performance appraisals

performance appraisals, performance evaluation

and assessment of job skills, personality and
behaviour - and tips for '360 degree feedback',
'360° appraisals', 'skill-set' assessment and
training needs analysis tips and tools

Ensure your systems, training and materials for appraisals reflect current
employment/equality laws. For example it is unlawful to discriminate against
anyone on the grounds of age. This has several implications for performance
appraisals, documents used, and the training of people who conduct staff
appraisals. For example, while not unlawful, the inclusion of age and date-of-
birth sections on appraisal forms is not recommended (as for all other
documentation used in assessing people). For further guidance about the
effects of Age/Equality/Discrimination on performance appraisals, and other
aspects of equality, see the Equality information.
Here is a basic performance appraisal form template, in PDF and MSWord
formats. Feel free to use and adapt it to suit your purposes.
performance appraisal form (pdf) sample/template - downloadable pdf
performance appraisal form (MSWord) sample/template - downloadable
MSWord file
For guidance on assessment centres/centers, graduate assessment
days and group selection recruitment see the group selection
information on the job interviews page.
Also on this page:
Individual Skill/Behaviours Assessments and Group Training Needs Analysis
(TNA) - tools, templates, process, tips and guidelines
360 Degree Feedback Appraisals - tools, templates, process, tips and
explanation
Appraisals timing with pay reviews, and training and planning issues
Probationary reviews appraisals elements and factors
Tips on completing your own self-assessment performance appraisals

performance appraisals purpose - and how to make

it easier
Performance appraisals are essential for the effective management and
evaluation of staff. Appraisals help develop individuals, improve organizational
performance, and feed into business planning. Formal performance appraisals
are generally conducted annually for all staff in the organization. Each staff
member is appraised by their line manager. Directors are appraised by the
CEO, who is appraised by the chairman or company owners, depending on
the size and structure of the organization.
Annual performance appraisals enable management and monitoring of
standards, agreeing expectations and objectives, and delegation of
responsibilities and tasks. Staff performance appraisals also establish
individual training needs and enable organizational training needs analysis
and planning.
Performance appraisals also typically feed into organizational annual pay and
grading reviews, which commonly also coincides with the business planning
for the next trading year.
Performance appraisals generally review each individual's performance against
objectives and standards for the trading year, agreed at the previous
appraisal meeting.
Performance appraisals are also essential for career and succession planning -
for individuals, crucial jobs, and for the organization as a whole.
Performance appraisals are important for staff motivation, attitude and
behaviour development, communicating and aligning individual and
organizational aims, and fostering positive relationships between management
and staff.
Performance appraisals provide a formal, recorded, regular review of an
individual's performance, and a plan for future development.
Job performance appraisals - in whatever form they take - are therefore vital
for managing the performance of people and organizations.
Managers and appraisees commonly dislike appraisals and try to avoid them.
To these people the appraisal is daunting and time-consuming. The process is
seen as a difficult administrative chore and emotionally challenging. The
annual appraisal is maybe the only time since last year that the two people
have sat down together for a meaningful one-to-one discussion. No wonder
then that appraisals are stressful - which then defeats the whole purpose.
There lies the main problem - and the remedy.
Appraisals are much easier, and especially more relaxed, if the boss
meets each of the team members individually and regularly for one-
to-one discussion throughout the year.
Meaningful regular discussion about work, career, aims, progress,
development, hopes and dreams, life, the universe, the TV, common
interests, etc., whatever, makes appraisals so much easier because people
then know and trust each other - which reduces all the stress and the
uncertainty.
Put off discussions and of course they loom very large.
So don't wait for the annual appraisal to sit down and talk.
The boss or or the appraisee can instigate this.
If you are an employee with a shy boss, then take the lead.
If you are a boss who rarely sits down and talks with people - or whose
people are not used to talking with their boss - then set about relaxing the
atmosphere and improving relationships. Appraisals (and work) all tend to be
easier when people communicate well and know each other.
So sit down together and talk as often as you can, and then when the actual
formal appraisals are due everyone will find the whole process to be far more
natural, quick, and easy - and a lot more productive too.

appraisals, social responsibility and whole-person

development
There is increasingly a need for performance appraisals of staff and especially
managers, directors and CEO's, to include accountabilities relating
to corporate responsibility, represented by various converging corporate
responsibility concepts including: the 'Triple Bottom Line' ('profit people
planet'); corporate social responsibility (CSR); Sustainability; corporate
integrity and ethics; Fair Trade, etc. The organisation must decide the extent
to which these accountabilities are reflected in job responsibilities, which
would then naturally feature accordingly in performance appraisals. More
about this aspect of responsibility is in the directors job descriptions section.
Significantly also, while this appraisal outline is necessarily a formal structure
this does not mean that the development discussed with the appraisee must
be formal and constrained. In fact the opposite applies. Appraisals must
address 'whole person' development - not just job skills or the skills
required for the next promotion.
Appraisals must not discriminate against anyone on the grounds of age,
gender, sexual orientation, race, religion, disability, etc.
The UK Employment Equality (Age) Regulations 2006, (consistent with
Europe), effective from 1st October 2006, make it particularly important to
avoid any comments, judgements, suggestions, questions or decisions which
might be perceived by the appraisee to be based on age. This means people
who are young as well as old. Age, along with other characteristics stated
above, is not a lawful basis for assessing and managing people, unless proper
'objective justification' can be proven. See the Age Diversity information.
When designing or planning and conducting appraisals, seek to help the
'whole-person' to grow in whatever direction they want, not just to identify
obviously relevant work skills training. Increasingly, the best employers
recognise that growing the 'whole person' promotes positive attitudes,
advancement, motivation, and also develops lots of new skills that can be
surprisingly relevant to working productively and effectively in any sort of
organisation.
Developing the whole-person is also an important aspect of modern corporate
responsibility, and separately (if you needed a purely business-driven
incentive for adopting these principles), whole-person development is a
crucial advantage in the employment market, in which all employers compete
to attract the best recruits, and to retain the best staff.
Therefore in appraisals, be creative and imaginative in discussing, discovering
and agreeing 'whole-person' development that people will respond to, beyond
the usual job skill-set, and incorporate this sort of development into the
appraisal process. Abraham Maslow recognised this over fifty years ago.
If you are an employee and your employer has yet to embrace or even
acknowledge these concepts, do them a favour at your own appraisal and
suggest they look at these ideas, or maybe mention it at your exit interview
prior to joining a better employer who cares about the people, not just the
work.
Incidentally the Multiple Intelligences test and VAK Learning Styles test are
extremely useful tools for appraisals, before or after, to help people
understand their natural potential and strengths and to help managers
understand this about their people too. There are a lot of people out there
who are in jobs which don't allow them to use and develop their greatest
strengths; so the more we can help folk understand their own special
potential, and find roles that really fit well, the happier we shall all be.

are performance appraisals still beneficial and

appropriate?
It is sometimes fashionable in the 'modern age' to dismiss traditional
processes such as performance appraisals as being irrelevant or unhelpful. Be
very wary however if considering removing appraisals from your own
organisational practices. It is likely that the critics of the appraisal process are
the people who can't conduct them very well. It's a common human response
to want to jettison something that one finds difficult. Appraisals - in whatever
form, and there are various - have been a mainstay of management for
decades, for good reasons.
Think about everything that performance appraisals can achieve and
contribute to when they are properly managed, for example:
 performance measurement - transparent, short, medium and long term
 clarifying, defining, redefining priorities and objectives
 motivation through agreeing helpful aims and targets
 motivation though achievement and feedback
 training needs and learning desires - assessment and agreement
 identification of personal strengths and direction - including unused hidden
strengths
 career and succession planning - personal and organisational
 team roles clarification and team building
 organisational training needs assessment and analysis
 appraisee and manager mutual awareness, understanding and relationship
 resolving confusions and misunderstandings
 reinforcing and cascading organisational philosophies, values, aims,
strategies, priorities, etc
 delegation, additional responsibilities, employee growth and development
 counselling and feedback
 manager development - all good managers should be able to conduct
appraisals well - it's a fundamental process
 the list goes on..

