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 "Appraisal Schemes", you'll get a full understanding of how to devise and run an effective performance management system.

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Appraisal Schemes
Appraisal Skills
MTL Course Topics
APPRAISAL SKILLS
Appraisal Schemes

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Appraisal Schemes
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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ARE YOU READY?
OK, LET’S START!

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Appraisal Skills
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INTRODUCTION
Appraisal schemes are the outward manifestation of the
appraisal process. Some schemes are highly sophisticated,
enabling the organisation to make training plans, succession
plans, internal promotions, as well as give rewards and pay
increases. Other schemes are more focused on reviewing
work or developing staff. Whatever scheme is used, it
should be part of an overall strategy to manage and improve
the performance of individuals and the team.

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THE HISTORY OF APPRAISALS
The origin of appraisal schemes can be traced back to the
Second World War, when munitions factories sought to
increase output to meet the needs of the war effort.
Schemes enjoyed a brief revival in the 1960's when
statutory pay restraint forced companies to peg back pay
increases unless they were related to improvements in
performance.
More recently, appraisal schemes have enjoyed renewed
popularity, especially in public and service sectors, as a way
of measuring work which had been traditionally seen as
difficult to measure, such as teachers, surgeons, the police,
and the civil service.

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MUSEUM APPRAISAL
As an example of a typical approach to appraisal, the
Victoria and Albert Museum in London defines their
approach to appraisal and performance management as a
continuous process involving standards and objectives. It
consists of two main stages...
1. giving and receiving feedback on performance
2. identifying appropriate training and development
opportunities in order to contribute to the success of
the organisation.
The dialogue between assessor and the person being
assessed is at the heart of the V and A scheme. The
individual components of the Museum's appraisal scheme
are: setting key standards, objectives and competences;
identifying the critical steps in performance; setting the
criteria for success; agreeing assessments based on self-
assessment and line manager assessment; and working out
development needs.

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TEACHER APPRAISAL
The appraisal of half a million teachers in 25,000 UK state
schools became mandatory in 1991. A phasing-in period
lasted through until 1995.
Schemes are based on a two-year review cycle and have for
their aims to...
1. recognise achievements of teachers and help them to
improve their skills
2. identify potential for career development
3. help teachers with difficulties through guidance,
counselling and training
4. improve the management of schools.

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THE APPRAISAL OF PRIESTS
The Church of England has two processes of appraisal of
priests. As well as reviews by a priest's bishop, priests are
also assessed by a team of consultants.
The consultants look at nine subject areas over a three-year
period. These are: pastoral care; public worship; mission and
outreach; educational work; Christian nurture; parish
management and administration; working as a team; the
balance of work and family life; and special interests.
As an example of performance criteria, the heading "public
worship" would consider how priests involve the
congregation; the standard of preaching; and any personal
mannerisms. Priests who need further development are put
forward for one of ten residential courses. Advisory Board
member, Margaret Jackson, says: "It is not about reward and
punishment, but about mutual accountability."

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CONTROL OR DEVELOPMENT?
Appraisal schemes are likely to have one of the following
three as their main aim...
1. to control people
2. to maintain good performance
3. to develop people.
Control schemes are usually about correcting, warning,
rating and rewarding. Maintenance schemes are about
checking, verifying, adjusting and fixing. Development
schemes are about growing, nurturing, nourishing and
helping.
Control schemes add little to an organisation's performance
management, whereas development schemes can add
significantly to it. In a 1999 survey of 550 personnel
practitioners, nearly two-thirds said their appraisal schemes
were used for development purposes while a third used
them for rating and competency assessment.

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WHAT PEOPLE WANT...
Appraisal schemes do best when they recognise what
people are looking for at work.
This is what one survey discovered people wanted from
their managers...
1. to be told clearly and specifically what I have to do and
why
2. to be told what level of performance I have to achieve
3. to know how I'm doing
4. to be given help and guidance if I need it
5. to be given help to overcome the obstacles that are out of
my control.
All of these needs can be met by an appraisal scheme that is
an open exchange of information with the principal aim of
helping the appraisee do their job better and with less
hassle.

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EFFECTIVE SCHEMES
When appraisal schemes put development of people ahead
of their maintenance and control aspects, they are likely to
be far more effective in winning employee and manager
support.
Such schemes have seven characteristics...
1. they are simple to run and understand
2. they are non-judgmental about people
3. the views are two-way
4. the focus is on what people do well, not on what they
do badly
5. the appraisal focuses on looking ahead not back
6. the appraisal becomes an exercise in motivation
7. the appraisal scheme is part of a larger performance
management scheme.

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SIMPLE APPRAISAL
The chief feature of the regular appraisal is the meeting
between manager and appraisee. Because this is a regular
calendar event, many organisations decide to use appraisal
to perform functions other than simple appraisal.
These additional features include: succession planning,
project reviews, general communication, management by
objectives, promotion interviews, pay and bonus awards.
The result can be unwieldy. Schemes which try to do too
much are sometimes called "Christmas tree schemes" from
the amount of decorations hanging from them.
Development appraisal works best when it is simple and
easy to understand; quick to administer; and has clear
results.

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DON'T JUDGE
In a thesaurus, the word "appraisal" is often synonymous
with "judgment", "assessment" and "criticism". This is why
appraisal is so often dreaded by those who have to give
them and those who receive them. When appraisals judge
people, (as opposed to the work they do), they produce
exactly what they should be trying to avoid: low self-esteem
and low performance.
When we judge others...
1. we imply criticism
2. criticism leads to blame
3. blaming oneself leads to a low self-image
4. low self-image is a self-fulfilling prophecy which
produces poor performance
5. poor performance is judged again.
6. ...and so the cycle repeats itself.

