performance appraisals

performance appraisals, performance

evaluation and assessment of job
skills, personality and behaviour - and
tips for '360 degree feedback' and
'360° appraisals'
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 data feeds into organizational annual pay and grading
reviews, and 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. Performance
appraisals are important for staff motivation, attitude and behaviour
development, communicating 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. In short, performance
and job appraisals are vital for managing the performance of people
and organizations.

are performance appraisals truly

beneficial?
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 to remove 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 be counter-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 the new performance
appraisal form from the free resources section, (which also
contains other useful tools for appraisals and developing people -
you'll need Acrobat Reader to view and download, available free
from Adobe.com). The appraisal form is also available free in
MSWord. 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 use as is or adapt to create your own form.
• 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 their meeting 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. 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

This performance appraisal template has been specially developed to
adapt for your own situation. For many situations the example will
serve perfectly well without amending. Obviously you'll need to create
a bit of space for the answers to the questions. Here is a free
performance appraisal form in pdf format, and here is the same
performnce appraisal form in MSWord format. These free forms are
based on the template below.
performance appraisal form
template/sample
organization, division and department:

year or period covered:

name:

age:

position:

location/site/based at:

months in present position:

length of service:

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?

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. (NB This list is
not exhaustive or definitive - the list should reflect the requirements of
the job and the career path. See also the skills and behaviour
assessment tool for other aspects to include in this list.)

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

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.

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 list is
not exhaustive or definitive - the list should reflect the requirements of
the job and the career path. See also the skills and behaviour
assessment tool for other aspects to include in this list.) 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
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).

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.)

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. 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 standard and agreed task. 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.
B10 Any other issues (Ideally and hopefully none, but 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.)

appraisals references and tools

Some of these are pdf files, available to view and download free - for
which you'll need Adobe Acrobat Reader - available free from
adobe.com.

performance appraisal form sample/template - downloadable pdf

skill set and behaviour set assessment tool - see instructions for use
below

training needs analysis tool - see instructions for use below - also
management training needs analysis spreadsheet tool in Excel

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

job interviewing (the process is similar to appraisals and many of the
questions are useful and can be adapted for the appraisal meeting or
the appraisal form itself)

leadership tips

job descriptions (helpful at appraisals)

how to use skill-set assessments and

training needs analysis tools
The skill/behaviour set and training needs analysis tools (available in
pdf and working file MSExcel formats from the free resources section)
are simple, effective and flexible assessments and analysis tools for
performing individual and group Training Needs Analysis.

The Training Needs Analysis (TNA) spreadsheet in its two different

variations (sales/commercial, and management) is a free and yet
immensely powerful tool for identifying, assessing, analysing,
prioritising and planning trining needs, for small teams, and very large
organisations

Here is a free working example of a Skill Set Assessment for a

commercial/sales role, in MSExcel.

Here is a free working example of the Training Needs Analysis Tool for
the sales/commercial role , in MSExcel.

Also: Manager Skill Set Assessment Tool in Excel,

and Training Needs Analysis Tool for Management Role in Excel.

You can use the tools as they are or adapt them to suit your situation.
Obviously ensure that the skill descriptions are consistent throughout
the individual assessment tool and the Training Needs Analysis tool,
although 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 we need to
know simply whether capability is adequate 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 set 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 must have input 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 skillset 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 skillset/behavioural tests
can be used in conjunction with the Training Needs Analysis tool
available from the website as a pdf or as a working Excel file from the
free resources section. 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 Training Needs Analysis
tool, to identify 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 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, eg., 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 & 2 = above standard; 3 = below 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.

tips on 360 degree feedback and 360

appraisals
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.

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.

Now available:

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):

• 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).
• 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 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.)

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 shwon 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 questio
skill/capability feedback
skill/capability n feedback question
element score
area number

1
2
3
4
5
6
7
8
9
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.....)

Now available:

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 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. This training needs analysis
tool is also available in pdf format.

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.

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 life issues if relevant.

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.

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 on their 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 hr 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 mins max.

Use of a good appraisal form including self-assessment elements is

essential for well organised appraisals. See the template above and
the free appraisal form sample.

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.
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.

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

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