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PERFORMANCE MANAGEMENT SYSTEM
OVERVIEW
The Performance Management System (PMS) is a vital tool for aligning individual performance
with the Bank’s strategic direction and operational business plans. It is an integrated process by
which the organization involves its employees in improving organizational effectiveness towards
the accomplishment of its mission and strategic goals.
Whereas the Bank shall use the Balanced Scorecard (BSC) as a tool to capture, describe and
translate its strategic goals into defined objectives at group, divisional, departmental, and branch
levels, it shall use the PMS to capture the individual officers’ objectives that are aligned with the
BSC.
This Policies and Procedures Circular shall take effect starting 2014 Performance evaluation
period and shall be observed by the Officers and Supervisors of China Banking Corporation and
all its subsidiaries.
OBJECTIVE
The Performance Management System (PMS) shall achieve the following objectives:
1. Employee Information- to provide an opportunity for a dialogue between the Employee
and his Supervising Officer regarding standards of performance, review how the
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Employee’s performance measure against these standards, and determine the
Employee’s strengths and areas for development.
2. Employee Development- to assist in determining the Employee’s training and
developmental needs through assessment of gaps in performance and Employee’s
potential.
3. Employee Recognition- to provide venue to recognize and reward outstanding or above
acceptable performance.
4. Employee Placement- to ascertain the Employee’s potential, identified strengths,
inclinations and skills, which may serve as guide for matching the Employee to the right
job.
DEFINITION OF TERMS
Budget Period Twelve-month period, usually from January to December, during
which specific activities should be implemented by the Bank and for
which funding and resource requirements are defined to achieve its
goals and objectives.
Organizational Goal The overall vision, mission and strategic objectives of the Bank as
established by its management and communicated to its employees.
Balanced Scorecard
(BSC)
A strategic planning and management system used to align business
activities to the vision statement including the strategic business
objectives of an organization. It is used to evaluate an organization’s
impact from several perspectives, such as customer, employees,
internal business processes and financial results.
Key Result Area
(KRA)
Refer to the key areas for which the employee needs to produce
results. They are general areas of outcomes or outputs for which the
Individual’s role is responsible, and are managed by setting output-
based objectives or goals that are aligned with the overall
organizational goals for a specific budget period.
Key Performance
Indicator (KPI)
Refer to the factors that describe the indicators of performance or
success for an employee, for each specific KRA.
Performance
Management Cycle
The process of managing performance of employees to encourage
employee growth and job satisfaction and ensure the attainment of
the strategic business objectives.
Line Manager/ Rater Officer with at least Department Head/Branch Manager position,
responsible for managing the performance of his unit and its
employees.
Performance
Progress Review
The process of providing feedback to employees on the status of their
performance on a quarterly basis or as needed.
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Annual Appraisal The process of evaluating overall performance of employees against
set standards for a specific budget period.
Performance
Improvement
Program (PIP)
A program established for employees who are given “Needs
Improvement” rating in the Annual Appraisal (for current employees)
or after the third month from hiring or transfer date (for newly
hired/transferred employees) with the objective of improving their
performance to at least “Acceptable” level.
DUTIES AND RESPONSIBILITIES
Unit/Person Responsible Tasks
Group Head (GH)/Division
Head (DH)/Region Head
(RH)/ Area Head (AH)
1. Defines group/divisional/departmental/branch goals in line
with the set organizational goals (BSC) for the year.
2. Cascades the defined goals to subordinates.
3. Reviews and approves KRA of officers within their group to
ensure alignment of their KRA to the overall BSC.
4. Approves overall annual rating of Officers under their
group.
Line Manager/Rater (Rater)
1. Together with the employee, develops individual KRAs that
are aligned with overall BSC with set KPIs and
corresponding weights.
2. Monitors and documents progress towards
accomplishment of goals and provides feedback as
frequently as needed.
3. Evaluates subordinate’s performance against standards
identified in the goal setting.
4. Recommends over-all annual performance rating of
individual officers under his unit.
