PERFORMANCE APPRAISAL

K. Vijayaragavan*

1. Definition of performance

Performance can be defined as a desirable outcome or result of an individual in his or her

job in a fix period.

2. Factors of performance

 Work environment

 Individual characteristics

 Motivation of employees

 Reward system

 Facilities available

 Capacity of employee

3. Why to concentrate on performance?

 Being busy Vs achieving

 Pare to 20-80 principle

 Increased competition in the environment

 Poor utilisation of human potential

 Increasing concern on public finance

 Need for securing commitment from employee for performance

*Dr. K. Vijayaragavan, Principal Scientist, Div. of Agril. Extension, IARI, New Delhi – 110 012
4. Focus of Performance management

 Individual

 Department

 Whole organisation

 Processes and programmes (product)

 Products and services

5. Definition of appraisal

 Appraisal is a process of assessing or estimating to wheat extend, agreed upon goal have
been achieved and putting a value or judgment of their quality and quantity.

6. Definition of performance app

 Performance appraisal is a systematic process of evaluation of achievement of an

individual with regard to his/her pre-determined job goals in terms of quality and
quantity within a fixed time frame of work.

7. Aims of traditional performance appraisal system

 To make decision on future promotion and salary increase

 To control employees behaviour through punishment

 To make decision regarding transfer

8. Assumption under traditional performance appraisal system (source: Rao T.V.)

a. There is a need for controlling behaviour of employees.

b. The behaviour of employees can be effectively controlled through rewards, punishment

and threats.

c. The employees can motivated through salary increase or promotion based upon the
results of performance appraisal.
 d. There is no need to communicate the results of appraisal to the employees.

e. The non-communication of results increases the effectiveness of performance appraisal.

f. The employees can be assessed without much inputs from them and the boss can assess
the employees in an unbiased way when they (employees) are not involved in
performance appraisal process.

g. Assessment of few psychological characteristics like commitment, honesty, punctuality,

communication ability, technical ability, and leadership skill will be sufficient to know
ones overall performance.

9. To what extend the above assumptions are true?

 According to Rao (1999) managers can hardly change the behaviour of employees. The
change in behaviour occur when the employees see the need for it.

 Performance appraisal in many organizations has been found to have poor linkage with
employees' rewards and punishment.

 There are limitations faced by organizations in granting salary increase and promotion
based upon the results of performance appraisal.

 The research findings show that the confidentiality of performance appraisal decreases its
effectiveness.

 The immediate boss of an employee may know the employees in a better way. However,
his knowledge of subordinates may be poor due to factors like a large number of
employees to be supervised, time constraints and subjectively factors.

 The trait-based system of performance appraisal has serious limitations.

10. Aims of development oriented performance appraisal

a) To help to improve performance by knowing ones strength and weakness.

b) Improving ones motivational level through positive feedback and guidance from
supervisors.
 c) Improving manager employee relationship through interactions and inputs by
employees.

d) To identify the future potential of an employee.

e) To know the training and development at needs of employee

f) To make an effective and fair reward decision.

g) To improve the overall climate of the organisation to improve production and

productivity.

11. Steps in performance appraisal

a) Identification of Key Performance Areas (KPA).

b) Setting goals under each KPA.

c) Identification of critical attributes required for performance of employees.

d) Self-appraisal.

e) Identification of factors which facilitated and hindered performance.

f) Performance discussion and counseling.

g) Identification of training needs.

h) Action planning and goal setting for future.

i) Final assessment by the supervisor

12. Identification of Key Performance Area (KPA)

 Meaning of KPA

Critical functions of an individual, which contribute to the results expected from him/her
for a given period of time.
  Need for identifying KPAs

To increase role clarity

To reduce role ambiguity

 Steps in identification of KPAs

a) Identify all activities performed by an employee as a part of his job (20 to 30
activities).

b) Categorize and classify the activities into four or five major functions.

c) Find out those functions which are essential for his or her job by rank ordering them
(not more than five KPAs should be identified for an employee).

The whole exercise can be done in groups consisting the employees and supervisors.

Example:

KPAs for village level extension workers

a) Dissemination of improved farm information.

b) Conduct of demonstrations in farmers' field.

c) Visiting farmers' field to identify their problems and needs.

d) Implementing special programmes.

KPAs for agricultural extension officers at block level

Planning and implementation of extension programme at field level.

Supervision of VLMs.

Training of VLMs.

