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Apart from any fair dealing for the purposes of research or private study, or criticism or review, as permitted under the relevant copyright, designs and patents acts, this publication may only be reproduced, stored or transmitted, in any form or by any means, with the prior permission in writing of the publishers.

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... Before Your

Job Appraisal

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... Before YourJob Appraisal

Patrick Forsyth

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First published 1999

Apart from any fair dealing for the purposes of research orprivate study, or criticism or review, as permitted under theCopyright, Designs and Patents Act 1988, this publication mayonly be reproduced, stored or transmitted, in any form or byany means, with the prior permission in writing of the publishers,or in the case of reprographic reproduction in accordance withthe terms and licences issued by the CLA. Enquiries concerningreproduction outside these terms should be sent to the publishersat the undermentioned address:

Kogan Page Limited120 Pentonville RoadLondon N1 9JN

© Patrick Forsyth, 1999

The right of Patrick Forsyth to be identified as the author of thiswork has been asserted by him in accordance with the Copyright,Designs and Patents Act 1988.

British Library Cataloguing in Publication DataA CIP record for this book is available from the British Library.

ISBN 0 7494 2985 2

Typeset by JS Typesetting, Wellingborough, Northants.Printed and bound by

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CONTENTS

Introduction 1

1 The Reasons for Job Appraisals 3Clarifying your position 4; Salary and rewardsconsiderations 6; Employment legislation 6;Special factors 7

2 The Personal Opportunity 9Projecting the right image 10; Reviewing specificwork plans 12; Reviewing success criteria 12;Training and development 13; Career development14; Rewards 16

3 The Necessary Information 18Appraisal collection file 19; Backgroundinformation 20

4 Preparing for Appraisal 23Take the initiative 23; Dealing with systems 25;Reviewing past performance 26; Planning forfuture success 27; Rating scales 28; Think ahead 29

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· Contents

5 The Appraisal Meeting 32First impressions last 33; Listening 34; Questions36; Making comments 38; Dealing with criticism39; Targets 42; Ratings 43; Opportunities 43;Action plans 44; Do not forget 44; At the end 45

6 After the Meeting 47The appraisal cycle 47; The system 49; Link to yourwork system 49; Future progress 51

Afterword 52

vi

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The 30 Minutes Series

The Kogan Page 30 Minutes Series has been devised to give yourconfidence a boost when faced with tackling a new skill or chal-lenge for the first time.

So the next time you’re thrown in at the deep end and want tobring your skills up to scratch or pep up your career prospects,turn to the 30 Minutes Series for help!

Titles available are:30 Minutes Before a Meeting30 Minutes Before a Presentation30 Minutes Before Your Job Interview30 Minutes To Boost Your Communication skills30 Minutes To Brainstorm Great Ideas30 Minutes To Deal with Difficult People30 Minutes To Get Your Own Way30 Minutes To Make the Right Decision30 Minutes To Make the Right Impression30 Minutes To Market Yourself30 Minutes To Master the Internet30 Minutes To Motivate Your Staff30 Minutes To Plan a Project30 Minutes To Prepare a Job Application30 Minutes To Succeed in Business Writing30 Minutes To Write a Business Plan30 Minutes To Write a Marketing Plan30 Minutes To Write a Report

Available from all good booksellers.For further information on the series, please contact:

Kogan Page, 120 Pentonville Road, London N1 9JNTel: 0171 278 0433 Fax: 0171 837 6348

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Introduction ·

1

INTRODUCTION

‘No one can make you feel inferior without yourconsent.’

Eleanor Roosevelt

It is likely that your work is demanding. You no doubt feelyou do your best. Maybe your job is satisfying, not leastbecause doing it gives you a sense of achievement. Youfeel you make things happen, that you make a difference.So, why do you hate the thought of a job appraisal meeting?Once a year, sometimes more, someone sits you down in anoffice and – this is how it may seem – tells you all the thingsyou are doing wrong, inadequately or failing to do at all.If that is the case no wonder you do not look forward to it.

Yet job appraisals go with the territory, so to speak. Workin an organization of any size and you will have one, iffor no other reason than because employment legislationprompts most organizations to undertake an appraisalprocess. But it should be, and often is, more than that.And it can be much more. Appraisals represent a uniqueopportunity to check progress, assess results and lookto the future – acting to make it more likely that future

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performance will not only be satisfactory, but that it willachieve something more. Or they should do.

Sometimes job appraisals are not very constructive, ormotivational. If they are not understood, if managers dis-like conducting them, or find the process difficult, then theyare unlikely to achieve very much. If this is the casethen they represent a lost opportunity, because appraisalshould be useful to the organization, the appraiser and theappraisee. In this book we do not look at how to appraisepeople, though managers who have to do this task maywell find the content useful, but rather review the experi-ence from the point of view of those being appraised – theappraisees. You should find your appraisal constructive,helpful and something that helps both your job and yourcareer.

Of course, you are dependent to some extent on thesystems used, and how management implements them.But you can influence the process yourself, maybe to asignificant extent. How an appraisal is made constructivematters less than that it is. The aim of this short book issimple: to help you get more out of your next appraisal.This means not just helping to make the experience easieror more comfortable, but to see that more positive actionresults from the appraisal to help make next year’swork more satisfying, the desired results more likely to beachieved and, in the long term, that your career progressessatisfactorily.

No one should go blindly into their appraisal meetinghoping for the best and aiming only to ‘play it by ear’. It istoo important for that. Potentially you have a great deal togain and it is certainly worth some thought (certainly 30minutes worth!) before it begins.

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The Reasons for Job Appraisals ·

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1

THE REASONS FORJOB APPRAISALS

The fact that usually you have no choice about whetheryou attend an appraisal meeting makes considering thereasons the company and the appraiser have for insistingon it a sensible starting point. After all, you do not makeall the rules. There is probably a system, forms and proce-dures which exist and which will be part of what occurs.This does not mean that it is impossible to influencematters, but if you are to do so you need to understandthe reasons why things happen the way they do.

Job appraisals may come in many guises. In many organ-izations this term is sufficient to identify the kind ofmeeting and process involved. In others there may be othernames. These usually involve words like planning, assess-ment, individual and performance – personal performanceassessment, perhaps. Whatever it is called the reasons forits existence are likely to be similar.

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Reasons, which should benefit both the individual andthe organization, include:n reviewing individuals’ past performance;n planning their future work and role;n setting specific individual future goals;n agreeing and creating individual ownership of such

goals;n identifying development needs and setting up develop-

ment activity;n on-the-spot coaching;n obtaining feedback;n reinforcing or extending the reporting relationship;n acting as a catalyst to delegation;n focusing on longer-term career progression;n acting motivationally.The review may focus on some or all of these; they are notmutually exclusive, but the relative emphasis may wellvary. Overall the intention, through all of the above, is toimprove existing performance (taking the view that evengood performance can often be improved), and make thelikelihood of achieving future plans that much greater.

Clarifying your position

It may be that the first time you hear mention of an organ-ization’s appraisal is at a recruitment interview beforeyou take up a job. Certainly then, or soon after taking upemployment, is a good time to ask some questions. Ideally

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the appraisal will be seen as beneficial for both parties soquestions should be well received. It is certainly areasonable area for a prospective employee to investigate.

