Cynosura

Appraisal guidelines for managers

Start the discussion  

By re-stating the purpose of the meeting and the structure it will follow.

Emphasise that the purpose of the discussion is a means to help the employee develop and improve. 

Re-state the purpose of the documentation – it serves better than memory to remind us of what was agreed, demonstrates that the meeting took place and serves as the basis for measuring progress.

Develop the discussion

It should follow the framework originally outlined: 

• Encourage self-assessment and help (not lead) problem diagnosis
• Maintain and build the employee’s self-esteem
• Offer help and suggestions but let the employee arrive at their own solutions
• Concentrate on job performance not personalities
• Discuss specific examples not generalities
• Summarise the discussion at critical or agreed action points
• Guide and agree on objectives and plans.

Deal with difficulties and focus on improvements

A most helpful and positive technique is to ask the job holder where they have experienced difficulties rather than raising the question of poor performance directly.

Ask not only where, how and when they think they could improve but also what they need to be able to improve.

Be prepared to admit that you, as the manager, may have contributed to some of the problems, or could do more to help the employee.

If the discussion turns unpleasant, and you sense that it could lead to disagreement or anger, stay calm but firm. Avoid arguing and listen, isolating facts from feelings.

Remember the focus stays on what the job holder does, not on the job holder.

Agree areas for improvement

Try to categorise those areas that are in need of urgent remedial attention from those which are developmental or progressive.

Agree the preferred outcome of these training and development activities and encourage the employee to identify ways and means to achieving them.

If this encouragement doesn’t hit the mark, then steering and guidance should precede instruction.

There many ways to train someone; sending them on a standard course may not be the only approach, unless it is to achieve a particular assessment standard, such as a First Aider certification. Try to be creative in arriving at solutions.

Rate the performance

Taking account of the overall discussion, you should now be in a position to confirm the ratings you wish to apply to the performance areas on the form assessed in this way.

Now is the time to make any necessary adjustments and share the ratings with the employee.

It is best not to dwell too much on the finer points between, say, B and A.  The important things is to communicate key performance, approach to job, and achievement of objectives while focussing on the way to continuous improvement.

Remember to be fair, honest, flexible and consistent.

The performance rating categories are not for your personal interpretation but to apply a level of consistency across the organisation.

Close the discussion

Ensure you have reached understanding and commitment in terms of objectives, the means to achieve them and the dates which serve as targets or review points.

Ensure you know who is doing what to set up these activities.

Agree on a follow up date. Sign off the Performance Appraisal – Record Form.

Arrange to provide the employee with a copy of their future objectives after the meeting or have them write them up and pass to you so you can both sign them off.

End on a positive note.

Dos and Don’ts for the appraising manager

Do

• Invite the job holder’s comments, views and thoughts
• Highlight good performance, and why it was good
• Use the documentation to guide, steer and record outcomes
• Encourage job holder to analyse their own performance
• Remember that it is a dialogue/discussion
• Be aware of your use of language and the potential for misinterpretation
• Agree the need for changed performance before planning action to support the change.

Don’t

• Be critical of personalities or try to change them
• Skate round difficult moments
• Use closed, rhetorical questions
• Fall into the trap of holding forth monologue-style
• Forget that change and challenge can be threatening
• Be afraid to call upon specialist help or advice.

Maintaining eye contact, active listening and achieving a compromise on a difference of opinion will help.

Start by praising, relaxing the employee by talking about everyday things.  At the start of the meeting comment on what they have done well; this will lead to a more constructive discussion than may have been anticipated.

Don’t get side-tracked on relationships with other colleagues or contractual matters.  It is easy to fudge the difficult communications by not being direct enough in communicating the message.  This may lead to misunderstanding followed by a defensive reaction.

Preparation is vital in ensuring a successful meeting, as is staying in control of the discussion. Try to anticipate obvious questions. 

Giving constructive feedback on performance

People both want and need feedback (good and bad) on how they are doing. So the appraisal meeting is a highly effective way of promoting this process.

It is important to be aware of the psychological implications of giving others information about themselves and their behaviour.  Some of the behaviours and responses you may encounter are:

• Difficulty in accepting responsibility for behaviour
• Fear of making mistakes
• Difficulty with uncertainty and change
• Assuming ‘others know best’
• Self-doubt and lack of confidence
• Reluctance to set personal goals for development
• Suspicion of those in positions of authority.

