PERFORMANCE APPRAISAL SYSTEM AT

FLEETGUARD FILTERS PVT LTD.

INTRODUCTION TO THE TOPIC

Human Resource (or personnel) management, in the sense of getting things done through people,
is an essential part of every manager’s responsibility, but many organizations find it
advantageous to establish a specialist division to provide an expert service dedicated to ensuring
that the human resource function is performed efficiently.

“People are our most valuable asset” is a cliché, which no member of any senior management
team would disagree with. Yet, the reality for many organizations are that their people remain
under valued, under trained and under utilized.

Performance Appraisal is the process of assessing the performance and progress of an employee
or a group of employees on a given job and his / their potential for future development. It
consists of all formal procedures used in the working organizations to evaluate personalities,
contributions and potentials of employees.

PREFACE
Managing human resources in today’s dynamic environment is becoming more and more
complex as well as important. Recognition of people as a valuable resource in the organization
has led to increases trends in employee maintenance, job security, etc

My summer internship project deals with “Performance Appraisal as carried out at Fleetguard
Filters Pvt Ltd. In this report, I have studied &evaluated the performance appraisal process as it
is carried out in the company.

The first section of my report deals with a detailed company profile. It includes the company’s
history: its activities and operations, organizational structure, etc. this section attempts to give
detailed information about the company and the nature of it’s functioning.

The second section deals with performance appraisal. In this section, I have given a brief
conceptual explanation to performance appraisal. It contains the definition, process and
significance of performance appraisal.

In the third section of my report, I have conducted a research study to evaluate the process of
performance appraisal at Fleetguard Filters Pvt Ltd.; this section also contains my findings,
conclusions, suggestions and feedback.

The forth and final section of this report consists of extra information that I related to the main
contents of the report. These annexure include some graphs and diagrams relating to the
company, graphs relating to the research study and important documents upon which the project
is based.

RATIONALE OF THE STUDY

Performance Appraisal is the important aspect in the organization to evaluate the employees
performance. It helps in understanding the employees work culture, involvement, and
satisfaction. It helps the organization in deciding employees promotion, transfer, incentives, pay
increase.

INTRODUCTION TO HUMAN RESOURCE MANAGEMENT

Human Resource (or personnel) management, in the sense of getting things done through people,
is an essential part of every manager’s responsibility, but many organizations find it
advantageous to establish a specialist division to provide an expert service dedicated to ensuring
that the human resource function is performed efficiently.

“People are our most valuable asset” is a cliché, which no member of any senior management
team would disagree with. Yet, the reality for many organizations are that their people remain
under valued, under trained and under utilized.

The market place for talented, skilled people is competitive and expensive. Taking on new staff
can be disruptive to existing employees. Also, it takes time to develop ‘cultural awareness’,
product / process / organization knowledge and experience for new staff members.

FUNCTIONS OF HUMAN RESOURCE MANAGEMENT

Following are the various functions of Human Resource Management that are essential for the
effective functioning of the organization:
 1. Recruitment

2. Selection

3. Induction

4. Performance Appraisal

5. Training & Development

Recruitment

The process of recruitment begins after manpower requirements are determined in terms of
quality through job analysis and quantity through forecasting and planning.

Selection
The selection is the process of ascertaining whether or not candidates possess the requisite
qualifications, training and experience required.

Induction

a) Induction is the technique by which a new employee is rehabilitated into the changed
surroundings and introduced to the practices, policies and purposes of the organization.

WHAT IS “PERFORMANCE APPRAISAL”?

Performance Appraisal is defined as the process of assessing the performance and progress of an
employee or a group of employees on a given job and his / their potential for future development.
It consists of all formal procedures used in working organizations and potential of employees.
According to Flippo, “Performance Appraisal is the systematic, periodic and an important rating
of an employee’s excellence in matters pertaining to his present job and his potential for a better
job.”