Consider asking:n Will I have a job description?n How often will I receive an appraisal?n What form will my appraisal take?n What topics will be reviewed at appraisal?n What specific targets form part of the review?n Is there a standard rating procedure? (Maybe you can

see, or ask to see, any documentation.)n How does this system relate to salary review?n What is the link between appraisal and development

and training?The answers you receive can be illuminating. You may findthat your prospective employer considers the appraisalprocess as being unimportant and it might even changeyour view of him or her as an employer. It may seem aneasy option to escape a real form of assessment, but doyou really want to work in a company where your perform-ance is of so little consequence? On the other hand, if ittranspires that a major part of a future review will centreon the achievement or not of a single specific target, thenthis too is worth knowing.

You will be able to approach your first appraisal meetingmuch more easily if you have firm knowledge of its purposeand how it is regarded in the company.

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Salary and rewards considerations

It is not strictly the role of appraisals to act in any way tofix salary, or other reward levels, for the future. Havingsaid that, many companies do link appraisals and salaryreview closely, and – at worst – appraisal is no more thana quick chat followed by the disclosure of what next year’ssalary is going to be (and sometimes a spirited defence bymanagement as to why it cannot be more). On occasion,and at some levels, much of the meeting can follow a salaryannouncement and be concerned only with negotiating thelevels of salary and rewards.

More sensibly, many companies separate the two pro-cesses. Appraisal is an objective assessment of work todate and what makes it valuable are the reasons statedearlier. Salary and an assessment of how it should changeis another matter, best dealt with at another time. Certainlyif it is known that appraisal meetings end with theannouncement of a revised salary, then it may distract boththe appraiser and the appraisee from concentrating on theissues at hand in the early part of the discussion, andprevent honest and open discussion of any difficulties.

If you want to judge the way your own organizationworks with regard to appraisals this is one of the factorsto check; you may find the actual approach used mostconstructive when the two factors are separated.

Employment legislation

This book is too brief to review all of the ins and outs ofemployment law. Suffice it to say that it is complex, con-stantly changing and that organizations are very aware that

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transgressing it can be a time-consuming and costlybusiness. The newspapers regularly bear testimony to theextremes involved, as they bring reports of cases addressingsuch matters as wrongful dismissal or discrimination inthe courts and the industrial tribunals that are also involved.

The link here with appraisal is primarily to performance.Ultimately, people’s failure to perform can result in dis-missal. But what is satisfactory performance and how doemployees know whether they are achieving it or not? Theanswer needs to involve the formality of job descriptionsand appraisal. Simplistically, the law makes it difficultto dismiss employees for poor performance if they areable to demonstrate that they have been given no cleardefinition of their job, or regular ability to know how theyare performing – not unreasonable, perhaps. But this linkconditions some of the elements of both systems and jobdescriptions, and appraisals can be deployed only as aninsurance against future trouble of this sort.

There is no need to overreact to this picture. Most com-panies do have constructive reasons apart from this forrunning an appraisal system; they want to get the mostfrom it and they want it to assist in producing goodperformance and results in the future. It does no harm,however, to bear this background in mind as part of thepicture.

Special factors

A last element to bear in mind as you contemplate therationale for whatever system your organization uses ishow it may relate to particular circumstances. For example,cultural factors vary. Some US-owned organizations have

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much more formal systems than is usual in the UnitedKingdom. In other countries the prevailing styles maydiffer. Such systems in France are very much more con-cerned with behavioural factors than those in some othercountries.

Similarly, systems may reflect topical factors. For example,a company may have been taken over and be changingto the system of the new parent – measurement may beincreased as a prelude to some particular event (this mightbe positive or negative: the laying off of staff or the expan-sion of the business).

Again, if you are aware of such factors then you enhanceyour ability to interact with the system in the right kind ofway.

Overall, the need is to understand what is being done,why it is being done the way it is and what attitudes to itexist among appraisers and appraisees. If a little researchis necessary to achieve this, then it likely amounts to nomore than a few questions and the time taken is minimal.

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The Personal Opportunity ·

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2

THE PERSONALOPPORTUNITY

First, you need to be clear in your own mind about howappraisal is regarded by the organization and by the indiv-idual manager who will conduct your appraisal meeting(and note this may mean managers). Then you need tothink about how it can help you. Clearly you need it to beconstructive. A ‘messy’ meeting helps no one, and clarityof purpose is one contributory factor in making it go well.

Specifically, you need to set yourself objectives under anumber of headings:n planning how to make positive points about perform-

ance during the period under review;n being ready to respond appropriately to points raised,

including negative ones;n projecting the right image;n reviewing specific work plans for the next period;

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n reviewing factors on which success in the futuredepends;

n identifying the need or desirability for training anddevelopment;

n looking ahead to longer-term career development;n linking discussion to salary and benefits review.Your thinking about all of these needs to be positive.Appraisals are rightly described as an opportunity. Whatneeds to be done is not simply to think broadly about thesort of year it has been overall, but to have clear intentionsregarding what needs to be (or will inevitably) be discussedand what you can get from the discussion.

The first two points above – essentially planning howyou will handle the points discussed, both about the pastand about the future, will be left on one side for the moment(both Chapters 3 and 4 include comment about this). Theother points are reviewed here, in turn.

Projecting the right image

The attitude you take to this spans the whole process. Itmay help to think about it in two ways:1 The image you project in terms of your attitude to the

appraisal. Here you need to make sure that it is clearthat you accept and understand the need for appraisal,that you are approaching it constructively and thatyou intend to help ensure it helps you produce a goodperformance in the next period. You are unlikely toimpress an appraiser if you seem resentful of theprocess, take a negative view or are inappropriately

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defensive. It is easy to overreact to criticism – and real-istically there may well be some. You need to state yourside of things, but you may also need to accept andagree that some things were not perfect and move onto other matters.

2 Attitude to the job. Remember that how you are per-ceived has a direct bearing on your job prospects,everything from the likelihood of your taking on a littlemore responsibility to you being promoted. Remembertoo that people extrapolate their perceptions. Arrive ill-prepared for your appraisal and you may find that youare not just seen as momentarily disorganized withregard to an important occasion, but that assumptionsare made that you are generally poorly organized inthe way you do your job. Such a view might directlyinfluence decisions about your future.

So, consider how you want to be seen (this is useful beyondappraisal). You may want to be seen as knowledgeable,expert, capable, innovative or creative, good with peopleor at communicating, efficient and productive, well organ-ized, reliable, giving appropriate attention to detail,confident, or any or all of these and more. You may wantsuch factors to come over in a very specific way: displayingimpressive knowledge of computer systems, perhaps, orbeing able not just to communicate but produce the bestwritten report in the office.

If you think about it, not only are there a fair number ofpoints in such a list, but they are also all things you canelect to project. For example, you may not be naturally wellorganized, you work hard at it and manage to achieve whatyou want, but on occasions such as appraisals you make

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sure there is no chance you will be mistaken for someonedisorganized. The moral here is to make sure you thinkthrough, in sufficient detail, how you want to come overand make doing so an active process.