Visiting farmer's field to identify their problems and offer advisory services.
Exercise:

Divide the trainees into four to five groups. Each group should have six participants.
Three of the participants should be designated as employees and the rest as supervisors. Each
group should be given an assignment of identification of KPAs of one of the following
employees:

1. Agricultural research scientist

2. District level extension officer

3. Subject matter specialist at district level

4. Joint Director of Agriculture at sub-divisional level.

13. Formulation of performance goals

Identify performance goal for each KPAs in quantitative and qualitative terms for a given
period of time.

Example:

For village level extension worker

KPA: Dissemination of improved farm information

Performance goal:

a. Training of two hundred farmers on vermiculture during January to June

b. Making arrangements to conduct four exhibitions during April to May

c. Efforts to prepare 5000 leaflets; 5000 pamphlets; and 1000 booklets on various farm
technologies related to major crops of the area and distributing them among farmers
during June to December
14. Identification of critical attributes of different categories of employees

 Three types of skills:

 Technical

 Managerial

 Behavioural & mental

 Technical skills

a. Knowledge of subject matter

b. Knowledge of local condition

c. Knowledge of equipments and inputs needed for work

 Managerial skills

a. Planning

b. Organising

c. Staffing

d. Co-ordinating

e. Reporting

f. Budgeting

 Behavioural skills

a. Reasoning ability

b. Numeral ability

c. Creativity

d. Ability to work in group

 e. Assertiveness

f. Sociability

g. Loyality

Methods of identification of critical attributes

a. Observation in job situation

b. Indirect interview

c. Critical incidence technique

d. Check list

Exercise:

Different attributes needed for District Level Extension Supervisors are given below. Determine
the extent of critically of each attribute.
S. Items Very Great Mode- Little Very
No. great extent rate extent little
extent extent extent
1. Knowledge of modern farm practices
2. Knowledge of local area
3. Skills in planning
4. Ability to solve problems
5. Creativity (originality)
6. Effective communication with farmers
(Verbal)
7. Team spirit
8. Concern for employees' growth and
development
9. Honesty and integrity
10. Futuristic vision
11. Ability to inspire others
12. Effective time management skills
13. Effective leadership skills to manage
the employees
14. Reasoning skills
15. Numerical skills
16. Effective decision making skills
17. Flexibility
18. Knowledge of use of computers
19. High level of achievement motivation
20. Good physical health
21. Tolerance for mistake of others
22. Effective coaching & counseling skills
23. Ability to diagnose field problems
24. Ability to diagnose problems among
employees
25. Hard work and endurance
26. Ability for coordination with other
departments
27. Good writing and report making skills
28. Empathy
29. Conflict management skills
30. Good skill in organiaing
31. Ability to diagnose the talents in other
people and encouraging them to
develop the same
32. Ability in making initiative
33. Ability to set goals and get the work
done
34. Desire for success
35. Openness
36. Consistency and perseverance
37. Forward looking and optimize
38. Listening skill
39. Judgement skill
40. Ability to predict future problems and
opportunities
41. Skills in developing long-term and
perspective plan for the orgnization.
15. Self appraisal

Purpose:

a. Reflection and development

b. Evaluation of one's achievements

c. Identification of training and developmental needs

d. Communication of one's contributing and accomplishments to his superiors

Focus of self appraisal

a. Rating of accomplishments in comparison to set objectives.

b. Identification of factors that facilitated or hundred performance.

c. Evaluation of technical, managerial and behavioural skills.

d. An analysis of opportunities for growth

e. An analysis of support needed from superiors.

f. Action plan to develop one's capabilities for better performance in future

16. A 360 degree feedback system

a. Self appraisal

b. Peer appraisal

c. Appraisal by supervisors

d. Appraisal by subordinates

17. Identification of factors that facilitated and hindered performance

a. To identify the factors that hindered or facilitated the employee in his/her performance

b. To find out the training and development needs of employee for better performancee
An example of facilitating and inhibiting factors in the performance of Blok level extension
officers

 Facilitating factors

Factors attributed to self:

a. Self confidence

b. Faith in self

c. Resourcefulness

d. Contact with outside resource persons

e. Good health

f. Good rapport with farmers

g. High level of knowledge of modern farms practices

Factors attributed to supervisors

a. Quick decision making

b. Organising capacity

c. Constant supervision

d. Genuine interest in growth and welfare of subordinates

Factors attributed to the organisation as a whole

a. Effective linkage with research system

b. Well trained human resources

c. Effective co-ordination with other development departments

Factors attributed to the subordinates

a. Expertise in the subject matter

b. Young and energetic staff

c. Willingness to work beyond office hours

Factors attributed to environment

a. Supply by farmers and their organizations

b. Favourable prices

c. Support from mass media agencies like newspaper, radio etc.

