The Appraisor's Role in using Appraisal Smart
when Conducting Performance Appraisals/Reviews
Tutorial describes the Appraisor's role with respect to the conducting
of Performance Appraisals/Reviews with Appraisees (using our web-based,
online Appraisal Smart
The process advocated below reflects the view of Appraisal Smart
Pty Ltd (a wholly-owned subsidiary of Performance Associates Ltd)
as to how Appraisals should be conducted. This process reflects
current international best pracice.
be the Appraisor?
The term "Appraisor"
generally refers to the direct line manager of an employee (at any
level). The former would normally be the best person to conduct
the appraisal, for the following reasons:
- Direct line
managers (managers and supervisors) are ultimately accountable
for the performance of their direct reports ("subordinates")
- Direct line
managers (should) know best what the performance expectations
are of the positions reporting to them
- Direct line
managers are normally also in the best position to direct, monitor
and observe their direct reports' performance and work behaviour.
project or matrix-based organisations, the question of who should
do the appraisal is dependent on who would be the best "judge"
as to an employee's performance. It could be, for instance, a project
manager to whom an employee was seconded for a specific project.
The appraisor for such an employee may, therefore, differ from appraisal
to appraisal. Alternatively, a project manager can attend an appraisal
interview, facilitated by the employee's direct line manager, but
where the former will provide most of the observed performance input.
The latter "two-on-one"
arrangement can also be followed when an employee was transferred
to a different unit with a new line manager. The first line manager's
input into the appraisal would be necessary for a balanced and fair
process to take place (unless the time worked in the first unit
was relatively short compared to the second, in which case it may
evidence (positive as well as negative, but trying to emphasize
the positive) of the Appraisee's performance and work behaviour
onto Appraisal Smart throughout the performance period. First discuss
these with Appraisees ASAP after observation (before entering it
onto the system) so that they are not surprised to see it when logging
onto the system themselves.
do the same after letting you know of their mentionable performance
achievements. While your feedback to them should ideally be verbal
(especially the negative), theirs may be verbal or in writing (e.g.
in monthly reports). If necessary, probe them on what they have
reported as good performance, to ensure you agree with it (before
accepting it as positive performance evidence for inclusion on Appraisal
evidence to consider are e.g. performance statistics (quantity and
quality), customer feedback, observed or reported performance/behavioural
incidents, etc. (i.e. anything crucial related to their expected
work outputs and the effect their behaviour had on their work and
on customers and colleagues - positive or negative).
Appraisal consists of the following three Stages:
1. Preparing for the Appraisal
2. Conducting the Appraisal
3. Following Up
Let's look at
each of these in more detail:
PREPARING FOR THE APPRAISAL
It is important
that arrangements for the Performance Appraisal be made well in
advance so that both Appraisor and Appraisee have adequate time
to prepare properly.
of things need to be done in preparation to ensure a fruitful discussion:
- View Appraisees'
Performance Review Forms to refresh your memory regarding the
Performance Measures (Objectives/KPI's/Competencies) that were
agreed with them.
- View their
previous Summary & Performance Improvement Plans (PIP) to
see what was agreed that they should work on improving. Did you
do what you have undertaken?
- Study their
Performance Evidence records on Appraisal Smart.
- Consult all
other relevant records on their performance:
- Inform them
to prepare for the Appraisal by printing out and studying their
Performance Review Forms and Evidence Notes.
- Agree a mutually
suitable date and time for the interview. A minimum of one week's
notice should to be given. For more senior and specialist positions,
allow even more preparation time.
- Select a
private, comfortable venue where you can meet in a relaxed, unhurried,
informal atmosphere, without disturbances or interruptions. Avoid
sitting behind a desk during the interview. Rather sit together
with the Appraisee in front of your desk or, alternatively, at
a conference table. Sitting behind a desk transmits a non-verbal
message of formality, reinforcing the "superior-subordinate"
- Set aside
adequate time for the Appraisal Interview, which may vary in length
from about 45 minutes to two hours, depending on the complexity
and seniority of the position under consideration.
CONDUCTING THE APPRAISAL
Appraisal consists of two distinct parts:
PERFORMANCE: A "backwards" look at how well previously
set Performance Measures and Standards were achieved, and the factors
that affected their achievement.
(2) PLANNING PERFORMANCE: A "forwards" look at new or
adapted Performance Measures and Standards to be achieved during
the next performance period.
SIX STEPS need to be followed to ensure a constructive session:
1. Start with an ice-breaker
2. Explain the purpose of the interview
3. Work through the Performance Measures, and agree on a Rating
4. Complete the Performance Improvement Plan (PIP)
5. Agree Performance Measures and Standards for the next Performance
6. Close on a positive note
The online Appraisal
Smart Performance Review Form need to be completed by the Appraisor
during (or immediately after) the Appraisal to record the actual
performance information, plus the ratings and PIP information, as
was mutually agreed on by both Appraisor and Appraisee.