Reviewing specific work plans

Here you need to focus on the job you do and what doingit will mean in the future. Maybe you are about to embarkon managing a particular project. This might entail liaisonwith others, tight deadlines or push you into areas beyondyour current experience. If so, consider what help, adviceor support you might find useful from your manager anduse the appraisal to touch on the process. It is unlikely tobe the occasion to discuss such matters in detail, you couldseek to set up another meeting for that, but having the factof it on the table, as it were, may influence other elementsof your discussion.

Reviewing success criteria

This links closely with the previous heading and you needto think about what your job will entail over the comingmonths, and what factors are involved that affect yourpotential success. Maybe economic conditions are changingand you feel targets should too, or staffing changes areplanned which will tie up time on hand-over activity.Or systems changes will mean time needs to be spent ontraining or running things in.

The examples above are negative, that is, they mighthinder your ability to do the job. Positive factors may need

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discussion also. For example, systems changes might freeup time and provide the opportunity to take additionalinitiatives elsewhere.

In either case, it may be useful at a later date to be ableto link a request for support to an overall intention agreedat appraisal.

Training and development

This should be a mandatory topic for any appraisal. In mostorganizations it pays to be seen as keen on training. Indeed,given the dynamic world in which we all live, it is sensibleto assume that whatever skills you have will not see youthrough an entire career, but that they will need updatingand extending on a regular basis.

Training can be viewed in two ways: 1) Immediate needs:those things that link very specifically to the current joband the work over the coming months. If you know youare going to have to undertake many more formal presenta-tions in future*, for instance, and do not feel sufficientlyconfident in your ability to do them well, then appraisal isa good time to aim to get agreement to attend a course; 2)Longer-term needs: here you may see a longer-term needand consider it worth making a start on whatever it issooner rather than later; and certainly instead of having todo something in a rush later. Or you may simply want toextend your competencies, abilities and perspective with

* If this is really the case for you, consider 30 Minutes Before aPresentation, from this same series.

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a general eye on the future. Organizations will often accom-modate both, though perhaps it is easier to gain agreementto the former, so again you can form specific intentions asto what you want to achieve.

Remember, training and development encompass a widerange of different activities, literally from reading a book(even a short one like this!) to attending a course of suffi-cient duration to cause problems to continuity and yourability to keep things moving while you are away. Be real-istic. You are not going to get permission to spend threemonths in an American business school every year, but youshould aim at agreeing some mix of development activityon a regular basis. Appraisal is also a good moment forsome feedback, and perhaps some appreciation, about pasttraining and its usefulness.

Aim high. It is better to suggest more training than isapproved, than to have no ideas about any, and it is easierto trade down than up.

Career development

It is always sensible to have an active plan for the develop-ment of your career. This involves assessing your strengthsand weaknesses, looking at what direction you would liketo take and what might be necessary to allow you to takeit. From your point of view progress may ultimately takeyou away from your existing employer. If this is a firmintention, it may not be a suitable topic for discussionat an appraisal. However, the longer-term possibilitiesdo need some discussion, and consideration is necessaryhere if you are to agree matters that may form importantstepping stones along the way.

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Such matters may initially be minor, say a small involve-ment with another department or activity, or they mayinvolve, or initiate, much more of a jump ahead. You mightknow what you want to do in this regard, and want todiscuss it or push for it. Alternatively you might be at thestage where an appraisal meeting is an opportunity to getsome advice or start a longer-term dialogue. In such discus-sions, remember to emphasize the gains to the organizationof changes you suggest, rather than simply saying that itis good for you.

Again having specific objectives in mind is important.Just planning to say ‘What about the long term?’ mighttake you into a substantial and useful digression, butit might only prompt a brief comment and a return tothe next topic. Such a question does not constitute a trueobjective. Any objective needs to be specific, preferablymeasurable and linked to clear timing. So you may needto lead in with something that begins more like this: ‘Intwo years’ time I would hope to be doing. . ., to have asalary of. . ., and be in line for [the next step up]. How canwe. . .’ Aiming high is good, but at the same time you mustselect steps that are likely to be achievable (not, how do Ibecome MD within the year). And you need to make youraims realistic (for example: not aiming in a direction thatclearly needs special skills you do not have, at least withoutincluding something about their acquisition).

This is an important area, and one that it is easy togive too little attention to in the face of more immediatepressures. Yet the worst position to get yourself into is onewhere you look back and say to yourself ‘If only. . .’. Thereis a line in one of John Lennon’s songs that says ‘Life iswhat happens while you are making other plans’. Not a

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pleasant thought. The moral is always to balance yourshort- and long-term thinking and action about the future.

Rewards

This goes hand-in-hand with appraisal, though as has beensaid, the actual decisions may be separated. However it ishandled in your organization never go into an appraisalmeeting without some sensible thoughts and intentionsabout salary and benefits. Again aiming high is fine, butspecific objectives are essential. It does not help you decidehow to raise or deal with matters if you simply say toyourself ‘I want as big an increase as possible’. You needto think about things in context (inflation, the levels paidto your peers and in other companies, etc). And rememberthat reward packages are complex these days. More moneyis something most people want, but changes to a range ofthings from car schemes to pensions also have monetaryconsequences, and it pays to keep the broad picture inmind.

Obviously there is a range of things that need considera-tion here. Some relate one to another, like new responsi-bilities and training that makes you able to take them on.Some have topical importance; others have longer-termimplications. There is too much at stake to rely on a briefmoment’s thinking ahead of the meeting seeing you through,and the last thing you want is to emerge from so importanta meeting and remember something you wanted to raiseand simply forgot.

If you are clear in your mind, and sensibly have madesome notes too, about what you want to achieve in all these

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areas, then you can proceed to more formal preparationwith that in mind. It may seem to indicate a greater taskthan it does. In reality, this thinking is something under-taken on a rolling basis. For the most part you are updatinga pre-existing picture rather than starting with a blanksheet of paper, and this helps keep the process manageable.Whatever thinking through is entailed to clarify the rangeof objectives you then use, however, is likely to proveworthwhile. Such thinking is the first step in ensuring youget the most from your appraisal.

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3

THE NECESSARYINFORMATION

Appraisals are most likely to be constructive when theyconcentrate not just on broad issues, but on specifics: whatactually was done, how it was done and what results wereachieved. But a great deal can happen during the courseof a year. Try an experiment. Try to recall what you weredoing in a particular week – pick one at random, maybenine months ago. Even if you consult your diary, yourrecollections may be less than perfect.

One of the things that may occur during an appraisalmeeting is precisely this. You will be asked to recall some-thing from the past and comment on it – eg, how a projectwent. And you may not always get notice of what aspectsof the last year’s events this will relate to. However a topiccomes up for discussion, introduced unexpectedly, or withsome notice, or suggested by you as a significant eventworthy of consideration as an example of how things have

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gone over the past year, you need to have some detailsof it.

Perfect recollection is clearly not possible. No one recallsevery detail of everything with which they have beeninvolved. But some firm basis of recall is clearly useful.This may apply to details such as your diary. A day thatnotes: 10 am meeting with PF regarding project progress,may have been highly informative the day before, butmeans nothing six months on. Some vigilance in suchmatters may well be useful, but something more formalis also sensible, because the foundation of a successfulappraisal meeting is good information.