People have less and less face-to-face time together these days. Performance
appraisals offer a way to protect and manage these valuable face-to-face
opportunities. My advice is to hold on to and nurture these situations, and if
you are under pressure to replace performance appraisals with some sort of
(apparently) more efficient and cost effective methods, be very sure that you
can safely cover all the aspects of performance and attitudinal development
that a well-run performance appraisals system is naturally designed to
achieve.
There are various ways of conducting performance appraisals, and ideas
change over time as to what are the most effective appraisals methods and
systems. Some people advocate traditional appraisals and forms; others
prefer 360-degree-type appraisals; others suggest using little more than a
blank sheet of paper.
In fact performance appraisals of all types are effective if they
are conducted properly, and better still if the appraisal process is clearly
explained to, agreed by, the people involved.
Managers need guidance, training and encouragement in how to
conduct appraisals properly. Especially the detractors and the critics. Help
anxious managers (and directors) develop and adapt appraisals methods that
work for them. Be flexible. There are lots of ways to conduct appraisals, and
particularly lots of ways to diffuse apprehension and fear - for managers and
appraisees alike. Particularly - encourage people to sit down together and
review informally and often - this removes much of the pressure for
managers and appraisees at formal appraisals times. Leaving everything to a
single make-or-break discussion once a year is asking for trouble and
trepidation.
Look out especially for the warning signs of 'negative cascaded
attitudes' towards appraisals. This is most often found where a senior
manager or director hates conducting appraisals, usually because they are
uncomfortable and inexperienced in conducting them. The senior
manager/director typically will be heard to say that appraisals don't work and
are a waste of time, which for them becomes a self-fulfilling prophecy. This
attitude and behaviour then cascades down to their appraisees (all the people
in their team) who then not surprisingly also apply the same 'no good - not
doing it' negative attitude to their own appraisals responsibilities (teams). And
so it goes. A 'no good - not doing it' attitude in the middle ranks is almost
invariably traceable back to a senior manager or director who holds the same
view. As with anything, where people need help doing the right thing, help
them.
All that said, performance appraisals that are administered without training
(for those who need it), without explanation or consultation, and
conducted poorly will becounter-productive and are a waste of
everyone's time.
Well-prepared and well-conducted performance
appraisals provide unique opportunities to help appraisees and
managers improve and develop, and thereby also the organisations for
whom they work.
Just like any other process, if performance appraisals aren't working,
don't blame the process, ask yourself whether it is being properly
trained, explained, agreed and conducted.

effective performance appraisals

Aside from formal traditional (annual, six-monthly, quarterly, or monthly)
performance appraisals, there are many different methods of performance
evaluation. The use of any of these methods depends on the purpose of the
evaluation, the individual, the assessor, and the environment.
The formal annual performance appraisal is generally the over-riding
instrument which gathers together and reviews all other performance data for
the previous year.
Performance appraisals should be positive experiences. The appraisals
process provides the platform for development and motivation, so
organizations should foster a feeling that performance appraisals are positive
opportunities, in order to get the best out of the people and the process. In
certain organizations, performance appraisals are widely regarded as
something rather less welcoming ('bollocking sessions' is not an unusual
description), which provides a basis only on which to develop fear and
resentment, so never, never, never use a staff performance appraisal to
handle matters of discipline or admonishment, which should instead be
handled via separately arranged meetings.

types of performance and aptitude assessments,

including formal performance appraisals
 Formal annual performance appraisals
 Probationary reviews
 Informal one-to-one review discussions
 Counselling meetings
 Observation on the job
 Skill- or job-related tests
 Assignment or task followed by review, including secondments (temporary
job cover or transfer)
 Assessment centres, including observed group exercises, tests
presentations, etc.
 Survey of opinion of others who have dealings with the individual
 Psychometric tests and other behavioural assessments
 Graphology (handwriting analysis)
None of these methods is mutually exclusive. All of these performance
assessment methods can be used in conjunction with others in the list,
depending on situation and organizational policy. Where any of these
processes is used, the manager must keep a written record, and must ensure
agreed actions are followed up. The notes of all review situations can then be
referred to at the formal appraisal.
Holding regular informal one-to-one review meetings greatly reduces the
pressure and time required for the annual formal appraisal meeting. Holding
informal reviews every month is ideal all staff. There are several benefits of
reviewing frequently and informally:
 The manager is better informed and more up-to-date with his or her
people's activities (and more in touch with what lies beyond, e.g.,
customers, suppliers, competitors, markets, etc)
 Difficult issues can be identified, discussed and resolved quickly, before
they become more serious.
 Help can be given more readily - people rarely ask unless they see a good
opportunity to do so - the regular informal review provides just this.
 Assignments, tasks and objectives can be agreed completed and reviewed
quickly - leaving actions more than a few weeks reduces completion rates
significantly for all but the most senior and experienced people.
 Objectives, direction, and purpose is more up-to-date - modern
organizations demand more flexibility than a single annual review allows -
priorities often change through the year, so people need to be re-directed
and re-focused.
 Training and development actions can be broken down into smaller more
digestible chunks, increasing success rates and motivational effect as a
result.
 The 'fear factor', often associated by many with formal appraisals, is greatly
reduced because people become more comfortable with the review process.
 Relationships and mutual understanding develops more quickly with greater
frequency of meetings between manager and staff member.
 Staff members can be better prepared for the formal appraisal, giving
better results, and saving management time.
 Much of the review has already been covered throughout the year by the
time comes for the formal appraisal.
 Frequent review meetings increase the reliability of notes and performance
data, and reduces the chances of overlooking things at the formal appraisal.