Hindering factors

Factors attributing to self

a. Multiplicity of responsibility at home and office

b. Lack of knowledge of computer skills

Factors attributed to supervisors

a. Authoritarian leadership style

b. Unwillingness to provide necessary facilities

c. Competing with one's own subordinate

d. Lack of interest in solving farmers' problem

e. Poor competency in technical matters

f. III health, and family problems

 Hindering factors attributed to organisation as a whole

a. Poor policies related to reward

b. Lack of modern computer and communication facilities

Hindering factors attributed to subordinates

a. Conflict among subordinates

b. Frequent absenteeism due to ill-health

c. Unwillingness to learn new things

Hindering factors attributed to environment

a. Flood

b. Political uncertainty

c. Competition from NGO's

d. High labour cost

 How to make use of those identified factors?

a. In finding out the training and development needs of the employee

b. To help to prepare action plan to remove the bottlenecks

c. To strengthen those factors which promotes performance

Exercise

Identify the facilitating and hindering factors of performance for Subject Matter Specialist at
District level.

17. Performance discussion

Objectives

 To provide opportunities for the appraiser and appraisee to share and discuss various
issues connected with performance assessment.
  To provide counseling and feedback to the employee so as to help his/her strength and
weaknesses.

Steps involved

a. Submission of self-appraisal to the reporting officer

b. The appraiser after studying the self report makes his provisional assessment based on
ratings given for each KPA and critical attributes

c. Fixation of data and time for discussion between appraiser and appraisee on performance

d. Discussion is based upon the ratings given by the appraiser and appraisee on KPAs as
well as the feedback concerning expectation from appraiser and appraisee

e. The ratings may changed based upon the discussion which has to be done in a climate of
openness

Rating of performance

1. Outstanding
2. Very good
3. Good
4. Average
5. Below average
6. Poor
7. Very poor

Performance Counseling

Steps in Performance Counseling

 Assessment of performance.

 Identification of performance problem

 Identification of areas of improvement.

 Action plan for future action.

Meaning of counseling in the context of performance analysis

1. Focus on the entire performance rather than on specific problem.

2. Not to be confused with clinical counseling.

3. To be seen with positive attitude

Purpose of counseling

1. To help the employees to understand his strengths, weaknesses, opportunities and threats.

2. To help the employee's to realize his behavioral pattern which are critical for
performance.

3. Identify specific problems in performance and suggests ways to solve them.

4. To provide feedback about overall performance.

5. To help the employee's to develop future action plan.

Rules for effective counseling

a. Create a climate of thrust, friendliness and openness.

b. Focus on behavior and not on the person.

c. Provide positive feedback

d. Focus on building employees strengths rather than highlighting their weaknesses.

Components of effective counseling

 Listening

 Feedback

 Openness

 Helping and empathy

Performance Appraisal Climate Questionnaire

Give response to the following statements. Please note that you are required to give responses for
'Actual' and Desired' situations regarding the performance appraisal system in your organisation.

ACTUAL DESIRED

1. How often do you feel that you actively participate in setting the goals to be achieved by
you in your present job?

1. Almost never

2. Rarely

3. Sometimes

4. Usually

5. Almost always

2. How often the results of assessment of your performance is communicated to you?

1. Almost never

2. Rarely

3. Sometimes

4. Usually

5. Almost always

3. How often do you feel satisfied with the present system of their performance evaluation?

1. Almost never

2. Rarely

3. Sometimes

4. Usually

5. Almost always
4. To what extent do you know about different goals to be achieved in your present job
against which your performance will be judged.

1. Not at all

2. To a little extent

3. To some extent

4. To a considerable extent

5. To a great extent

5. To what extent do you think that your performance objectives are specific in term of
quantity of your work?

A. Not at all

B. To a little extent

C. To some extent

D. To a considerable extent

E. To a very great extent

6. How much emphasis do you feel that the present system of performance evaluation
places on judging ones character than the achievements of goals?

A. Very much

B. Much

C. Some

D. Little

E. Not at all

7. "My salary is not dependent of my performance"

A. Strongly agree

B. Agree
 C. Neither agree nor disagree

D. Disagree

E. Strongly disagree

8. "The present performance evaluation is used for the purpose of transfer of employees
who are not liked by the superiors". How often does it happen in your organisation?