Appraisal collection file

Appraisal schemes are usually accompanied by document-ation (more of this later), so having a file relating to yourpast appraisals is logical enough. Simply dividing it intopast and future sections can help you ensure the next onegoes well.

The starting point is the documentation from your lastappraisal. From then on you should make a point of collect-ing into that file documents (or copies of documents – theirfirst purpose may suggest another file as their main resting-place) that have a bearing on your next meeting. Thesewill include:n a note of any courses you go on (as a minimum, file a

copy of the course outline and a copy of any evaluationform you may have been asked to complete, perhapstogether with a note of where any résumé notes are tobe found);

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n a note of any ‘significant events’ – these might includesomething about what your first presentation was, orthe fact that you spoke at a trade association meetingor joined a significant committee;

n notifications of targets set, progress against them andultimate results achieved;

n comments made by other people: maybe the MD wroteyou a letter of congratulations about something, or asatisfied customer put pen to paper about service youdelivered.

Other useful documents might be any memos, minutes ofmeetings or other documents that may be useful as a recordof your activity and outputs.

The idea is not to hoard everything or spend a long timeamassing this – a note rather than a whole document maywell be sufficient. You can sensibly match the informationyou gather to the topics that you know will feature in yourforthcoming review. For example, if you are judged in parton your communications skills, keep some evidence ofthem.

Remember that this is not solely a ‘boasting file’ contain-ing references to your successes. If things do go wrong, orless well than you had hoped, they may well be subject toreview also – this extends the information you can usefullycollect.

Background information

In addition to the kinds of things mentioned, there arevarious other items that may be added as back-up. Keyamong these is your job description. This is not a formality,

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though employment legislation and sometimes heavy-handed personnel practice can make it so, it is a workingtool. Everyone needs a clear brief as to what his or her jobentails (and maybe what lies outside its jurisdiction).In many companies, certainly at departmental level, jobdescriptions – if necessary minus any confidential informa-tion (about salary grades, say) – are circulated. This meansthat members of a team see exactly how responsibilities fittogether, something that should include the manager ofthe section. This is something that you might bring up atan appraisal meeting as a means of clarifying matters andensuring effective teamwork.

Sometimes appraisals use the structure and content of ajob description as an element of their agenda. If so itis useful to have this in mind and, if not, then you maywant to refer to areas included in the description but notmentioned.

Think about any other documentation that your own rolemight make useful, for example:n financial results (especially when they form, even in

part, a basis for your evaluation);n standing or exceptional instructions;n records indicating factors that have changed during the

year;n notes following any less formal evaluation or coaching

that has taken place during the year.If this sort of appraisal collection file is kept up to dateand in order, then it can act as a useful reference whenyou come to prepare for your next appraisal meeting. Thereis one key reason for all this – the avoidance of argument.It is all too easy for appraisals to deteriorate into a table

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tennis match of ‘it was/it wasn’t’ arguments if any keyfacts are subject to misinterpretation or dispute. It benefitsboth parties, and makes the meeting much more likely tobe constructive, if facts are clear to all. You cannot neces-sarily rely on your appraiser to produce the memo youknow shows results improved by 10.7 per cent. You arejust as likely to have them saying ‘Well, figures were onlyup 10 per cent or so’; and the difference may be important.

The intention here is to ensure a constructive base forthe meeting. It is not intended to suggest that there is aneed for elaborate defences against appraisers eager to ‘doyou down’. But some of the points made here apply equallyto appraisers. If it is difficult for you to remember the detailof what you have been up to all year, how much moredifficult is it for a manager who has eight or 10 peoplereporting to him or her to do so? The overriding intentioncommended in this section is to play your part in ensuringthat there is a sound basis of pertinent, accurate informa-tion for you to draw on as you approach an appraisal.

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4

PREPARING FORAPPRAISAL

Your appraisal is too important to simply try to ‘wing’ iton the day. Preparation is surely necessary if you are toget the most from the process. Yet preparation is essentiallyno more than a formalized version of the age-old adviceto engage the brain before the mouth. It need not be daunt-ing, and it need not take too long.

Take the initiative

Among the guidelines given to any manager about con-ducting appraisals will be the need to give appraiseesadequate advance notice. Surprise is not intended to bepart of the procedure. Rather it is intended that appraisalmeetings review the considered thoughts of both parties.You should get adequate warning and an agenda (givingan idea of how long the meeting is expected to last) and –

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depending on the system being used – you may be askedto complete a form and return it ahead of the meeting. Ifthe latter is the case then you have a formal opportunityto set down something about your performance.

All this may well happen. If so, then all’s well and good.The occasion is sufficiently important to you, however, foryou to take the initiative if this is not the case. You can askin advance when an appraisal is to be scheduled (andmaybe ask for some of the attendant information such asthe duration of the meeting as you do so). You can alsorespond to any brief notification by asking for additionaldetail, specifying points such as duration, location, agenda,etc, and asking to have included any items that you feelwill be useful. If such a request is made positively: ‘PerhapsI may suggest that it would be useful to. . .’, there is noreason why it should not be taken that way. If you wantdue consideration of points you raise it may be better toput them in writing rather than simply stick your headround someone’s door and say, ‘Do you have a minute?’

Conversely, you can be sure that if you simply arrive atthe meeting and then start asking for changes and additionsto the agenda, it will be likely to cause problems.

Note particularly any areas where clarification is neces-sary ahead of the meeting (or perhaps as it starts), decidehow and when you will check them out and take the neces-sary action. One example, which may be important, isconfidentiality. Before you speak out you need to knowhow this is regarded. Care spent on this sort of reconnais-sance is always worthwhile.

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Dealing with systems

Appraisals need a systematic approach. Without any systemthe review would become very subjective, and then it wouldbe difficult to ensure that it was either thorough or fair.Because of this most organizations have thought throughboth the topics and headings under which they will evalu-ate performance, and the rating scales used to actuallyrecord a judgement on standards of performance. This isreflected in the forms and formats that you will see beingused during the process.

Usually such documentation is divided into two distinctsections: one concerned with the past and a review of pastperformance, and the other concerned with a preview ofthe future. The first of these, as has been mentioned, maybe used to collect your own initial evaluation ahead of themeeting.

Systems vary, not least in the amount of detail theyare designed to collect, and many are tailored to reflectthe nature of particular jobs and the tasks they entail.The checklist on pages 26–27 summarizes typical areasscheduled for review.

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CHECKLIST: APPRAISAL FORM

Reviewing past performance

Agenda: the first questions may be linked to finalizing themeeting: 1) What do you want to emerge from thismeeting?; 2) Are there special areas you would like tospend time on? and why?

Job: here questions focus on the task in hand, both qualita-tively – with questions about what you like, have enjoyedor found satisfying or challenging (or a problem); andquantitatively – with questions about successes, andresults and targets met or missed.

Relationships: investigating your work in terms of how itinteracts with other people (whether peers, subordinatesor those elsewhere in the organization – or outside it –with whom you must work or liaise).

