The “Course Topics” series from Manage Train Learn and Slide Topics is a collection of over 4000 slides that will help you master a wide range of management and personal development skills. The 202 PowerPoints in this series offer you a complete and in-depth study of each topic. In "The Appraisal Interview", you'll learn how to prepare for, run, and follow up on every staff appraisal that you have to carry out with your team.

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The Appraisal Interview
Appraisal Skills
MTL Course Topics
APPRAISAL SKILLS
The Appraisal Interview

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The Appraisal Interview
Appraisal Skills
MTL Course Topics
The Course Topics series from Manage Train Learn is a large collection of topics that will help you as a learner
to quickly and easily master a range of skills in your everyday working life and life outside work. If you are a
trainer, they are perfect for adding to your classroom courses and online learning plans.
COURSE TOPICS FROM MTL
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The Appraisal Interview
Appraisal Skills
MTL Course Topics
ARE YOU READY?
OK, LET’S START!

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The Appraisal Interview
Appraisal Skills
MTL Course Topics
INTRODUCTION
Although appraisal is an ongoing process, it is the yearly,
half-yearly or irregularly-held appraisal interview that gives
the whole process focus and meaning. Employees in
particular judge schemes and the credibility of the
appraisers by what happens during the brief but all-
important contact of the appraisal interview. Whatever lofty
aims and purposes an appraisal scheme may have, it is the
quality of the one-to-one relationship and the use of
professional skills in an interview, that determine if appraisal
is a success.

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Appraisal Skills
MTL Course Topics
APPRAISAL INTERVIEWS
There are five principles which underlie effective appraisal
interviews...
1. the appraisal interview is not an isolated event but should
be part of ongoing performance management
2. the manager's role is to help employees perform
successfully
3. in developmental appraisal, the interview is less about
what the manager thinks than what the employee thinks
4. the interview is more effective when it focuses on good
performance
5. the interview is more effective when it focuses on future
plans.
These principles apply whether the appraisal is simple
feedback, review of work done, or a rating and assessment
scheme.

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MTL Course Topics
THE AIMS OF APPRAISAL
An appraising manager can pitch his or her sights in an
appraisal interview at any of three levels...
Level 1: to comply with the requirements of the appraisal
scheme; to fill in the form; to meet the deadline. This does
nothing to enhance the boss-subordinate relationship or to
develop the employee.
Level 2: to review the employee's past performance. If the
interview is only about past performance, this can quickly
lead to an exchange of views, some of which may be
contested. Reviewing past performance is only of value if it
leads to discussing future plans.
Level 3: to help the employee to develop his or her
potential. This turns the relationship into a rewarding one
for both appraiser and appraisee and turns the interview
into just one step in an ongoing process.

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MTL Course Topics
BIG PICTURE AND SMALL DETAIL
Appraisal interviews should be part of an overall employee
performance scheme. Such a scheme should comprise
ongoing but informal discussions of how an employee is
doing and the more formal discussions of an appraisal
scheme.
So, one of the purposes of a formal appraisal interview is to
bring together all the ongoing discussions that you've had
throughout the review period and look for overall trends in
performance. It's like putting all the little details into the big
picture.
That's why, before the formal interview, you should look at
all the events, incidents and issues of ongoing performance.
This isn't to find fault or weak areas, but to find good points
and areas that can be built on.

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2-2-2 PREPARATION
The 2-2-2 Preparation technique manages the preparation
of an appraisal interview.
1. About 2 weeks before the interview, set a time, date
and location for the interview. Write it in your diary.
Notify employees and say why it's important to attend.
Give an indication of how they can best prepare, for
example, by completing their part of the paperwork or
self-assessing.
2. About 2 days before, complete any discussions with
others who may have views on the employee and
finalise your own assessment. Clear your diary of other
work. Remind employees of the appointment.
3. About 2 hours before, gather your notes, forms and
files. Prepare the room. Re-direct last-minute crises or
urgent work to other people. Clear your thoughts.

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MTL Course Topics
A RELAXED ENVIRONMENT
John who is an experienced appraiser is describing to his
assistant, Wendy, how he creates the right interview
environment for appraisal.
"I aim for a relaxed and business-like setting. When people
are relaxed, they talk more freely; when we're business-like,
we focus on the job in hand.
I pay attention to three areas of preparation: the whole
environment, the room and the seating.
Firstly, there must be no distractions or interruptions. I want
them to know they are the only thing on my mind. If
something important comes in, it must be delegated
elsewhere.
Next, I look at the room through the appraisee's eyes and
check whether it gives the right impression.
Lastly, I create a seating arrangement that is comfortable
and safe and creates an area of informality inside the
working office."