performance appraisals process

 Prepare - prepare all materials, notes agreed tasks and records of
performance, achievements, incidents, reports etc - anything pertaining to
performance and achievement - obviously include the previous performance
appraisal documents and a current job description. A good appraisal form
will provide a good natural order for proceedings, so use one. If your
organization doesn't have a standard appraisal form then locate one, or use
the template below to create one, or download and/or adapt the appraisal
forms from this page. Whatever you use, ensure you have the necessary
approval from your organization, and understand how it works. Organize
your paperwork to reflect the order of the appraisal and write down the
sequence of items to be covered. If the appraisal form includes a self
assessment section and/or feedback section (good ones do) ensure this is
passed to the appraisee suitably in advance of the appraisal with relevant
guidance for completion. A sample performance appraisal template is
available free below, which you can adapt and use to create your own form.
Part of your preparation should also consider 'whole-person' development -
beyond and outside of the job skill-set - as might inspire and appeal to the
appraisees. Many people are not particularly interested in job skills training,
but will be very interested, stimulated and motivated by other learning and
development experiences. Get to know what your people are good at
outside of their work. People's natural talents and passions often contain
significant overlaps with the attributes, behaviours and maturity that are
required and valued in the workplace. Use your imagination in identifying
these opportunities to encourage 'whole-person' development and you will
find appraisals can become very positive and enjoyable activities. Appraisals
are not just about job performance and job skills training. Appraisals should
focus on helping the 'whole person' to grow and attain fulfilment.
 Inform - inform the appraisee - ensure the appraisee is informed of a
suitable time and place (change it if necessary), and clarify purpose and
type of appraisal - give the appraisee the chance to assemble data and
relevant performance and achievement records and materials. If the
appraisal form does not imply a natural order for the discussion then
provide an agenda of items to be covered.
 Venue - ensure a suitable venue is planned and available - private and free
from interruptions - observe the same rules as with recruitment
interviewing - avoid hotel lobbies, public lounges, canteens - privacy is
absolutely essential (it follows also that planes, trains and automobiles are
entirely unsuitable venues for performance appraisals......)
 Layout - room layout and and seating are important elements to prepare
also - don't simply accept whatever layout happens to exist in a borrowed
or hired room - layout has a huge influence on atmosphere and mood -
irrespective of content, the atmosphere and mood must be relaxed and
informal - remove barriers - don't sit in the boss's chair with the other
person positioned humbly on the other side of the desk; you must create a
relaxed situation, preferably at a meeting table or in easy chairs - sit at an
angle to each other, 90 degrees ideally - avoid face to face, it's
confrontational.
 Introduction - relax the appraisee - open with a positive statement, smile,
be warm and friendly - the appraisee may well be terrified; it's your
responsibility to create a calm and non-threatening atmosphere. Set the
scene - simply explain what will happen - encourage a discussion and as
much input as possible from the appraisee - tell them it's theirmeeting not
yours. Confirm the timings, especially finishing time. If helpful and
appropriate begin with some general discussion about how things have
been going, but avoid getting into specifics, which are covered next (and
you can say so). Ask if there are any additional points to cover and note
them down so as to include them when appropriate.
 Review and measure - review the activities, tasks, objectives and
achievements one by one, keeping to distinct separate items one by one -
avoid going off on tangents or vague unspecific views. If you've done your
preparation correctly you will have an order to follow. If something off-
subject comes up then note it down and say you'll return to it later (and
ensure you do). Concentrate on hard facts and figures, solid evidence -
avoid conjecture, anecdotal or non-specific opinions, especially about the
appraisee. Being objective is one of the greatest challenges for the
appraiser - as with interviewing, resist judging the appraisee in your own
image, according to your own style and approach - facts and figures are the
acid test and provide a good neutral basis for the discussion, free of bias
and personal views. For each item agree a measure of competence or
achievement as relevant, and according to whatever measure or scoring
system is built into the appraisal system. This might be simply a yes or no,
 or it might be a percentage or a mark out of ten, or an A, B, C. Reliable
review and measurement requires reliable data - if you don't have the
reliable data you can't review and you might as well re-arrange the
appraisal meeting. If a point of dispute arises, you must get the facts
straightened out before making an important decision or judgement, and if
necessary defer to a later date.
 Agree an action plan - An overall plan should be agreed with the
appraisee, which should take account of the job responsibilities, the
appraisee's career aspirations, the departmental and whole organization's
priorities, and the reviewed strengths and weaknesses. The plan can be
staged if necessary with short, medium and long term aspects, but
importantly it must be agreed and realistic.
 Agree specific objectives - These are the specific actions and targets
that together form the action plan. As with any delegated task or agreed
objective these must adhere to the SMARTER rules - specific, measurable,
agreed, realistic, time-bound, enjoyable, recorded. If not, don't bother. The
objectives can be anything that will benefit the individual, and that the
person is happy to commit to. When helping people to develop, you are not
restricted to job-related objectives, although typically most objectives will
be.
 Agree necessary support - This is the support required for the appraisee
to achieve the objectives, and can include training of various sorts (external
courses and seminars, internal courses, coaching, mentoring, secondment,
shadowing, distance-learning, reading, watching videos, attending meetings
and workshops, workbooks, manuals and guides; anything relevant and
helpful that will help the person develop towards the standard and agreed
task. Also consider training and development that relates to
'whole-person development' outside of job skills. This might be a
hobby or a talent that the person wants to develop. Developing
the whole person in this way will bring benefits to their role, and
will increase motivation and loyalty. The best employers
understand the value of helping the whole person to develop. Be
careful to avoid committing to training expenditure before suitable
approval, permission or availability has been confirmed - if necessary
discuss likely training requirements with the relevant authority before the
appraisal to check. Raising false hopes is not helpful to the process.
 Invite any other points or questions - make sure you capture any other
concerns.
 Close positively - Thank the appraisee for their contribution to the
meeting and their effort through the year, and commit to helping in any
way you can.
 Record main points, agreed actions and follow-up - Swiftly follow-up
the meeting with all necessary copies and confirmations, and ensure
documents are filed and copied to relevant departments, (HR, and your
own line manager typically).

performance appraisal form template guide and

process
This performance appraisal template and process guide has been created to
support the downloadable appraisal forms available from this page, but the
process and the forms can be adapted to suit your own situation.
Here is a free performance appraisal form in pdf format, and here is the
same performance appraisal form in MSWord format. Both versions of the
appraisal form were revised August 2006. These free forms are based on the
template and process below, which also act as instructions and guidelines for
the form.
The structure is formal but the process and content does not have to be
constrained by work and job issues. Always be looking for opportunities to
help the person develop beyond their formal work responsibilities. Not
everyone is interested in promotion, and lots of people find job-skills training
less than riveting, but nearly everyone has something in them that they want
to pursue and develop. When appraising someone if you can tap into these
desires and help the other person to achieve their own personal aims, then
everyone wins. If the connection with work don't seem obvious at first, the
benefits from personal growth generally produce dramatic and positive
benefits for employers and work performance.
Obviously a certain amount of work-related training is necessary for good
work performance and advancement, but the biggest advantages accrue to
the employing organisation when people grow as people, outside of their
job skills sets. In fact most of the really important attributes for work are
distinctly outside of the typical job skills: factors relating to emotional
maturity, self-esteem, relationships, self-awareness, understanding others,
commitment, enthusiasm, resoluteness, etc., are typically developed far more
effectively in people when they follow their own paths and fulfil their own
natural desires, rather than on endless (and for many people somewhat
meaningless) job-skills courses.
So be imaginative and creative. Use the template and process as a structure
for the appraisal process, but don't constrain the areas of personal
development to those only related to the job and work standards and
organisational objectives. Be led by the people about what they love and
enjoy, and what they want to develop and experience in their lives. And then
look for ways to help them achieve these things. This is the true way to
develop people.

performance appraisal form template/sample

Remember this is just a structure for the process - the content and the
direction of personal development is as flexible as your organisation allows, or
can be persuaded to allow. Use your imagination to develop people in the way
they want to go, not just the way the organisation thinks it needs people to
be.
A free sample appraisal document in this format is available from this site in
MSWord or pdf (acrobat) versions:
performance appraisal form (pdf) sample/template - downloadable pdf
(revised August 2006)
performance appraisal form (MSWord) sample/template - downloadable
MSWord file (revised August 2006)

Obviously the first part of a formal document like this needs to contain
essential identifying data:
 organization, division and department
 year or period covered
 name
 position
 location/site/based at/contact details (e.g., email)
 months in present position
 length of service

N.B. It is unlawful (UK and generally in Europe too) to discriminate against

anyone on the grounds of age. As such, while not unlawful, the inclusion of
age and date-of-birth sections on appraisal forms is not recommended (along
with all other documentation used in assessing people). See the Age
Diversity information for more details.
Part A (to be completed by the appraisee before the interview and sent to
the appraiser x days before the appraisal)
A1 State your understanding of your duties and responsibilities.
A2 Discussion points: (not exhaustive or definitive - for more ideas look at
the interviews questions)

1. Has the past year been good/bad/satisfactory or otherwise for you, and
why?
2. What do you consider to be your most important achievements of the
past year?
3. What do you like and dislike about working for this organization?
4. What elements of your job do you find most difficult?
5. What elements of your job interest you the most, and least?
6. What do you consider to be your most important tasks in the next year?
7. What action could be taken to improve your performance in your
current position by you, and your boss?
8. What kind of work or job would you like to be doing in one/two/five
years time?
9. What sort of training/experience would benefit you in the next
year? Broaden this question to include 'whole-person
development' beyond job skills - for example: What do you
have a personal passion for that we might help you to
pursue? (It's a fact that when person develops interests, talents and
experiences that they truly love and enjoy - even if the area seems
completely unrelated to work - then the person becomes more valuable,
mature, and motivated at work too, because they have grown as a
person. Within reason, employers can and should help people to
develop in any way they wish, and often even the most unconnected
 development or experiences hold much valuable learning that are
directly transferable and usable at work - all it takes is a bit of
imagination.)