Development: this heading allows a focus on skills – whatis needed for the job now, how you rate yourself at them,and whether there are skills which need to be added orextended (or which are not currently being utilized).

Personal: an opportunity to think about things more interms of feelings: have things been easy or difficult? Wouldyou do things differently if it were possible? Are you beingstretched, are you learning, or getting into a rut?

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Special projects: some such heading allows specific, ormore topical, areas of your work to be discussed.

Planning for future success

This section should rate at least half the discussion andtime (possibly more). The focus is on the next period aheadand the way in which the chances of achieving successduring it can be strengthened. Often the same mainheadings repeat, and questions need to allow for:

n changes and differences that are known or can beanticipated (year on year);

n ideas for improvement that might become part of nextyear’s way of working;

n priorities for the period;

n your role and how it might change.

Always respect the system. Even if you do not like it youmay be unable to change it, and any action you did take tosee it amended in some way might be better kept separatefrom the cycle of your own appraisal. It is one thing tosuggest going beyond the system, indeed the system mayallow for this by specifically asking you for additionalsuggestions for discussion, it is quite another to ignoreelements of it without good reason.

Some companies accompany their appraisal materialswith a ‘guidance for appraisees’ document. If you are givensomething like this always take time to read it carefully.Also, whether you have such notes or not, if you do not

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understand some aspect of the system always ask; and doso in good time. It helps no one to go into your reviewunclear in some way as to what is expected of you.

Rating scales

An inherent part of the appraisal format is likely to berating scales. These take many forms and so too do theway organizations interpret them. Some may link themprecisely to specific outcomes (including salary judge-ments); others use them less formally, with one end of thescale implying no action and the other some degree ofcorrective action.

Scales are not only there to flag the poorer performanceor identify weaknesses (though they do that); they may beas useful – or more so – to explore what creates goodperformance and to see if there are lessons to be learnedfrom it that can be passed round the organization.

The scales should therefore certainly be studied. Thefollowing shows some of the formats you might encounter:n a simple numeric scale: 1–6, 1–7 or whatever, with one

end being positive and the other negative (these couldalternatively use labels such as A, B, C, etc);

n a descriptive scale: this may or may not be linked tonumbers and the words may or may not be chosen withprecision, eg excellent, very good, good, fair, adequate,unsatisfactory;

n a graphic scale: this is effectively just a line with identi-fied positive and negative ends, eg high–low; andperhaps with mid- or quarter-points shown;

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n a comparative scale: this might be a list of perhaps 4–10statements: phrases like ‘better than most in the group’;

n a behavioural scale: this rates a list of options that specific-ally relates to things done, eg always, almost always,usually, infrequently or never done.

Essentially they all serve the same purpose, and also actto ensure consistency and fairness – that is, everyone isassessed in the same way, and each person is rated in away that allows comparisons year on year.

So, study the system, complete and return any forms –on time – and also set aside some private time to considerthe detail of what your appraisal might, will or shouldinvolve to make it work for you.

Think ahead

Systems apart, appraisals should be conversations. Theymay, however, cover a wealth of detail and last from anhour or so to two or three hours (or longer). It is a mistaketo think you will remember everything that you want toask or mention as the meeting goes along, and annoyingto realize later that you have forgotten to raise a key issueas you intended.

All that is necessary is some thought and a few notes.Keep the format of the appraisal in mind. After the first

one with a particular employer you have a reasonable ideaof how it will be done, and the first time questions canensure it is not totally unknown territory. For example, ifyou know you are likely to be asked some introductoryand broad-based question to start with: ‘All in all, howwould you describe the year?’, then how you encapsulate

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matters should be given some thought. A good turn ofphrase may help get the meeting off to a good start andalso help you establish the focus you want.

Beyond that, you need to consider systematically (andwith the system in mind) a number of factors to help youthrough the meeting:n The topics you want to discuss: these may be well described

by the agenda and appraisal forms, but you may wishto add to or amend the list.

n Examples within each topic: for example, if your projectmanagement skills are to be discussed, then you maywant to select one or more examples of what you havedone during the year, and note specifically how youmade them go well (choose one that did!), and whatthe outcomes were at the end. If you know exampleswill be raised of things not going so well, do not justamass excuses, think about what came out of it thatwas positive – what did you learn? How much betterwould something similar go next time?

n Detailed points: think also how you want to exemplifyor describe the detail arising from the discussion, andhow exactly you want to make the point. The sameaction could be described as taking place because ofyour excellent planning, or as a result of your inherentflexibility and ability to respond promptly and intelli-gently to unforeseen occurrences.

n Areas for questioning: and perhaps the actual questionsyou want to ask. Well-phrased questions speak ofplanning and a considered approach and this may bewhat you want. Not least, the job here is to discoverwhat you want quickly and easily in a way that does

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not disrupt the agenda or take up too much time.Incidentally, there is no need for secrecy about all this. Ifyou find it useful to sit down in the meeting with somenotes, and even a file of exhibits, in front of you then doso. You do not want either to forget something or to handleit inappropriately; and the appraiser will approve of yourpreparation.

While you can never anticipate everything and planningmust be flexible, a sound plan will make it more likely thatyou will handle the meeting well and that you will copewith any unforeseen circumstances along the way.

One last point: if you have thought through things inthis way you will feel more confident about the meeting.Appraisals can seem stressful occasions; after all there maybe a good deal hanging on them. But stress is a reaction. Adifficult meeting you have not planned is certainly likelyto worry you. A well-planned meeting, one that you haveconfidence in your ability to handle, is more likely to gowell.

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5

THE APPRAISALMEETING

Now, the moment arrives. You are in the hot seat, and youhave to do your best to make the meeting go well. As thelast chapter explained, preparation is vital. A deep breathas you walk through the door is unlikely to be sufficient,but there are certainly things which, when you get tothis stage, you can do to assist in making the process gosmoothly. None of the detail that follows is itself complex.But appraisals, like many meetings for that matter, dorequire the orchestration of a number of different elements.The complexity – and the need for care – is more in thisoverall orchestration than in any one individual area. Thebetter you understand the nature of the meeting, and allthat needs to or might go on in it, the easier this job willbe.

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First impressions last

Any injunction about first impressions is likely to be some-thing of a cliché. That may be. If everything gets off to agood start, then this gives you greater confidence and actsto keep the meeting on track.

Several things are worth bearing in mind at this stage.They include:

n Appearance: you need to look the part. I would notpresume to tell you how to dress. Suffice to say thatthis is not a good day to find your suit looks as if it wasslept in (or was!) or that you are saying ‘I really mustget my hair cut.’

n Manner: this too is a personal matter, though worth amoment’s thought. You may well have your appraisalconducted by someone you know well, the manageryou work with on a day-to-day basis. But it could besomeone else, perhaps more senior, perhaps less wellknown to you; and it could, in some organizations,involve two people or even a panel. Do not overreactand believe the meeting must be very formal, butadjust your level of familiarity or flippancy as seemsappropriate.

n Procedure: if necessary, take the initiative and double-check anything unknown about the agenda, format andduration for the meeting. This should have been spelledout in advance; if not, such things are best clarified atthe start.