5. Conducts performance review discussion.
Employee/Ratee (Ratee)
1. Together with the Rater develops individual KRAs that are
aligned with overall BSC with the set KPIs and
corresponding weights.
2. Monitors and documents progress towards
accomplishment of goals and gives feedback as frequently
as needed.
PMS Working Committee
1. Reviews KRA’s to ensure they are aligned to over-all
business objectives, complementary and that weights are
consistently assigned across units.
2. Ensures that Service Level Agreements across units are
defined and agreed upon.
Note: Composition of the Committee shall be set by the
President every first month of the year.
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Unit/Person Responsible Tasks
Performance Review Board
(PRB)
1. Conducts bankwide review and calibration of performance
rating of Officers.
Human Resources Division –
Human Resources
Administration Department
(HRD-HRAD)
1. Facilitates the Annual Performance Appraisal of Officers.
2. Convenes the Bank wide Performance Review.
Human Resources Division –
Organization and Employee
Development Department
(HRD-OEDD)
1. Facilitates and monitors developmental requirements
stated in the PER form through coordination with the
respective Line Manager.
2. Facilitates and monitors development programs and status
of employees under PIP.
Human Resources Division –
Employee Relations
Department (ERD)
1. Facilitates the process of separation for Officers who will
fail the PIP.
GENERAL GUIDELINES
A. Appraisal Period
1. Regular Performance Appraisal of Officers and Supervisors shall be accomplished at
least once a year, every January following the lapse of the budget period of the
previous year (January to December).
2. However, appraisal may also be required for purposes including, but may not be
limited to the following:
a. Semestral/Quarterly/Monthly Progress Review
b. Transfer of employees from one Group/Division/Department/Branch to another
Unit.
c. Administrative action such as promotion, change in status, etc.
d. Performance Improvement Program
3. An appraisal shall cover a minimum period of three (3) months to a maximum period
of one (1) year.
B. KRA System
1. The Bank shall use the KRA System as a performance management tool for
establishing and documenting the required and actual performance of the employee.
2. The weight of each of the KRA shall be determined based on the level of importance
of the KRA and its contribution to the overall group objectives in the BSC.
3. Each KRA shall be defined by KPI’s which shall measure how the Ratee is performing
or progressing. Each KPI shall also be assigned weights, based on their level of
importance.
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4. Officer’s KRA shall be aligned with the departmental objectives using the four
perspectives of the Balanced Scorecard.
5. KPIs shall be stated in Specific, Measureable, Agreed upon, Realistic and Time-based
(SMART) terms.
6. Every year, the PMS Working Committee shall review all KRA’s across the bank to
ensure alignment with the Bank’s overall business objectives, target and BSC with
consistent assignment of weights.
C. Performance Evaluation
1. Performance shall be evaluated according to the following dimensions:
a. Performance Dimension- focuses on measures common to all employees of the
Bank, defined by observable behavior that when performed, may indicate
acceptable performance.
Performance Dimension shall be measured according to the following factors:
i. Revenue Maximization – refers to business practices/strategies that
capitalize on increasing profit or revenues of the organization.
ii. Cost Management – refers to practices that shall control and plan the cost
of operations to properly utilize available resources.
iii. Service Excellence/Operational Effectiveness – refers to practices that shall
address the needs and expectations of customers and effectiveness of the
operation or internal controls, and coordination between or among
departments; practices that allow the Bank to better utilize its inputs;
adherence to pertinent policies, rules and regulations and Service Level
Agreements.
This dimension shall consider/include the following factors:
Result of customer satisfaction survey/feedback
Resolutions implemented to address/resolve the findings from
the review conducted by Internal Audit, Compliance Testing,
BSP Audit and other regulatory bodies.
Timely submission of reports that are being required to be
accomplished by the Business Units (i.e. RCSA, BCP,
Compliance Testing, etc.)
Performance and accomplishment of Compliance and Risk
functions which include submission of critical reports.
b. Behavioral Dimension- focuses on the set of behavior, actions and core values
that an employee must exhibit in successfully carrying out his function, which
may vary depending on the level of the employee’s position in the hierarchy.
