Performance appraisals

performance appraisals, performance evaluation and assessment of job skills,

personality and behaviour - and tips for '360 degree feedback' and '360
appraisals'

O PerIormance appraisals are essential Ior the eIIective management and evaluation
oI staII. Appraisals help develop individuals, improve organizational
perIormance, and Ieed into business planning.
O ormal perIormance appraisals are generally conducted annually Ior all staII in
the organization. Each staII 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 oI the organization). Annual perIormance
appraisals enable management and monitoring oI standards, agreeing expectations
and objectives, and delegation oI responsibilities and tasks.
O $taII perIormance appraisals also establish individual training needs and enable
organizational training needs analysis and planning.
O PerIormance appraisals data Ieeds into organizational annual pay and grading
reviews, and coincides with the business planning Ior the next trading year.
O PerIormance appraisals generally review each individual's perIormance against
objectives and standards Ior the trading year, agreed at the previous appraisal
meeting. PerIormance appraisals are also essential Ior career and succession
planning.

O PerIormance appraisals are important Ior staII motivation, attitude and behaviour
development, communicating organizational aims, and Iostering positive
relationships between management and staII. PerIormance appraisals provide a
Iormal, recorded, regular review oI an individual's perIormance, and a plan Ior
Iuture development.

O In short, perIormance and job appraisals are vital Ior managing the perIormance
oI people and organizations.

Are performance appraisals truly beneficial?
O It is sometimes Iashionable in the 'modern age' to dismiss traditional processes
such as perIormance appraisals as being irrelevant or unhelpIul. Be very wary
however iI considering to remove appraisals Irom your own organisational
practices. It is likely that the critics oI 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 Iinds diIIicult. Appraisals - in whatever Iorm, and there are
various - have been a mainstay oI management Ior decades, Ior good reasons.

O %hink about everything that perIormance appraisals can achieve and contribute to
when they are properly managed, Ior example:
O perIormance measurement - transparent, short, medium and long term
O clariIying, deIining, redeIining priorities and objectives
O motivation through agreeing helpIul aims and targets
O motivation though achievement and Ieedback
O training needs and learning desires - assessment and agreement
O identiIication oI personal strengths and direction - including unused hidden
strengths
O career and succession planning - personal and organisational
O team roles clariIication and team building
O organisational training needs assessment and analysis
O appraisee and manager mutual awareness, understanding and relationship
O resolving conIusions and misunderstandings
O reinIorcing and cascading organisational philosophies, values, aims, strategies,
priorities, etc
O delegation, additional responsibilities, employee growth and development
O counselling and Ieedback
O manager development - all good managers should be able to conduct appraisals
well - it's a Iundamental process
O the list goes on..

O People have less and less Iace-to-Iace time together these days. PerIormance
appraisals oIIer a way to protect and manage these valuable Iace-to-Iace
opportunities. My advice is to hold on to and nurture these situations, and iI you
are under pressure to replace perIormance appraisals with some sort oI
(apparently) more eIIicient and cost eIIective methods, be very sure that you can
saIely cover all the aspects oI perIormance and attitudinal development that a
well-run perIormance appraisals system is naturally designed to achieve.

O %here are various ways oI conducting perIormance appraisals, and ideas change
over time as to what are the most eIIective appraisals methods and systems. $ome
people advocate traditional appraisals and Iorms; others preIer 360-degree-type
appraisals; others suggest using little more than a blank sheet oI paper.

O In Iact performance appraisals of all types are effective iI they are conducted
properly, and better still iI 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 Ior them. Be Ilexible. %here are
lots oI ways to conduct appraisals, and particularly lots oI ways to diIIuse
apprehension and Iear - Ior managers and appraisees alike. Particularly -
encourage people to sit down together and review informally and often - this
removes much oI the pressure Ior managers and appraisees at Iormal appraisals
times. Leaving everything to a single make-or-break discussion once a year is
asking Ior trouble and trepidation.
Look out especially Ior the warning signs oI 'negative cascaded attitudes'
towards appraisals. %his is most oIten Iound where a senior manager or director
hates conducting appraisals, usually because they are uncomIortable and
inexperienced in conducting them.

%he senior manager/director typically will be heard to say that appraisals don't
work and are a waste oI time, which Ior them becomes a selI-IulIilling prophecy.
%his 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, perIormance 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 Ior 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
O Aside Irom Iormal traditional (annual, six-monthly, quarterly, or monthly)
perIormance appraisals, there are many diIIerent methods oI perIormance
evaluation. %he use oI any oI these methods depends on the purpose oI the
evaluation, the individual, the assessor, and the environment.

O %he Iormal annual perIormance appraisal is generally the over-riding instrument
which gathers together and reviews all other perIormance data Ior the previous
year.
O PerIormance appraisals should be positive experiences. %he appraisals process
provides the platIorm Ior development and motivation, so organizations should
Ioster a Ieeling that perIormance appraisals are positive opportunities, in order to
get the best out oI the people and the process.
In certain organizations, perIormance 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 Iear and resentment, so never, never, never use a staII
perIormance appraisal to handle matters oI discipline or admonishment, which should
instead be handled via separately arranged meetings.