Then relax. This is a meeting that is designed to help youand to benefit the organization. It should be interesting, itshould be constructive and it may even be stimulating.

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Approach it as such, rather than with doom and gloom ortoo much apprehension, and it is likely to go better. Letany reservations you have about it show and that alonecould change the attitude an appraiser takes to you.

Once the meeting is underway there are several tech-niques that you will need to deploy – all with your object-ives in mind, and in ways that react intelligently to whatoccurs (which will never be exactly as you predicted). Mostimportant are your abilities to listen, to ask questions, tocomment, to deal with any criticism, and to pick up andlink to any opportunities presented.

These techniques are now considered in turn.

Listening

Of course you listen. Really? Never had a breakdown incommunications because you did not really take somethingin properly? If you want to demonstrate to yourself howlistening varies in effectiveness, just consider what happenswhen someone says something that you disagree with. Atonce your mind begins to spend some of its power, not onlistening, but on developing a counter-argument. The effectof this can be pronounced.

Not only do you want to take in clearly everything thatis said to you in an appraisal, you want to appear to be agood listener, one who takes the proceedings seriously. Thechecklist that follows sets out some principles that areuseful and which certainly show listening to be an activeprocess.

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CHECKLIST: EFFECTIVE LISTENING

n Want to listen: recognizing how it can help you is thefirst step to doing it well.

n Look like a good listener: let the appraiser see thathe or she has your attention by appropriate eye con-tact and acknowledgement of what is said to you.

n Listen and stop talking: you cannot do both at once,the meeting will become awkward if you do and youneed to resist the temptation to interrupt, waitinguntil the point is fully made (or what you do will seemlike evasion).

n Use empathy: put yourself in the other person’s shoes,try to see things from his or her point of view andmake it clear you are doing so.

n Check: clarify as you go along if anything is not clear– leaving it can simply build up bigger problems later.

n Remain calm: concentrate on the facts and try not tolet overreaction, or becoming emotional, hinder yourability to take in the full message.

n Concentrate: and allow nothing to distract you.n Focus on key points: get to the nub of what is being

said, which may be buried in other, less important,information and comment.

n Avoid personalities: concentrate on what is said – theargument – rather than on who is saying it.

n Take one thing at a time: jumping ahead, especially ifyou do so on the basis of assumption, can causeproblems.

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n Avoid negative reactions: hear the comment out anddo not look horrified (even if you are!) ahead of workingout how you intend to proceed.

n Make notes: do not trust your memory, jot down keypoints as the meeting proceeds (and, if you feel it ispolite or necessary, ask permission to do so).

Perhaps all this should go without saying, but it is easy tofind yourself regarding an appraisal as a rather traumaticoccasion, at least to some extent, and forgetting to handlethings thoroughly.

Questions

There is no rule about the order here. Sometimes you willbe asked questions or be on the receiving end of commentsto which you must respond. But you may need to respondto such with a question – indeed there is often no reasonwhy a question cannot be answered by a question –and there will be occasions during the meeting when youshould lead in this way. The alternative is to find you areoff target and not talking about what is really required.

Questions can easily be ambiguous (this is possible who-ever puts them). This is something that leads us back topreparation. Part of the time before the meeting may use-fully be spent not only thinking of what you might ask,but how you can put it clearly and succinctly. Some thoughthere is well worthwhile, as confusion can annoy and wastetime.

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Three types of question can be used:n Closed questions: these are questions that can be

answered easily with a quick ‘yes’ or ‘no’. As such theyare most useful for checking facts and leading intodeeper areas of investigation. But otherwise theiruse may be limited, especially when a fuller answer issought.

n Open questions: these cannot be answered with a simple‘yes’ or ‘no’. They are designed to get people talking,to elucidate real information and detail. They typicallystart with the words: what, why, when, where, how andwho and with phrases such as ‘Tell me about. . .’ (thelatter may not technically be a question, but does getpeople talking).

The difference between these two approaches is marked.Ask ‘Will I be able to take on new things next year?’ (orspecify a particular area of work), and the answer may wellbe ‘yes’. But if the conversation then moves on, you havereally discovered very little. When will a new involvementstart? How will it be initiated? What will it involve?, andso on. However, ask ‘Tell me something about any newinvolvements you see me taking on next year’ and thesubsequent conversation may explain much more.n Probing questions: sometimes even an open question

does not produce everything you want. Then you needto be prepared to pursue a point, asking a series ofquestions to focus on a particular area and get tothe required level of detail. Phrases like ‘Tell me moreabout. . .’ or ‘Can you explain that further’ may makea good start.

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Making comments

Appraisals demand you comment on your work andperformance. This is what your preparation should haveaddressed. Your objectives are perhaps to maximize theimpressiveness of what you describe and minimize any-thing negative. You may receive some criticism – more ofthis later.

The key issues are again common sense:n Be clear: follow all the rules of good communication;

do not digress, beware of inappropriate jargon andget your point across succinctly. This may seem thesimplest part of the proceedings, but it is worth somethought. Remember you probably know a good dealmore about the details of your job than the appraiser.Remember too that clarity, especially where complexityis expected, impresses.

n Be descriptive: is it sufficient to say you ‘made a plan’,or better to say what kind of plan it was – practical,excellent, creative? Use some well-chosen adjectives tosupport what you say. There is no reason why youcannot use some visual aids if they would help. Do notstruggle to describe complex figures, for example, if oneglance at a pie chart would allow the appraiser to seethe point in a moment.

n Concentrate on implications and results: do not just com-ment on what happened or was done, describe howit was done and especially what came from it. Forinstance, perhaps you saw to the production of a newcorporate brochure. You can just mention this, or youcan mention how it was produced, your copy-writing

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skills, the deadline being achieved or bettered, howinvestigating several printers saved money, and thepositive reaction expressed by customers about it – oreven the business that has already resulted from it.All the later points can be chosen to link in with youragenda and objectives and how you want to put thingsover.

n Provide proof: where necessary do not just say whathappened, but demonstrate it, documenting evidenceor quoting figures where appropriate. Incidentally,figures that may often be used in evidence must alwaysbe quoted appropriately. It may be sufficient to say ‘theincrease was around 10 per cent’, but better to say‘productivity went up 10.8 per cent’ (and never say‘about 10.7 per cent’; the juxtaposition of the word‘about’ and a precise figure just does not work).

Dealing with criticism

Badly conducted appraisals will often focus almost exclus-ively on the things that have gone less than perfectly.At worst the conversation then deteriorates into an argu-ment and as things are discussed nothing very much isachieved.

But any appraisal is going to spend time on difficulties– it goes with the territory so to speak – and you mustbe ready to deal with this. Three intentions should beuppermost in your mind in this respect, over and above ageneral desire to put the best complexion on everything.