CHARACTERISTICS

1. Performance Appraisal is a process.

2. It is the systematic examination of the strengths and weakness of an employee in terms of

his job.

3. It is scientific and objective study. Formal procedures are used in the study.

4. It is an ongoing and continuous process wherein the evaluations are arranged periodically
according to a definite plan.

5. The main purpose of Performance Appraisal is to secure information necessary for

making objective and correct decision an employee.

PROCESS

The process of performance appraisal:

1. Establishing performance standards

2. Communicating the Standards

 3. Measuring Performance

4. Comparing the actual with the standards

5. Discussing the appraisal

6.Taking Corrective Action

LIMITATIONS

1. Errors in Rating

2. Lack of reliability

3. Negative approach

4. Multiple objectives

5. Lack of knowledge

METHODS OF PERFORMANCE APPRAISAL

The foregoing list of major program pitfalls represents a formidable challenge, even considering
the available battery of appraisal techniques. But attempting to avoid these pitfalls by doing
away with appraisals themselves is like trying to solve the problems of life by committing
suicide. The more logical task is to identify those appraisal practices that are (a) most likely to
achieve a particular objective and (b) least vulnerable to the obstacles already discussed.

Before relating the specific techniques to the goals of performance appraisal stated at the outset
of the article, I shall briefly review each, taking them more or less in an order of increasing
complexity.

The best-known techniques will be treated most briefly.

ESSAY APPRAISAL

In its simplest form, this technique asks the rater to write a paragraph or more covering an
individual's strengths, weaknesses, potential, and so on. In most selection situations, particularly
those involving professional, sales, or managerial positions, essay appraisals from former
employers, teachers, or associates carry significant weight.

GRAPHIC RATING SCALE

This technique may not yield the depth of an essay appraisal, but it is more consistent and
reliable. Typically, a graphic scale assesses a person on the quality and quantity of his work (is
he outstanding, above average, average, or unsatisfactory?) and on a variety of other factors that
vary with the job but usually include personal traits like reliability and cooperation. It may also
include specific performance items like oral and written communication.

FIELD REVIEW

The field review is one of several techniques for doing this. A member of the personnel or
central administrative staff meets with small groups of raters from each supervisory unit and
goes over each employee's rating with them to (a) identify areas of inter-rater disagreement, (b)
help the group arrive at a consensus, and (c) determine that each rater conceives the standards
similarly. .

FORCED-CHOICE RATING

Like the field review, this technique was developed to reduce bias and establish objective
standards of comparison between individuals, but it does not involve the intervention of a third
party.

MANAGEMENT BY OBJECTIVES

To avoid, or to deal with, the feeling that they are being judged by unfairly high standards,
employees in some organizations are being asked to set - or help set - their own performance
goals. Within the past five or six years, MBO has become something of a fad and is so familiar
to most managers that I will not dwell on it here.

RANKING METHODS

For comparative purposes, particularly when it is necessary to compare people who work for
different supervisors, individual statements, ratings, or appraisal forms are not particularly
useful. Instead, it is necessary to recognize that comparisons involve an overall subjective
judgment to which a host of additional facts and impressions must somehow be added. There is
no single form or way to do this.

The best approach appears to be a ranking technique involving pooled judgment.

The two most effective methods are alternation ranking and paired comparison ranking.

1. “Alternation ranking”:

Ranking of employees from best to worst on a trait or traits is another method for evaluating
employees. Since it is usually easier to distinguish between the worst and the best employees
than to rank them, an alternation ranking method is most popular. Here subordinates to be rated
are listed and the names of those not well enough to rank are crossed. Then on a form as shown
below, the employee who is highest on the characteristic being measured and the one who is the
lowest are indicated. Then chose the next highest and the next lowest, alternating between
highest and lowest until all the employees to be rated have been ranked.

2. “Paired-comparison ranking”:

This technique is probably just as accurate as alternation ranking and might be more so. But
with large numbers of employees it becomes extremely time consuming and cumbersome.