Types of performance and Aptitude assessments, Including formal performance
appraisals
O ormal annual perIormance appraisals
O Probationary reviews
O InIormal one-to-one review discussions
O Counselling meetings
O Observation on the job
O $kill- or job-related tests
O Assignment or task Iollowed by review, including secondments (temporary job
cover or transIer)
O Assessment centres, including observed group exercises, tests presentations, etc.
O $urvey oI opinion oI others who have dealings with the individual
O Psychometric tests and other behavioural assessments
O raphology (handwriting analysis)
None oI these methods is mutually exclusive.
All oI these perIormance assessment methods can be used in conjunction with others in
the list, depending on situation and organizational policy. Where any oI these processes is
used, the manager must keep a written record, and must ensure agreed actions are
Iollowed up. %he notes oI all review situations can then be reIerred to at the Iormal
appraisal.
Holding regular inIormal one-to-one review meetings greatly reduces the pressure and
time required Ior the annual Iormal appraisal meeting. Holding inIormal reviews every
month is ideal all staII. %here are several beneIits oI reviewing Irequently and inIormally:

O %he manager is better inIormed 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)

O DiIIicult issues can be identiIied, discussed and resolved quickly, beIore they
become more serious.

O Help can be given more readily - people rarely ask unless they see a good
opportunity to do so - the regular inIormal review provides just this.
O Assignments, tasks and objectives can be agreed completed and reviewed quickly
- leaving actions more than a Iew weeks reduces completion rates signiIicantly Ior
all but the most senior and experienced people.

O Objectives, direction, and purpose is more up-to-date - modern organizations
demand more Ilexibility than a single annual review allows - priorities oIten
change through the year, so people need to be re-directed and re-Iocused.

O %raining and development actions can be broken down into smaller more
digestible chunks, increasing success rates and motivational eIIect as a result.

O %he 'Iear Iactor', oIten associated by many with Iormal appraisals, is greatly
reduced because people become more comIortable with the review process.

O #elationships and mutual understanding develops more quickly with greater
Irequency oI meetings between manager and staII member.

O $taII members can be better prepared Ior the Iormal appraisal, giving better
results, and saving management time.
O Much oI the review has already been covered throughout the year by the time
comes Ior the Iormal appraisal.

O requent review meetings increase the reliability oI notes and perIormance data,
and reduces the chances oI overlooking things at the Iormal appraisal.

Performance appraisals process
O Prepare - prepare all materials, notes agreed tasks and records oI
perIormance, achievements, incidents, reports etc - anything pertaining to
perIormance and achievement - obviously include the previous
perIormance appraisal documents and a current job description.
A good appraisal Iorm will provide a good natural order Ior proceedings,
so use one. II your organization doesn't have a standard appraisal Iorm
then locate one, or use the template below to create one, or download the
new perIormance appraisal Iorm Irom the Iree resources section, (which
also contains other useIul tools Ior appraisals and developing people -
you'll need Acrobat #eader to view and download, available Iree Irom
Adobe.com).
%he appraisal Iorm is also available Iree in M$Word. Whatever you use,
ensure you have the necessary approval Irom your organization, and
understand how it works.
Organize your paperwork to reIlect the order oI the appraisal and write
down the sequence oI items to be covered. II the appraisal Iorm includes
a selI assessment section and/or Ieedback section (good ones do) ensure
this is passed to the appraisee suitably in advance oI the appraisal with
relevant guidance Ior completion.
A sample perIormance appraisal template is available Iree below, which
you can use as is or adapt to create your own Iorm.

Inform - inIorm the appraisee - ensure the appraisee is inIormed oI a suitable
time and place (change it iI necessary), and clariIy purpose and type oI appraisal
- give the appraisee the chance to assemble data and relevant perIormance and
achievement records and materials. II the appraisal Iorm does not imply a natural
order Ior the discussion then provide an agenda oI items to be covered.

Venue - ensure a suitable venue is planned and available - private and Iree Irom
interruptions - observe the same rules as with recruitment interviewing - avoid
hotel lobbies, public lounges, canteens - privacy is absolutely essential (it
Iollows also that planes, trains and automobiles are entirely unsuitable venues Ior
perIormance 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 inIluence on atmosphere and mood - irrespective oI
content, the atmosphere and mood must be relaxed and inIormal - remove
barriers - don't sit in the boss's chair with the other person positioned humbly on
the other side oI the desk; you must create a relaxed situation, preIerably at a
meeting table or in easy chairs - sit at an angle to each other, 90 degrees ideally -
avoid Iace to Iace, it's conIrontational.

Introduction - relax the appraisee - open with a positive statement, smile, be
warm and Iriendly - the appraisee may well be terriIied; it's your responsibility to
create a calm and non-threatening atmosphere. $et the scene - simply explain
what will happen - encourage a discussion and as much input as possible Irom
the appraisee - tell them it's their meeting not yours.

ConIirm the timings, especially Iinishing time. II helpIul and appropriate begin
with some general discussion about how things have been going, but avoid
getting into speciIics, which are covered next (and you can say so). Ask iI 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 oII on
tangents or vague unspeciIic views. II you've done your preparation correctly
you will have an order to Iollow. II something oII-subject comes up then note it
down and say you'll return to it later (and ensure you do). Concentrate on hard
Iacts and Iigures, solid evidence - avoid conjecture, anecdotal or non-speciIic
opinions, especially about the appraisee. Being objective is one oI the greatest
challenges Ior the appraiser - as with interviewing, resist judging the appraisee in
your own image, according to your own style and approach - Iacts and Iigures
are the acid test and provide a good neutral basis Ior the discussion, Iree oI bias
and personal views. or each item agree a measure oI competence or
achievement as relevant, and according to whatever measure or scoring system is
built into the appraisal system. %his might be simply a yes or no, or it might be a
percentage or a mark out oI ten, or an A, B, C. #eliable review and measurement
requires reliable data - iI you don't have the reliable data you can't review and
you might as well re-arrange the appraisal meeting. II a point oI dispute arises,
you must get the Iacts straightened out beIore making an important decision or
judgement, and iI necessary deIer to a later date.

Agree an action plan - An overall plan should be agreed with the appraisee,
which should take account oI the job responsibilities, the appraisee's career
aspirations, the departmental and whole organization's priorities, and the
reviewed strengths and weaknesses. %he plan can be staged iI necessary with
short, medium and long term aspects, but importantly it must be agreed and
realistic.


Agree specific objectives - %hese are the speciIic actions and targets that
together Iorm the action plan. As with any delegated task or agreed objective
these must adhere to the $MA#%E# rules - speciIic, measurable, agreed,
realistic, time-bound, enjoyable, recorded. II not, don't bother.
O %he objectives can be anything that will beneIit the individual, and that the
person is happy to commit to.
O When helping people to develop, you are not restricted to job-related
objectives, although typically most objectives will be.

Agree necessary support - %his is the support required Ior the appraisee to
achieve the objectives, and can include training oI 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 helpIul that will help the
person develop towards the standard and agreed task.


O Be careIul to avoid committing to training expenditure beIore suitable
approval, permission or availability has been conIirmed - iI necessary
discuss likely training requirements with the relevant authority beIore the
appraisal to check.

O #aising Ialse hopes is not helpIul to the process.


Invite any other points or questions - make sure you capture any other
concerns.


Close positively - %hank the appraisee Ior their contribution to the meeting and
their eIIort through the year, and commit to helping in any way you can.

Record main points, agreed actions and follow-up - $wiItly Iollow-up the
meeting with all necessary copies and conIirmations, and ensure documents are
Iiled and copied to relevandepartments, (H#, and your own line manager
typically).







Performance appraisal form Template
%his perIormance appraisal template has been specially developed to adapt Ior your own
situation. or many situations the example will serve perIectly well without amending.
Obviously you'll need to create a bit oI space Ior the answers to the questions. Here is a
Iree perIormance appraisal Iorm in pdI Iormat, and here is the same perIormnce appraisal
Iorm in M$Word Iormat. %hese Iree Iorms are based on the template below.

performance appraisal form template/sample
organization, division and department:
year or period covered:
name:
age:
position:
location/site/based at:
months in present position:
length oI service:

Part A (to be completed by the appraisee beIore the interview and sent to the
appraiser x days beIore the appraisal)

O A1 $tate your understanding oI your duties and responsibilities.

O A2 Discussion points: (not exhaustive or deIinitive - Ior more ideas look
at the interviews questions)
1. Has the past year been good/bad/satisIactory or otherwise Ior you, and why?
2. What do you consider to be your most important achievements oI the past year?
3. What do you like and dislike about working Ior this organization?
4. What elements oI your job do you Iind most diIIicult?
5. What elements oI 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 perIormance in your current position
by you, and your boss?
8. What kind oI work or job would you like to be doing in one/two/Iive years time?
9. What sort oI training/experience would beneIit you in the next year?

O 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.
$core the perIormance against each objective (1-3 poor, 4-6 satisIactory, 7-9 good,
10 excellent):


O A4 $core your own capability or knowledge in the Iollowing areas in terms oI
your current role requirements (1-3 poor, 4-6 satisIactory, 7-9 good, 10
excellent). II appropriate bring evidence with you to the appraisal to support
your assessment. (NB %his list is not exhaustive or deIinitive - the list should
reIlect the requirements oI the job and the career path. $ee also the skills and
behaviour assessment tool Ior other aspects to include in this list.)


1. commercial judgement
2. product/technical knowledge
3. time management
4. planning, budgeting and Iorecasting
5. reporting and administration
6. communication skills
7. delegation skills

8. I%/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, Ilexibility, and mobility
17.personal appearance and image

O A5 In light oI your current capabilities, your perIormance against past
objectives, and your Iuture personal growth and/or job aspirations, what
activities and tasks would you like to Iocus on during the next year.


Part B (to be completed during the appraisal by the appraiser - where appropriate
and saIe to do so, certain items can completed by the appraiser beIore the
appraisal, and then discussed and validated or amended in discussion with the
appraisee during the appraisal.)
name oI appraiser:
position:
time managing appraisee:


O B1 Describe the purpose oI the appraisee's job.


Discuss and compare with self-appraisal entry in A1. Clarify job purpose
and priorities where necessary.

O B2 Review discussion points in A2, and note the points of interest and
action.

O 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 Iorward Irom the previous appraisal record) with the
measures or standards agreed - against each comment on achievement or
otherwise, with reasons where appropriate.

O $core the perIormance against each objective (1-3 poor, 4-6 satisIactory,
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.

O B4 $core the appraisee's capability or knowledge in the Iollowing areas in terms
oI their current (and iI known, next) role requirements (1-3 poor, 4-6
satisIactory, 7-9 good, 10 excellent). (NB %his list is not exhaustive or
deIinitive - the list should reIlect the requirements oI the job and the career path.
$ee also the skills and behaviour assessment tool Ior other aspects to include in
this list.)


Compare with the self-appraisal in B4. Discuss and note points of interest
and action, particularly training and development needs and wishes.
1. commercial judgement
2. product/technical knowledge
3. time management
4. planning, budgeting and Iorecasting
5. reporting and administration
6. communication skills
7. delegation skills
8. I%/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, Ilexibility, and mobility
17.personal appearance and image

O B5 Discuss and agree the appraisee's career direction options and wishes, and
readiness Ior promotion, and compare with and discuss the self-appraisal
entry in

O A5. ($ome people do not wish Ior promotion, but everyone is capable oI, and
generally beneIits Irom, personal development - development and growth should
be available to all, not just the ambitious).

O B6 Discuss and agree the skills, capabilities and experience required Ior
competence in current role, and iI appropriate Ior readiness to progress to the next
role or roles. (It is usually helpIul to reIer to the skill-set or similar to that shown
in A/B4, in order to accurately identiIy all development areas, whether Ior
competence at current level or readiness to progress to next job level/type.)

O B7 Discuss and agree the speciIic objectives that will enable the appraisee to
reach competence and to meet required perIormance in current job.
%hese must adhere to the $MA#%E# rules - speciIic, measurable, agreed, realistic, time-
bound, enjoyable, recorded.

O B8 Discuss and agree the speciIic objectives that will enable the appraisee to
move towards, or achieve readiness Ior, the next job level/type, or iI no particular
next role is identiIied or sought, to achieve the desired personal growth or
experience
. Must also adhere to $MA#%E# rules.


O B9 Discuss and agree as Iar 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 oIIered to all
employees, not just the ambitious. %raining 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 Ior 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 helpIul that will help the person develop
towards the standard and agreed task.
Be careIul to avoid committing to training expenditure beIore suitable approval,
permission or availability has been conIirmed - iI necessary discuss likely training
requirements with the relevant authority beIore the appraisal to check. #aising Ialse
hopes is not helpIul to the process.

O B10 Any other issues (Ideally and hopeIully none, but it's important to oIIer the
opportunity to the appraisee to raise any other points, even iI they need to be
discussed at another meeting, outside oI the appraisal process, which would
generally be the case.)

$igned and dated appraiser and appraisee:
(inally it's advisable to show instructions as to the distribution oI copies oI the
completed Iorm, a reminder oI its conIidential nature, and a statement as to the
individual's rights under the data protection laws applicable.)

Appraisals references and tools

$ome oI these are pdI Iiles, available to view and download Iree - Ior which you'll need
Adobe Acrobat #eader - available Iree Irom adobe.com.
perIormance appraisal Iorm sample/template - downloadable pdI
skill set and behaviour set assessment tool - see instructions Ior use below
training needs analysis tool - see instructions Ior use below - also management training
needs analysis spreadsheet tool in Excel
coaching and training process Ilow diagram
delegation/objectives $MA#% tool
training planner tool
Kolb learning styles theory and diagram
empathy to build trust and diIIuse conIlict
transactional analysis - Ior better communicating and understanding
delegation - how to
Adams equity theory on job motivation and diagram
job interviewing (the process is similar to appraisals and many oI the questions are useIul
and can be adapted Ior the appraisal meeting or the appraisal Iorm itselI)
leadership tips
job descriptions (helpIul at appraisals)

ow to use skill-set assessments and training needs analysis tools:

%he skill/behaviour set and training needs analysis tools (available in pdI and working
Iile M$Excel Iormats Irom the Iree resources section) are simple, eIIective and Ilexible
assessments and analysis tools Ior perIorming individual and group %raining Needs
Analysis.

%he %raining Needs Analysis (%NA) spreadsheet in its two diIIerent variations
(sales/commercial, and management) is a Iree and yet immensely powerIul tool Ior
identiIying, assessing, analysing, prioritising and planning trining needs, Ior small teams,
and very large organizations

Here is a Iree working example oI a $kill $et Assessment Ior a commercial/sales role, in
M$Excel.
Here is a Iree working example oI the %raining Needs Analysis %ool Ior the
sales/commercial role , in M$Excel.

Also: Manager $kill $et Assessment %ool in Excel,
and %raining Needs Analysis %ool Ior Management #ole in Excel.

You can use the tools as they are or adapt them to suit your situation. Obviously ensure
that the skill descriptions are consistent throughout the individual assessment tool and the
%raining Needs Analysis tool, although it is entirely possible to include a variety oI skill-
sets on a single %NA 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 Ior middling,
non-committal answers. Primarily we need to know simply whether capability is
adequate for the role or not.

Ensure you identiIy clear deIinitions Ior the scoring, particularly iI comparing or
analysing diIIerent people's scores, where consistency oI measurement is important, eg:
O 1 little or no competence
O 2 some competence, but below level required Ior role
O 3 competence at required level Ior role
O 4 competence exceeds level required Ior role
Or:
1 never meets standard
2 sometimes meets standard
3 oIten meets standard
4 always meets standard

or selI-use: %he skills/behaviour set assessments require some interpretation and ideally
discussion with a trusted Iriend, colleague or boss to establish the 2nd view validation. As
well as encouraging selI-awareness development and simply thinking about one's own
Ieelings and aptitudes, the assessment and reIlection are an interesting and viable basis
Ior assessing/discussing/reviewing personal development and career Iocus.
When the scoring is completed you can prioritise your development needs (essential
skills with the lowest scores).

or use with others as development tool: %he skill/behaviour set is an eIIective tool Ior
recruitment, appraisals and ongoing development and training.
It can be adapted Ior diIIerent roles, and iI used with existing staII ideally the person
perIorming the role must have input to the skill and Behavioural criteria listed, and the
importance (essential or desirable) Ior 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 oI ownership and commitment to using the assessment method
itselI.
%he skillset/behavioural tests can be used in conjunction with the %raining Needs
Analysis tool available Irom the website as a pdI or as a working Excel Iile Irom the Iree
resources section
. Assessment can be carried out Iormally one-to-one as part oI an appraisal or review
meeting, reIerring to evidence iI appropriate, or inIormally in a workshop situation as a
group exercise (assessment in pairs, with partners helping to establish the 2nd view
validation Ior each other).
Whether inIormally or Iormally assessed, the results Ior a group can be transIerred to the
%raining Needs Analysis tool, to identiIy group training priorities.
%raining priorities are the essential skills with the lowest average scores.
InIormal assessments in a workshop situation also enable an immediate 'straw poll'
analysis oI group training needs, and as such provide an excellent method Ior quickly
identiIying and agreeing training and development needs Ior a group.

Tips on scoring systems for skills audits, appraisals and training needs analysis
$coring and measuring system suitability is critical, especially iI you are making big
decisions on the outcomes, which require clear score deIinitions and implications
(explain to participants the judgements/actions which will stem Irom the scoring).

enerally a score range oI 1-3 is too narrow. Not only because liIe isn't that simple, but
mainly because the mid-way 2 option encourages Ience-sitting which inhibits clarity oI
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.

II you need to change Irom a 3 or 5 point system, this objective-scientiIic 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 Ior
the 'don't knows'.

II you have to stick with 1-3 then ensure the meanings are such as to ensure black or
white answers.
'rey' answers at number 2 in a 1-3 scale, eg., average, medium, satisIactory, etc., aren't
really any help. Nor are the typical deIinitions Iound at number three in a 1-5 scale.

A way oI making a 1-3 scale acceptable is:
O 1 - needs improving
O 2 - good
O 3 - excellent
Here the 1-3 is eIIectively turned into a 1-2 (yes/no or is/isn't) scoring system (whereby 1
& 2 above standard; 3 below standard) which at least enables a clear decision, albeit
just yes or no, which in actual Iact is all that's necessary Ior many %NA's.
%ight scales are Iine - in Iact in some ways easier - Ior a group training needs analysis,
but are not good Ior individual skills audits or training needs analysis, where the question
oI degree is more important Ior individual task direction and development planning, and
to enable more reliable comparison between individuals.

%he accuracy and reliability oI any scoring system increases with Iull
description/deIinitions, and better still with examples Ior each score band. %his gives
everyone the same objective-scientiIic reIerence points, and reduces subjectivity.

Tips on 360 degree feedback and 360 appraisals

360 degree appraisals are a powerIul developmental method and quite diIIerent to
traditional manager-subordinate appraisals (which IulIil diIIerent 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 Ieedback Irom people (named or
anonymous) whose views are considered helpIul and relevant.

%he Ieedback is typically provided on a Iorm showing job
skills/abilities/attitudinal/behavioural criteria and some sort oI scoring or value
judgement system.

%he appraisee should also assess themselves using the same Ieedback instrument or
Iorm.


360 degree respondents can be the appraisee's peers, up-line managers/execs, subordinate
staII, team members, other staII, customers, suppliers - anyone who comes into contact
with the appraisee and has opinions/views/reactions oI 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
Ior your own situation, preIerably involving the appraisees in this, which like all
participative approaches, oIten works well.

You can develop your own 360 degree Ieedback system by running a halI-day or Iull day
workshop (depending on extent and complexity oI the required process) involving the
appraisees or a sample group, during which process and materials can be created and
provisionally draIted.

%he participative workshop approach as ever will give you something that's wholly
appropriate and 'owned' instead oI something oII-the-shelI or adapted, which would be
arbitrary, mostly inappropriate and impracticable (in terms oI criteria and process), and
'not invented here', ie., imposed rather than owned.

I would recommend against restricting the 360 Ieedback to peers and managers only - it's
a waste oI the potential oI the 360 degree appraisal method.
%o use the Ieedback process Ior its Iullest '360 degree' beneIit involve customers (in the
broadest sense - could be patients, students, users, depending on the organization), staII,
suppliers, inspectors, contractors, and others Ior whom good working relationships and
understanding with the appraisee aIIect overall job perIormance, quality, service, etc.


Developing 360 degree appraisals systems process make ideal subjects Ior a workshops,
which in itselI contains some very helpIul developmental beneIits and experience Ior all
involved. II you're not able to get everyone together Ior a workshop you should solicit
input and ideas - particularly about appraisal criteria and respondents and anonymity -
then draIt out process and materials - then issue Ior approval, then pilot, review, adapt
and then implement. Adapt, improve and develop on an ongoing basis.

It is my view that no aspects oI 360 Ieedback should ever be mandatory Ior any appraisee
or respondent. iven more than three or Iour 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 Ieedback not all the criteria will be applicable Ior all
respondents, nor Ior all appraisees either.
By the same when designing the Ieedback instruments (whether hard-copy documents or
online materials), it's useIul to allow space Ior several 'other' aspects that the appraisee
might wish to add to the standard criteria, and space Ior respondents to add 'other'
comments.

Open honest Ieedback can touch sensitivities, so be sure that appraisees understand and
agree to the criteria, respondents (by type, iI not named) and process.

Ensure suitable and sensitive counselling is provided as part oI the inIorming oI Ieedback
results.

II 360 degree Ieedback results are to be analysed collectively to indicate the overall/total
situation (ie., to assist in determining organizational training and development needs Ior
instance), think careIully about the Ieedback Iorm scoring system and particularly its
suitability Ior input to some sort oI analysis tool, which could be a spreadsheet, and
thereIore numerically based requiring numerical scores, rather than words, (words oI
course are more diIIicult to count and measure, and while words and description
assessment enables more subtlety, they also allow more room Ior misunderstanding and
misinterpretation).

or guidance have a look at the skills and behavioural assessment tool - it's not a 360
degree tool, but is an example oI the basis oI one, and some oI the skills elements that can
be included in a 360 degree appraisals Iorm.

$imilarly the training needs analysis tool is an example oI a collective or organizational
measurement tool, based on the input oI a number oI individual Ieedback assessments.
%his tool can easily be adapted to analyse a number oI 360 degree responses.
Now available:
Iree 360 degree appraisals Iorm template in M$Word Iormat
Iree 360 degree appraisals Iorm template in M$Excel Iormat



Introduction of 360 degree appraisals
Here is a simple guide Ior introducing 360 degree appraisals into an organization (and
any other management system Ior that matter):
O Choose/design a system (or system provider), ie., research and investigate your
options (other local or same-sector companies using 360 already are a helpIul
reIerence point, or your trade association H# group, or a specialist H# advisory
body such as CIPD in the UK iI you are a member).
O
O When you've decided on a system, pilot it with a Iew 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.)
O
O When satisIied with the system, launch it via a seminar or workshop, preIerably
including role-plays and/or practical demonstration.
O
O $upport 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 iI you have one.
O Establish review and monitoring responsibility.
O
O Ensure any 360 degree appraisal system system is applied Irom top down, not
bottom up, so everyone can see that the CEO is happy to undertake what he/she
expects all the other staII to do. (As with anything else, iI the CEO and board
agrees to undertake it Iirst, the system will have much stronger take-up and
credibility.)




360 degree appraisal form design - template guidelines
Job descriptions are also a useIul starting point Ior (but by no means the Iull extent oI)
establishing Ieedback criteria, as are customer/staII survey Iindings in which
expectations/needs/priorities oI appraisee perIormance are indicated or implied.
A 360 degree appraisal template typically contains these column headings or Iields, also
shwon in the template example below:
O Key skill/capability type (eg communications, planning, reporting, creativity and
problem solving, etc - whatever the relevant key skills and capabilities are Ior the
role in question).
O $kill component/element (eg 'active listening and understanding' |within a
'communications' key skill|, or 'generates ideas/options' |within a
'creativity/problem solving' key skill|). %he number oI elements per key skill
varies - Ior some key skills there could be just one element; Ior others there could
be Iive or six, which I'd recommend be the maximum. Break down the key skill iI
there are more than six elements - big lists and groups are less easy to work with.
O question number (purely Ior reIerence and ease oI analysis)
O speciIic Ieedback question (relating to skill component, eg does the person take
care to listen and understand properly when you/others are speaking to him/her?
|Ior the active listening skill|)
O tick-box or grade box (ideally a,b,c,d or excellent, good, not good, poor, or rate
out oI 5 or 10 - N.B. clariIication and deIinitions oI ratings system to participants
and respondents is crucial, especially iI analysing or comparing results within a
group, when obviously consistency oI interpretation oI scoring is important)





360 degree feedback form template example
A typical 360 degree Ieedback Iorm template would look like this. %his template allows a
mixture oI key skills comprising one, two, three, Iour, and up to six elements. %he
number oI elements per key skill/capability would vary oI course, so iI necessary adjust
the size oI the boxes in the Iirst column accordingly to accommodate more or less
elements. $ee the notes directly above Ior more explanation about the purpose oI each
column and heading, and the Ieedback scoring method.

