People hate appraisals because they are often done badly.

They can become a chore for the appraiser and appraisee – particularly when there has been very little other meaningful discussion during the year. Feedback on performance may be stored up for this one session and, as so much is presented at the same time, it is often taken as personal criticism. Some of the feedback may be a surprise because is has not been mentioned earlier. Successes are often overlooked – this is human nature as we tend to focus on problems rather than achievements. 

Feedback should never be a surprise in an appraisal. Individual issues, whether good or bad, should be discussed at the time they arise.

The appraisal should be a summary or overview of the successes and development needs of the individual. If the appraiser and appraisee feel negatively towards the appraisal, there is little chance of obtaining value from the process. To ensure that you both get some benefit from the process you should:

• Believe you will get benefit from it
• Prepare: both manager and team member should spend some time thinking about what will be discussed in the appraisal
• Follow a process
• Provide feedback and review and discuss progress informally on a regular basis.

Appraisals need not be complex. They can be a simple gathering and sharing of information that leads to targets for improving performance. What is important for all appraisals, whether simple or complex, is that a robust process is followed when undertaking them. This process should consist of the following steps:

• Preparation
• Discussion
• Reflection
• Agreement
• Review.

Preparation

Preparation is the key to a successful appraisal, both by the appraiser and the appraisee. Without preparation the discussion will be incomplete and stifled and it is likely that both parties will go away feeling frustrated at things left unsaid. Both people should be clear about the points they want to make.

Preparation by the manager should start with thinking about the business plan for the next one to two years and considering the skill base needed for any changes planned. Consideration should then be given to how different members of the team might take on new or extended roles and responsibilities.

Having thought about the business and the team as a whole, some thought should be given to each individual – their strengths and successes, their areas to improve upon and your suggestions for how their role might grow and expand. Reference to previous appraisal reports and informal notes from other discussions would be helpful for this.

The manager’s preparation should also include informing the team members about the appraisal system, what they should expect, when their appraisal will be held and what they need to prepare. It would be helpful to provide a list of simple questions to help staff to focus on useful information. Equally important is preparation by the team member. Team members should understand that an appraisal is not something that is done to them but something in which they are involved, and for which their input is important.

Discussion

The main part of the appraisal process, and the part which should attract the most focus, is the appraisal discussion itself. For this to be effective it is helpful to follow a discussion plan.

Reflection

It is important to make notes of the main points that were discussed in the appraisal as soon as possible after the discussion and to pass a copy of these to the team member as a reminder.

A short period of reflection after the discussion is useful to consider the points raised and the proposed targets. This is important for both the appraiser and appraisee. A decision to take on a new role or greater responsibility or a proposed performance target, may be viewed differently after some more consideration. The manager and team member should be prepared to revisit the discussion if required.

Agreement

After both parties have reflected on the appraisal they should agree the targets and development plans. A record of the appraisal should then be signed by the manager and the team member.

Review

As already outlined, appraisals are of little value if they are the only review of performance throughout the year. Regular informal progress reviews, at least on a quarterly basis, should take place to ensure the agreed change happens. It is important that both sides are flexible, to meet changing business needs. 

Records

It is important to keep records of appraisals. These are useful for measuring success in future appraisals and also important when managing poor performance. Lack of reasonable records can often lead to a negative outcome for the employer at employment tribunals when things go wrong.

A copy of the appraisal report should be kept in the team member’s personnel file and a second copy given to the team member for their records.