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appraisal process.
By Buhler, Patricia M.
Publication: Supervision
Date: Tuesday, November 1 2005
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As the use of self-appraisals has increased, the opportunity for each employee to
offer valuable input to the process has also grown. This opportunity, however, has
come with increased responsibility. That is, to take full advantage of this input, the
employee must carefully do his or her homework and truly understand the process
and all its components. Becoming Familiar with the Appraisal Form and the Process
Employees should in no way be intimidated by their increased involvement in the
process. Administering performance appraisals consistently ranks at the top of the
list of the most disliked managerial tasks. An employee who is responsibly involved
in the process with valuable contributions can then be a welcome relief to the
manager. It is important that each employee be familiar first with the appraisal form
itself. Many organizations have customized forms. Larger firms may even customize
the form from department to department. These forms should be received well in
advance of the actual evaluation date so employees can become familiar with them.
In addition to the form itself, the employee must possess a thorough knowledge of
the job description and the standards of performance. The job description should be
provided to each employee when hired. This document outlines the key
responsibilities and tasks that the employee is required to perform on the job.
Often, these responsibilities will be listed in descending order of the time expected
to be spent in each of these tasks.
An effective performance appraisal will then reflect how well the employee is
performing these specific tasks. More progressive organizations today are replacing
the use of job responsibilities and specific job tasks with competencies. These tend
to be broader and less likely to become obsolete as quickly. Employees should be
equally knowledgeable about the competencies required for them to perform
successfully on the job. The standards of performance are perhaps the most critical
input for performance appraisals. These are the specific measures of performance
against which an employee will be evaluated. These measures may be output or
behavioral. That is, they may specify what is to be done or how it is to be done. It is
essential that every employee knows and fully understands these standards of
performance against which they will be appraised. Without full knowledge of these
measures, employees cannot be expected to perform at those levels. The
performance criteria must, however, be job-related and be within the employee's
control. They cannot be held accountable for performance that is not within their
control.
Generally, employees should receive a copy of the evaluation form itself a few
weeks prior to the appraisal interview. This should be completed as objectively as
possible. While these self-appraisals tend to be less objective and more positive
than the supervisor's appraisal, this is always a good starting point for discussions
during the interview. For this reason, employees must be very specific when
completing each item. It is not sufficient to circle a rating of 4 out of 5 for quality of
work. Specific examples should be provided with dates and details. Employees
should have a clear understanding of how their performance appraisal process is
aligned with their compensation (including any bonuses or merit pay increases) and
promotion opportunities. Finally, it is important that employees know what their
options are if they disagree with the evaluation. In most cases, organizations
provide employees the option of submitting a rebuttal to document their
disagreement. This should be placed in the employee's personnel file with the
performance appraisal.
The performance appraisal interview itself is an active process. That is, the
employee should not remain passive. Instead, he or she should expect to provide
input and talk at least fifty percent of the time. This is not a one-way
communication process. The employee's remarks, however, should be carefully
chosen. The environment is also important. To be effective, the employee should
ensure that the manager has selected a quiet meeting place free from interruptions.
It is critical that issues to be discussed during the interview be prioritized to ensure
that those most important topics are covered first. The employee might even think
of this appraisal interview as a meeting with an agenda where topics are outlined
and times are allotted to each. While the manager generally has control of the
interview, the employee can contribute and help to steer the discussion in the
desired direction. Topping the list might be a thank you for the opportunities
afforded the employee by the company and the manager. This serves to start on a
positive note. A list of accomplishments from the review period should be included.
While the past performance of the employee is evaluated, the most effective
appraisals are oriented more toward the future. The focus of a developmental
appraisal should be on how shortcomings can be improved and what skills should be
developed going forward. This is also an opportunity to jointly set goals for the
upcoming year. Employees should be proactive in bringing their suggestions to the
table. This is a good time for the employee to think about the portfolio of skills that
they want to develop. These should, however, be tied to the strategic objectives of
the firm and the department.
By aligning the employee's personal development and skill acquisition with the
achievement of organizational objectives, the manager will more clearly recognize
their importance and be more likely to assist. It is essential for the employee to gain
commitment from the manager. This is a partnership between the manager and the
employee to improve the employee's performance--and ultimately, the
organization's performance. It is always a good tactic to agree on a follow-up
meeting time and place. The action plan (with goals) discussed in the appraisal
interview can then be re-visited and progress monitored to ensure the employee is
on track. Unfortunately, the performance appraisal process is not used as
effectively if it is not a two-way process with employees actively involved. Training
managers to better provide feedback is helpful, but employees must step up to the
plate to take responsibility for reaping the benefits of a process designed
specifically to improve their performance--and the overall performance of the
organization.
Patricia M. Buhler, D. B. A