Behavioral Dimension shall be measured according to the following factors:
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i. Strategic Orientation – Ability to anticipate and plan for future events,
trends, problems and opportunities and to make sound judgment.
ii. Results Orientation – Ability to focus on and deliver in a constantly
changing environment, and to establish appropriate goals and action plans
based on an understanding of overall deliverables.
iii. People Management/ Leadership – Ability to create and sustain a work
environment that promotes discipline, teamwork, career development and
professional growth. Ability to influence, motivate and inspire people and
develop in them the desire and commitment to work toward a common
objective.
iv. Technical Competence – Comprehensive knowledge and understanding of
the concepts and basic principles of his/her function and its
interrelationships.
v. Customer Focus – Ability to create and nurture internal and external
business and people relationships to assure beneficial working
environment.
2. The overall weight allocation for the two dimensions shall depend on the rank or
position of the Officer. While each dimension shall have sub-elements which shall
have corresponding weights according to job family/level. Weight allocation shall be as
follows:
Overall Weight Allocation
Job/Position Level
Performance
Dimensions
Behavioral
Dimensions
Total
Grp/Div/Dept/Branch Heads,
Marketing & Lending Officers
80% 20% 100%
Technical, Operations & Support
Officers
70% 30% 100%
Note: Management reserves the right to update or revise the scale.
Weight Allocation According to Job Family/Level
Performance Dimension:
Job Family
Revenue
Maximization
Cost
Management
Service
Excellence/Operational
Effectiveness
Marketing 40% 30% 30%
Operations 0% 30% 70%
Support 0% 30% 70%
Technical 0% 40% 60%
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Note: Every year, PMS Working Committee shall recommend weight allocation for
performance dimension on a per job family and shall still be subject for approval
of the COO and President.
Behavioral Dimension:
Job Family
Strategic
Orientation
Results
Orientation
People
Management/
Leadership
Technical
Competence
Customer
Focus
Group/
Division
Heads
30% 20% 25% 10% 15%
Department
Head
15% 25% 25% 20% 15%
Junior Officers 10% 25% 20% 30% 15%
Note: Assigned weights for each dimension shall be uniform across the Bank.
3. A progress review shall be conducted by the Line Manager/Rater to ensure that actual
performance and behavior are monitored and documented, and that employees are
given feedback on how they have been doing so far, and advised on how to further
improve performance.
Note: Progress review can be done on a semestral, quarterly or monthly basis
depending on the Officer’s function. Sales Officers are encouraged to do
monthly progress review.
D. Performance Cycle/Schedule
1. The Performance Management Cycle shall consist of the following phases:
a. Planning – where performance objectives and standards are defined and
communicated to the employees.
b. Acting – where action is taken to achieve the stated objectives at the targeted
performance levels.
c. Monitoring – where the results are measured and the gaps on performance are
analyzed and addressed.
d. Reviewing – where the performance of an employee is evaluated against the set
standards.
2. The following shall be the schedule of the Performance Management System:
a. Annual Review for budget period January – December
Phase Date Activity Detailed Task
Planning
January of
current budget
year
Review of PMS
Working Committee
(PMSWC)
PMS Working Committee
reviews previous year’s
weight allocation for
Performance Dimension
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Phase Date Activity Detailed Task
and recommends new
matrix for the next review
period.
December of
previous year to
January of
current budget
year
Formulation of KRA
for the incoming
year.
Ratee and Rater formulate
individual KRA that are
aligned with organizational
goals and objectives and
accomplish the Officer’s
KRA Setting Form. (See
Exhibit 1).
Note: Refer to Annex A for
the complete step by
step procedures in
accomplishing the
form.
Rater and Ratee sign on
the Officer’s KRA Setting
Form.
Note: Review shall be
done up to Group
Head level.
1
st
Week of
February
Submission of
signed/ approved
KRA
Rater submits
accomplished and signed
Officer’s KRA Setting Form
to HRD-HRAD
Monitoring
April, July,
October
Quarterly/Semestral
/Monthly progress
review
Rater monitors actual
performance against goals
indicated in the KRA using
Progress Review Form
(See Exhibit 2) and
provides update to the
Ratee.
