Training and Performance Appraisal

Are They Related?

EDITORS NOTE: Performance appraisal within the organi-
zational context is defined as the supervisors judgment
of how well an employee performs his job based on estab-
lished job measurement criteria. This term, which has
gained some steam in the highly competitive business
world, has infused the thinking of Donald L. Kirkpatrick,
who is considered the father of training evaluation.
For this 60th anniversary issue, Kirkpatrick examines
the evolution of performance appraisals and how they fit
with workplace training.
It seems to me that workplace training and perfor-
mance appraisals have the same objective: to im-
prove performanceboth behavior and results. And
to my knowledge, very few organizations integrate
the two concepts.
If you are reading this article and have a formal
performance appraisal program, you probably think
of it as a human resources program that will deter-
mine merit increases and promotions and other per-
sonnel decisions. This is the emphasis that most
programs link to appraisals.
An effective performance appraisal program
should do more than set salary and promotion deci-
sions on past performance. It should aid in the devel-
opment of a performance improvement plan that
utilizes coaching from the department supervisor or
manager to increase skills development. This puts it
in the same category as training, which is all about
looking ahead and developing practical programs
that result in improved performance.
Both training and performance appraisal rely on
managers to work with employees to obtain maxi-
mum performance. Training in most large organiza-
tions has branched out from the human resources
department to form its own niche, usually in the
form of a corporate university. And this departure
from HR has usually sent performance appraisal and
training in different directions.
Corporate universities and other training depart-
ments, whether or not they are under HR, should eval-
uate how they can integrate the two programs.
Nearly all performance appraisal programs identify
an employees strengths and weaknesses. These weak-
nesses can be translated into training needs, which are
a basic ingredient of practical training programs. The
needs of individual employees can be used to deter-
mine subject content for training programs.This is why
performance appraisals play an indirect role in training.
But are typical performance appraisal programs
related to training?
As stated earlier, in most organizations, per-
formance appraisals are not used to determine
training content. Typically the manager calls the
employee into her office once a year to review the
performance appraisal form. The ratings are usually
determined without any self-appraisal from the
employee. Once the manager has filled out the ap-
praisal, it is taken to the executive level to deter-
mine the merit increase.
After that, the so-called performance appraisal in-
terview is conducted.The manager explains and justi-
fies both the ratings and the merit increase. After
answering any questions from the employees, the in-
terview is concluded and the process is over.
Yes, I have simplified and perhaps slightly distort-
ed what exactly takes place, but I have accurately de-
scribed the general approach. Unfortunately, little or
nothing is said about what should be done to im-
Effective performance appraisals should aid in employee development.
By Donald L. Kirkpatrick
Copyright ASTD, September 2006
prove performance. And rarely is any performance
improvement plan developed.
In some organizations, performance appraisals
are done semi-annually and even quarterly, but, the
overriding factor is still merit increases instead of im-
proved performance.
There is general agreement that the same ap-
proach should not be used for appraisals linked with
salary decisions and those linked with performance
improvement. In both approaches, an appraisal of
performance is necessary. But the main difference
is that one looks back and the other looks ahead.
For the performance appraisal, the subordinate
should be asked to complete a self-appraisal using
the same form as the manager.
The atmosphere of both appraisals is different. In
the one tied to salary decisions, the ratio of discussion
averages about 9 to 1, managers to employees. In the
performance appraisal, the ratio is more 50-50. Input
from the employee is usually necessary.
Once the strengths and weaknesses are agreed
upon, weaknesses should be converted into training
needs. Then the employee and the manager should
jointly develop a performance improvement plan.
Then, the manager develops a coaching plan to en-
sure that the agreed upon training needs are met.
When both the manager and the employee work to-
gether to create an individual development plan, im-
proved performance results.
Yes, training and performance appraisals are close
relatives if the performance appraisal projects what
can be done to improve employee performance. If you
are responsible for performance appraisals, examine
how you can use training to improve performance.
And if you are a workplace training professional,
you need to meet with performance appraisal profes-
sionals to see how you can work together to improve
employee performance and productivity.
One final thought for trainers: Put coaching on
your top priority list for management training and tie
it to your performance appraisal program. You should
also include a training program that teaches man-
agers how to conduct an appraisal interview.
This will solidify the relationship between training
and the performance appraisal process. TD
Donald L. Kirkpatrick is professor emeritus of the University
of Wisconsin. He is a past president of ASTD, and the 2003
recipient of the Lifetime Achievement in Workplace Learning
and Performance award. The article was based on his new
book, Improving Employee Performance Through Appraisal
and Coaching; Dleekirk1@aol.com.
TDSeptember 2006 45
Copyright ASTD, September 2006
Copyright ASTD, September 2006
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