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home » human resources » performance appraisals


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

Important changes relating to age discrimination in UK employment


law became effective in October 2006, with implications for all types
of appraisals and job performance and suitability assessment.
Ensure your systems, training and materials for appraisals reflect
current employment law. It's helpful to understand these recent
laws also if you (young or old) are being appraised. The UK
(consistent with Europe) Employment Equality (Age) Regulations
2006, effective from 1st October 2006, make it 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 and Discrimination on performance appraisals, and
other aspects of managing people, see the Age
Diversity information. Of course many employment laws, including
those relating to other forms of discrimination, also affect appraisals
and performance assessment, but the age issue is worthy of special
not because the changes are relatively recent.
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 (revised August 2006)
performance appraisal form (MSWord) sample/template -
downloadable MSWord file (revised August 2006)
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 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
isclearly 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 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 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. 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. The UK (consistent with Europe) Employment Equality (Age)
Regulations 2006, effective from 1st October 2006, make it unlawful
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 thefree 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
aboveand 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 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
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 sitution - 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
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.....)

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 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 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) Employment Equality (Age) Regulations 2006, effective
from 1st October 2006, 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
about the Age discrimination law also if you are being appraised.
Young or old - 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 also
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
• 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...

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