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6.1. |
Appraisal Forms At the core of any performance management system is the assessment of performance. Information on performance is collected by using forms, which can be filled out on paper or electronically. One advantage of filling out forms electronically is that the information is stored and can easily be shared, for example, between the manager filling out the form and the human resources (HR) department. Also, having the data available in electronic form can help in subsequent analyses, for example, in making comparisons of the relative average performance levels of various units within the organization. Finally, using electronic forms is beneficial because, as change take place in the organization or job in question, forms need to be revised and updated, and electronic forms are usually easier to modify than paper forms. Regardless
of whether they are electronic or paper, appraisal forms usually include a
combination of the following components |
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Basic
employee information. This section of the form includes
basic employee information such as job title, division, department and other
work group information, employee number, and pay grade or salary
classification. In addition, forms usually include the dates of the
evaluation period, the number of months and years the rater has supervised or
worked with the employee, an employee’s starting date with the company and
starting date in the current job, the reason for the appraisal, current salary
and position in range, and the date of the next scheduled evaluation. |
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Accountabilities,
objectives, and standards. If the
organization adopts a results approach,
this section of the form would include the name and description of each accountability,
objectives agreed upon by manager and employee, and the extent to which the
objectives have been achieved. In many instances, the objectives are weighted
in terms of importance, which facilitates the calculation of an overall performance
score. Finally, this section can also include a subsection describing conditions
under which performance was achieved, which may help explain why the employee
achieved the (high or low) performance level described. For example, a
supervisor may have the opportunity to describe specific circumstances surrounding
performance during the review period, including a tough economy, the
introduction of a new line of products, and so forth. |
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Competencies
and indicators. If the organization adopts a behavior approach, this section of
the form includes a definition of the various competencies to be assessed,
together with their behavioral indicators. |
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Major
achievements and contributions. Some forms
include a section in which a rater is asked to list the two or three major
accomplishments of the individual being rated during the review period. These
could refer to results, behaviors, or both. |
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Developmental
achievements. This section of the form includes information about the extent to
which the developmental goals set for the review period have been achieved.
This can include a summary of activities, such as workshops attended and
courses taken as well as results, such as new skills learned. Evidence of
having learned new skills can be documented, for example, by obtaining a
professional certification. Although some organizations include developmental
achievements in the appraisal form, others choose to include them in a
separate form. Sun Microsystems is an example of an organization that
separates these forms. Some organizations do not include development content
as part of the appraisal form because it is often difficult for employees to
focus constructively on development if they have received a less than ideal performance
review. |
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Developmental
needs, plans, and goals. This section of the form is future
oriented and includes information about specific goals and timetables in
terms of employee development. As noted before, some organizations choose to
create a separate development form and do not include this information as
part of the performance appraisal form. |
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Stakeholder
input. Some forms include sections to be filled out by other
stakeholders, such as customers with whom the employee interacts. Overall,
stakeholders are defined as people who have firsthand knowledge of and are
affected by the employee’s performance. In most cases, input from other
stakeholders is collected from them by using forms separate from the main
appraisal because not all sources of performance information are in the
position to rate the same performance dimensions. For example, an employee
may be rated on the competency “teamwork” by peers and on the competency “reliability”
by a customer. A more detailed discussion of the use of various sources of
performance information is offered later in this chapter. |
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Employee
comments. This section includes reactions and comments provided by the
employee being rated. In addition to allowing formal employee input, which improves
the perceived fairness of the system, the inclusion of this section helps with
legal issues because it documents that the employee has had an opportunity to
participate in the evaluation process. |
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Signatures.
The final section of most forms includes a section in which the employee
being rated, the rater, and the rater’s supervisor provide their signatures to
show they have seen and discussed the content of the form. The HR department may
also provide approval of the content of the form. |
Table
6.1 summarizes the major components of appraisal forms. Let’s consider some examples
to see which of these components are present in each.
|
Major
Components of Appraisal Forms |
|
Basic
employee information |
|
Accountabilities,
objectives, and standards |
|
Competencies
and indicators |
|
Major
achievements and contributions |
|
Developmental
achievements (could be included in a separate form) |
|
Developmental
needs, plans, and goals (could be included in a separate form) |
|
Stakeholder
input |
|
Employee
comments |
|
Signatures |
First,
consider the form included in Figure 6.1. This is a generic form that can be used
for almost any position in a company. Let’s evaluate this form in relation to
the components listed in Table 6.1. First, the form asks for the employee’s
basic information. Second, while the form asks the manager to list the expected
versus the actual accountabilities, it does not include objectives or
standards. Third, the form includes five competencies, but it does not include
a definition of those competencies nor does it list the indicators to look for
to determine whether the employee has mastered the relevant competencies. The
form does include space to list major achievements, developmental needs, and
employee comments. The form does not solicit information from all relevant
stakeholders. In short, the following table summarizes the components that are
present :
|
Performance
Review Form |
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Employee
Name Title Manager Date
of Appraisal Meeting |
: : : : |
|
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Employee
Performance Reviews improve employee performance and development by
encouraging communication, establishing performance expectations, identifying
developmental needs, and setting goals to improve performance. Performance
reviews also provide an ongoing record of employee performance, which is
helpful for both the supervisor and employee. |
||
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Use
the form below to list examples of outstanding performance or achievements as
well as areas of performance that need improvement. Please provide open
comments on your employee’s performance. Complete each section and list
examples of performance where applicable. |
||
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1. |
Job
description/key responsibilities/required tasks |
: |
|
2. |
Note
expected accomplishments vs. actual accomplishments |
: |
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3. |
List
the areas where the employee developed in ways enabling him or her to take on
additional responsibilities or be eligible for high profile assignments |
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4. |
Areas
of development for upcoming quarter (i.e., communication skills, teamwork,
project management skills, budgeting experience, etc.) |
: |
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5. |
Goals
for upcoming quarter (Please list S.M.A.R.T. goals) |
: |
Please circle the number below that best describes the employee’s performance in the following areas :
|
Areas of concentration |
Did not Meet expectations |
Achieved Most expectations |
Achieved expectations |
Achieved Expectations and exceeded on a few |
Significantly Exceeded expectations |
|
Teamwork |
1 |
2 |
3 |
4 |
5 |
|
Leadership |
1 |
2 |
3 |
4 |
5 |
|
Business Acumen |
1 |
2 |
3 |
4 |
5 |
|
Customer Service |
1 |
2 |
3 |
4 |
5 |
|
Project Management |
1 |
2 |
3 |
4 |
5 |
|
Average
Performance Score |
|
Employee Use Only:
Please provide comments and examples of behaviors to describe your
performance in the past quarter.
|
Manager
Signature |
Date |
Employee
Signature |
Date |