Feedback Form headings and instructions: appraisee name, date, feedback
respondent name, position (if applicable) plus local instructions and guidelines for
completion, etc.
key
skill/capability
area
skill/capability
element
question
number
Ieedback question
Ieedback
score
1

2
3

4
5
6
7

8
9
10

11
12
13

14
15
16

17
18
19
20

21
22
23
24

25
26
27
28
29
30
ptional section: for additional feedback comments about the appraisee (if you
provide this option it is advisable to ask respondents to be as constructive as
possible.....)

Now available:
Iree 360 degree appraisals Iorm template in M$Word Iormat
Iree 360 degree appraisals Iorm template in M$Excel Iormat

You can see Irom this that the process oI designing the Ieedback document (essentially a
questionnaire) is to build it Irom the role's key skill areas, break down these into
elements, and measure each via careIully worded questions, which the respondents
answer and thereby grade the perIormance - ie., give Ieedback - in respect oI the person
in question.
%he question as to anonymity oI respondents is up to you. A grown-up organization with
grown-up people should be able to cope with, and derive more beneIit Irom, operating the
process transparently - but you need to decide this. $ome people are happier giving
Ieedback anonymously. And some people are not able to deal particularly well with
criticism Irom a named person. or more inIormation and guidance about handling and
explaining this particular aspect reIer to the Johari Window model - it's a powerIul and
helpIul concept to use alongside the 360 degree Ieedback/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 oI group results is much easier iI you use a numerical rating system. %he Iree
training needs analysis spreadsheet tool can easily be adapted Ior analysis oI 360 degree
Ieedback results, which can then Ieed into the analysis oI training needs. %his training
needs analysis tool is also available in pdI Iormat.

Tips on completing your own self- assessment appraisal form, and preparing for
your appraisal
Be as truthIul as you can without exposing yourselI unnecessarily. Obviously iI your
company and/or boss does not have a positive and Iair approach be careIul not to create
vulnerabilities Ior yourselI.
Always be positive, never negative - don't complain, don't point out problems, avoid
making personal attacks on anyone or their abilities. II there are problems express them
as opportunities to develop or improve, an iI possible suggest or recommend how these
improvements can be made.
Ask Ior help and training and coaching and development in areas that you believe will
improve your productivity and value to the organization.
Use the list or skill categories on the appraisal Iorm to assess your capabilities and
behaviours one by one - be speciIic, objective and be able to reIerence examples and
evidence. %his is an important area Ior the appraisal meeting itselI so think about it and iI
necessary ask others Ior Ieedback to help you gather examples and Iorm a reliable view
oI your competence in each category listed. II the appraisal Ior does not have a list oI
skills and behaviours create your own (use your job description Ior a basis).
Assess your perIormance Ior the appraisal period (normally the past year) in each oI your
areas oI responsibility; iI there are no speciIic responsibilities or objectives brought
Iorward Irom your previous appraisal or on-going meetings with your manager again use
your job description as a basis Ior assessing your perIormance, competence and
achievements.
IdentiIy objectives Ior yourselI Ior the next year. %hese should be related to your current
job responsibilities and your intended personal development, and be a mixture oI 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.
II 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.
%hink about and state your longer-term aspirations - qualiIications and learning, career
development, and liIe issues iI relevant.
$eek responsibility, work, and tasks within and beyond your normal role. Extra work and
responsibility, and achieving higher things develop people and increase productivity Ior
and contribution to the organization.
Always seek opportunities to help and support others, including your boss.
Always look upon reward as an economic result oI your productivity. You have no 'right'
to reward or increase in reward, and reward is not driven by comparisons with what
others receive. #eward, and particularly increase in reward, results Irom eIIort and
contribution to organizational perIormance. As such, iI you want higher reward, seek Iirst
the opportunity to contribute more.