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TWO-WAY APPRAISAL
To be truly effective, appraisals need to be a meeting of
minds between the appraiser and the appraisee. A good
appraisal scheme is likely to have an equal amount of input
from both sides. This could be a review by the employee
followed by a review by the manager; a self-assessment by
the employee followed by a self-assessment by the
manager; or an exchange of views about future plans based
on an equal amount of listening and talking.
A meeting of minds is essential if appraisal is going to work.
Robert Maddux in his book "Effective Performance
Appraisals" argues that up to 50% of performance problems
are due to managers not making things clear and employees
not understanding what's needed.
"Oh, I see, if I'd known you wanted that, instead of this, I'd
have done it differently."

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POSITIVE APPRAISAL
A team of industrial psychologists led by Neil Rackham
recorded on tape a wide range of appraisal interviews
carried out by various managers. They then grouped the
managers according to whether their staff had made
changes of a higher quality in the way they did their jobs as
a result of the appraisals. Those managers whose staff made
significantly more changes were classed as "expert
appraisers" while those whose staff made fewer changes
were classed as "average appraisers".
Two distinct differences emerged between the expert
appraisers and the average appraisers...
1. the experts spent more time focusing on the future, while
the average ones focused on the past
2. the experts spent more time focusing on good past
performance while the average ones focused on poor
performance in the past.

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INTEGRATED APPRAISALS
One measure of an effective appraisal is the extent to which
both parties feel revitalised at the end of it. The appraisee
should feel motivated by having his or her efforts
recognised; the appraiser should feel motivated by the
expectation of improved performance ahead.
There are three types of appraising manager...
1. the type who demands high performance from his or her
staff all the time
2. the type who agrees in principle that appraisals are a
good idea if there is time
3. the type who integrates appraisal into a performance
management strategy which includes other plans and
activities for staff development. These might include
personal learning objectives, learning programmes,
facilitative styles of team management; empowerment
programmes; tracking of performance and ongoing
feedback.

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WOOD AND TREES
When appraisal is combined with ongoing performance
feedback, you see wood and trees.
For trends and the broad picture, you need to see "the
whole wood". This is the aim of annual appraisal. It answers
questions such as "Is performance going up or down?" "Is
progress in line with the person's career plans?" and "Does
the person need a major career change or just a little
nudge?“
For post-performance review and coaching on specific
topics and skills, you need to see "the individual trees". This
is the aim of ongoing feedback. It answers questions such as
"In what areas of the job does this person excel?"; "In what
areas of the job does the person need help?" and "What
adjustments could be made to improve this person's skills?"

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DESIGNING A SCHEME
Whatever kind of appraisal scheme an organisation uses, it
should answer the 5 W questions and 1 H.
Why? Why do you want an appraisal scheme? Is it to
control, to maintain your systems, or to develop people?
Who? Who is in the scheme: managers, technical
employees, just the staff, everyone?
What? What aspects of performance are to be reviewed?
What kind of scheme is to be used: a rating and assessment
scheme or a development scheme?
When? When are the review periods?
Where? Where are the performance appraisal interviews to
be conducted?
How? How are managers to be trained to carry out
appraisal? How are appraisers to be informed and
motivated? How are appraisal interviews to be conducted?
How are outcomes of appraisals to be acted upon?

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INPUT FROM OTHERS
Although it is normal for the line manager to act as
appraiser in an appraisal scheme, this may have a number of
drawbacks. Firstly, the manager may simply not know at first
hand the detailed work of the employee; secondly, he or
she may be too close to the employee to be objective; and
thirdly, other views may be more relevant for development
purposes.
Appraisal inputs can be usefully gathered from a number of
sources other than the appraisee's manager. These include
views from customers, via service questionnaires; from
others in the team at an open performance review meeting;
from trainers, instructors, and mentors who work with the
appraisee on his or her development; and from other
departments with whom the appraisee works. When input
comes from all points of the compass, it is now usually
referred to as 360 degree feedback or appraisal.

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360-DEGREE APPRAISAL
360-degree appraisal is performance feedback from all
those who have contact with the appraisee, not just the
person's manager.
Ciba UK allows its employees to provide views on their
manager's performance under such headings as "ability to
develop people", "delegation" and "willingness to promote
co-operation".
Semco, a Brazilian supplier of industrial equipment, allows
its staff to score their bosses using a 30 question
questionnaire. A score of 80% is average. The chief
executive, Ricardo Semler, reportedly scores 82%.
Advocates of all-round appraisal believe that despite the risk
that some staff may be vindictive, 360-degree appraisal
works because subordinates tend to know their bosses
much better than bosses know their staff.

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APPRAISAL AS A COST
You know that you are running an appraisal scheme that is a
cost when...
1. you and your appraisees are regularly late processing
the forms
2. you dread the interview
3. you have lots of average ratings
4. you can't think of anything to say about the appraisees
5. you find yourself using the thesaurus for variations on
the same few words
6. you have to make all the running
7. everyone finds other things to do at appraisal review
time
8. the appraisal churns over old scores
9. nothing much changes as a result of the appraisal.

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APPRAISAL AS A PROFIT
You know that you are running an appraisal scheme that is
of benefit when...
1. the annual meeting comes unremarked because it's part
of an ongoing process
2. you look forward to it
3. most of the ideas are generated by employees
4. you can demonstrate how each individual has
contributed to your success
5. you feel real pleasure in others' success
6. Personnel department monitor and offer support, but it
is your scheme
7. people say they get a lot out of it
8. the scheme has lots of ideas about the future course of
events.

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THAT’S
IT!
WELL DONE!

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