After each Performance Measure had been discussed, and the
agreed Actual Performance Notes recorded, the Appraisor and
Appraisee need to give it a realistic performance rating.
For this purpose, use the Rating Key/Scale descriptions and
consider the Performance Standards and/or Behavioral Indicators
listed on the Performance Appraisal Form for each Measure.
wise never to give your own preliminary ("prepped")
ratings (even if the Appraisee asks for it). Rather ask the
Appraisee what s/he thinks would be a fair rating based on
actual performance as agreed and recorded. If s/he is unrealistically
high, facilitate a more realistic rating by asking questions
"Considering the three customer complaints you have
received Jane, how do you justify a 4-rating that reads: 'Above
"Considering the number of customer complaints you have
received Jane, how do you justify a 3-rating that reads: 'On
Target/Standard, including small deviations plus or minus'?.
I cannot agree that three such rather serious complaints be
regarded as small negative deviations. What do you think?"
to adjust your thinking on a rating if the facts and arguments
offered, justify this.
be taken that the rating of performance does not deteriorate
into a battle of wills. The secret is to stick to actual performance
as proven by performance data/statistics, and recorded incidents/evidence
(that were discussed with the employee at the time).
as line manager, you retain the prerogative to insist on a
rating that you are happy with, as long as you can offer your
reasons for it, whether the Appraisee accepts it or not.
bringing in your line manager as arbitrator if you and the
Appraisee cannot reach agreement on Actual Performance or
Ratings. His/her decision will be final, although, in many
organizations, an unhappy Appraisee may still resort to taking
it further in some way, e.g. by lodging a grievance (consult
your organization's Human Resources policy in this regard).
by following the abovementioned steps and principles carefully,
major differences in opinion between Appraisor and Appraisee
could be largely avoided. Both parties should also approach
the appraisal process in a positive, constructive spirit so
that Performance Management and Appraisals will effectively
deliver on their intended purpose.
the primary aim of the Performance Appraisal is to identify
stumbling blocks that prevent the Appraisee from performing
optimally, and should therefore be an open discussion to achieve
just that. The rating of performance is secondary and should
not detract from the problem-solving purpose of the discussion.
PERFORMANCE OPTIMIZATION PLAN (POP)
Performance Measures and Standards that have not been met
need to be put back on track. Engage in joint problem solving
to do so, as each Performance Measure is discussed. The result
of this discussion is recorded in the Performance Optimization
Plan (POP) field of each Performance Measure on the Performance
Training and Coaching (as per the traditional Personal Development
Plan) are seldom the only solutions for addressing unacceptable
performance or behavior. Poor performance or behavior can
more often than not be ascribed to a combination of a lack
of resources and work tools, poor systems/policies/procedures,
poor reward/recognition practices, insufficient performance
feedback, other poor management practices, and a generally
counterproductive working environment and organization culture.
to consider and address all of these. Frequently, these are
for the Appraisor/Organization to address, and not the Appraisee.
Along with employee training and development, the result will
be continuous performance improvement, organization development,
and proactive change management - leading to a "Learning
Organization" in the true sense of the word.
Appraisors should get suggestions from the Appraisee first
before adding their own.
4: Agree Performance Measures and Standards for the next Performance
This is the "forward-looking" section of the interview
as mentioned above. This part of the discussion can be handled
right now as the "second half" of the interview,
or as a separate session within the next week or two.
crucial that new or adapted Performance Measures and Standards
be discussed and documented as close as possible to the start
at the new performance period, so that the employee has the
bulk of the time to deliver on them.
any support you need to give Appraisees. Support is all about
minimizing environmental barriers to performance, providing
them with the necessary resources, training and coaching opportunities,
and improving their motivation.
5: Close on a positive note
Make a positive closing statement, reiterating your appreciation
of the Appraisee's efforts, ensuring them of your trust in
their abilities and future performance, e.g.: "Jane,
that concludes our discussion then. Thank you for the frank
and constructive way in which you have approached it. I would
just like to end off by thanking you once again for the effort
you have put in over the last 'x' months, and also to ensure
you of my full trust in your abilities to tackle your new
objectives and targets competently. Please rest assured of
my commitment to support you where I can, and do not hesitate
to push on my button at any time."