Both ranking techniques, particularly when combined with multiple rankings (i.e., when two or
more people are asked to make independent rankings of the same work group and their lists are
averaged), are among the best available for generating valid order-of-merit rankings for salary
administration purposes.

ASSESSMENT CENTERS
So far, we have been talking about assessing past performance. What about the assessment of
future performance or potential? In any placement decision and even more so in promotion
decisions, some prediction of future performance is necessary. How can this kind of prediction
be made most validly and most fairly?

360 DEGREE FEEDBACK

Many firms have expanded the idea of upward feedback into what the call 360-degree feedback.
The feedback is generally used for training and development, rather than for pay increases.

Most 360 Degree Feedback system contains several common features. Appropriate parties –
peers, supervisors, subordinates and customers, for instance – complete survey, questionnaires
on an individual. 360 degree feedback is also known as the multi-rater feedback, whereby ratings
are not given just by the next manager up in the organizational hierarchy, but also by peers and
subordinates. Appropriates customer ratings are also included, along with the element of self
appraisal. Once gathered in, the assessment from the various quarters are compared with one

another and the results communicated to the manager concerned.

Another technique that is useful for coaching purposes is, of course, MBO. Like the critical
incident method, it focuses on actual behavior and actual results, which can be discussed
objectively and constructively, with little or no need for a supervisor to "play God."

Advantages

Instead of assuming traits, the MBO method concentrates on actual outcomes. If the employee
meets or exceeds the set objectives, then he or she has demonstrated an acceptable level of job
performance. Employees are judged according to real outcomes, and not on their potential for
success, or on someone's subjective opinion of their abilities.

The guiding principle of the MBO approach is that direct results can be observed easily. The
MBO method recognizes the fact that it is difficult to neatly dissect all the complex and varied
elements that go to make up employee performance.
MBO advocates claim that the performance of employees cannot be broken up into so many
constituent parts, but to put all the parts together and the performance may be directly observed
and measured.

Disadvantages

This approach can lead to unrealistic expectations about what can and cannot be reasonably
accomplished. Supervisors and subordinates must have very good "reality checking" skills to use
MBO appraisal methods. They will need these skills during the initial stage of objective setting,
and for the purposes of self-auditing and self-monitoring.

Variable objectives may cause employee confusion. It is also possible that fluid objectives may
be distorted to disguise or justify failures in performance.

Benefits of Performance Appraisals

• Measures an employee’s performance.

• Helps in clarifying, defining, redefining priorities and objectives.
• Motivates the employee through achievement and feedback.
• Facilitates assessment and agreement of training needs.
• Helps in identification of personal strengths and weaknesses.
• Plays an important role in Personal career and succession planning.
• Clarifies team roles and facilitates team building.
• Plays major role in organizational training needs assessment and analysis.
• Improves understanding and relationship between the employee and the reporting
manager and also helps in resolving confusions and misunderstandings.
• Plays an important tool for communicating the organization’s philosophies, values, aims,
strategies, priorities, etc among its employees.
 • Helps in counseling and feedback.
Rating Errors in Performance Appraisals

Performance appraisals are subject to a wide variety of inaccuracies and biases referred to as
'rating errors'. These errors can seriously affect assessment results. Some of the most common
rating errors are: -

Leniency or severity: - Leniency or severity on the part of the rater makes the assessment
subjective. Subjective assessment defeats the very purpose of performance appraisal. Ratings are
lenient for the following reasons:

a) The rater may feel that anyone under his or her jurisdiction who is rated
unfavorably will reflect poorly on his or her own worthiness.

b) He/She may feel that a derogatory rating will be revealed to the rate to detriment
the relations between the rater and the ratee.

c) He/She may rate leniently in order to win promotions for the subordinates and
therefore, indirectly increase his/her hold over him.

Central tendency: - This occurs when employees are incorrectly rated near the average or
middle of the scale. The attitude of the rater is to play safe. This safe playing attitude stems from
certain doubts and anxieties, which the raters have been assessing the rates.

