the growth not only of the employees but of the Company as well.
The company’s performance management system will focus on the following principles:
a) Align individual’s personal objectives with the company’s objectives. Help the employees
understand how their performance and achievements link to the goals of the company.
b) Improve communication between people and their managers regarding their performanc e,
development needs and achievements.
c) Provide a more objective and consistent process for decisions about rewards and career
opportunities.
2.0SCOPE
All employees of Sustena Inc. regardless of employment status.
3.0REFERENCE
3.1 Performance Management – is a method by which the employee’s competence and
effectiveness in performing his / her responsibilities during a certain period is assessed on the
basis of predetermined standards and established targets mutually set by the employee and
his / her immediate head.
3.2 RACI MATRIX
ROLE ROLE
CODE
DEFINITION
Responsible R
This role completes the actual work and owns the problem;
this role is the “Doer.” There can be multiple R’s.
Accountable A
This role approves the completed work and is held
accountable for it. “The bucks stop here.” There should only
be one A.

Consulted C
This role has information and/or capability to complete the
work. This role is “in the loop” as two-way communication
occurs, usually between the “C” and the “R”. There can be
multiple C’s.
Informed I
This role is to be informed of progress and results. This role
receives one-way communication, usually from the R. This
role is “kept in the picture” but is not involved in creating it.
4.0BRIEF DESCRIPTION
Sustena Inc.’s performance appraisal is a systematic annual review of employee performance. The
cycle begins with work planning and setting of expectations and standards, monitoring of performance
and providing feedback all year round while at the same time developing the competence to perform
through training and coaching. The actual appraisal of performance based on the agreed targets at
the end of the year completes the cycle.
5.0ROLES AND RESPONSIBILITIES
Roles/Steps Employee Immediate
Head
Dept.
Head
HR
Setting of Work Objectives R RA C C
Mid Year Review I RA C R

Employee Self Assessment RA I
Preparation for the Actual Discussion with Employee I RA C
Performance Dialogue with the Employee R RA C I
6.0PROCESS MAP
6.1 ASSESSMENT OF PROBATIONARY EMPLOYEES
6.2 ASSESSMENT OF REGULAR EMPLOYEES

7.0 PROCEDURES
7.1 ASSESSMENT OF PROBATIONARY EMPLOYEES PROCEDURE
Step Task Description Doer Template/
Tool
7.1.1 Performance
Standard
Agreement
● Work objectives of employees on probationary
employment status shall be discussed and
agreed during on-boarding process.
Immediate
Head and
Employee
KRAs /
KPIs

7.1.2 Informal
Assessment by
3rd Month
● Employee’s initial performance based on
agreed work objectives shall be evaluated.
Should his / her performance be below par, he
/ she will be given another 2 months to
demonstrate acceptable performance.
Immediate
Head and
Employee
Signed
KRAs /
KPIs
7.1.3 Formal
Assessment
● Employee’s immediate superior shall conduct
a formal assessment on the 5th month.
● The result of assessment shall be discussed
with the employee within one week after the
employee’s fifth month.
Immediate
Head
Immediate
Head
Performance
Appraisal
Form
Performance
Appraisal
Form
7.1.4 Reg Docs or
Exit Docs
● Signed performance appraisal form shall then
be submitted to HRD for preparation of
regularization docs or exit docs.
HR
HR
Regularization
Contract or Notice of
Termination ofProby
Employment
Regularization
Contract or Notice of
Termination ofProby
Employment
7.2 ASSESSMENT OF REGULAR EMPLOYEES PROCEDURE
Step Task Description Doer Template/
Tool
7.2.1 Setting of Work
Objectives
● Work objectives shall be mutually agreed
between the immediate head and the
employee at the beginning of the year.
● To signify agreement, both parties should affix
their signatures on the Performance Appraisal
form.
Immediate
Head and
Employee
KRAs /
KPIs
7.2.2 Mid Year
Review
● Every June, the immediate head shall discuss
any change to the set targets based on the
current or changing environment.
● Discussion on the progress of the employee
regarding work objectives and competencies
shall likewise be conducted.
● If an employee is unable to perform his / her
duties or work responsibilities efficiently, he /
Immediate
Head and
Employee
KRAs /
KPIs

she shall be given a Performance
Improvement Plan (PIP), which shall be
monitored and evaluated within 6 months upon
implementation.
7.2.3 Employee Self-
Assessment
● HRD shall distribute the Performance
Appraisal forms to the department heads.
● Said forms shall be distributed to the
employees.
● The employee shall conduct self-assessment
and shall rate his / her performance for the
current year.
HR
Immediate
Head
Employee
Performance
Appraisal
Forms
7.2.4 Preparation for
the Actual
Discussion with
Employee
● Every November / December, the immediate
head shall conduct a performance review for
the current year.
● The immediate head shall come up with an
overall performance rating and shall submit
the accomplished performance appraisal form
for validation.
● Ratings and evaluations shall be finalized by
end of December.
Immediate
Head
Immediate
Head and
Department
Head
Performance
Appraisal
7.2.5 Performance
Dialogue with
Employee
● Every January, the immediate head shall sit
down with the employee to discuss evaluation
of employee’s performance.
● The immediate head shall give the employee
sufficient time to share his / her self-
assessment.
● Action plans and discussion of new work
objectives shall be conducted before
concluding the performance assessment.
Immediate
Head and
Employee
Performance
Appraisal
w ith new
KRAs / KPIs
7.2.6 Retrieval of PA
Forms
● HR shall ensure that all PA forms are
retrieved within the set deadline.
HR PA Forms

8.0 KEY PERFORMANCE INDICATORS
● Ensure that no employee on probationary status are made regular by default.
● 100% complete documentation before regularization contract is served.
● 100% timely and complete implementation of performance management system.
9.0 BUSINESS CONTINUITY PLAN
● HR generalists that can assume the role of the in-house HR officer in case of absence due to
sickness, vacation or resignation.
10.0 TRAINING
● Performance Management, particularly feedback system.
11.0 ANNEX
● Annex 1: Performance Appraisal form
12.0 APPROVAL
Mr. Masayuki Aoki
General Manager

Performance Management

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