Note: The Ratee may
initiate discussion
with the Line
Manager/Rater on
the status update.
Reviewing
1
st
week of
January of
succeeding year
Annual
Performance
Review for previous
budget period
Rater and Ratee
accomplish the Officer’s
Performance Appraisal
Form (See Exhibit 3).
Note: Refer to Annex A for
the complete step by
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Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
Phase Date Activity Detailed Task
step procedures in
accomplishing the
form.
Rater reviews and validates
the rating as provided by
the Ratee.
Note: Refer to Procedural
Guidelines for the
detailed process.
1
st
week of
February
Submission of
recommended
rating to HRAD
Group Heads submit PER
Forms (with recommended
rating) of their Officers to
HRAD
1
st
week of
March
PRB Bankwide
Performance
Review
PRB conducts bankwide
performance review
4
th
week of
March
Return of the
Appraisal Form to
the Group Heads
After the bankwide
performance review
conducted by Performance
Review Board, HRAD shall
return the signed Appraisal
Form to the Group Heads
Upon receipt of
the signed
Appraisal Form
Discussion with the
Ratee
Rater discusses the final
rating with the Ratee. If
rating is acceptable, Ratee
signs on the PER Form.
Otherwise, Ratee may an
appeal and discuss with the
Line Manager. The appeal
should be noted by the
Group Head and addressed
to the Performance Review
Board thru HRD.
Note: If the rating result is
Needs Improvement,
Officer shall
automatically be
enrolled in
Performance
Improvement
Program.
10. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
10
0 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
Phase Date Activity Detailed Task
1
st
week of April
Submission of PER
forms with
signature of the
Ratee to HRAD
Group Heads submit PER
Forms (with signature of
the Ratee) to HRAD for 201
file.
b. New Hires/Transferees
Phases Date Activity Detailed Task
Planning
Within 1
st
week
upon hiring/
transfer
Formulation of KRA
Ratee and Rater formulate
individual KRA that are
aligned with organizational
goals and objectives and
accomplish Officer’s KRA
Setting Form. (See Exhibit
1).
Note: Refer to Annex A for
the complete step
by step procedures
in accomplishing
the form.
Rater and Ratee sign on
the Officer’s KRA Setting
Form.
Note: Review shall be done
up to Group Head
level.
Within two (2)
weeks from the
date of
hiring/transfer
Submission of KRA
Rater submits
accomplished and signed
KRA Setting Form to HRD-
HRAD
Reviewing
After three
months upon
hiring/6 months
upon transfer
Performance Review
Rater and Ratee
accomplish the Officer’s
Appraisal Form (See
Exhibit 3)
Note: Refer to Annex A for
the complete step
by step procedures
in accomplishing
the form.
Rater reviews and validates
the rating as provided by
the Ratee.
Note: Refer to Procedural
Guidelines for the
detailed process.
11. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
11
1 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
Phases Date Activity Detailed Task
After the
evaluation
Discussion with the
Ratee
Rater discusses the final
rating with the Ratee. If
rating is acceptable, Ratee
signs on the PER Form.
Otherwise, Ratee may file
an appeal and discuss with
the Line Manager. The
letter of appeal should be
noted by the Group Head
and addressed to the
Performance Review Board
thru HRD.
Note: If the rating result is
NI, Officer shall
automatically be
enrolled in the
Performance
Improvement
Program.
c. Performance Improvement Program
Phases Date Activity Detailed Task
Planning
1
st
two weeks
upon receipt of
NI rating
Signing of
Undertaking and
enrollment of the
Officer in the
Program
Rater discusses with and
explains the program and
its objectives to the Ratee.
Rater and Ratee formulate
development action plans
by accomplishing PIP KRA
Setting Form (See Exhibit
4).
The Rater and Ratee sign
on the undertaking (See
Exhibit 5). Rater
coordinates with HRD-
OEDD on the development
plan for the concerned
employee.
Monitoring Monthly Progress review
Rater provides status
update to the Ratee and
monitors actual
performance against goals
indicated in the KRA.