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MTL Course Topics
THE SHAPE OF APPRAISALS
The following summarises the twelve starting points in an
appraisal interview based on the past-present-future
structure.
1. welcome appraisee
2. use any informal reality-bridge questions
3. outline the aims of the appraisal session
4. check the appraisee is happy with the aims
5. ask the appraisee to give their own assessment of how
things have gone since the last formal review
6. summarise and agree the assessment
7. ask appraisee to outline their current work
8. summarise and agree what are current priorities
9. ask appraisee how they see things developing in the
future
10. add any plans to the appraisee's own plans
11. review what has been agreed
12. thank appraisee and close.

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MTL Course Topics
THE REALITY BRIDGE
The "reality bridge" is the phrase which describes the initial
social chit-chat at the start of an appraisal interview.
The reality bridge does more than just settle both parties
down. It reminds you that there is a real world outside the
interview room. Appraiser and appraisee both cross the
reality bridge to go back to this other world at the end of
the interview.
Some reality bridge phrases include...
" I see you made it through the heavy traffic..."
"Such dreadful weather..."
"I heard you were in Spain for your holidays..."

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MTL Course Topics
CONTRACTING
After the opening courtesies of an appraisal interview, you
should move on to outlining what you want to do in the
course of the appraisal session. This is the contract. It is
important to let people know they are part of what's going
on and have an equal say on how things can develop.
The contract can include...
1. how long you expect to take
2. your arrangements not to be interrupted
3. the purpose of the meeting
4. the structure of the interview
5. the outcomes you expect
6. what extent of confidentiality there is
7. the tone you'd like to use.
At the end of outlining the contract, you should ask if
they're happy. If they are, move on. If not, stop and re-
negotiate a new contract.

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MTL Course Topics
CLASSIC STRUCTURES
Your scheme may lay down the structure of the appraisal
interview. If it doesn't, you can use one of the three classic
appraisal interview structures.
1. Past-present-future. Start by discussing the review
period; move on to where things are now; end by talking
about future plans.
2. Positive-negative-positive. Start with what went well
during the review period; follow with what didn't go so well;
end with a summary of how things can go in future.
3. Strengths-weaknesses-opportunities-threats. Start by
discussing their strong points; follow with areas that let
them down; identify opportunities for managing
weaknesses and building on strengths; end with an
awareness of problems and threats to the team or
individual.

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Appraisal Skills
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AGENDAS
As an alternative to any of the classic appraisal structures,
an appraisal interview can be based on the following review
topics...
1. work agreed at the previous appraisal
2. performance in key result areas
3. the achievement of any management by objective targets
4. project work
5. what has happened in their own self-development
6. what new learning has taken place
7. the trend and pace of performance.
If you plan to use any of these, it is a good idea to let the
appraisee know in advance so that they can prepare.

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INTERVIEW TONE
Some managers have difficulty carrying over one tone from
the task-centred workplace to the tone needed for the
person-centred appraisal interview.
To help you make the transition, it helps to see the appraisal
interview as a people-maintenance exercise. It can be
thought of as a check-up of the employee's working health.
Author Stephen Covey calls it "looking after the goose that
lays the golden eggs".
One useful guide to capturing the right tone is "FLIRT"
which is a mnemonic for Friendly, Listening, Interested,
Relaxed and Trusting. You will find that if you set this kind of
tone from the start, your appraisee will quickly follow suit.
"Be to others how you would like your appraiser to be to
you."

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3D INTERVIEW SKILLS
The most successful interviews are three-dimensional.
Dimension one is preparation; dimension two is the conduct
of the interview; and dimension three is follow-up.
Preparation: when preparing for the interview, be clear on
what you're trying to achieve. Remember it is as much
about systems as relationships. Structure the interview and
leave room to explore uncharted territory.
Conduct of the interview: when you conduct the interview,
do more listening than talking. When you listen, really listen.
Listen to feelings as well as facts. Feelings are the motivators
of the future.
Follow-up: wait until you have the whole picture before you
come to any firm plans. Avoid making exciting plans in the
heat of the interview which are unrealistic. Afterwards, do
what you said you'd do.

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WATCH YOUR WORDS
When giving feedback in an appraisal meeting, be careful
about the language you use. Generally speaking, exchange
the language of "blame" for the language of "aim" and the
language of judgment for the language of development.
Here are 3 areas to watch out for:
1. when you use "always" and "never" carelessly, as in "You
never answer a sales call correctly", you are probably
exaggerating. Be specific and factual instead.
2. replace the word "should" with "could". "Should" sounds
too condemnatory. So, instead of saying "You should have
asked them what it was about...", say "You could have asked
them what it was about..." instead.
3. replace "why" questions with "what" questions. So,
instead of demanding "Why did you ask them that?" say
"What was your aim in asking that question?"

