Tutorial: The Appraisor's Role in using Appraisal Smart
when Conducting Performance Appraisals/Reviews (cont...)

STEP 4: Complete the Performance Improvement Plan (PIP)

Performance Measures and Standards that have not been met need to be put back on track. Engage in joint problem solving to do so, as each Performance Measure is discussed during Step 3. The result of this discussion is documented onto the Performance Improvement Plan (PIP) section of each Performance Measure listed on the Performance Review Form in Appraisal Smart.

Remember, staff training and coaching are seldom the only solutions for addressing unacceptable performance or behaviour. Poor performance or behaviour can more often than not be ascribed to a combination of: a lack of resources and work tools, poor systems/policies/procedures, poor reward/recognition practices, insufficient performance feedback, other poor management practices, and a generally counter-productive working environment and organisation culture.

Be open-minded to consider and address all of these. Frequently, these are for the Appraisor/Organisation to address, and not the Appraisee. Along with staff training and development, the result will be continuous performance improvement, organisation development, and pro-active change management - leading to a "Learning Organisation" in the true sense of the word.

Again, Appraisors should get suggestions from the Appraisee first before adding their own.

STEP 5: Agree Performance Measures and Standards for the next Performance Period

This is the "forward-looking" section of the interview as mentioned above. This part of the discussion can be handled right now as the "second half" of the interview, or as a separate session within the next week or two.

It is crucial, though, that new or adapted Performance Measures and Standards be discussed and documented as close as possible to the beginning at the new Performance Period, so the Appraisee has the bulk of the time to deliver on them.

Also discuss any support that you need to give Appraisees. Support is all about minimising environmental barriers to performance, providing them with the necessary resources to perform, training and coaching opportunities, and improving their motivation.

STEP 6: Close on a positive note

Make a positive closing statement, reiterating your appreciation of the Appraisee's efforts, ensuring them of your trust in their abilities and future performance, e.g.:
"Jane, that concludes our discussion then. Thank you for the frank and constructive way in which you have approached it. I would just like to end off by thanking you once again for the effort you have put in over the last "x" months, and also to ensure you of my full trust in your abilities to tackle your new targets competently. Please rest assured of my commitment to support you where I can, and do not hesitate to push on my button at any time."

STAGE 3: FOLLOWING UP

• The Performance Agreement reached at the end of the Appraisal (for the next Performance Period) can be viewed as a negotiated contract. Appraisees are committing themselves to achieve certain objectives/targets in return for specified support from their line managers. It is crucial that you deliver on this promised support.
• Provide all possible psychological support (praise, recognition, encouragement, etc.) and physical support (work tools, equipment, finances, staff, etc.).
• Show interest by MBWA ("managing by walking around"), i.e. be there where the action is, observing their performance, enquiring about progress, and offering assistance.
• Arrange the necessary training and coaching as identified.
• Provide regular feedback on performance (both positive and negative) as soon as possible after the event.
  Create a pleasant working environment and climate where people can fulfil their social and other motivational needs, while maintaining a business focus and urgency.

GENERAL CONSIDERATIONS IN RESPECT OF APPRAISALS

A Firm Manner

Do not accept any ideas or suggestions from Appraisees that you are not fully happy with or that are not congruent with corporate and your own goals and standards. Tell them what these non-negotiable parameters are that you cannot compromise on.

You do need a certain firmness of manner, which should be used as required during the Appraisal. It is your job to keep the interview on track and not allow serious digressions.

Firmness of manner means assertiveness, not aggression. It means ensuring you keep control of the interview -- always politely, but with authority.

Confidentiality

It is essential that you are discreet. The Appraisee must be able to trust you to keep whatever is discussed confidential.

Fair Assessment: External factors affecting performance

In assessing an Appraisee's performance, the extent to which circumstances beyond their control have influenced the achievement of their objectives, must be taken into consideration. This means that, if these circumstances have contributed greatly to good results, they should not get the benefit of it. Likewise, they should not be punished if adverse, uncontrollable causes have prevented them from achieving their objectives optimally.

The quality of an employee's performance also frequently depends on how good, reliable, and consistent the products of the result of the work of others are, that inputs into their own work area.

Can the non-achievement of objectives also possibly be ascribed to the fact that other objectives took priority over it at some point?

Also ask yourself to what extent the Performance Environment (organisation culture, policies, rules, systems, structure, infrastructure, resources, etc) has prevented Appraisees from achieving their goals.

Appraisal Pitfalls

The following needs to be avoided during the performance rating process:

• Central tendency of giving all employees the same ratings, or giving an employee the same rating on all her Performance Measures (at least this cannot happen where there are agreed quantitative Rating Scales)
• Consistently being too strict or too lenient
• "Job Halo", by giving higher ratings to certain employees based upon personal preferences or one-off incidents instead of actual job performance over the entire period.

Managers should differentiate very clearly between those employees who achieve their objectives and those who do not, and give clear messages to both. "Compromising" and giving all employees the same bonus or increase will give the wrong message to everybody. Top performance will feel punished (even cheated) and poor performance will be rewarded.

Managers must have the courage of their conviction to give credit where credit is due and not be manipulated by those poor performers who rather bet on the manager's fear for confrontation. Such managers invariable end up losing the respect and loyalty of both types of performer.

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