Note: The Ratee may
initiate discussion
with the Line
Manager/Rater on
12. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
12
2 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
Phases Date Activity Detailed Task
the status update.
Reviewing
2 weeks Prior
to end of the 1
st
cycle
Performance Review
Rater and Ratee
accomplish the PIP
Appraisal Form (See
Exhibit 6)
Rater reviews and validates
the rating as provided by
the Ratee.
Note: Refer to Procedural
Guidelines for the
detailed process.
After the
evaluation
Discussion with the
Ratee
Forward signed PIP
Evaluation Form to HRD-
HRAD for 201 file.
After the
evaluation of
the 1
st
cycle
prior to the start
of the 2
nd
cycle
Formulation of action
plans
Rater and Ratee formulate
development action plans
by accomplishing PIP KRA
Setting Form (See Exhibit
4).
2 weeks Prior
to end of the
2
nd
cycle
Performance Review
Rater and Ratee
accomplish the PIP
Appraisal Form (See
Exhibit 6)
Rater reviews and validates
the rating as provided by
the Ratee.
Note: Refer to Procedural
Guidelines for the
detailed process.
After the
evaluation
Discussion with the
Ratee
Rater discusses the final
rating with the Ratee. If
rating is acceptable, Ratee
signs on the PER Form.
Otherwise, Ratee may file
an appeal and discuss with
the Line Manager. The
letter of appeal should be
noted by the Group Head
and addressed to the
Performance Review Board
thru HRD.
13. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
13
3 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
E. Rating Guide
1. In determining the score for each KRA, below shall be the guide in rating the Officer’s
performance:
a. Guide in rating/scoring the accomplishment and expected behavior
Rating Definition
Numerical
Rating
%
Accomplishment
of KRA
Demonstrated Behavior
O Outstanding 5 120% and above
Exhibits all the required
behavior at a very
exceptional level all of the
time
VG Very Good 4 106 – 119.99%
Exhibits all the required
behavior more than the
acceptable level 80% of
the time
G Good 3 90 – 105.99%
Exhibits all the required
behavior at an acceptable
level
A Acceptable 2 75 – 89.99%
Exhibits 80% of the
required behavior at an
acceptable level
NI
Needs
Improvement
1 0 - 74.99%
Behavior requires
immediate improvement
Note: Management reserves the right to revise or update the scale.
b. Guide in over-all rating of the Officer concerned
Numerical Rating Rating Definition
4.67 -5 O Outstanding
3.67-4.66 VG Very Good
2.67-3.66 G Good
1.67 – 2.66 A Acceptable
0 – 1.66 NI Needs Improvement
Note: Management reserves the right to revise or update the scale.
F. Performance Improvement Program
1. The PIP is a program established to ensure that Officers who were not able to achieve
their KRAs for the given budget period are provided with proper support and guidance
with the objective of bringing their performance to at least Acceptable level.
2. An employee who is given a Needs Improvement (NI) rating shall automatically be
enrolled in the Performance Improvement Program following the actual date of
14. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
14
4 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
discussion of his final performance rating by the Group Head/Region Head/Division
Head/Area Head/Dept. Head/Branch Head.
3. The covered employee’s performance and developmental efforts will be closely
monitored for the following duration:
Covered Employees Duration
New Hires
1
st
cycle – 3 months
2
nd
cycle – 3 months
Existing Employees /Transferees
(employees with atleast six months’ tenure
as of Annual Rating Period)
1
st
cycle – 6 months
2
nd
cycle – 6 months
4. The Line Manager shall be responsible to closely monitor the performance of the
enrolled employee to ensure that the employee has the proper support to achieve his
goals.
5. Performance shall be assessed after the end of each applicable semester/quarter.
6. Officers who are enrolled in the program must have at least “Acceptable” Rating for
the two consecutive cycles covered by the PIP to be taken out of the program.
7. The following scenarios shall be ground for the dismissal of an employee from his
employment with the Bank or its subsidiaries, subject to the Bank’s policy on due
process:
a. Three consecutive performance ratings of NI
b. Employee enrolled in PIP twice within a period of two consecutive years.