A3 List the objectives you set out to achieve in the past 12 months (or the
period covered by this appraisal) with the measures or standards agreed -
against each comment on achievement or otherwise, with reasons where
appropriate. Score the performance against each objective (1-3 = poor, 4-6 =
satisfactory, 7-9 = good, 10 = excellent):
A4 Score your own capability or knowledge in the following areas in terms of
your current role requirements (1-3 = poor, 4-6 = satisfactory, 7-9 = good,
10 = excellent). If appropriate bring evidence with you to the appraisal to
support your assessment. (This list is not exhaustive or definitive - the
list should reflect the requirements of the job and the career path.)
See the skills and behaviours assessment tools for other aspects to include in
this list. Other roles in other industries, for example technical, engineering,
healthcare, legal, finance, leisure, transport, construction, etc, will require
different skill sets. These are examples of a typical commercial or
management skill set.

1. commercial judgement
2. product/technical knowledge
3. time management
4. planning, budgeting and forecasting
5. reporting and administration
6. communication skills
7. delegation skills
8. IT/equipment/machinery skills
9. meeting expectations, deadlines and commitments
10. creativity
11. problem-solving and decision-making
12. team-working and developing/helping others
13. energy, determination and work-rate
14. steadiness under pressure
15. leadership and integrity
16. adaptability, flexibility, and mobility
17. personal appearance and image
18. appreciation and application of social responsibility, sustainability,
and ethical considerations
A5 In light of your current capabilities, your performance against past
objectives, and your future personal growth and/or job aspirations, what
activities and tasks would you like to focus on during the next year. Include in
this any 'whole-person non-work-related development that the person feels
would help them to grow and become more fulfilled as a person.
Part B (to be completed during the appraisal by the appraiser - where
appropriate and safe to do so, certain items can completed by the appraiser
before the appraisal, and then discussed and validated or amended in
discussion with the appraisee during the appraisal.)
name of appraiser:
position:
time managing appraisee:
B1 Describe the purpose of the appraisee's job. Discuss and compare with
self-appraisal entry in A1. Clarify job purpose and priorities where
necessary.
B2 Review discussion points in A2, and note the points of interest
and action.
B3 List the objectives that the appraisee set out to achieve in the past 12
months (or the period covered by this appraisal - typically these objectives will
have been carried forward from the previous appraisal record) with the
measures or standards agreed - against each comment on achievement or
otherwise, with reasons where appropriate. Score the performance against
each objective (1-3 = poor, 4-6 = satisfactory, 7-9 = good, 10 =
excellent). Compare with the self-appraisal in B3. Discuss and note
points of interest and action, particularly training and development
needs and wishes.
B4 Score the appraisee's capability or knowledge in the following areas in
terms of their current (and if known, next) role requirements (1-3 = poor, 4-6
= satisfactory, 7-9 = good, 10 = excellent). NB This competencies list is not
exhaustive or definitive - the list should reflect the requirements of the job
and the career path. See also the skills and behaviours assessment tools for
other aspects to include in this list. Other roles in other industries, for
example technical, engineering, healthcare, legal, finance, leisure, transport,
construction, etc, will require different skill sets. These are examples of a
typical commercial or management skill set. Compare with the self-
appraisal in B4. Discuss and note points of interest and action,
particularly training and development needs and wishes.

1. commercial judgement
2. product/technical knowledge
3. time management
4. planning, budgeting and forecasting
5. reporting and administration
6. communication skills
7. delegation skills
8. IT/equipment/machinery skills
9. meeting expectations, deadlines and commitments
10. creativity
11. problem-solving and decision-making
12. team-working and developing/helping others
13. energy, determination and work-rate
14. steadiness under pressure
15. leadership and integrity
16. adaptability, flexibility, and mobility
17. personal appearance and image
18. appreciation and application of social responsibility, sustainability,
and ethical considerations

B5 Discuss and agree the appraisee's career direction options and wishes,
and readiness for promotion, and compare with and discuss the self-
appraisal entry in A5. Some people do not wish for promotion, but
everyone is capable of, and generally benefits from, personal development -
development and growth should be available to all, not just the ambitious.
Again consider 'whole-person' development outside of obvious work-related
training.
B6 Discuss and agree the skills, capabilities and experience required for
competence in current role, and if appropriate for readiness to progress to the
next role or roles. It is usually helpful to refer to the skill-set or similar to that
shown in A/B4, in order to accurately identify all development areas, whether
for competence at current level or readiness to progress to next job
level/type. Consider the connections between a person's natural talents,
personal interests, passions, etc., to their work roles and their work
aspirations. There are often huge overlaps between ' whole-person
development' outcomes (which might not obviously relate to work) and the
person's job. A person who becomes better at anything outside of their work
almost always becomes better at their work too. The big difference of course
is that people want to pursue their own personal passions and interests,
whereas many are not so keen to attend job skills training courses that to
them are far less stimulating. Seek to help the person to grow in whatever
direction they want, not just to identify relevant work skills training.
B7 Discuss and agree the specific objectives that will enable the appraisee to
reach competence and to meet required performance in current job. These
must adhere to the SMARTER rules - specific, measurable, agreed, realistic,
time-bound, enjoyable, recorded.
B8 Discuss and agree the specific objectives that will enable the appraisee to
move towards, or achieve readiness for, the next job level/type, or if no
particular next role is identified or sought, to achieve the desired personal
growth or experience. Must also adhere to SMARTER rules.
B9 Discuss and agree as far as is possible (given budgetary, availability and
authorisation considerations) the training and development support to be
given to help the appraisee meet the agree objectives.
NB Appraisers should note that personal development and support must be
offered to all employees, not just the ambitious. Job-skills training isn't
restricted to sending someone on an external course - it includes internal
courses, coaching, mentoring (mentoring someone else and well as being
mentored), secondment to another role (eg, deputising for someone while
they are away on holiday), shadowing, distance-learning, reading books,
watching videos, attending meetings and workshops, workbooks, manuals
and guides, researching, giving presentations; anything relevant and helpful
that will help the person develop towards the standards and aims, and as a
person. Training and development should not be restricted to job-skills.
Discuss ways to help the person achieve whatever personal development and
experiences that they feel passionate about, even if initially there seems no
relationship or benefit to the work and the job because almost certainly there
will be: often in the skills themselves, and if not, then almost always in the
increased wisdom and maturity that comes from any sort of personal growth.
Avoid giving commitment to an appraisee for any training expenditure before
suitable approval, permission or availability has been confirmed - discuss likely
training and development requirements with the relevant authority before the
appraisal to check on policies and options and approvals. Raising false hopes
is not helpful to the appraisal process.
B10 Any other issues (it's important to offer the opportunity to the appraisee
to raise any other points, even if they need to be discussed at another
meeting, outside of the appraisal process, which would generally be the
case.)
Signed and dated appraiser and appraisee:
(Finally it's advisable to show instructions as to the distribution of copies of
the completed form, a reminder of its confidential nature, and a statement as
to the individual's rights under the data protection laws applicable.)