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MTL Course Topics
THE RULES OF GOOD FEEDBACK
The rules of good feedback are essential whether as part of
ongoing feedback, ie catch people doing something good
and tell them, or within a wider-ranging appraisal meeting.
Some of the key rules are:
1. think about what you need to say in advance
2. don't give feedback unless it is helpful
3. be specific about what you liked or what could be
improved
4. focus on the performance, not the person
5. be clear and direct about what level of performance you
expect
6. offer your suggestions, don't impose them
7. use "I" to show that you own your views
8. balance negative feedback with positive
9. focus on future solutions, not past problems.
Tip: when praising someone for good work, you can avoid
embarrassing them by following the praise with a question,
eg “Jones were very pleased with the work you did. Why do
you think it went so well?”

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Appraisal Skills
MTL Course Topics
DIFFICULT FEEDBACK
If you manage people, it's almost certain that at some point
you will need to give feedback on areas that you find
"difficult".
These include a whole raft of personal behaviour areas such
as:
• personal hygiene
• bad breath
• leaving areas untidy, such as washing-up areas and
desktops
• inappropriate dress
• vulgar language
• flirtatious mannerisms
• habits that don't fit with the organisation's culture.
These issues can be dealt with at the time they become an
issue or at appraisal. You cannot avoid them in the hope
they will go away, especially if others are expecting you to
do something about them.

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MTL Course Topics
AWKWARD ISSUES
Here are 7 steps on how to hold a difficult conversation at
appraisal, eg someone’s appearance or personal habits.
1. drop the idea that this will be a "difficult" conversation by
imagining your desired outcome
2. use the principles of good feedback
3. start by asking if it's the best time and place to discuss
"some issues I'd like to share with you"
4. tell them directly what the issue is "as you see it". Don't
skirt round things.
5. link the feedback to a business issue, eg "your appearance
could affect customers' perceptions of the business".
6. spell out the consequences for them and the business if
they don't change
7. agree a plan and follow through.
The first step is key. Often that "difficult" conversation will
turn out not to be so difficult after all.

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MTL Course Topics
CONTAINING STRESS
Stress arises when people perceive a situation as
threatening. They then choose either a flight or fight
reaction. Flight reactions in appraisal interviews include
silence, moods and agreement to anything suggested. Fight
reactions include arguing, politicking, and playing win-lose
games.
To avoid these unhelpful reactions...
1. play down status differences between you and the
appraisee by finding common ground
2. allow appraisees as much control over the discussions
as possible
3. don't criticise them
4. don't imply they're less than perfect
5. get side-by-side when dealing with problems of
performance
6. add some human touches by using self-disclosures
7. keep discussions of feelings confidential.

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MTL Course Topics
STAYING IN CONTROL
An appraisal interview can easily get out of control unless
you consciously plan to stay on track. You know you're not
on track if you find yourself re-living past arguments, getting
into blame-and-condemnation cycles, criticising third parties
not present and only discussing what went well.
Research in 1983 by Kikoski and Litterer suggests that there
are five ways to keep an appraisal interview on track.
1. paraphrase and summarise when you want to move on
2. focus on what's important
3. ask the right type of questions at the right points: open
questions to open up, closed questions to close down
4. reflect feelings rather than skate round them
5. give feedback not just information.

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MTL Course Topics
EMPOWERING PEOPLE
Empowering others means letting go of the power you have
in any situation so that others feel they can take personal
responsibility for their own thoughts, plans and actions.
1. showing interest in others is an act of empowerment.
2. concentrated listening to what others say is an act of
empowerment.
3. valuing their ideas is an act of empowerment.
4. supporting what they want to do is an act of
empowerment.
5. giving them the go-ahead is an act of empowerment.
6. using phrases like "I like the way that you..." and "I think
it's great that you..." is an act of empowerment.
7. asking them to summarise their performance before
you do is an act of empowerment.
8. using words and phrases that encourage is an act of
empowerment.

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MTL Course Topics
APPRAISAL IS A 2-WAY STREET
Remember that, just as you would expect your appraisees
to take on board your feedback, so you should accept
anything they want to say to you.
Bear in mind that, often, your appraisees will not be as
adept at delivering feedback as you are, so you need to rise
above the feeling that they're criticising you or "out to get
you". Depending on how open you are to their comments,
some of the things they say may come as total surprises to
you.
However, you need to listen to what is said, take issues
seriously, and respond positively. After all, if you want them
to respond to your feedback, then you should take the lead
and respond to theirs. Appraisal should be a two-way
highway, not a one-way street.

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Appraisal Skills
MTL Course Topics
THAT’S
IT!
WELL DONE!

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Appraisal Skills
MTL Course Topics
THANK YOU
This has been a Slide Topic from Manage Train Learn