G. Others
1. Appraisal matters are highly confidential and shall only be disclosed to the employee
concerned and to duly Authorized Personnel.
2. Evaluation of Group/Division Heads shall be done by the following:
Ratee Rater
Risk Management Group Head Risk Committee
Internal Audit Division Head Audit Committee
Trust Group Head Trust Committee
Chief Compliance Officer Compliance Committee
All Division Heads except positions mentioned above Group Head
Information and Security Office Head and
Security Office Head
President
All Group Heads except positions mentioned above Chief Operating Officer or President
15. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
15
5 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
3. The effect of the administrative sanctions/penalties on Officer’s performance rating
shall be on the year that the sanction/penalties were imposed in accordance with
Bank’s Code of Ethics.
Note: If there’s an appeal, the rating shall be on hold until resolution on the appeal is
arrived at, following the Policies and Procedures in Handling of Administrative
Cases.
4. Performance Rating forms/documents shall be submitted on deadlines set by HRD.
5. Failure to submit the Officer’s Performance Appraisal Form on the due date shall
affect the overall rating of the Line Manager/Rater and shall not merit not more than NI
rating under Behavioral Dimension-People Management Leadership factor.
6. Employee/Ratee Concerned may also be affected, if the latter is at fault and failed to
do his part.
7. Formula for the annual appraisal of employees who transferred from one unit to
another shall be as follows:
(Rating of the Previous Unit X Number of Months rendered / 12)
+
(Rating of the Current Unit X Number of Months rendered / 12)
e.g. (3.5 x 3 months / 12) + (4.2 x 9 months / 12)
0.875 + 3.15 = 4.025
Final Rating: 4.03
PROCEDURAL GUIDELINES
A. Formulation of Organizational Objectives
Senior Management Team
1. Define corporate goals for the incoming year.
Group Head/Region Head/Area Head/Division Head
2. Cascade approved corporate goals to Line Managers.
3. Define departmental/branch goals in line with the organizational goals.
Line Manager/Rater
4. Cascade departmental goals with subordinates.
16. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
16
6 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
B. Formulation of Key Results Area
Line Manager/Rater
1. Based on set department/branch goals, develop KRAs align with overall BSC and
assign KPI with set goals and corresponding weights.
2. Discuss KRA with Group Head.
3. Once KRA has been approved by the Group Head, discuss approved KRA with the
Ratee.
Ratee
4. Based on the discussion, accomplish Officer’s KRA Setting Form (Refer to Annex A
for the complete step by step procedures).
5. Submit KRA Setting Form (See Exhibit 1) for review and approval of the Line
Manager/Rater.
Line Manager/Rater
6. Review KRAs encoded and assign respective weights (Refer to Annex A for the
complete step by step procedures).
7. Submit KRA Setting Form to Group Head.
Group Head/Region Head/Area Head/Division Head
8. Review and approve KRA Setting Form of individual Officers and return to the
respective Line Manager once signed.
Rater/Ratee
9. Discuss the approved KRA and sign-off.
10. Submit KRA to HRD-HRAD for 201 file and keep one copy for file.
C. Progress Review (e.g. Quarterly)
Ratee
1. At the end of the month/quarter, submit accomplishments to Line Manager/Rater vs
the KRA and KPI that have been agreed upon.
Line Manager/Rater
2. Upon receipt of the list accomplishments from the Ratee, discuss and identify
concerns.
17. H
HU
UM
MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
17
7 o
of
f 2
21
1
E
Ef
ff
fe
ec
ct
ti
iv
vi
it
ty
y D
Da
at
te
e:
: J
Ja
an
nu
ua
ar
ry
y 1
1,
, 2
20
01
14
4 A
Ap
pp
pr
ro
ov
va
al
l D
Da
at
te
e:
: A
Ap
pr
ri
il
l 2
2,
, 2
20
01
14
4
3. After discussion, summarize and document using the Progress Review Form (See
Exhibit 2).