Useful feedback falls into three basic types:

Confirmatory – giving people information that tells them they are on course, moving successfully towards goals or have achieved specific objectives.

Corrective – offering information that helps others to get back on course when difficulties are present or things are going wrong – and put across in a positive manner.

Motivating – giving information that tells people about the consequences of both success and difficulties. This combines confirmatory and corrective feedback; the aim is to provide sufficient information to meet the development needs of the job holder, allow appropriate choices to be made and decisions to be taken.

Unhelpful feedback to be avoided includes:

Negative feedback or feedback which doesn’t explain what you mean such as ‘you did it the wrong way again’

Silent feedback – you fail to comment on relevant performance issues leaving the employee to interpret whether no feedback was good or bad news

Unrelated positive feedback –where you provide information that is not related to the performance discussion such as ‘ you look great, have you been going to the gym a lot lately?’

Framework for constructive feedback

• Be specific about the behaviour or performance using observations and evidence.  For example ‘I noticed you were angry with her’ rather than’ you were aggressive towards her’
• Describe the impact on you, the team, the other person – avoid ‘You’ and state facts.  An example would be  ‘she seemed upset’ rather than ‘you upset her’
• Keep the message simple
• Ask how they see it; what happened?  For example ‘how did it happen?’ rather than ‘‘why did you do that?’
• Stay congruent so that your words, tone and body language all match
• Obtain acceptance for information provided
• Agree change needed. For example’ how could you have handled that differently?’ rather than ‘ you shouldn’t fly off the handle’
• Make a suggestion about what is needed.  For example ‘she would probably appreciate it if you….’ Rather than ‘so what are you going to do about it then?’
• Let them decide how to achieve something.  Agree how to move forward and offer help.  For example ‘how will you resolve this?’ rather than ‘if this happens again…’
• Accept feedback received in return.  Avoid being protective or defensive, attacking in reply, or avoiding the issue raised by changing the subject. The right management response, if the criticism is valid is to improve your own performance.

How to set performance objectives

The purpose of setting and agreeing objectives is to ensure that everyone has the same understanding of what it is that is expected of the employee being appraised.  That in turn allows them to carry out their job on a daily basis having a clear sense of direction.

This means that the objectives have to be couched in ready to understand, clear and purposeful language which fulfil the criteria of giving direction.

They should express an end goal so everyone knows what it looks like to have arrived at the completion of that objective.  Setting a date is helpful so they know when they need to have completed the objective.

The employee being set objectives needs to know:

• What the basic responsibilities are for their job
• What the standards are that they have to meet or exceed
• What additional goals they need to achieve over the next review period
• A measure to know when they have achieved them.

There are many techniques around for setting performance objectives, the most commonly used is the SMARTI checklist.

This is a way of remembering that to be effective, any objective must be:

S          Specific about what is to be achieved

M         Measurable in quality and/or quantity

A         Agreed on both sides

R         Realistic and achievable in the time and with the resources available

T          Timebound; they are timed to a deadline

I           Inspirational; so the employee feels the challenge and is motivated by it

Key steps to improving poor performance

One of the key considerations for the appraising manager when reviewing unacceptable poor performance is whether the employee can’t do something or won’t do something to the standard required.

If it’s a case of can’t do something, this is generally a training problem. You need to go back to setting clearer objectives, possibly in smaller bite sizes with each stage being realistic and achievable.

If it’s a case of won’t do something, then it is an attitude problem and a reprimand of some sort is needed.

For the ‘can’t do something’ it is a case of looking at the employee as a learner and following some simple steps:

• Tell them what to do
• Show them how to do it
• Let them try it out
• Observe their performance
• Praise progress or redirect them if they still fall short of what is required by resetting the objective
• Avoid negative feedback.

What happens after someone fails to achieve an objective or standard is more important to them and therefore, has more impact than what happened before.  Positive consequences encourage good future performance.

So your role is to motivate the employee into success through timely and effective goal setting and communication.