Halo error: - A halo error takes place when one aspect of an individual's performance influences
the evaluation of the entire performance of the individual. The halo error occurs when an
employee who works late constantly might be rated high on productivity and quality of output as
well ax on motivation. Similarly, an attractive or popular personality might be given a high
overall rating. Rating employees separately on each of the performance measures and
encouraging raters to guard against the halo effect are the two ways to reduce the halo effect.

Rater effect: -This includes favoritism, stereotyping, and hostility. Extensively high or low score
are given only to certain individuals or groups based on the rater's attitude towards them and not
on actual outcomes or behaviors; sex, age, race and friendship biases are examples of this type of
error.

Primacy and Regency effects: - The rater's rating is heavily influenced either by behavior
exhibited by the ratee during his early stage of the review period (primacy) or by the outcomes,
or behavior exhibited by the ratee near the end of the review period (regency). For example, if a
salesperson captures an important contract/sale just before the completion of the appraisal, the
timing of the incident may inflate his or her standing, even though the overall performance of the
sales person may not have been encouraging. One way of guarding against such an error is to ask
the rater to consider the composite performance of the rate and not to be influenced by one
incident or an achievement.

Performance dimension order: - Two or more dimensions on a performance instrument follow

each other and both describe or rotate to a similar quality. The rater rates the first dimensions
accurately and then rates the second dimension to the first because of the proximity. If the
dimensions had been arranged in a significantly different order, the ratings might have been
different.

Spillover effect: - This refers lo allowing past performance appraisal rating lo unjustifiably
influence current ratings. Past ratings, good or bad, result in similar rating for current period
although the demonstrated behavior docs not deserve the rating, good or bad.

ROLES IN THE PERFORMANCE APPRAISAL PROCESS

a) Reporting Manager

1 Provide feedback to the reviewer / HOD on the employees’ behavioral traits

indicated in the PMS Policy Manual

2 Ensures that employee is aware of the normalization / performance appraisal

process
 3 Address employee concerns / queries on performance rating, in consultation
with the reviewer

b) Reviewer (Reporting Manager’s Reporting Manager)

1 Discuss with the reporting managers on the behavioral traits of all the
employees for whom he / she is the reviewer

2 Where required, independently assess employees for the said behavioral traits;
such assessments might require collecting data directly from other relevant
employees

c) HOD (In some cases, a reviewer may not be a HOD)

1 Presents the proposed Performance Rating for every employee of his / her
function to the Normalization committee.

2 HOD also plays the role of a normalization committee member

3 Owns the performance rating of every employee in the department

d) HR Head

1 Assists HOD’s / Reporting Managers in communicating the

performance rating of all the employees

e) Normalization Committee

1 Decides on the final bell curve for each function in the respective
Business Unit / Circle

2 Reviews the performance ratings proposed by the HOD’s,

specifically on the upward / downward shift in ratings, to ensure an
unbiased relative ranking of employees on overall performance,
and thus finalize the performance rating of each employee

KEY CONCEPTS IN PMS

In order to understand the Performance Management System at BHARTI, some
concepts need to be explained which play a very important role in using the PMS
successfully. They are:

KRA’S (KEY RESULT AREAS): The performance of an employee is largely

dependent on the KRA score achieved by the employee during that particular
year. Thus, it is necessary to answer a few basic questions i.e.

1 What are the guidelines for setting the KRA’s for an employee?

2 How does an employee write down his KRA’s for a particular

financial year?

3 KRA’s: The Four Perspectives.

4 How is the KRA score calculated for an employee on the basis of the
targets sets and targets achieved?

BEHAVIORAL TRAITS: Some of the qualitative aspects of an employees’

performance combined with the general behavioral traits displayed by the
employee during a year constitutes his behavior traits. An employee is
assigned the rating on the basis of the intensity of the behavior displayed by
him. They play a very important role in the deciding the final performance
rating for an employee as is even capable of shifting the rating one level
upwards/downwards.

