Appraisals (Evaluations): Assessing Whether Expectations Have Been Met

What Is an Appraisal?

An appraisal is a formal evaluation of the extent to which the worker has achieved the objectives established in the performance plan. Managers typically conduct the appraisal within a month of the closing of the appraisal period (but not before the end). The appraisal is formally written, but presented in a face-to-face meeting with the worker (even workers who work at different locations than their managers).

An appraisal typically presents statements that describe how the worker performed on each objective, numerical assessments of the performance in each area, and a numerical assessment of overall performance evaluation.. The numerical assessment usually indicates whether or not the employee met expectations. Most appraisal systems also indicate the extent to which the worker exceeded expectations (sometimes, usually, or always).

Appraisals also provide workers with feedback on their strengths and areas in which they should focus improvement efforts.

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Purpose of an Appraisal

As an evaluation tool, an appraisal is part of a long-term process of helping workers assess their performance and enhance performance in the current job.

Most companies also use appraisals as a tool to make decisions about human resources issues. Because many organizations use pay scales that tie salary increases to the performance on the job, managers use appraisal ratings to determine the size and timing of a salary increase. Generally, the stronger the performance, the larger the raise and the sooner the worker receives it.

When employees have sustained a level of appraised performance for several appraisal periods, managers use this sustained performance to justify a promotion.

When hiring an internal candidate for a job, the hiring manager might review a prospective worker's recent appraisals as part of a background check on the worker.

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Format of an Appraisal

For a given area of performance, provide an overall assessment of how well the worker met the objectives:

1. Consistently
2. Usually
3. Sometimes
4. Met expectations
5. Did not meet expectations

Then, write an overall assessment of performance and indicate whether or not each supporting objective was met. If a supporting objective was not met, explain why.

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Example of an Appraisal

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Preparing to Write an Appraisal

Throughout the appraisal period, the manager should place brief notes in the worker's file to use as reference when writing the appraisal. When preparing to write the appraisal, the manager should review this file and consider performance for the entire appraisal period.

Some questions to consider:

• What is the feedback of others with whom the worker interacts? What insights can they provide?
• Has the worker accomplished the tasks listed in the performance plan? Completely? Partially? Not at all?
• If the worker has only accomplished a task in part or not at all, why is that? Has the urgency subsided? Have other priorities arisen? Was completing the task not feasible because of other priorities or a lack of resources? How has the failure to complete a task had an adverse effect on the business?
• Has the worker accomplished tasks outside of the performance plan? Were these essential tasks that were not anticipated when the plan was written or non-essential tasks that the worker has chosen to take on?
• What is the most recent impression of the worker's performance: positive or negative? How does this compare to the impression one month ago? Three months ago? Has the performance been consistent or not?

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Process for Writing an Appraisal

1. For each supporting objective listed on the performance plan, write the accomplishments.
• Merely state what happened, not how it was perceived.
• Use observable and measurable terms.
• Avoid value terms like "good" or "poorly;" instead, use neutral terms.
2. For each of the 3 or 4 main objectives stated in the performance plan, assess whether the worker has:

5 Not met requirements at all.

4 Met the requirements of the job.

3 Met the requirements of the job and

sometimes exceeded them.

2 Met the requirements of the job and often

exceeds them.

1 Consistently exceeds the requirements.

Note that, although it has 5 levels of evaluation, this evaluation scale does not correspond to the grading system in schools (such as excellent, good, fair, poor, and fail).

3. Considering the assessments in each area, provide the worker with an overall assessment of the performance sing the same scale used in the previous step.
4. Identify three strengths the person brings to the job.
5. Identify three areas that the person can improve upon. These should pertain to skills (time management), rather than to characteristics (stop being such a latecomer).
6. Meet with the worker to present the appraisal. For a new worker, you might read the appraisal aloud, going through each section individually and discussing feedback. For a more experienced worker, you might present the overall appraisal then initiate a discussion.
7. Following the personnel procedures of the organization, file the completed appraisal.

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Issues in Writing an Appraisal

• Recency effect. That is, the manager might focus on the most recent performance (strong or weak) rather than consider the entire performance period.
• History effect. That is, one event that happened early in the appraisal period might color the manager 's opinion throughout the appraisal period.
• Sole opinion. That is, the manager does not seek input from others (such as co-workers, team mates on projects, and others) when reviewing the worker's performance.

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(c) Copyright. 1999, 2000, 2001, 2002. Saul Carliner. All rights reserved.