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n Achieving accuracy: here your intention is to ensure thatthe right facts are considered. Beware of the appraiserusing vague statements such as ‘You’re never on timewith anything.’ This is unlikely to be true. But whatare you late with and what are the implications? It iseasier to discuss specifics and questions may well bethe route to identify them.

n Never arguing with anything but the true facts: checkingwhat is really meant is the first step to responding towhat is said in the right way.

n Giving an impression of objectivity: if every criticism isseen simply to put you into automatic defensive mode,then discussion will be unlikely to be constructive.Using an acknowledgement to position what followsis always useful. It:– indicates you feel there is a point to discuss (if you

do not, then we are back to achieving accuracy, seepage 38 and above);

– shows that you are not going to argue unconstruct-ively;

– makes it clear that you intend to respond in a seriousand considered fashion;

– gives you a moment to think (which may be veryuseful!) and sets up the subsequent discussion sothat you can handle it better.

Just a few words may be all that is necessary here. Startingwith a ‘yes’ gives it power: ‘Yes, there was a problem withthat’, and sounds right even if your intention is to go on tominimize the problem.

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n Dealing with the points raised: now the job is to deal withthe matter. The options are few and therefore manage-able. You may need to explain why a difficulty occurred,then there are four routes to handling things:1 Remove the difficulty: if possible, you can explain that

what seemed like a difficulty or error was not in factthat. A delay, say, might not have been in an originalplan, but caused little problem.

2 Reduce the difficulty: maybe you have to acknowledgethat there was some difficulty, but explain that it wasof little significance.

3 Turn the difficulty into a plus: sometimes it is possibleto argue that what might initially seem like a prob-lem is not really. A delay might not have been in anoriginal plan, but included for a positive reason –there might only have been a real problem withoutthe delay.

4 Agree the difficulty: after all, there is no point in tryingto argue that black is white. Most ordinary mortalshave some problems during a whole year of activity.Your job is not to persuade the appraiser that therewere no problems, but to persuade the appraiserthat, on balance, your year was a good one.

Remember that the prime purpose of appraisal is to setthe scene for successful work in the coming year, not argueabout what cannot be changed. None of us can turn theclock back, but all of us can learn from experience. Sothe key thing to include when the discussion touches ondifficulties, is the lessons that have been learned for thefuture.

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The list of implications and actions here is considerable.Failure may have come about because of unforeseencircumstances (and new procedures are necessary in casesuch circumstances occur again). You may be starting touse skills not previously necessary in the job (and trainingmay be needed to quickly add them to your portfolio). Youmay have made a simple slip (and only need to make afirm mental note not to let it happen again). There may belessons to learn, but ultimately the emphasis needs to beon what happens next, and this allows a return to the mostconstructive elements of the dialogue.

Note: if you have made gross errors you may find that yourappraisal overlaps into a disciplinary procedure. Similarly,your appraisal may be the first occasion on which you raisematters such as discrimination that are, in turn, linked toemployment legislation. The details of both disciplinaryprocedures and of complex employment law are beyondthe scope of this short text; if the necessity arises do investi-gate them separately.

Targets

When considering results it should be recognized that inany particular job some targets may well be sacrosanct.They may also link directly and automatically to the wayyou are rated, and indeed paid. If you fail to hit a salestarget, say, or a particular level of productivity, specificsanctions may cut in. Again the conclusion may be onlythat this goes with the territory. Appraisals take a view ofthe job as it is and judge performance accordingly.

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It may be that circumstances or events lead to conclu-sions being drawn, or action decided upon, that changesome of the seemingly fixed parameters. In this casedocumentation, for instance a change to the written jobdescription, may be necessary.

Ratings

Where appropriate, ratings used for formal measurementduring appraisal may need noting (perhaps completing aform) as the appraisal proceeds; alternatively this may bedone at the end of the meeting. Some of these may be linkedto targets and, as such, can be pre-judged; ie a failure tohit a target is known in advance of the meeting and thusthe outcome is known too. Essentially though, the judge-ments should be made during the meeting and, as it maynot be known why something occurred, the discussion isneeded to allow a fair judgement to be made.

Opportunities

Always be on the lookout for opportunities. Circumstancesand attitudes that come to light during the meetingmay create a fresh view of something. A new involvementmay come out of a project handled during the year thatseemed only a distraction. Yet, well handled, it throws updiscussions about capabilities that you have displayed,which would not otherwise have been seen. And this inturn allows discussion to investigate new paths for thefuture.

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Sometimes you can spot and lead into such a discussion.Sometimes the appraiser does so, maybe incorporatinginformation you knew nothing of beforehand. In the lattercase you have to be sure you see what is happening andlink it to your own aims and objectives.

Action plans

All appraisal meetings benefit from a clear summary. Youmay be asked to do this or to comment and add to theappraiser’s summary. At this stage, ratings apart, one ofthe most important issues to be clear about is the definitionof any action plans that are being put together.

These may be specific and firm: you are to commencesitting on a management committee from 15 December, forexample. Or they may be an initial idea that needs follow-ing up. In the latter case all that can be made specific is thearrangement for a later meeting to investigate further ortie things down. On some topics, it may be a better outcomefor you to have an additional and separate meeting set thanto insist on lengthy discussion at the time that disrupts theagenda and timing for the whole appraisal.

Do not forget

Whatever happens, and sometimes appraisal meetingsdo get a little emotional, always keep your cool. Neveroverreact. Certainly you can, on occasion, be assertive –probably your appraiser expects no less. You must havethe courage of your convictions about things, but yourimage will suffer if you get angry or upset where this is

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inappropriate. If necessary take a deep breath and neverbe afraid to say ‘Perhaps I may think about that for amoment’ as you collect your thoughts. What is wanted areyour considered views, not rash outbursts.

At the end

So, at the end of the session you can leave the meetingwith:n a constructive discussion behind you;n ratings agreed and documented;n a development plan updated;n some lessons learned and noted;n plans laid and dates set for the coming period; andn maybe, additional time scheduled for further discus-

sion of specific issues.Whatever else, and however good or bad the appraisalmight have been, you can leave with a personal profilethat is positive in a number of ways, for example in your:n attitude to the appraisal;n conduct and constructive attitude during it;n willingness to accept constructive criticism and learn

from it;n ability to identify and focus on the key results areas;n likelihood of being able to deliver a good performance

next year.

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All over? Forget about it all until the same time nextyear? No, there is just a little more to be considered if youare going to maximize any advantage that you can obtainfrom your appraisal.

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6

AFTER THE MEETING

Phew! The meeting is over. Maybe it was not as dauntingas you thought it would be. Maybe it went well. Howeverit may have turned out, there is a temptation to heave asigh of relief, put the whole thing to one side and get onwith the job. To do so is almost certainly a mistake. Thereis more to do, and consideration of this is worth a moment’sthought.

The appraisal cycle

Before turning to the practical action needed after anappraisal meeting, consider the cycle of events of whichappraisal is part. The cycle of action necessary to ensureongoing good performance flows as follows:n Job definition: the first task is to define the job in terms

of its objectives and tasks and any attendant matters –the relationships it involves, the boundaries andoverlaps with other jobs, etc.

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n Capabilities definition: this defines the knowledge, skillsand attitudes that it is necessary to have to be able todo justice to the job.

n Assessment of the actual level of capabilities: in other wordsthe level of knowledge, skills and attitudes that anindividual currently has.

n Identify changes: additional or extended knowledge,skills and attitudes that the job may demand whenlooking ahead to what it will involve in the future.

n Set developmental objectives: decide what action may benecessary to close any gap between the existing levelof capabilities and what is actually needed.

n Set priorities: decide what must be done first, secondand so on.

n Implement development activities: carry out the plannedactivity.

n Evaluate progress: check how things are developing andlink back to the job definition and requirements.