tools for appraisals, assessments and

individual/group training needs analysis
The following are few examples of tools and materials that relate closely to
the appraisals process, and particularly for identifying and prioritising
individual and collective group training needs, all of which is commonly
referred to Training Needs Analysis, or TNA.
Modern integrated computerised HR/training management systems will offer
more sophisticated functionality than these simple tools, however these
templates and traning needs analysis (TNA) spreadsheets can be useful for
basic requirements, and also for specifying and evolving more modern
complex learning and development management systems.
Bear in mind that these assessments and TNA tools are concerned principally
with conventional work skills and attributes, and how to identify and prioritise
group development needs. You should consider separately how best
develop unique personal potential in every person, since a
person's unique personal potential is usually quite different to the skills
implied or required by their job role. See the 'Fantasticat' concept for ideas
about nurturing and encouraging development of unique personal potential.
Various other templates and tools for learning and development which can be
used alongside appraisals processes are available from the free
resources section.
The resources below are available as in different file formats including PDF's,
MSWord or Excel working tools.
performance appraisal form sample/template - PDF (revised August 2006)
performance appraisal form sample/template - MSWord (revised August
2006)

360 degree appraisals form template - MSWord

360 degree appraisals form template - MSExcel
see the 360 degree appraisals guide

general role - skill/behaviours individual assessment tool and group training

needs analysis (TNA) tool - MSExcel versions
general role - skill/behaviours individual assessment tool and group training
needs analysis (TNA) tool - PDF versions
see guidelines for use for individual assessments and TNA tools

commercial role - skill/behaviours individual assessment tool and group TNA

tool - MSExcel
commercial role - skill/behaviours individual assessment tool and group TNA
tool - PDF
see guidelines for use

management role - skill/behaviours individual assessment tool and group

TNA tool - MSExcel
management role - skill/behaviours individual assessment tool and group
TNA tool - PDF
see guidelines for use
how to use skills/behaviours assessments and
training needs analysis tools
The skill/behaviours individual assessments and training needs analysis tools
(available in pdf and working file MSExcel versions above and from the free
resources section) are simple, effective and flexible tools for assessing
individual training needs and for group training needs analysis. Adapt them to
suit your purposes, which can extend to specifying and evolving more
complex learning and development management systems.
While the word 'training' is used widely on this webpage (mainly because
many people search for and recognise the word 'training'), try to use the
words 'learning' and 'development' when structuring your own processes and
adapting these tools. The words Learning and Development capture the spirit
of growing people from the inside out, rather than the traditional approach of
'putting skills in' through prescriptive training methods, which are less likely to
enthuse and motivate people than self-driven learning and development.
The Training Needs Analysis (TNA) spreadsheet is now available in three
different variations, based on three different individual skill/behaviour
assessments for the roles:
 general,
 commercial/sales, and
 management.

The tools, available above, offer a simple, free and very powerful way to
identify, assess, analyse, prioritise and plan training needs, for individuals,
small teams, small companies, and very large organisations.
You can use the tools in the present format or adapt them to suit your
situation. Obviously ensure that the skill/behaviours descriptions are
consistent throughout the individual assessment tool and the Training Needs
Analysis tool. It is entirely possible to include a variety of 'skill-sets' on a
single TNA spreadsheet.
You can use whatever scoring system suits you and your situation,
although number scoring (rather than words or letters) is necessary
for spreadsheet analysis.
A 1-4 scoring system generally works well, since it gives less opportunity for
middling, non-committal answers. Primarily you need to know simply whether
each capability isadequate for the role or not.
Ensure you identify clear definitions for the scoring, particularly if comparing
or analysing different people's scores, where consistency of measurement is
important, eg:
 1 = little or no competence
 2 = some competence, but below level required for role
 3 = competence at required level for role
 4 = competence exceeds level required for role

Or:
 1 = never meets standard
 2 = sometimes meets standard
 3 = often meets standard
 4 = always meets standard
For self-use: The skills/behaviour set assessments require some interpretation
and ideally discussion with a trusted friend, colleague or boss to establish the
2nd view validation. As well as encouraging self-awareness development and
simply thinking about one's own feelings and aptitudes, the assessment and
reflection are an interesting and viable basis for
assessing/discussing/reviewing personal development and career focus. When
the scoring is completed you can prioritise your development needs (essential
skills with the lowest scores).
For use with others as development tool: The skill/behaviour assessment is an
effective tool for recruitment, appraisals and ongoing development and
training. It can be adapted for different roles, and if used with existing staff
ideally the person performing the role should have some input as to the skill
and behavioural criteria listed, and the importance (essential or desirable) for
each characteristic in the role. Working with a group to adapt the skill-set
criteria according to the people's jobs makes an interesting workshop and
team building session: involving people in developing the system creates a
sense of ownership and commitment to using the assessment method itself.
The skill-set/behavioural tests can be used in conjunction with the Training
Needs Analysis tool available from the website as a working MSExcel
spreadsheet file. Assessment can be carried out formally one-to-one as part of
an appraisal or review meeting, referring to evidence if appropriate, or
informally in a workshop situation as a group exercise (assessment in pairs,
with partners helping to establish the 2nd view validation for each other).
Whether informally or formally assessed, the results for a group can be
transferred to the corresponding Training Needs Analysis tool, to identify
team or group training priorities. Training priorities are the essential skills with
the lowest average scores.
Informal assessments in a workshop situation also enable an immediate
'straw poll' analysis of group training needs, and as such provide an excellent
method for quickly identifying and agreeing training and development needs
for a group.

tips for using skillset and TNA tools

The skillset tools and related TNA (Training Needs Analysis) spreadsheet
tools on this website provide quick easy adaptable templates for explaining,
identifying and planning group training needs.
The skillset and TNA tools obviously measure the criteria that are detailed
within the tools. Adapt them as required.
The instruments are broad indicators of training and development needs,
based mainly on subjective views, and in this respect are not as sophisticated
as more scientific and complex TNA systems.
You can adapt the criteria (skills/behaviours elements) within the skillset and
TNA tools according to what you believe are important/relevant for your
role(s).
So if the tool does not cover what you need to measure then adapt it by
changing the criteria (the skill/attributes/behavioural elements).
Importantly you can involve the group in doing this, and in appreciating
the components and standards of each element.
Generally assessments of all sorts work better when those being assessed feel
involved, in control, fully informed and empowered - rather than allowing a
feeling of being excluded and covertly or secretly measured, which arises
commonly in the way that many work-related assessments are introduced and
managed.
The 360 degree feedback tool enables better objective measurement than the
Skillset tool, but entails significantly more set up and administration.
While I have no documented evidence or statistical data for the Skillset tool's
use and effectiveness, in my own experience I have always found it helpful in
initially developing understanding of the different management/role aspects;
also for developing understanding of individual self-awareness of strengths
and weaknesses, and to provide the leader with an overview of individual and
group needs.
The skillset tool is especially useful for group training needs analysis methods
when used in conjunction with the TNA spreadsheet, different versions of
which are available and explained in the tools for appraisals, assessments and
TNA section.
These are quick broad flexible indicators, not a scientifically validated or very
detailed systems; for example they does not break down elements into
smaller sub-elements of competencies.
While being quick and flexible, a weakness of the tools is the reliance on
subjective opinion, and the looseness with which the criteria can be
interpreted, both of which can be addressed in the way that you present and
use and develop the tools.

tips on scoring systems for skills audits, appraisals

and training needs analysis
Scoring and measuring system suitability is critical, especially if you are
making big decisions on the outcomes, which require clear score definitions
and implications (explain to participants the judgements/actions which will
stem from the scoring).
Generally a score range of 1-3 is too narrow. Not only because life isn't that
simple, but mainly because the mid-way 2 option encourages fence-sitting
which inhibits clarity of individual and overall results (as any odd number
score range tends to do). 1-3 or 1-5 virtually ensures you end up with a
cloudy result because so many answers are in the middle.
If you need to change from a 3 or 5 point system, this objective-scientific
angle might provide you with the best lever to do so. 1-4 is much better
because people have to decide whether the ability is to standard or not -
there's not an automatic average or mid-way for the 'don't knows'.
If you have to stick with 1-3 then ensure the meanings are such as to ensure
black or white answers.
'Grey' answers at number 2 in a 1-3 scale, e.g., average, medium,
satisfactory, etc., aren't really any help. Nor are the typical definitions found
at number three in a 1-5 scale.
A way of making a 1-3 scale acceptable is:
 1 - needs improving
 2 - good
 3 - excellent