A. Yes, it is almost so

B. Yes, it is usually so

C. Yes, it is sometimes so

D. No, it is rarely so

E. No, it is almost never so

9. How often does your performance evaluation help you in identification of your weakness
and takes corrective measures?

A. Almost never

B. Rarely

C. Sometimes

D. Usually

E. Almost always

10. Do you expect at least non-monetary rewards based upon your better performance?

A. No never

B. Rarely

C. Sometimes

D. Usually

E. Almost always
11. "Quality of job to be done by me is never communicated to me in advance"

A. Strongly agree

B. Agree

C. Neither agree nor disagree

D. Disagree

E. Strongly disagree

12. How often do you get help, guidance and encouragement from your superior to achieve
your target?

A. Almost never

B. Rarely

C. Sometimes

D. Usually

E. Almost always

Scoring:

The score of each response is the same as the serial number indicated against each
response. For example the score for item 12 is a follows:

Response Score

Almost Never 1

Rarely 2

Sometimes 3

Usually 4

Almost always 5
Transfer your scores for the following dimension:

Dimensions Add the score Actual Desired Gap

of items score score
Participation Items: 1
Feedback Items: 2
Employee acceptance Items: 3
Awareness of PAS objectives Items: 4
Clarity of Performance Objective Items: 5
Criteria relevance Items: 6
Performance appraisal & salary Items: 7
Administrative Uses Items: 8
Development Uses Items: 9
Reward & support system Items: 10
Performance standard Items: 11
Superior – subordinate relationship Items: 12
 Performance Appraisal Form
Part-1. Basic information

Name of the officer :

Designation :

Date of birth :

Educational Qualifications :

Total years of service in the present position :

Total years of service in the organisation :

Part-II. Evaluation of work done

Please list all the KPAs identified for you in consultation with your supervisors. Evaluate the
extent of achievement of each KPA in five-point continuum.

Give the following score:

Achievement level Score

Very high 5

High 4

Medium 3

Low 2

Very low 1
S. Performance Extent of Achievement
No. Items (KPAs) Rated by self Rated by Supervisors Remarks, if any
1. KPA-1
2. KPA-2
3. KPA-3
4. KPA-4
5. KPA-5
Overall achievement

Part-III. Evaluation of critical attributes required for the job

S. Critical Attributes Rated by self Rated by Supervisors Remarks, if any

No.
1.
2.
3.
4.
5.
Overall achievement

Part-IV. Performance Analysis

Performance Analysis

To be filled first by the extension officer considering his overall performance and
achievements. Based upon your job experience during last year, list out the factors, which
helped in your achievement of objectives. Also mention the factors that hindered achievement of
goals.

Factors which promoted performance

(Briefly mention personal, environmental and organisational factors which facilitated your
performance. Be specify. Give examples)
Factors which hindered performance

(Briefly mention personal, environmental and organisational factors which hindered your
performance. Be specify. Give examples)

Indicate your current and future areas of work of interest:

Current area of work of interest:

Future areas of work of interest:

Signature of employee: ____________________________________________

Comments of supervising officer: __________________________________________________

_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________

Signature of the supervising officer

 Part-V. Performance Discussion

Performance Discussion

To filled up during the performance discussion by both extension officer and his/her supervising
officer. The Performa I and Performa II will be serving as initiator of discussion

Points mentioned by the extension officer with respect to his/her performance during discussion

Points mentioned by the supervising officer with respect to the performance of extension officer
during discussion

Comments of extension officer: __________________________________________________

_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________

Signature

Comments of supervising officer: __________________________________________________

_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________

Signature
 Part-VI.
Development Needs
To filled up appraiser i.e. supervising office at the end of Performance Discussion. He will
mention the development needs of each extension officer and suggest action plan to fulfill the
required developmental needs.

Employee's name Developmental needs Proposal to meet their needs Remarks

Overall potential of the extension officer:

Strong points of the officer

Week points of the officer

Description of his/her potential for development

What improvement(s) would increase his potential

Rewards and /or promotions suggested

1. Letter of appreciation
2. Promotion of next cadre
3. Monetary award
4. Non-monetary award
5. Others

Signature of supervising officer:

Reviewing of overall performance of extension officer by reviewing authority

Remarks by the reviewing officer: __________________________________________________
______________________________________________________________________________
______________________________________________________________________________
Signature of the reviewing officer:
Designation:
Date: