How To Write Your Own Performance Appraisals

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Important changes relating to age discrimination in UK employment law became effective inOctober 2006, with implications for all types of appraisals and job performance and suitabilityassessment. Ensure your systems, training and materials for appraisals reflect currentemployment law. It's helpful to understand these recent laws also if you (young or old) are beingappraised. The UK (consistent with Europe) Employment Equality (Age) Regulations 2006, effectivefrom 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 ofpeople who conduct staff appraisals. For example, while not unlawful, the inclusion of age anddate-of-birth sections on appraisal forms is not recommended (as for all other documentation usedin assessing people). For further guidance about the effects of Age Equality and Discrimination onperformance 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, alsoaffect appraisals and performance assessment, but the age issue is worthy of special not becausethe changes are relatively recent.

Here is a basic performance appraisal form template, in PDF and MSWord formats. Feel free to useand 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 (revisedAugust 2006)

For guidance on assessment centres/centers, graduate assessment days and groupselection 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


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Tips on completing your own self-assessment performance appraisals

Performance appraisals are essential for the effective management and evaluation of staff.Appraisals help develop individuals, improve organizational performance, and feed into businessplanning. Formal performance appraisals are generally conducted annually for all staff in theorganization. Each staff member is appraised by their line manager. Directors are appraised by theCEO, who is appraised by the chairman or company owners, depending on the size and structure ofthe organization.

Annual performance appraisals enable management and monitoring of standards, agreeingexpectations and objectives, and delegation of responsibilities and tasks. Staff performanceappraisals also establish individual training needs and enable organizational training needs analysisand 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 andstandards 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 relationshipsbetween 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 theperformance of people and organizations.

Managers and appraisees commonly dislike appraisals and try to avoid them. To these people theappraisal is daunting and time-consuming. The process is seen as a difficult administrative choreand emotionally challenging. The annual appraisal is maybe the only time since last year that thetwo people have sat down together for a meaningful one-to-one discussion. No wonder then thatappraisals 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 theteam 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


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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 totalking 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 aredue everyone will find the whole process to be far more natural, quick, and easy - and a lot moreproductive too.

There is increasingly a need for performance appraisals of staff and especially managers, directorsand CEO's, to include accountabilities relating to corporate responsibility, represented by variousconverging corporate responsibility concepts including: the 'Triple Bottom Line' ('profit peopleplanet'); corporate social responsibility (CSR); Sustainability; corporate integrity and ethics; FairTrade, etc. The organisation must decide the extent to which these accountabilities are reflected injob responsibilities, which would then naturally feature accordingly in performance appraisals. Moreabout 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 meanthat the development discussed with the appraisee must be formal and constrained. In fact theopposite applies. Appraisals must address 'whole person' development - not just job skills orthe 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 1stOctober 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 meanspeople who are young as well as old. Age, along with other characteristics stated above, is not alawful basis for assessing and managing people, unless proper 'objective justification' can beproven. See the Age Diversity information.

When designing or planning and conducting appraisals, seek to help the 'whole-person' to grow inwhatever direction they want, not just to identify obviously relevant work skills training.Increasingly, the best employers recognise that growing the 'whole person' promotes positiveattitudes, advancement, motivation, and also develops lots of new skills that can be surprisingly


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relevant to working productively and effectively in any sort of organisation.

Developing the whole-person is also an important aspect of modern corporate responsibility, andseparately (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 employerscompete 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 thissort of development into the appraisal process. Abraham Maslow recognised this over fifty yearsago.

If you are an employee and your employer has yet to embrace or even acknowledge theseconcepts, do them a favour at your own appraisal and suggest they look at these ideas, or maybemention it at your exit interview prior to joining a better employer who cares about the people, notjust the work.

Incidentally the Multiple Intelligences test and VAK Learning Styles test are extremely useful toolsfor appraisals, before or after, to help people understand their natural potential and strengths andto help managers understand this about their people too. There are a lot of people out there whoare in jobs which don't allow them to use and develop their greatest strengths; so the more we canhelp folk understand their own special potential, and find roles that really fit well, the happier weshall all be.

It is sometimes fashionable in the 'modern age' to dismiss traditional processes such asperformance appraisals as being irrelevant or unhelpful. Be very wary however if consideringremoving appraisals from your own organisational practices. It is likely that the critics of theappraisal process are the people who can't conduct them very well. It's a common human responseto want to jettison something that one finds difficult. Appraisals - in whatever form, and there arevarious - have been a mainstay of management for decades, for good reasons.

Think about everything that performance appraisals can achieve and contribute to when they areproperly 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


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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 afundamental process

the list goes on..

People have less and less face-to-face time together these days. Performance appraisals offer away to protect and manage these valuable face-to-face opportunities. My advice is to hold on toand nurture these situations, and if you are under pressure to replace performance appraisals withsome sort of (apparently) more efficient and cost effective methods, be very sure that you cansafely cover all the aspects of performance and attitudinal development that a well-runperformance appraisals system is naturally designed to achieve.

There are various ways of conducting performance appraisals, and ideas change over time as towhat are the most effective appraisals methods and systems. Some people advocate traditionalappraisals and forms; others prefer 360-degree-type appraisals; others suggest using little morethan a blank sheet of paper.

In fact performance appraisals of all types are effective if they are conducted properly, andbetter still if the appraisal process is clearly explained to, agreed by, the people involved.

Managers need guidance, training and encouragement in how to conduct appraisalsproperly. Especially the detractors and the critics. Help anxious managers (and directors) developand adapt appraisals methods that work for them. Be flexible. There are lots of ways to conductappraisals, and particularly lots of ways to diffuse apprehension and fear - for managers andappraisees alike. Particularly - encourage people to sit down together and review informally andoften - this removes much of the pressure for managers and appraisees at formal appraisalstimes. Leaving everything to a single make-or-break discussion once a year is asking for troubleand 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, usuallybecause they are uncomfortable and inexperienced in conducting them. The seniormanager/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 downto their appraisees (all the people in their team) who then not surprisingly also apply the same 'nogood - 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 seniormanager or director who holds the same view. As with anything, where people need help doing theright thing, help them.


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All that said, performance appraisals that are administered without training (for those whoneed 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 opportunitiesto help appraisees and managers improve and develop, and thereby also the organisationsfor whom they work.

Just like any other process, if performance appraisals aren't working, don't blame theprocess, ask yourself whether it is being properly trained, explained, agreed andconducted.

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 methodsdepends 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 gatherstogether and reviews all other performance data for the previous year.

Performance appraisals should be positive experiences. The appraisals process provides theplatform for development and motivation, so organizations should foster a feeling that performanceappraisals are positive opportunities, in order to get the best out of the people and the process. Incertain organizations, performance appraisals are widely regarded as something rather lesswelcoming ('bollocking sessions' is not an unusual description), which provides a basis only on whichto develop fear and resentment, so never, never, never use a staff performance appraisal tohandle matters of discipline or admonishment, which should instead be handled via separatelyarranged meetings.

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 ortransfer)


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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 beused in conjunction with others in the list, depending on situation and organizational policy. Whereany of these processes is used, the manager must keep a written record, and must ensure agreedactions are followed up. The notes of all review situations can then be referred to at the formalappraisal.

Holding regular informal one-to-one review meetings greatly reduces the pressure and timerequired for the annual formal appraisal meeting. Holding informal reviews every month is ideal allstaff. 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 (andmore 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 moreserious.

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 - leavingactions more than a few weeks reduces completion rates significantly for all but the most seniorand experienced people.

Objectives, direction, and purpose is more up-to-date - modern organizations demand moreflexibility than a single annual review allows - priorities often change through the year, sopeople 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 becausepeople become more comfortable with the review process.

Relationships and mutual understanding develops more quickly with greater frequency ofmeetings between manager and staff member.

Staff members can be better prepared for the formal appraisal, giving better results, and savingmanagement time.

Much of the review has already been covered throughout the year by the time comes for theformal appraisal.

Frequent review meetings increase the reliability of notes and performance data, and reducesthe chances of overlooking things at the formal appraisal.


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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 yourorganization doesn't have a standard appraisal form then locate one, or use the template belowto create one, or download and/or adapt the appraisal forms from this page. Whatever youuse, ensure you have the necessary approval from your organization, and understand how itworks. Organize your paperwork to reflect the order of the appraisal and write down thesequence of items to be covered. If the appraisal form includes a self assessment sectionand/or feedback section (good ones do) ensure this is passed to the appraisee suitably inadvance of the appraisal with relevant guidance for completion. A sample performanceappraisal template is available free below, which you can adapt and use to create your ownform. Part of your preparation should also consider 'whole-person' development - beyond andoutside of the job skill-set - as might inspire and appeal to the appraisees. Many people are notparticularly interested in job skills training, but will be very interested, stimulated and motivatedby other learning and development experiences. Get to know what your people are good atoutside of their work. People's natural talents and passions often contain significant overlapswith the attributes, behaviours and maturity that are required and valued in the workplace. Useyour imagination in identifying these opportunities to encourage 'whole-person' developmentand you will find appraisals can become very positive and enjoyable activities. Appraisals arenot 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 thechance to assemble data and relevant performance and achievement records and materials. Ifthe appraisal form does not imply a natural order for the discussion then provide an agenda ofitems 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 areentirely unsuitable venues for performance appraisals......)

Layout - room layout and and seating are important elements to prepare also - don't simplyaccept whatever layout happens to exist in a borrowed or hired room - layout has a hugeinfluence on atmosphere and mood - irrespective of content, the atmosphere and mood mustbe relaxed and informal - remove barriers - don't sit in the boss's chair with the other personpositioned humbly on the other side of the desk; you must create a relaxed situation, preferablyat a meeting table or in easy chairs - sit at an angle to each other, 90 degrees ideally - avoidface to face, it's confrontational.

Introduction - relax the appraisee - open with a positive statement, smile, be warm andfriendly - the appraisee may well be terrified; it's your responsibility to create a calm andnon-threatening atmosphere. Set the scene - simply explain what will happen - encourage adiscussion and as much input as possible from the appraisee - tell them it's their meeting notyours. Confirm the timings, especially finishing time. If helpful and appropriate begin with somegeneral discussion about how things have been going, but avoid getting into specifics, which are


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covered next (and you can say so). Ask if there are any additional points to cover and notethem 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 unspecificviews. If you've done your preparation correctly you will have an order to follow. If somethingoff-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 ornon-specific opinions, especially about the appraisee. Being objective is one of the greatestchallenges for the appraiser - as with interviewing, resist judging the appraisee in your ownimage, according to your own style and approach - facts and figures are the acid test andprovide a good neutral basis for the discussion, free of bias and personal views. For each itemagree a measure of competence or achievement as relevant, and according to whatevermeasure 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 andmeasurement requires reliable data - if you don't have the reliable data you can't review andyou might as well re-arrange the appraisal meeting. If a point of dispute arises, you must getthe facts straightened out before making an important decision or judgement, and if necessarydefer to a later date.

Agree an action plan - An overall plan should be agreed with the appraisee, which shouldtake account of the job responsibilities, the appraisee's career aspirations, the departmentaland whole organization's priorities, and the reviewed strengths and weaknesses. The plan canbe staged if necessary with short, medium and long term aspects, but importantly it must beagreed and realistic.

Agree specific objectives - These are the specific actions and targets that together form theaction plan. As with any delegated task or agreed objective these must adhere to the SMARTERrules - specific, measurable, agreed, realistic, time-bound, enjoyable, recorded. If not, don'tbother. The objectives can be anything that will benefit the individual, and that the person ishappy to commit to. When helping people to develop, you are not restricted to job-relatedobjectives, although typically most objectives will be.

Agree necessary support - This is the support required for the appraisee to achieve theobjectives, and can include training of various sorts (external courses and seminars, internalcourses, coaching, mentoring, secondment, shadowing, distance-learning, reading, watchingvideos, attending meetings and workshops, workbooks, manuals and guides; anything relevantand helpful that will help the person develop towards the standard and agreed task. Alsoconsider 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 todevelop. Developing the whole person in this way will bring benefits to their role, andwill increase motivation and loyalty. The best employers understand the value ofhelping the whole person to develop. Be careful to avoid committing to training expenditurebefore suitable approval, permission or availability has been confirmed - if necessary discusslikely training requirements with the relevant authority before the appraisal to check. Raisingfalse 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


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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 allnecessary copies and confirmations, and ensure documents are filed and copied to relevantdepartments, (HR, and your own line manager typically).

This performance appraisal template and process guide has been created to support thedownloadable appraisal forms available from this page, but the process and the forms can beadapted to suit your own situation.

Here is a free performance appraisal form in pdf format, and here is the same performanceappraisal 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 andguidelines for the form.

The structure is formal but the process and content does not have to be constrained by work andjob issues. Always be looking for opportunities to help the person develop beyond their formal workresponsibilities. Not everyone is interested in promotion, and lots of people find job-skills trainingless than riveting, but nearly everyone has something in them that they want to pursue anddevelop. When appraising someone if you can tap into these desires and help the other person toachieve their own personal aims, then everyone wins. If the connection with work don't seemobvious at first, the benefits from personal growth generally produce dramatic and positive benefitsfor employers and work performance.

Obviously a certain amount of work-related training is necessary for good work performance andadvancement, but the biggest advantages accrue to the employing organisation when people growas people, outside of their job skills sets. In fact most of the really important attributes for workare 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 fulfiltheir 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 appraisalprocess, but don't constrain the areas of personal development to those only related to the job andwork standards and organisational objectives. Be led by the people about what they love andenjoy, and what they want to develop and experience in their lives. And then look for ways to helpthem achieve these things. This is the true way to develop people.

Remember this is just a structure for the process - the content and the direction of personaldevelopment is as flexible as your organisation allows, or can be persuaded to allow. Use your


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imagination to develop people in the way they want to go, not just the way the organisation thinksit needs people to be.

A free sample appraisal document in this format is available from this site in MSWord or pdf(acrobat) versions:



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 from1st 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 notrecommended (along with all other documentation used in assessing people). See the Age Diversityinformation for more details.

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

A1 State your understanding of your duties and responsibilities.

A2 Discussion points: (not exhaustive or definitive - for more ideas look at the interviewsquestions)

Has the past year been good/bad/satisfactory or otherwise for you, and why?1.What do you consider to be your most important achievements of the past year?2.What do you like and dislike about working for this organization?3.What elements of your job do you find most difficult?4.What elements of your job interest you the most, and least?5.What do you consider to be your most important tasks in the next year?6.What action could be taken to improve your performance in your current position by you, andyour boss?

7.

What kind of work or job would you like to be doing in one/two/five years time?8.What sort of training/experience would benefit you in the next year? Broaden this questionto include 'whole-person development' beyond job skills - for example: What do

9.


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you have a personal passion for that we might help you to pursue? (It's a fact thatwhen person develops interests, talents and experiences that they truly love and enjoy - evenif 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 themost unconnected development or experiences hold much valuable learning that are directlytransferable 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 thisappraisal) with the measures or standards agreed - against each comment on achievement orotherwise, 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 rolerequirements (1-3 = poor, 4-6 = satisfactory, 7-9 = good, 10 = excellent). If appropriate bringevidence with you to the appraisal to support your assessment. (This list is not exhaustive ordefinitive - the list should reflect the requirements of the job and the career path.) Seethe skills and behaviours assessment tools for other aspects to include in this list. Other roles inother industries, for example technical, engineering, healthcare, legal, finance, leisure, transport,construction, etc, will require different skill sets. These are examples of a typical commercial ormanagement skill set.

commercial judgement1.product/technical knowledge2.time management3.planning, budgeting and forecasting4.reporting and administration5.communication skills6.delegation skills7.IT/equipment/machinery skills8.meeting expectations, deadlines and commitments9.creativity10.problem-solving and decision-making11.team-working and developing/helping others12.energy, determination and work-rate13.steadiness under pressure14.leadership and integrity15.adaptability, flexibility, and mobility16.personal appearance and image17.appreciation and application of social responsibility, sustainability, and ethical considerations18.

A5 In light of your current capabilities, your performance against past objectives, and your futurepersonal growth and/or job aspirations, what activities and tasks would you like to focus on duringthe next year. Include in this any 'whole-person non-work-related development that the personfeels 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 doso, certain items can completed by the appraiser before the appraisal, and then discussed and


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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-appraisalentry 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 periodcovered by this appraisal - typically these objectives will have been carried forward from theprevious appraisal record) with the measures or standards agreed - against each comment onachievement or otherwise, with reasons where appropriate. Score the performance against eachobjective (1-3 = poor, 4-6 = satisfactory, 7-9 = good, 10 = excellent). Compare with theself-appraisal in B3. Discuss and note points of interest and action, particularly trainingand 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 therequirements of the job and the career path. See also the skills and behaviours assessment toolsfor 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 skillsets. These are examples of a typical commercial or management skill set. Compare with theself-appraisal in B4. Discuss and note points of interest and action, particularly trainingand development needs and wishes.

commercial judgement1.product/technical knowledge2.time management3.planning, budgeting and forecasting4.reporting and administration5.communication skills6.delegation skills7.IT/equipment/machinery skills8.meeting expectations, deadlines and commitments9.creativity10.problem-solving and decision-making11.team-working and developing/helping others12.energy, determination and work-rate13.steadiness under pressure14.leadership and integrity15.adaptability, flexibility, and mobility16.personal appearance and image17.appreciation and application of social responsibility, sustainability, and ethical considerations18.


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B5 Discuss and agree the appraisee's career direction options and wishes, and readiness forpromotion, and compare with and discuss the self-appraisal entry in A5. Some people do notwish 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 currentrole, and if appropriate for readiness to progress to the next role or roles. It is usually helpful torefer to the skill-set or similar to that shown in A/B4, in order to accurately identify all developmentareas, 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., totheir work roles and their work aspirations. There are often huge overlaps between ' whole-persondevelopment' outcomes (which might not obviously relate to work) and the person's job. A personwho becomes better at anything outside of their work almost always becomes better at their worktoo. The big difference of course is that people want to pursue their own personal passions andinterests, whereas many are not so keen to attend job skills training courses that to them are farless stimulating. Seek to help the person to grow in whatever direction they want, not just toidentify relevant work skills training.

B7 Discuss and agree the specific objectives that will enable the appraisee to reach competenceand 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, orachieve readiness for, the next job level/type, or if no particular next role is identified or sought, toachieve 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 authorisationconsiderations) the training and development support to be given to help the appraisee meet theagree objectives.

NB Appraisers should note that personal development and support must be offered to allemployees, not just the ambitious. Job-skills training isn't restricted to sending someone on anexternal course - it includes internal courses, coaching, mentoring (mentoring someone else andwell as being mentored), secondment to another role (eg, deputising for someone while they areaway on holiday), shadowing, distance-learning, reading books, watching videos, attendingmeetings 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 tohelp the person achieve whatever personal development and experiences that they feel passionateabout, even if initially there seems no relationship or benefit to the work and the job becausealmost certainly there will be: often in the skills themselves, and if not, then almost always in theincreased 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 requirementswith the relevant authority before the appraisal to check on policies and options and approvals.Raising false hopes is not helpful to the appraisal process.


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B10 Any other issues (it's important to offer the opportunity to the appraisee to raise any otherpoints, 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, areminder of its confidential nature, and a statement as to the individual's rights under the dataprotection laws applicable.)

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 ofwhich is commonly referred to Training Needs Analysis, or TNA.

Modern integrated computerised HR/training management systems will offer more sophisticatedfunctionality 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 moremodern complex learning and development management systems.

Bear in mind that these assessments and TNA tools are concerned principally with conventionalwork skills and attributes, and how to identify and prioritise group development needs. You shouldconsider separately how best develop unique personal potential in every person, since aperson's unique personal potential is usually quite different to the skills implied or required bytheir job role. See the 'Fantasticat' concept for ideas about nurturing and encouraging developmentof unique personal potential.

Various other templates and tools for learning and development which can be used alongsideappraisals processes are available from the free resources section.

The resources below are available as in different file formats including PDF's, MSWord or Excelworking 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


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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

The skill/behaviours individual assessments and training needs analysis tools (available in pdf andworking file MSExcel versions above and from the free resources section) are simple, effective andflexible tools for assessing individual training needs and for group training needs analysis. Adaptthem to suit your purposes, which can extend to specifying and evolving more complex learningand development management systems.

While the word 'training' is used widely on this webpage (mainly because many people search forand recognise the word 'training'), try to use the words 'learning' and 'development' whenstructuring your own processes and adapting these tools. The words Learning and Developmentcapture 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 andmotivate people than self-driven learning and development.

The Training Needs Analysis (TNA) spreadsheet is now available in three different variations, basedon three different individual skill/behaviour assessments for the roles:

general,

commercial/sales, and

management.


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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 largeorganisations.

You can use the tools in the present format or adapt them to suit your situation. Obviously ensurethat the skill/behaviours descriptions are consistent throughout the individual assessment tool andthe Training Needs Analysis tool. It is entirely possible to include a variety of 'skill-sets' on a singleTNA 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 adequatefor the role or not.

Ensure you identify clear definitions for the scoring, particularly if comparing or analysing differentpeople'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 standard2 = sometimes meets standard3 = often meets standard4 = always meets standard

For self-use: The skills/behaviour set assessments require some interpretation and ideallydiscussion with a trusted friend, colleague or boss to establish the 2nd view validation. As well asencouraging self-awareness development and simply thinking about one's own feelings andaptitudes, the assessment and reflection are an interesting and viable basis forassessing/discussing/reviewing personal development and career focus. When the scoring iscompleted 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 forrecruitment, appraisals and ongoing development and training. It can be adapted for differentroles, and if used with existing staff ideally the person performing the role should have some inputas to the skill and behavioural criteria listed, and the importance (essential or desirable) for eachcharacteristic in the role. Working with a group to adapt the skill-set criteria according to thepeople's jobs makes an interesting workshop and team building session: involving people indeveloping the system creates a sense of ownership and commitment to using the assessmentmethod itself. The skill-set/behavioural tests can be used in conjunction with the Training NeedsAnalysis tool available from the website as a working MSExcel spreadsheet file. Assessment can be


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carried out formally one-to-one as part of an appraisal or review meeting, referring to evidence ifappropriate, or informally in a workshop situation as a group exercise (assessment in pairs, withpartners helping to establish the 2nd view validation for each other). Whether informally or formallyassessed, the results for a group can be transferred to the corresponding Training Needs Analysistool, to identify team or group training priorities. Training priorities are the essential skills with thelowest average scores.

Informal assessments in a workshop situation also enable an immediate 'straw poll' analysis ofgroup training needs, and as such provide an excellent method for quickly identifying and agreeingtraining and development needs for a group.

The skillset tools and related TNA (Training Needs Analysis) spreadsheet tools on this websiteprovide quick easy adaptable templates for explaining, identifying and planning group trainingneeds.

The skillset and TNA tools obviously measure the criteria that are detailed within the tools. Adaptthem as required.

The instruments are broad indicators of training and development needs, based mainly onsubjective views, and in this respect are not as sophisticated as more scientific and complex TNAsystems.

You can adapt the criteria (skills/behaviours elements) within the skillset and TNA tools according towhat 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 (theskill/attributes/behavioural elements).

Importantly you can involve the group in doing this, and in appreciating the components andstandards 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 orsecretly measured, which arises commonly in the way that many work-related assessments areintroduced and managed.

The 360 degree feedback tool enables better objective measurement than the Skillset tool, butentails significantly more set up and administration.

While I have no documented evidence or statistical data for the Skillset tool's use andeffectiveness, in my own experience I have always found it helpful in initially developingunderstanding of the different management/role aspects; also for developing understanding ofindividual self-awareness of strengths and weaknesses, and to provide the leader with an overviewof individual and group needs.

The skillset tool is especially useful for group training needs analysis methods when used in


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conjunction with the TNA spreadsheet, different versions of which are available and explained inthe tools for appraisals, assessments and TNA section.

These are quick broad flexible indicators, not a scientifically validated or very detailed systems; forexample 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, andthe looseness with which the criteria can be interpreted, both of which can be addressed in theway that you present and use and develop the tools.

Scoring and measuring system suitability is critical, especially if you are making big decisions on theoutcomes, which require clear score definitions and implications (explain to participants thejudgements/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 mainlybecause the mid-way 2 option encourages fence-sitting which inhibits clarity of individual andoverall results (as any odd number score range tends to do). 1-3 or 1-5 virtually ensures you endup 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 youwith the best lever to do so. 1-4 is much better because people have to decide whether the abilityis 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 whiteanswers.

'Grey' answers at number 2 in a 1-3 scale, e.g., average, medium, satisfactory, etc., aren't reallyany 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 = belowstandard; 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 notgood for individual skills audits or training needs analysis, where the question of degree is moreimportant for individual task direction and development planning, and to enable more reliablecomparison between individuals.


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The accuracy and reliability of any scoring system increases with full description/definitions, andbetter still with examples for each score band. This gives everyone the same objective-scientificreference points, and reduces subjectivity.

360 degree appraisals are a powerful developmental method and quite different to traditionalmanager-subordinate appraisals (which fulfil different purposes). As such a 360 degree processdoes not replace the traditional one-to-one process - it augments it, and can be used as astand-alone development method.

360 degree appraisals involve the appraisee receiving feedback from people (named oranonymous) whose views are considered helpful and relevant. The feedback is typically provided ona form showing job skills/abilities/attitudinal/behavioural criteria and some sort of scoring or valuejudgement system. The appraisee should also assess themselves using the same feedbackinstrument 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 theappraisee and has opinions/views/reactions of and to the appraisee. Numerous systems andproviders are available - I wouldn't recommend any in particular because my view about thisprocess is that you should develop a process and materials for your own situation, preferablyinvolving 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 samplegroup, during which process and materials can be created and provisionally drafted. Theparticipative 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, mostlyinappropriate 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 wasteof 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 goodworking 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 Discriminationlegislation and implications which might be new to some people. Comments such as 'you can't teachan 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


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itself contains some very helpful developmental benefits and experience for all involved. If you'renot able to get everyone together for a workshop you should solicit input and ideas - particularlyabout 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 developon an ongoing basis.

It is my view that no aspects of 360 feedback should ever be mandatory for any appraisee orrespondent. Given more than three or four similar role-types being appraised it's not sensible toproduce individually tailored criteria, in which case when it comes to the respondents completingthe 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 onlinematerials), it's useful to allow space for several 'other' aspects that the appraisee might wish toadd to the standard criteria, and space for respondents to add 'other' comments. Open honestfeedback 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), thinkcarefully about the feedback form scoring system and particularly its suitability for input to somesort of analysis tool, which could be a spreadsheet, and therefore numerically based requiringnumerical 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 formisunderstanding 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 360degree appraisals form.

Similarly the training needs analysis tool is an example of a collective or organizationalmeasurement tool, based on the input of a number of individual feedback assessments. This toolcan 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

Here is a simple guide for introducing 360 degree appraisals into an organization (and any othermanagement system for that matter):

Consider and decide what you need the 360 degree system to achieve. What must it be? Howmust it work? What difference must it make?


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Choose/design a system (or system provider), ie., research and investigate your options (otherlocal or same-sector companies using 360 already are a helpful reference point, or your tradeassociation HR group, or a specialist HR advisory body such as CIPD in the UK if you are amember).

Check the legal and contractual issues for your sitution - privacy, individual choice, acceptablepractices and rules, training, data protection, individual rights, adoption guide, etc. (360 degreesystems are now well-developed and established. Best practice and good referencecase-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 youexpect. (It's best to establish some simple parameters or KPI's by which you can make thisassessment, rather than basing success on instinct or subjective views.)

When satisfied with the system, launch it via a seminar or workshop, preferably includingrole-plays and/or practical demonstration.

Support the implementation with ongoing training, (include an overview in your inductiontraining as well), a written process guide/booklet, and also publish process and standards onyour intranet if you have one.

Establish review and monitoring responsibility.

Ensure any 360 degree appraisal system system is introduced and applied from topdown, not bottom up, so everyone can see that the CEO is happy to undertake what he/sheexpects all the other staff to do. As with anything else, if the CEO and board agrees toundertake it first, the system will have much stronger take-up and credibility. If the plan for 360feedback introduction is likely to be seen as another instrument of executive domination thenre-think your plans.

Job descriptions are also a useful starting point for (but by no means the full extent of) establishingfeedback criteria, as are customer/staff survey findings in which expectations/needs/priorities ofappraisee performance are indicated or implied.

A 360 degree appraisal template typically contains these column headings or fields, also shown inthe 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' keyskill], or 'generates ideas/options' [within a 'creativity/problem solving' key skill]). The numberof elements per key skill varies - for some key skills there could be just one element; for othersthere could be five or six, which I'd recommend be the maximum. Break down the key skill ifthere are more than six elements - big lists and groups are less easy to work with.

question number (purely for reference and ease of analysis)


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specific feedback question (relating to skill component, eg does the person take care to listenand understand properly when you/others are speaking to him/her? [for the active listeningskill])

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 ofinterpretation of scoring is important)

A typical 360 degree feedback form template would look like this. This template allows a mixture ofkey skills comprising one, two, three, four, and up to six elements. The number of elements perkey skill/capability would vary of course, so if necessary adjust the size of the boxes in the firstcolumn accordingly to accommodate more or less elements. See the notes directly above for moreexplanation about the purpose of each column and heading, and the feedback scoring method.

Feedback Form headings and instructions: appraisee name, date, feedbackrespondent name, position (if applicable) plus local instructions and guidelines forcompletion, etc.

keyskill/capability

area

skill/capabilityelement

questionnumber feedback question feedback

score

1

2

3

4

5

6

7

8

9

10


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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 youprovide this option it is advisable to ask respondents to be as constructive aspossible.....)

A working file based on this format is available in MSWord and Excel versions:


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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 aquestionnaire) is to build it from the role's key skill areas, break down these into elements, andmeasure each via carefully worded questions, which the respondents answer and thereby gradethe 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-uppeople should be able to cope with, and derive more benefit from, operating the processtransparently - 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. Formore information and guidance about handling and explaining this particular aspect refer to theJohari Window model - it's a powerful and helpful concept to use alongside the 360 degreefeedback/appraisal process.

As mentioned above, workshops are a good way to devise these questionnaires, especially thequestions to assess each skill or behavioural element.

Analysis of group results is much easier if you use a numerical rating system. The sample freetraining needs analysis spreadsheet tool can easily be adapted for analysis of 360 degree feedbackresults, which can then feed into the analysis of training needs. The same training needs analysistool is also available in pdf format.

Some people advocate separating appraisals from pay review, however this does not make sensein organizations which require staff to be focused on their contribution to organizationalperformance, especially where there are clear accountabilities and measures (which in my viewshould apply in all organizations).

Organizations rightly or wrongly are geared to annual performance, and the achievement of atrading plan. This cascades to departments, teams and individuals, so it makes sense to assesspeople over a time period that fits with what the organization is working to. Put another way, it'snot 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 resultsand full year performance - for individuals and departments and organizations - can reliably bepredicted. By holding appraisals at this time, and staff knowing that appraisals are focused on thistrading period, people's thoughts and efforts can be concentrated on their contribution towardsthe organization's annual trading plan, which is a main appraisals driver and output (as well as


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individual development of course). Holding appraisals after year-end means that people start theyear without formal agreed objectives, and also creates bigger delays for financial and payrolldepartments in their task to process pay awards and adjustments.

Departmental, team and individual objectives provide the context for the appraisal, linking clearly toperformance bonus and performance-based pay awards, the rationale for which needs to betransparent and published prior to the start of the year to which they relate, for the full benefit andeffect on staff effort to be realised.

Pay review would also coincide with the trading year, which makes sense from the planning andbudgeting perspective. The business is in a position to know by the close of the final quarter whatthe overall pay review position is because the rationale has already been (it jolly well should havebeen) 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, committedas 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 andexplain the organization's overview results and financials to the appraisees. And the appraisees cansee 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 bereviewed through the coming year and at the next year's appraisal.

Other than for directors, complex or difficult appraisals, appraisal meetings should not be 3 hourmarathon sessions - this daft situation happens when boss and subordinate never sit downtogether one-to-one other than for the annual appraisal. If you only talk properly with someoneonce a year no wonder it takes all afternoon...

Boss and subordinate should ideally sit down one-to-one monthly (or at worse, quarterly, for themore mature, self-sufficient people), to review activity, ideas, performance, progress, etc., whichmakes the annual appraisal really easy when it comes around, and manageable in an hour or 90minutes maximum.

Use of a good appraisal form including self-assessment elements is essential for well organisedappraisals. See the free templates which are ready to use or adapt for your own situations and jobroles:



Ensure that appraisers and appraisees understand that they must prepare in advance or you'relooking at 3 hour marathons again.

Training for appraisers and appraisees on how to use the appraisals process properly is very


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helpful obviously, especially taking a more modern view of what makes people effective andvaluable to employers, and how to encourage this development, which relates to developing thewhole person, in the direction they want to go, not just job skills, as explained earlier in thissection.

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 andannounce this - everyone gets this. This can be based on a collection of factors, decided by theboard, typically: inflation, the organization's financial position, demographics and competitor marketforces on salary levels.

Individuals can then receive an additional increase on top of this according to criteria agreed beforethe 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 performancelevers 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 aperson's age, aside from statutory mechanisms such as minimum wage levels. See the AgeDiversity 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 annualpay increase mechanism is one that effectively rewards everyone directly and transparently forcorporate performance, ie, 'profit share' in spirit, based on the whole organization and a businessunit/department to which they relate, plus an individual performance-linked award based on thesort of levers mentioned above. It's about people believing that they are all part of the groupeffort, pulling together, and all enjoying a share of the success. Profit share deals just for directorsare rightly regarded by most staff as elitist, exclusive, and divisive. If you want your people to giveyou 100%, include them in as many reward schemes as you can.

Where appraisals coincide with year-end, training department must not rely exclusively onappraisals data for training planning (the data arrives too late to be used for training planning forthe 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 tomanage the data-gathering and analysis (including the vital details from staff appraisals), trainingplanning activity, and integrating the costs and budgeting within the corporate trading planningprocess.


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A new employee is often subject to a probationary period - normally three months althoughprobationary periods vary from a few weeks to a year. Probation must have a strong link toinduction training. Probationers need to be supported properly or the chances of the new employeestruggling or failing will increase. The nature and process of probationary reviews depend on localmethods and policies, however the elements of the review process (and any documentation orsystem used) will commonly be:

name position department etc.

dates - commencement and review

basis of review - clear explanation of what constitutes a successful outcome, linked toconsequences 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 probationaryreview, and for ultimate job performance standard if different (aims must be SMART - specific,measurable, agreed, realistic, time-bound - aims and activities should logically reflect andrepresent the core skills, knowledge, behaviour an learning necessary for the probationers jobfunction)

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 andmeasuring aims.