Appraisals timing with pay reviews, performance awards, and training planning
$ome people advocate separating appraisals Irom pay review, however this does not
make sense in organizations which require staII to be Iocused on their contribution to
organizational perIormance, 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 perIormance, and the achievement
oI a trading plan. %his cascades to departments, teams and individuals, so it makes sense
to assess people over a time period that Iits with what the organization is working to. Put
another way, it's not easy to appraise someone on their year's perIormance halI way
through the year. %ransparency and accountability are prerequisites Ior proper assessment
and appraisals.
Arguably 'best practice' is to schedule appraisals close to trading year-end, when year-end
results and Iull year perIormance - Ior individuals and departments and organizations -
can reliably be predicted. By holding appraisals at this time, and staII knowing that
appraisals are Iocused on this trading period, people's thoughts and eIIorts 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 oI course).
Holding appraisals aIter year-end means that people start the year without Iormal agreed
objectives, and also creates bigger delays Ior Iinancial and payroll departments in their
task to process pay awards and adjustments.
Departmental, team and individual objectives provide the context Ior the appraisal,
linking clearly to perIormance bonus and perIormance-based pay awards, the rationale
Ior which needs to be transparent and published prior to the start oI the year to which
they relate, Ior the Iull beneIit and eIIect on staII eIIort to be realised.
Pay review would also coincide with the trading year, which makes sense Irom the
planning and budgeting perspective. %he business is in a position to know by the close oI
the Iinal quarter what the overall pay review position is because the rationale has already
been (it jolly well should have been) established and year-end Iinancials can be predicted.
Moreover the next year's trading plan (at least in outline) is established, which gives
another useIul context Ior appraising people, especially those (most staII hopeIully) who
have contributed to the planning process (ie, committed as to what they can do Ior the
coming year, targets, budgets, staIIing levels, priorities, objectives, etc).
%he appraising managers can thereIore go into appraisals Iully brieIed and prepared to
discuss and explain the organization's overview results and Iinancials to the appraisees.
And the appraisees can see results and think in terms oI their Iull year perIormance and
contribution to corporate results, plus what they plan Ior next year, which provides the
basis oI the aims and objectives to be reviewed through the coming year and at the next
year's appraisal.


ther guidelines for organizational appraisals planning
Other than Ior directors, complex or diIIicult appraisals, appraisal meetings should not be
3 hr marathon sessions - this daIt situation happens when boss and subordinate never sit
down together one-to-one other than Ior the annual appraisal. II you only talk properly
with someone once a year no wonder it takes all aIternoon...
Boss and subordinate should ideally sit down one-to-one monthly (or at worse, quarterly,
Ior the more mature, selI-suIIicient people), to review activity, ideas, perIormance,
progress, etc., which makes the annual appraisal really easy when it comes around, and
manageable in an hour or 90 mins max.
Use oI a good appraisal Iorm including selI-assessment elements is essential Ior well
organised appraisals. $ee the template above and the Iree appraisal Iorm sample.
Ensure that appraisers and appraisees understand that they must prepare in advance or
you're looking at 3 hour marathons again. %raining Ior appraisers and appraisees on how
to use the appraisals process properly is very helpIul obviously.




Pay reviews and awards
II you want to be regarded as a caring and ethical organization, it's also helpIul Ior the
organization (board) to agree a basic across-the-board inIlationary salary increase close to
year end and announce this - everyone gets this. %his can be based on a collection oI
Iactors, decided by the board, typically: inIlation, the organization's Iinancial position,
demographics and competitor market Iorces on salary levels.
Individuals can then receive an additional increase on top oI this according to
criteria agreed beIore the start oI the year (at their last appraisal) based on
perIormance, achievement oI targets, job-grade advancement, qualiIications
attained, training aims achieved, and any other perIormance levers that it is
sensible, Iair and practicable to incentivise.
%he rationale Ior these individual awards must be established and budgeted Ior by
the board, circulated, and explained to all staII via managers.

Whilst not always easy or practicable to design and implement, arguably the best
collective annual pay increase mechanism is one that eIIectively rewards everyone
directly and transparently Ior corporate perIormance, ie, 'proIit share' in spirit, based on
the whole organization and a business unit/department to which they relate, plus an
individual perIormance-linked award based on the sort oI levers mentioned above. It's
about people believing that they are all part oI the group eIIort, pulling together, and all
enjoying a share oI the success.

ProIit share deals just Ior directors are rightly regarded by most staII as elitist, exclusive,
and divisive. II 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 Ior training planning (the data arrives too late to be
used Ior training planning Ior the next year quarter 1 and probably quarter 2).

%raining planning must work Irom data (based on audits, analyses, manager
inputs, questionnaires, market and legislative drivers, etc) gathered/received
earlier during the year.

%raining 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
Irom staII appraisals), training planning activity, and integrating the costs and
budgeting within the corporate trading planning process.




Probationary review elements

A new employee is oIten subject to a probationary period - normally three months
although probationary periods vary Irom a Iew weeks to a year. Probation must have a
strong link to induction training. Probationers need to be supported properly or the
chances oI the new employee struggling or Iailing will increase. %he nature and process
oI probationary reviews depend on local methods and policies, however the elements oI
the review process (and any documentation or system used) will commonly be:
O name position department etc.
O dates - commencement and review
O basis oI review - clear explanation oI what constitutes a successIul outcome,
linked to consequences oI success and Iailure, according to probationary policies
O agreed activities and aims Ior probationary period
O clear and transparent quantiIiable measures Ior each aim/activity - Ior acceptable
probationary review, and Ior ultimate job perIormance standard iI diIIerent (aims
must be $MA#% - speciIic, measurable, agreed, realistic, time-bound - aims and
activities should logically reIlect and represent the core skills, knowledge,
behaviour an learning necessary Ior the probationers job Iunction)
O agreed support, training and resources Ior aims/activities
O names and contact details Ior mentors, trainers, helpers Ior each activity
O selI-assessment section Ior each aim/activity
O trainer/supervisor assessment oI each aim/activity
O probationary review comments and agreed Iuture actions, per aim/activity
O overall review summary, comment and agree status/actions
O signatures and dates oI reviewer and probationer