4. Sign-off Progress Review Form.
5. Keep signed Progress Review Form for file.
Note: Progress Review Forms are not required to be submitted to HRD
D. Annual Appraisal
HRAD Staff
1. Send email notification to all Officers for preparation of the Annual Appraisal.
2. Send second notification.
Ratee
3. Open the file accomplished during the KRA Setting at the start of the year.
4. Review KRAs encoded and validate. For any changes, revise and edit. (Refer to
Annex A for the complete step by step procedures).
5. Once done reviewing/revising the form, encode accomplishments per KRA ((Refer to
Annex A for the complete step by step procedures).
6. Submit file to the Line Manager.
Line Manager/Rater
7. Review and validate KRAs and accomplishments encoded by the Ratee.
8. Discuss with the Ratee factors that may have affected performance of the Ratee.
9. After the discussion, encode comments and corrections, if any and accomplish the
Behavioral Dimension Sheet. (Refer to Annex A for the complete step by step
procedures).
10. Print and forward the accomplished Officer’s Performance Appraisal Form and
Summary Sheet to the Group Head/Region Head/Area Head/Division Head for
approval.
Group Head/Region Head/Area Head/Division Head
11. Review and calibrate the recommended ratings of Officers within the group.
12. If acceptable, affix signature then forward final rating of Officer to respective Rater.
13. Submit signed Appraisal Form to HRD-HRAD and keep one copy for file.
18. H
HU
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MA
AN
N R
RE
ES
SO
OU
UR
RC
CE
E P
PO
OL
LI
IC
CI
IE
ES
S A
AN
ND
D P
PR
RO
OC
CE
ED
DU
UR
RE
ES
S M
MA
AN
NU
UA
AL
L
S
SU
UB
BJ
JE
EC
CT
T:
: P
PE
ER
RF
FO
OR
RM
MA
AN
NC
CE
E M
MA
AN
NA
AG
GE
EM
ME
EN
NT
T S
SY
YS
ST
TE
EM
M
P
Po
ol
li
ic
cy
y N
No
o:
: 2
20
01
14
4-
-0
00
02
2 P
Pa
ag
ge
e 1
18
8 o
of
f 2
21
1
E
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ff
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HRD-HRAD
14. Upon receipt of the Appraisal Forms, convene Performance Review Board.
15. After the Bankwide Performance Review, update the individual Part III-Summary
Sheet (with the PRB final rating) and send back to the concerned Group Head.
Group Head/Region Head/Area Head/Division Head
16. Upon receipt of the Forms from HRAD, forward to the respective Line Managers for
discussion with their Officers.
Line Manager/Rater
17. Discuss the result of the rating with the Ratee
Ratee
18. Accept and acknowledge the rating.
Rater/Ratee
19. Once agreed, sign-off Officer’s Appraisal Form.
20. Send signed Summary Sheet to HRD-HRAD and safekeep one copy for file.
HRAD Staff
21. Receive signed form and attach to the Part I and II and file for 201.
E. Enrollment to Performance Improvement Program
Note: This shall be conducted after the Announcement of the PRB Performance
Ranking for the Annual Rating or after the finalization of the rating for newly
hired/transferred employees
Line Manager/Rater
1. Discuss Performance Improvement Program with the Officer concerned.
Ratee
2. Understand the objective/purpose of the program and commit full cooperation.
Rater/Ratee
3. Discuss and formulate action plans/development plans to be undertaken.
19. H
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Ratee
4. Agree on the set action/development plans and review the undertaking.
5. Sign-off Undertaking (See Exhibit 5).
6. Send documents to the following:
HRD-HRAD – for 201 file
HRD-OEDD – for monitoring purposes
HRD-ERD – for their information
F. Performance Evaluation for Officers under PIP
1. Open the file accomplished during the KRA Setting at the start of the year.
2. Review KRAs encoded and validate. For any changes, revise and edit. (Refer to
Annex A for the complete step by step procedures).
3. Once done reviewing/revising the form, encode accomplishments per KRA ((Refer to
Annex A for the complete step by step procedures).