Where you face a ‘won’t do something’, this requires you to work on their attitude. This can be very difficult and the performance appraisal process will not be able to change a person’s behaviour directly.

This requires skill at putting across why their performance is unacceptable, explaining the benefits to the employee of fulfilling the objective and together setting clear outcomes for failure to improve.

The same key skills are required here as for giving constructive feedback.  However, the added dimension is that the manager spells out the consequences of failure to improve. That way, the employee knows exactly where they stand.  The choice to change and get on with achieving more acceptable performance is left to them.

When they do commit to taking steps to improve their performance – it is important to praise them. This allows the discussion to finish on a positive note.

Reprimanding someone should happen only when the manager knows they could do better. When leaving the discussion after issuing a reprimand, you should want the employee to think about what they had done wrong, not about the way they were treated by you.

So if the reprimand is couched in positive, ‘ I know you can do this ‘ terms, and the manager puts the information across fairly and objectively, the employee will feel supported.  The discussion will end with the employee thinking about their own behaviour, rather more than that of the manager.

Another area to consider is managing people who are performing below the expected standards of a borderline nature or just on a given benchmark. This is sometimes called ‘plateau’ performance.

It is likely that the situation is temporary, or the employee could just be ticking along, not really innovating or stretching their energy levels.  They turn up for work, go through the routine responsibilities and go home.

Generally, managing an employee who is performing at an unacceptable or below standards level cannot be left unaddressed for longer than 3 months.  It most surely should not be left to wait for the annual performance appraisal.

You should give them initial feedback as part of the normal communications process.  If that does not result in an improvement, then undertake an interim performance review.

This should follow the same lines as the annual performance review process guidelines.  Setting interim reviews and follow up meetings until the performance situation improves.  If there is no improvement then you may have to resort to the company’s formal Disciplinary Procedure.

It is up to the appraising manager to record and assess performance of their staff. So knowing what to look for as the early signs of deteriorating performance is very necessary.

Below are some typical indicators:

• Has the employee’s appearance changed?
• Are they behaving differently?
• Have they been dishonest?
• Are they slow at making decisions?
• Is there conflict between them and other members of staff?
• Are they frequently absent from work?
• Has their timekeeping deteriorated?
• Is the quality of their work deteriorating?
• Are they experiencing personal problems or concerns?
• Does their behaviour detrimentally affect others?

If three or more indicators are recognised it is likely that you have a potential marginal performer to manage.

Immediate action may prevent matters from getting worse.

There may be specific issues which are affecting the marginal performer; it is worthwhile also considering how you have been managing them.

Significant appearance changes for the worst can occur when someone is depressed, losing their self-respect or if they have an undisclosed medical condition.

Changes in behaviour may be temporary, and the employee may be experiencing major changes in their personal life such as moving house, financial changes or a new relationship. On the other hand, they may be reacting to unresolved tensions in the workplace and experiencing difficulties with other colleagues.

If you suspect someone is being dishonest, it is essential to collect evidence, since this behaviour is highly likely to lead to dismissal.

If the cause for concern is slowness in decision making, it could be that the person is unsure of their span of authority. You may have delegated responsibility to them but they have no empowerment to make decisions.

If there is conflict with other colleagues, then you should hear both sides of the issue, then get both parties to agree to a compromise and better working relationship.

If staff are frequently absent or late, keep an accurate record and provide them with specific and timely feedback.

When the situation appears that the quality or quantity of work is deteriorating check whether the work standard is achievable in the current context or if the procedures followed are effective.  Standards need to reflect the reality of the present circumstances.

If staff are experiencing personal concerns, they need your personal help and attention. Check out the situation using active listening and empathising skills. Be prepared to refer them for expert assistance if appropriate.

If others in the team are being affected, take prompt management attention and action – other wise it will reflect badly on your personal performance.

Conclusion

Prepare, prepare, prepare.  Then prepare some more.  Think through the statements you intend to make and the questions you will ask.  How will the other person receive those messages?  Reassure, take the opportunity to praise, don’t personalise and don’t fudge the difficult areas.

Many managers rubbish appraisals – because they are hard work and require time commitment.  Good managers work hard on them and get the consequent good results from their team members.

There is a big difference between knowing the theory and making it happen. For help in implementing your communications practices email us now.