Here the 1-3 is effectively turned into a 1-2 (yes/no or is/isn't) scoring system
(whereby 1 = below standard; 2 & 3 = above standard) which at least
enables a clear decision, albeit just yes or no, which in actual fact is all that's
necessary for many TNA's.
Tight scales are fine - in fact in some ways easier - for a group training needs
analysis, but are not good for individual skills audits or training needs
analysis, where the question of degree is more important for individual task
direction and development planning, and to enable more reliable comparison
between individuals.
The accuracy and reliability of any scoring system increases with full
description/definitions, and better still with examples for each score band.
This gives everyone the same objective-scientific reference points, and
reduces subjectivity.

360 degree feedback and 360 appraisals

tips and template examples
360 degree appraisals are a powerful developmental method and quite
different to traditional manager-subordinate appraisals (which fulfil different
purposes). As such a 360 degree process does not replace the traditional one-
to-one process - it augments it, and can be used as a stand-alone
development method.
360 degree appraisals involve the appraisee receiving feedback from people
(named or anonymous) whose views are considered helpful and relevant. The
feedback is typically provided on a form showing job
skills/abilities/attitudinal/behavioural criteria and some sort of scoring or value
judgement system. The appraisee should also assess themselves using the
same feedback instrument or form.
360 degree respondents can be the appraisee's peers, up-line
managers/execs, subordinate staff, team members, other staff, customers,
suppliers - anyone who comes into contact with the appraisee and has
opinions/views/reactions of and to the appraisee. Numerous systems and
providers are available - I wouldn't recommend any in particular because my
view about this process is that you should develop a process and materials for
your own situation, preferably involving the appraisees in this, which like all
participative approaches, often works well.
You can develop your own 360 degree feedback system by running a half-day
or full day workshop (depending on extent and complexity of the required
process) involving the appraisees or a sample group, during which process
and materials can be created and provisionally drafted. The participative
workshop approach as ever will give you something that's wholly appropriate
and 'owned' instead of something off-the-shelf or adapted, which would be
arbitrary, mostly inappropriate and impracticable (in terms of criteria and
process), and 'not invented here', ie., imposed rather than owned.
I would recommend against restricting the 360 feedback to peers and
managers only - it's a waste of the potential of the 360 degree appraisal
method. To use the feedback process for its fullest '360 degree' benefit
involve customers (in the broadest sense - could be patients, students, users,
depending on the organization), staff, suppliers, inspectors, contractors, and
others for whom good working relationships and understanding with the
appraisee affect overall job performance, quality, service, etc.
Ensure respondents are aware of equality and discrimination issues, notably
the Age Discrimination legislation and implications which might be new to
some people. Comments such as 'you can't teach an old dog new tricks', or
'not old enough to command respect' are ageist, discriminatory, unlawful, and
will create a liability for the originator and the employer.
Developing 360 degree appraisals systems process make ideal subjects for
a workshops, which in itself contains some very helpful developmental
benefits and experience for all involved. If you're not able to get everyone
together for a workshop you should solicit input and ideas - particularly about
appraisal criteria and respondents and anonymity - then draft out process and
materials - then issue for approval, then pilot, review, adapt and then
implement. Adapt, improve and develop on an ongoing basis.
It is my view that no aspects of 360 feedback should ever be mandatory for
any appraisee or respondent. Given more than three or four similar role-types
being appraised it's not sensible to produce individually tailored criteria, in
which case when it comes to the respondents completing the feedback not all
the criteria will be applicable for all respondents, nor for all appraisees either.
By the same when designing the feedback instruments (whether hard-copy
documents or online materials), it's useful to allow space for several 'other'
aspects that the appraisee might wish to add to the standard criteria, and
space for respondents to add 'other' comments. Open honest feedback can
touch sensitivities, so be sure that appraisees understand and agree to the
criteria, respondents (by type, if not named) and process.
Ensure suitable and sensitive counselling is provided as part of the informing
of feedback results.
If 360 degree feedback results are to be analysed collectively to indicate the
overall/total situation (ie., to assist in determining organizational training and
development needs for instance), think carefully about the feedback form
scoring system and particularly its suitability for input to some sort of analysis
tool, which could be a spreadsheet, and therefore numerically based requiring
numerical scores, rather than words, (words of course are more difficult to
count and measure, and while words and description assessment enables
more subtlety, they also allow more room for misunderstanding and
misinterpretation).
For guidance have a look at the skills and behavioural assessment tool - it's
not a 360 degree tool, but is an example of the basis of one, and some of the
skills elements that can be included in a 360 degree appraisals form.
Similarly the training needs analysis tool is an example of a collective or
organizational measurement tool, based on the input of a number of
individual feedback assessments. This tool can easily be adapted to analyse a
number of 360 degree responses.
See the 360 degree appraisal document, available in MSWord or Excel
formats:
free 360 degree appraisals form template in MSWord format
free 360 degree appraisals form template in MSExcel format

introduction of 360 degree appraisals

Here is a simple guide for introducing 360 degree appraisals into an
organization (and any other management system for that matter):
 Consider and decide what you need the 360 degree system to achieve.
What must it be? How must it work? What difference must it make?
 Choose/design a system (or system provider), ie., research and investigate
your options (other local or same-sector companies using 360 already are a
helpful reference point, or your trade association HR group, or a specialist
HR advisory body such as CIPD in the UK if you are a member).
 Check the legal and contractual issues for your situation - privacy, individual
choice, acceptable practices and rules, training, data protection, individual
rights, adoption guide, etc. (360 degree systems are now well-developed
and established. Best practice and good reference case-studies are more
widely available than in the early years of 360 feedback development.)
 When you've decided on a system, pilot it with a few people to make sure it
does what you expect. (It's best to establish some simple parameters or
KPI's by which you can make this assessment, rather than basing success
on instinct or subjective views.)
 When satisfied with the system, launch it via a seminar or workshop,
preferably including role-plays and/or practical demonstration.
 Support the implementation with ongoing training, (include an overview in
your induction training as well), a written process guide/booklet, and also
publish process and standards on your intranet if you have one.
 Establish review and monitoring responsibility.
 Ensure any 360 degree appraisal system system is introduced and
applied from top down, not bottom up, so everyone can see that the
CEO is happy to undertake what he/she expects all the other staff to do. As
 with anything else, if the CEO and board agrees to undertake it first, the
system will have much stronger take-up and credibility. If the plan for 360
feedback introduction is likely to be seen as another instrument of
executive domination then re-think your plans.