See also the general competencies skill set assessment form, and other examples of individualassessment tools, which can also help in the probationary review process.

The Multiple Intelligences concept and test and VAK Learning Styles concept and test are extremelyuseful tools for appraisals, before or after, to help people understand their natural potential andstrengths 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 theirgreatest 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.


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You might also want to look at the Fantasticat concept too - it's mainly for children, but sometimesit helps to return to where we started when and if things go off track. Understanding what we arefantastic at is at the very heart of being happy and achieving great things in our work, and thisapplies 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 discriminateagainst 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 AgeDiscrimination 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 - itaffects very many people and situuations.

Be as truthful as you can without exposing yourself unnecessarily. Obviously if your companyand/or boss does not have a positive and fair approach be careful not to create vulnerabilities foryourself.

Always be positive, never negative - don't complain, don't point out problems, avoid makingpersonal attacks on anyone or their abilities. If there are problems express them as opportunitiesto develop or improve, an if possible suggest or recommend how these improvements can bemade.

Ask for help and training and coaching and development in areas that you believe will improve yourproductivity and value to the organization.

Look for ways to relate personal growth and development of your own passions and interestsoutside of work, to your work, and the benefits this sort of development will bring to youremployer. Think about your hobbies and your natural strengths - they will almost certainly entailusing many attributes that will be helpful for your employer - perhaps beyond the role that you findyourself in currently. If your employer is unaware of your talents and potential make sure you tellyour manager, and if your employer fails to understand the benefits of helping you to follow yourunique personal potential (which each of us has) then maybe think about finding an employer whoplaces a higher value on their people.

Use the list or skill categories on the appraisal form to assess your capabilities and behaviours oneby one - be specific, objective and be able to reference examples and evidence. This is animportant area for the appraisal meeting itself so think about it and if necessary ask others forfeedback to help you gather examples and form a reliable view of your competence in eachcategory 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


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responsibility; if there are no specific responsibilities or objectives brought forward from yourprevious appraisal or on-going meetings with your manager again use your job description as abasis for assessing your performance, competence and achievements.

Identify objectives for yourself for the next year. These should be related to your current jobresponsibilities and your intended personal development, and be a mixture of short, medium andlong-term aims (ie, days or weeks, months, and a year or more). Attach actions and measurableoutputs to these aims and objectives -this is a commitment to change and improve whichdemonstrates a very responsible and mature attitude.

If your aims and actions require training or coaching or other support then state this, but do notassume you have a right to receive it - these things cost money and your manager may not beable to commit to them without seeking higher approval.

Think about and state your longer-term aspirations - qualifications and learning, careerdevelopment, and your personal life fulfilment issues too - they are increasingly relevant to yourwork, and also to your value as an employee.

Seek responsibility, work, and tasks within and beyond your normal role. Extra work andresponsibility, and achieving higher things develop people and increase productivity for andcontribution 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 rewardor 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 organizationalperformance. As such, if you want higher reward, seek first the opportunity to contribute more.

Other tools and materials related to appraisals, individual assessments, and learning anddevelopment, including:

job interviews and interviewing - the processes are similar to appraisals - many of the questionsare useful and can be adapted for the appraisal meeting or the appraisal form itself - theinformation and ideas for group selections and assessment centres also relate potentially toperformance 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


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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 atappraisals, or to take yours along if it's your own appraisal...

e.g. swot analysis, change management, cv template, team building...

business/sellingsales, marketing, strategy, business management

glossaries/terminologyglossaries, dictionaries, acronyms, lists of terms

human resourcesrecruitment and selection, training, job interviews

teambuilding/gamesactivities, games, icebreakers, quizzes, puzzles

lifestyle/environmentclimate change, sleeping aids, reiki

amusement/stress relieffunny and inspirational stories, quotes, humour

personal developmentpersonal development, self-discovery, self-help, life balance

leadership/managementdelegation, motivation, change management

writing/communicatingcv templates, reference letters, resignation letters

diagrams and toolsfree templates, samples, resources, tests and quizzes

The use of this material is free provided copyright (see below) is acknowledged and reference or link is made to thewww.businessballs.com website. This material may not be sold, or published in any form. Disclaimer: Reliance oninformation, material, advice, or other linked or recommended resources, received from Alan Chapman, shall be atyour sole risk, and Alan Chapman assumes no responsibility for any errors, omissions, or damages arising. Users of thiswebsite are encouraged to confirm information received with other sources, and to seek local qualified advice ifembarking on any actions that could carry personal or organizational liabilities. Managing people and relationships aresensitive activities; the free material and advice available via this website do not provide all necessary safeguards andchecks. Please retain this notice on all copies.

© alan chapman 1995-2009


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How To Write Your Own Performance Appraisals

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