4. Submit file to the Line Manager.
Line Manager/Rater
5. Review and validate KRAs and accomplishments encoded by the Ratee.
6. Discuss with the Ratee factors that may have affected performance of the Ratee.
7. After the discussion, encode comments and corrections, if any and accomplish the
Behavioral Dimension Sheet. (Refer to Annex A for the complete step by step
procedures).
8. Print and forward the accomplished Officer’s Performance Appraisal Form and
Summary Sheet to the Group Head/Region Head/Area Head/Division Head for
approval.
Group Head/Region Head/Area Head/Division Head
9. Review and calibrate the recommended ratings of Officers within the group.
10. If acceptable, affix signature then forward final rating of Officer to respective Rater.
11. Perform the following according to the result of the rating:
a. If the result of the rating is “Acceptable” and above:
Cycle Covered Action to be taken
1
st
cycle of the Officer
in the Program
(6-month period)
1. Monitor performance for another cycle (6-month
period).
20. H
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Cycle Covered Action to be taken
2
nd
cycle of the Officer
in the program
(6-month period)
1. Submit recommendation for Ratee to be taken out
of the Program.
2. Request approval from the Group Head on the
recommended action.
3. Discuss the rating with the Ratee.
4. Send the signed form to the ff:
HRD-HRAD for 201 file
HRD-OEDD for monitoring purposes.
HRD-ERD for monitoring purposes.
b. If the result of the rating is “Needs Improvement”:
Frequency with
“Needs Improvement”
rating
Action to be taken
1
st
cycle of the Officer in
the Program
(2
nd
time to receive)*
1. Monitor performance for another quarter (6-
month period).
2
nd
cycle of the Officer in
the Program
(3
rd
time to receive)*
1. Coordinate with HRD-ERD
2
nd
cycle of the Officer in
the Program
(2
nd
time to receive)*
1. Monitor performance for another quarter (6-
month period).
3
rd
cycle of the Officer in
the Program
(3
rd
time to receive)*
1. Coordinate with HRD-ERD
*From the Annual Rating period prior to inclusion to PIP
G. Formulation of Key Results Area for Newly Hired/Transferred Officers
Line Manager/Rater/Ratee
1. Within first week upon hiring of the new Officer, accomplish Officer’s KRA Setting
Form (Refer to Annex A for the complete step by step procedures).
2. Submit KRA Setting Form (See Exhibit 1) for review and approval to the Group
Head/Area Head/ Region Head/ Division Head .
Group Head/Region Head/Area Head/Division Head
3. Review and approve KRA Setting Form of individual Officers.
Rater/Ratee
4. Sign-off KRA.
21. H
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5. Request approval/signature of the Group Head.
Line Manager/Rater
6. Once approved, send form to HRD-HRAD for 201 file
H. Performance Evaluation for Newly Hired/Transferred Officers
1. Open the file accomplished during the KRA Setting.
2. Review KRAs encoded and validate. For any changes, revise and edit. (Refer to
Annex A for the complete step by step procedures).
3. Once done reviewing/revising the form, encode accomplishments per KRA ((Refer to
Annex A for the complete step by step procedures).
4. Submit file to the Line Manager.
Line Manager/Rater
5. Review and validate KRAs and accomplishments encoded by the Ratee.
6. Discuss with the Ratee factors that may have affected performance of the Ratee.
7. After the discussion, encode comments and corrections, if any and accomplish the
Behavioral Dimension Sheet. (Refer to Annex A for the complete step by step
procedures).
8. Print and forward the accomplished Officer’s Performance Appraisal Form and
Summary Sheet to the Group Head/Region Head/Area Head/Division Head for
approval.
Group Head/Region Head/Area Head/Division Head
9. Review and calibrate the recommended ratings of Officers within the group.
10. If acceptable, affix signature then forward final rating of Officer to respective Rater.
Line Manager/Rater
11. Perform the following according to the result of the rating:
a. If the result of the rating is “Acceptable” and above:
i. Finalize the rating and sign off the Appraisal Form.
ii. Submit signed Appraisal Form to HRD-HRAD for 201 file.
b. If the result of the rating is Needs Improvement:
i. Assess and discuss next action with the Group Head.