360 degree appraisal form design - template

guidelines
Job descriptions are also a useful starting point for (but by no means the full
extent of) establishing feedback criteria, as are customer/staff survey findings
in which expectations/needs/priorities of appraisee performance are indicated
or implied.
A 360 degree appraisal template typically contains these column headings or
fields, also shown in the template example below:
 Key skill/capability type (eg communications, planning, reporting, creativity
and problem solving, etc - whatever the relevant key skills and capabilities
are for the role in question).
 Skill component/element (eg 'active listening and understanding' [within a
'communications' key skill], or 'generates ideas/options' [within a
'creativity/problem solving' key skill]). The number of elements per key skill
varies - for some key skills there could be just one element; for others there
could be five or six, which I'd recommend be the maximum. Break down
the key skill if there are more than six elements - big lists and groups are
less easy to work with.
 question number (purely for reference and ease of analysis)
 specific feedback question (relating to skill component, eg does the person
take care to listen and understand properly when you/others are speaking
to him/her? [for the active listening skill])
 tick-box or grade box (ideally a,b,c,d or excellent, good, not good, poor, or
rate out of 5 or 10 - N.B. clarification and definitions of ratings system to
participants and respondents is crucial, especially if analysing or comparing
results within a group, when obviously consistency of interpretation of
scoring is important)
360 degree feedback form template example
A typical 360 degree feedback form template would look like this. This
template allows a mixture of key skills comprising one, two, three, four, and
up to six elements. The number of elements per key skill/capability would
vary of course, so if necessary adjust the size of the boxes in the first column
accordingly to accommodate more or less elements. See the notes directly
above for more explanation about the purpose of each column and heading,
and the feedback scoring method.

Feedback Form headings and instructions: appraisee name, date,

feedback respondent name, position (if applicable) plus local
instructions and guidelines for completion, etc.

key
skill/capability question feedback
skill/capability feedback question
element number score
area

10

11

12
 13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

Optional section: for additional feedback comments about the

appraisee (if you provide this option it is advisable to ask
respondents to be as constructive as possible.....)
A working file based on this format is available in MSWord and Excel versions:
free 360 degree appraisals form template in MSWord format
free 360 degree appraisals form template in MSExcel format

You can see from this that the process of designing the feedback document
(essentially a questionnaire) is to build it from the role's key skill areas, break
down these into elements, and measure each via carefully worded questions,
which the respondents answer and thereby grade the performance - ie., give
feedback - in respect of the person in question.
The question as to anonymity of respondents is up to you. A grown-up
organization with grown-up people should be able to cope with, and derive
more benefit from, operating the process transparently - but you need to
decide this. Some people are happier giving feedback anonymously. And
some people are not able to deal particularly well with criticism from a named
person. For more information and guidance about handling and explaining
this particular aspect refer to the Johari Window model - it's a powerful and
helpful concept to use alongside the 360 degree feedback/appraisal process.
As mentioned above, workshops are a good way to devise these
questionnaires, especially the questions to assess each skill or behavioural
element.
Analysis of group results is much easier if you use a numerical rating system.
The sample free training needs analysis spreadsheet tool can easily be
adapted for analysis of 360 degree feedback results, which can then feed into
the analysis of training needs. The same training needs analysis tool is also
available in pdf format.

appraisals timing with pay reviews, performance

awards, and training planning
Some people advocate separating appraisals from pay review, however this
does not make sense in organizations which require staff to be focused on
their contribution to organizational performance, especially where there are
clear accountabilities and measures (which in my view should apply in all
organizations).
Organizations rightly or wrongly are geared to annual performance, and the
achievement of a trading plan. This cascades to departments, teams and
individuals, so it makes sense to assess people over a time period that fits
with what the organization is working to. Put another way, it's not easy to
appraise someone on their year's performance half way through the year.
Transparency and accountability are prerequisites for proper assessment and
appraisals.
Arguably 'best practice' is to schedule appraisals close to trading year-end,
when year-end results and full year performance - for individuals and
departments and organizations - can reliably be predicted. By holding
appraisals at this time, and staff knowing that appraisals are focused on this
trading period, people's thoughts and efforts can be concentrated ontheir
contribution towards the organization's annual trading plan, which is a main
appraisals driver and output (as well as individual development of course).
Holding appraisals after year-end means that people start the year without
formal agreed objectives, and also creates bigger delays for financial and
payroll departments in their task to process pay awards and adjustments.
Departmental, team and individual objectives provide the context for the
appraisal, linking clearly to performance bonus and performance-based pay
awards, the rationale for which needs to be transparent and published prior to
the start of the year to which they relate, for the full benefit and effect on
staff effort to be realised.
Pay review would also coincide with the trading year, which makes sense
from the planning and budgeting perspective. The business is in a position to
know by the close of the final quarter what the overall pay review position is
because the rationale has already been (it jolly well should have been)
established and year-end financials can be predicted. Moreover the next
year's trading plan (at least in outline) is established, which gives another
useful context for appraising people, especially those (most staff hopefully)
who have contributed to the planning process (ie, committed as to what they
can do for the coming year, targets, budgets, staffing levels, priorities,
objectives, etc).
The appraising managers can therefore go into appraisals fully briefed and
prepared to discuss and explain the organization's overview results and
financials to the appraisees. And the appraisees can see results and think in
terms of their full year performance and contribution to corporate results, plus
what they plan for next year, which provides the basis of the aims and
objectives to be reviewed through the coming year and at the next year's
appraisal.

other guidelines for organizational appraisals

planning
Other than for directors, complex or difficult appraisals, appraisal meetings
should not be 3 hour marathon sessions - this daft situation happens when
boss and subordinate never sit down together one-to-one other than for the
annual appraisal. If you only talk properly with someone once a year no
wonder it takes all afternoon...
Boss and subordinate should ideally sit down one-to-one monthly (or at
worse, quarterly, for the more mature, self-sufficient people), to review
activity, ideas, performance, progress, etc., which makes the annual appraisal
really easy when it comes around, and manageable in an hour or 90 minutes
maximum.
Use of a good appraisal form including self-assessment elements is essential
for well organised appraisals. See the free templates which are ready to use
or adapt for your own situations and job roles:
performance appraisal form (pdf) sample/template - downloadable pdf
(revised August 2006)
performance appraisal form (MSWord) sample/template - downloadable
MSWord file (revised August 2006)
Ensure that appraisers and appraisees understand that they must prepare in
advance or you're looking at 3 hour marathons again.
Training for appraisers and appraisees on how to use the appraisals process
properly is very helpful obviously, especially taking a more modern view of
what makes people effective and valuable to employers, and how to
encourage this development, which relates to developing the whole person,
in the direction they want to go, not just job skills, as explained earlier in this
section.

pay reviews and awards

If you want to be regarded as a caring and ethical organization, it's also
helpful for the organization (board) to agree a basic across-the-board
inflationary salary increase close to year end and announce this - everyone
gets this. This can be based on a collection of factors, decided by the board,
typically: inflation, the organization's financial position, demographics and
competitor market forces on salary levels.
Individuals can then receive an additional increase on top of this according to
criteria agreed before the start of the year (at their last appraisal) based on
performance, achievement of targets, job-grade advancement, qualifications
attained, training aims achieved, and any other performance levers that it is
sensible, fair and practicable to incentivise.
From 1st October 2006 (UK and Europe) it is unlawful for pay and benefits to
be linked to a person's age, aside from statutory mechanisms such as
minimum wage levels. See the Age Diversity information.
The rationale for these individual awards must be established and budgeted
for by the board, circulated, and explained to all staff via managers.
Whilst not always easy or practicable to design and implement, arguably the
best collective annual pay increase mechanism is one that effectively rewards
everyone directly and transparently for corporate performance, ie, 'profit
share' in spirit, based on the whole organization and a business
unit/department to which they relate, plus an individual performance-linked
award based on the sort of levers mentioned above. It's about people
believing that they are all part of the group effort, pulling together, and all
enjoying a share of the success. Profit share deals just for directors are rightly
regarded by most staff as elitist, exclusive, and divisive. If you want your
people to give you 100%, include them in as many reward schemes as you
can.

appraisals and training planning

Where appraisals coincide with year-end, training department must not rely
exclusively on appraisals data for training planning (the data arrives too late
to be used for training planning for the next year quarter 1 and probably
quarter 2).
Training planning must work from data (based on audits, analyses, manager
inputs, questionnaires, market and legislative drivers, etc) gathered/received
earlier during the year.
Training planning by its nature is a rolling activity and thought needs to be
given to how best to manage the data-gathering and analysis (including the
vital details from staff appraisals), training planning activity, and integrating
the costs and budgeting within the corporate trading planning process.