This describes a continuous cycle of activity. Some of it isformal. The definition of the job, for instance, can result ina formal job description or revision of the existing descrip-tion being issued. Some of it is informal, with developmentactivity and evaluation both being made up, in part, ofactivity that is blended in with the ongoing job and withthe regular dialogue between a manager and those super-vised.

The annual job appraisal (or indeed any additionalscheduled meetings) is simply one part of this continuum.This view may help make the meeting seem a more routineand less exceptional activity. It also shows the necessity

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for follow-up action. Appraisal is not something thathappens in isolation. It is a catalyst to the whole process.Appraisal is concerned ultimately with prompting futureperformance and helping make it achieve results. So tooare the actions that spring from it.

The system

A simple point first. Always complete any forms that linkto appraisal promptly. First, to comply with the system; itis a pity to blot your copybook as it were by missing thefirst deadline you have to hit after your appraisal meeting.Second, because if you leave this sort of thing your abilityto recall salient details fades away fast (as anyone who hasto compile minutes of meetings knows). The details matterand you want there to be a clear record of what transpired.

If there are documents that will be sent to you by theappraiser, ask when you will receive them. Link all docu-mentation back to your appraisal collection file; the firstactions to help make next year’s appraisal go well takeplace immediately after this year’s.

Link to your work system

There may be a number of decisions and intentions to takefurther. You may have agreed to:n check out suitable courses on some area of skill and

make suggestions as to what you should attend;n provide additional background information about the

past;

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n take on new responsibilities that need briefing meetingsto be set up;

n review targets or objectives more frequently in future,or for a period.

These and many more possible actions may need linkingto your diary, confirming in memos and remembering forthe future. Remember that if the manager who appraisesyou has lots of people reporting to him or her, then he orshe may collect a long list of follow-up actions. A sugges-tion that you document things where appropriate maymake sure that it is remembered and that action followssooner rather than later.

Some actions may be things you want to get out of theway, like a further check on some aspect of your work thatwas questioned. Other actions may be things about whichyou are enthusiastic – they lead on to new chances orchallenges. Follow both up and maintain a positive attitudeabout the whole process.

Remember, feedback from you conditions future events.Say you obtain agreement to some form of training at yourappraisal. You are keen to undertake it, follow up, scheduleattendance on a course of some sort, and duly attend. If itis successful let your manager know – including a ‘thankyou’ if appropriate – and link it back to the ongoing tasks.If it was not the right thing, say so. You may need to go onsomething else and others may be protected from a similarwaste of time.

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Future progress

Rome was not built in a day, and appraisals do not act tosolve all problems and kick-start our progress, guaran-teeing effortless generation of future results and rewardsto match. But appraisals should be a constructive part ofthe continuity of consideration and action that links whatwe do now to the dynamic nature of the environment inwhich we work, and give us some hope of keeping up.

The appraisal meeting can be a significant part of theprocess. It will not automatically go well. Some systemsare inflexible, inappropriate or ill thought out. Some man-agers regard the whole thing as a chore. Some aspectsof corporate bureaucracy act to dilute the effectivenessof appraisals, maybe by focusing artificially on uncon-structive aspects and forgetting the main purpose. Bothappraisers and appraisees contribute to the process andeither can act to ensure that it is constructive rather thanirrelevant and time wasting.

If you play your part – working at it from one appraisalto the next – then you stimulate the process in the rightdirection. Small actions can make a significant difference,with just one extra well-considered question taking thediscussion into a new, helpful and relevant area. You havea good deal to gain; never let any aspect of appraisal goby default.

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AFTERWORD

‘The best way to win an argument is to begin by beingright.’

Jill Ruckelshaus

We will end as we started by taking a strictly realistic viewof the work environment. At the start of the new millen-nium the work environment is, in a word, dynamic. Jobsfor life are a thing of the past and waiting for work to‘return to normal’, some vision of more secure times, issimply not one of the options. Few, if any, people are paidjust for turning up. All of us, at whatever level of theorganizational hierarchy we work, are judged by results;that is fair – results are what we are there to achieve.

It is also reasonable that managers should want to knowhow people are doing and that they should seek to improvetheir performance. Individually most of us want to knowtoo. Job satisfaction comes, in large part, from a sense ofachievement and we must know what, and how much,we are achieving. So appraisal is a practical tool in themanagement process. And ultimately its prime purpose is

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to increase the likelihood of future performance beingsatisfactory – better still, of it qualifying as excellent.

Because you can get very close to what you do, theappraisal meeting represents a useful opportunity to stepback and review how things are going, and to look aheadand plan how things can be made to go well in the future.Essentially, for those being appraised there are two keyareas where appraisal can help: 1) by maximizing existingand future job performance; and 2) by playing a part inlonger-term career planning and development.

The two are clearly closely related. Careers tend not toprosper if performance in the current job is suspect. So anyhelp that appraisal can give is to be welcomed in bothrespects. What did the old Beatles song say? ‘I get by witha little help from my friends.’ No one succeeds in a corpo-rate environment entirely by his or her own efforts. Mostof us benefit from a variety of advice, information andassistance along the way that comes to us, wittingly orunwittingly, from those with whom we work.

Appraisals should be seen in that light. Of course, thereis an element of ‘checking up’ about the process, but it is –or should be – constructive, and a process that looks to thefuture. Ignore it or treat it lightly at your peril. See it as aresource that is part of what can help you succeed and thentake an active view of getting the most from it, and youwill help it do more for you.

The key to getting the most from appraisals can besummarized in 10 key points, as follows:

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CHECKLIST

n Take appraisal seriously (it is a luxury to be able tostep back and think about what you are doing).

n View it constructively – focus on what you (and yourorganization) can gain from it.

n Study and become familiar with the system yourorganization uses.

n Keep appraisals in mind during the year and gatherthe facts and information that will help your next one.

n Prepare thoroughly for the meeting, thinking of whatyou want to discuss and anticipating what will beraised.

n Aim to play an active part in the meeting, rather thansimply be led by events.

n Put your points over clearly and positively.n Ask anything where you feel comment or information

would be helpful.n Record any action points agreed during the meeting

(and be sure to hit any deadlines for action agreed).n Be open in discussion, constructive about criticism,

positive about opportunities for the future and alwaysreceptive to new ways of doing things and new thingsyou might do.

Everyone wants to be successful. It is an old, but wise,maxim that there is a significant difference between fiveyears’ experience and one year’s experience repeated fivetimes. Ensuring that you are on the path for five years’experience, and that your experience, competence, success

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– and thus your role – all grow, is a process that needsregular time and attention.

One repeating part of the process is your regular jobappraisals. Make the most of them and they can play asignificant part in your progress and success.

Patrick ForsythTouchstone Training & Consultancy

28 Saltcote MaltingsHeybridge, Maldon

Essex CM9 4QPSpring 1999

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