Fleetguard 2010 LEADERSHIP COMPETENCY FRAMEWORK: This

competency framework is a simple and structured way to describe the
 elements of behaviors required to perform a role effectively. This framework
also tries to assess the performance of an employee objectively.

THE PERFORMANCE RATING PROCESS: The rating process tries to

explain the four different types of rating that an employee can achieve i.e.
EC, SC, C and PC. It also explains the criteria, which is considered for
awarding any of these ratings to the employee.

PROMOTION AND RATING DISRTRIBUTION GUIDELINES: The promotion

and normal distribution guidelines provide the framework within which the
performance appraisal process has to work. It is very important that the HR
department pays due attention to these guidelines while preparing the bell
curves for various functions and the consolidated bell curve for all the
functions. These guidelines also help in deciding upon the promotion cases in
a year.

PERFORMANCE RATING PROCESS

EXCEPTIONAL CONTRIBUTOR (EC) SIGNIFICANT CONTRIBUTOR (SC)

 · Performs consistently and substantially above • Performs above expectations in all areas
expectations in all areas

· Achieves a final score greater than or equal to

• Achieves final score between 100-114%
115%

· Consistently delivers on stretch targets

• Versatile in his/ her area of operation

· Is proactive • Develops creative solutions and require little / minimal

supervision
· Spots and anticipates problems, implements
• Sets examples for others
solutions

. Sees and exploits opportunities • Take ownership of own development

· Delivers ahead of time

• Coaches others
· Sees the wider picture-impacts across business
• Demonstrates business initiative
· Focuses on what’s good for the business

· Seen as role model by others • Is self motivated

· Recognized as exceptional by other functions as

• Supportive team player
well

· Motivates others to solve problems • Leads own team very effectively

· Develops others
• Demonstrate functional initiative
· Provides open and honest feedback

· Able to establish and lead cross-functional teams ·

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 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 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 the free resources section.
The resources below are available as in different file formats including PDF's, MSWord or Excel
working tools.

performance appraisal form sample/template - PDF (revised August 2006)

performance appraisal form sample/template - MSWord (revised August 2006)

360 degree appraisals form template - MSWord

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

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

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

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

how to use skills/behaviours assessments and training needs

analysis tools
The skill/behaviours individual assessments and training needs analysis tools (available in pdf
and working file MSExcel versions above and from the free resources section) are simple,
effective and flexible tools for assessing individual training needs and for group training needs
analysis. Adapt them to suit your purposes, which can extend to specifying and evolving more
complex learning and development management systems.
While the word 'training' is used widely on this webpage (mainly because many people search
for and recognise the word 'training'), try to use the words 'learning' and 'development' when
structuring your own processes and adapting these tools. The words Learning and Development
capture the spirit of growing people from the inside out, rather than the traditional approach of
'putting skills in' through prescriptive training methods, which are less likely to enthuse and
motivate people than self-driven learning and development.
The Training Needs Analysis (TNA) spreadsheet is now available in three different variations,
based on three different individual skill/behaviour assessments for the roles:
• general,
• commercial/sales, and
• management.
The tools, available above, offer a simple, free and very powerful way to identify, assess,
analyse, prioritise and plan training needs, for individuals, small teams, small companies, and
very large organisations.
You can use the tools in the present format or adapt them to suit your situation. Obviously ensure
that the skill/behaviours descriptions are consistent throughout the individual assessment tool
and the Training Needs Analysis tool. It is entirely possible to include a variety of 'skill-sets' on a
single TNA spreadsheet.
You can use whatever scoring system suits you and your situation, although number scoring
(rather than words or letters) is necessary for spreadsheet analysis.
A 1-4 scoring system generally works well, since it gives less opportunity for middling, non-
committal answers. Primarily you need to know simply whether each capability 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 questio
skill/capability feedbac
skill/capability n feedback question
element k score
area number

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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