probationary review elements in appraisals

A new employee is often subject to a probationary period - normally three
months although probationary periods vary from a few weeks to a year.
Probation must have a strong link to induction training. Probationers need to
be supported properly or the chances of the new employee struggling or
failing will increase. The nature and process of probationary reviews depend
on local methods and policies, however the elements of the review process
(and any documentation or system used) will commonly be:
 name position department etc.
 dates - commencement and review
 basis of review - clear explanation of what constitutes a successful
outcome, linked to consequences of success and failure, according to
probationary policies
 agreed activities and aims for probationary period
 clear and transparent quantifiable measures for each aim/activity - for
acceptable probationary review, and for ultimate job performance standard
if different (aims must be SMART - specific, measurable, agreed, realistic,
time-bound - aims and activities should logically reflect and represent the
core skills, knowledge, behaviour an learning necessary for the probationers
job function)
 agreed support, training and resources for aims/activities
 names and contact details for mentors, trainers, helpers for each activity
 self-assessment section for each aim/activity
 trainer/supervisor assessment of each aim/activity
 probationary review comments and agreed future actions, per aim/activity
 overall review summary, comment and agree status/actions
 signatures and dates of reviewer and probationer

See the SMART task delegation review sheet, which is helpful for agreeing,
recording and measuring aims.
See also the general competencies skill set assessment form, and other
examples of individual assessment tools, which can also help in the
probationary review process.
The Multiple Intelligences concept and test and VAK Learning Styles concept
and test are extremely useful tools for appraisals, before or after, to help
people understand their natural potential and strengths and to help managers
understand this about their people too.
There are a lot of people out there who are in jobs which don't allow them to
use and develop their greatest strengths; so the more we can help employees
to understand their own special potential, and find roles that really fit well,
the happier we shall all be.
You might also want to look at the Fantasticat concept too - it's mainly for
children, but sometimes it helps to return to where we started when and if
things go off track. Understanding what we are fantastic at is at the very
heart of being happy and achieving great things in our work, and this applies
whether you are thinking about this for yourself, or helping others to do the
same.
It is worth re-emphasising the implications of the UK (consistent with Europe)
Equality Regulations 2010, which make it unlawful to discriminate against
anyone on the grounds of age, (in addition of course to race, religion, gender,
disability, etc). New or recent legislation always creates a vulnerability for
trainers and managers, and Age Discrimination particularly has several
implications for performance appraisals, documents used, and the training of
people who conduct staff appraisals. See the Age Diversity information.
Understand aboutequality law also if you are being appraised. It affects very
many people and situuations.
tips on completing your own self-assessment
appraisal form, and preparing for your appraisal
Be as truthful as you can without exposing yourself unnecessarily. Obviously if
your company and/or boss does not have a positive and fair approach be
careful not to create vulnerabilities for yourself.
Always be positive, never negative - don't complain, don't point out problems,
avoid making personal attacks on anyone or their abilities. If there are
problems express them as opportunities to develop or improve, an if possible
suggest or recommend how these improvements can be made.
Ask for help and training and coaching and development in areas that you
believe will improve your productivity and value to the organization.
Look for ways to relate personal growth and development of your own
passions and interests outside of work, to your work, and the benefits this
sort of development will bring to your employer. Think about your hobbies
and your natural strengths - they will almost certainly entail using many
attributes that will be helpful for your employer - perhaps beyond the role
that you find yourself in currently. If your employer is unaware of your talents
and potential make sure you tell your manager, and if your employer fails to
understand the benefits of helping you to follow your unique personal
potential (which each of us has) then maybe think about finding an employer
who places a higher value on their people.
Use the list or skill categories on the appraisal form to assess your capabilities
and behaviours one by one - be specific, objective and be able to reference
examples and evidence. This is an important area for the appraisal meeting
itself so think about it and if necessary ask others for feedback to help you
gather examples and form a reliable view of your competence in each
category listed. If the appraisal for does not have a list of skills and
behaviours create your own (use your job description for a basis).
Assess your performance for the appraisal period (normally the past year) in
each of your areas of responsibility; if there are no specific responsibilities or
objectives brought forward from your previous appraisal or on-going meetings
with your manager again use your job description as a basis for assessing
your performance, competence and achievements.
Identify objectives for yourself for the next year. These should be related to
your current job responsibilities and your intended personal development, and
be a mixture of short, medium and long-term aims (ie, days or weeks,
months, and a year or more). Attach actions and measurable outputs to these
aims and objectives -this is a commitment to change and improve which
demonstrates a very responsible and mature attitude.
If your aims and actions require training or coaching or other support then
state this, but do not assume you have a right to receive it - these things cost
money and your manager may not be able to commit to them without seeking
higher approval.
Think about and state your longer-term aspirations - qualifications and
learning, career development, and your personal life fulfilment issues too -
they are increasingly relevant to your work, and also to your value as an
employee.
Seek responsibility, work, and tasks within and beyond your normal role.
Extra work and responsibility, and achieving higher things develop people and
increase productivity for and contribution to the organization.
Always seek opportunities to help and support others, including your boss.
Always look upon reward as an economic result of your productivity. You have
no 'right' to reward or increase in reward, and reward is not driven by
comparisons with what others receive. Reward, and particularly increase in
reward, results from effort and contribution to organizational performance. As
such, if you want higher reward, seek first the opportunity to contribute more.

See other tools and materials related to appraisals, individual assessments,

and learning and development, including:
 job interviews and interviewing - the processes are similar to appraisals -
many of the questions are useful and can be adapted for the appraisal
meeting or the appraisal form itself - the information and ideas for group
selections and assessment centres also relate potentially to performance
appraisals
 equality
 personality theory and models
 multiple intelligence theory and learning styles
 coaching and training process flow diagram
 delegation/objectives SMART tool
 training planner tool
 Kolb learning styles theory and diagram
 empathy to build trust and diffuse conflict
 transactional analysis - for better communicating and understanding
 delegation - how to
 Adams equity theory on job motivation and diagram
 leadership tips
 job descriptions - structure and examples - it's helpful to have the person's
job description at appraisals, or to take yours along if it's your own
appraisal...

PERFORMANCE APPRAISAL

People differ in their abilities and their aptitudes. There

is always some difference between the quality and
quantity of the same work on the same job being done
by two different people.Performance appraisals of
Employees are necessary to understand each
employee’s abilities, competencies and relative merit
and worth for the organization.Performance appraisal
rates the employees in terms of their performance.

Performance appraisals are widely used in the society.

The history can be dated back to the 20th century and then to the second world war when the
merit rating was used for the first time. An employer evaluating their employees is a very old
concept.It is an indispensable part of performance measurement.
Performance appraisal is necessary to measure the performance of the employees and the
organization to check the progress towards the desired goals and aims.

The latest mantra being followed by organizations across the world being – "get paid according to
what you contribute" – the focus of the organizations is turning to performance management and
specifically to individual performance. Performance appraisal helps to rate the performance of the
employees and evaluate their contribution towards the organizational goals. If the process of
performance appraisals is formal and properly structured, it helps the employees to clearly
understand their roles and responsibilities and give direction to the individual’s performance. It
helps to align the individual performances with the organizational goals and also review their
performance.

Performance appraisal takes into account the past performance of the employees and focuses on
the improvement of the future performance of the employees. Here at naukrihub, we attempt to
provide an insight into the concept of performance appraisal, the methods and approaches of
performance appraisal, sample performance appraisal forms and the appraisal softwares available
etc. An attempt has been made to study the current global trends in performance appraisal.