PD Assignment
PD Assignment
PERFORMANCE APPRAISAL
INTRODUCTION
Performance management is a holistic process bringing together many of the elements which
and development. But for this very reason, it is complex and capable of being misunderstood
‘Performance management is not achievable unless there are effective processes of continuous
development. This addresses the core competencies of the organization and the capabilities of
individuals and teams. ‘Performance management’ should really be called ‘performance and
measurements throughout the organization. Performance appraisal is the most important if the
organizations are to take the advantage of their most important asset, employees, and gain
Fombrun et al. (1984) makes explicit use of the word Performance when illustrating the
Human Resource Cycle - sometimes referred to as the ELC. This model highlights the
importance of performance appraisal as a means of determining rewards and/or the need for
further development.
Rewards
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and monitoring for staff. A further development….is tying this appraisal into a larger and more
only one tool amongst a range of tools that can be used to manage performance. They also
highlight the fact that because performance appraisals are most usually carried out by the line
managers, rather than HR professionals, it is important that they understand their role in the
objectives. They identify the strengths and weaknesses of an employee and address how to
improve or develop these areas. They aim to motivate the employee and provide them with
developing the work performance of employees in the organization, so that the organizational
goals and objectives are more effectively achieved, while at the same time benefiting
employees in terms of recognition, receiving feedback, catering for work needs and offering
career guidance”.
A key purpose of any appraisal process and its resulting performance development plan is to
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stimulating effort, focusing attention, increasing persistence and encouraging new ways of
working.
The benefits of using a performance appraisal process to develop employees include the
opportunity for employees to be directly involved with identifying areas for their development
and how these can be achieved; being able to track progress and receive feedback against
development goals. Some examples of actions that may be taken to develop an employee
further include training and courses (internal and/or external) new work assignments/tasks,
That all employees are regularly and formally reviewed regarding their career progress
recorded
That essential information concerning the strengths and weaknesses of all employees,
in relation to their development including potential for advancement and suitability for
Using the performance appraisal process to develop employees also assists with other key
organizational issues. One being its vital role in maintaining and/or improving attraction and
Developing employees to meet or exceed the company’s goals and their own personal
Performance appraisals are able to accomplish this as long as they focus on the employee.
However a number of common reasons why performance appraisals may not be a successful
There are two approaches to performance appraisal viz. administrative approach and
developmental approach.
1. Administrative approach: Making and carrying out employment decisions are the
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be used as a key input for administering a formal organization reward and punishment
system.
- Promotions; and
about their job performance. This serves a valuable function because in order to improve
in the future, employees need to know what their weaknesses were in the past and how
to correct them. This also enables managers to identify which employees would receive
the most benefit from developmental inputs. Pointing out strengths and weaknesses is a
counseling function for the manager, while receiving meaningful feedback and acting
upon it is a motivational experience for the employee. In this way performance appraisal
- Provide employee with feedback on their strengths and weaknesses and how to
In essay appraisal, appraiser rates the employee in an open-ended manner and put down his
impressions about the employee on a continuous basis. These impressions relate to strong and
• Job knowledge and skills exhibited by the appraisee while performing his job
• Appraisee’s personality traits and attitude towards his job, peers, manager and the
organization.
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It is the simplest evaluating method in which evaluator writes an explanation about employee’s
strength and weakness points, previous performance, positional and suggestions for his (her)
performance improvement at the end of evaluation term. This kind of evaluations usually
includes some parts of other systems to cause their flexibility. This method often combines
with other methods. In essay appraisal, we attempt to focus on behaviors (Mondy, 2008).
2. Grading:
In this technique, the rater considers certain features and marks them according to a scale. The
knowledge, leadership and organizing ability. These may be graded as e.g. A-Outstanding, B-
Very good, C- Average, D-Fair, E-Poor and F-Very poor. The actual performance of an
employee is then compared with these grades and he is allotted the grade which best describes
his performance.
3. Ranking Method:
Under this method, superior ranks his subordinates in order of their merit, starting from the best
to the worst. The relative position of each employee is expressed in terms of his numerical
rank. In this type of appraisal, individuals are ranked from highest to lowest. It is assumed that
the difference between the first and second employee is equal to difference between 21st and
22nd employee. In this method, the manager compares each person with others than work
Example: The evaluator rates the employee from highest to lowest on some overall criteria. In
this
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Employee Rank
A 2
B 1
C 3
D 5
E 4
4. Checklist Method:
In this method, the evaluator has a list of situations and statements and compares it with
results can be quantitative and give weight to characteristics. A typical checklist is given in the
table below. After ticking off against each item, rater forwards the list to HR department. The
HR department assigns certain points to each ‘Yes’ ticked. When points are allotted to the
checklist, technique becomes a weighted checklist. The advantages of as checklist are economy,
ease of administration, limited training of rater, and standardization. The disadvantages include
susceptibility to rater’s biases (especially the halo effect), use of personality criteria instead of
performance criteria, misinterpretation of checklist items, and the use of improper weights by
the HR department. Another disadvantage of this approach is that it does not allow the rater to
Example:
5. Rating Scales:
This is the simplest and the most popular technique for appraising employee performance; the
typical rating-scale system consists of several numerical scales, each representing a job-related
operation, and the like. Each scale ranges from excellent to poor. The rater checks the
appropriate performance level on each criterion, and then computes the employee’s total
numerical score. The number of points scored may be linked to salary increases, whereby so
many points equal a rise of some percentage. Rating scales offer the advantages of adaptability,
relatively easy use and low cost. Nearly every type of job can be evaluated in a short time, and
rater does not need any training to use the scale. The disadvantages of this method are several.
The rater’s biases are likely to influence evaluation, and the biases are particularly pronounced
Example:
______________________________________________________________________________
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______________________5_______4________3__________2______1___________________
Dependability
Initiative
Overall output
Attendance
Attitude
Cooperation
___________________________________________________________________________
Total score
It focuses on key factors which make difference in performing a job efficiently. This method
is more credible because it is more related to job and based on individual’s performance than
term of incidents and special episodes which take place in job performance. These incidents
are known as critical incident. In this method, the manager writes down the positive and
The critical incidents method of employee assessment has generated a lot of interest these days.
The approach focuses on certain critical behaviors of an employee that make all the difference
between effective and non-effective performance of a job. The supervisors record such
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These include:
2. The recording of incidents is a chore to the supervisor and may be put off an easily
forgotten.
performance review session. The feedback may be too much at one time and thus
appearing as a punishment to the rate. More appropriately, the management should use
Example
June 21 - Sales clerk patiently attended to the customers complaint. He is polite, prompt,
June 21 - The sales assistant stayed 45 minutes beyond his break during the busiest part of
the day. He failed to answer store manager’s call thrice. He is lazy, negligent, stubborn and
uninterested in work
This method is combination of the rating scale and critical incident techniques of performance
appraisal. It is a tool that anchors a numerical rating scale with specific behavioral examples of
Behaviorally Anchored Scales, sometimes called behavioral expectation scales, are rating
scales whose scale points are determined by statements of effective and ineffective behaviors.
They are said to be behaviorally anchored in that the scales represent a range of descriptive
statements of behavior varying from the least to the most effective. A rater must indicate which
1. Areas of performance to be evaluated are identified and defined by people who will use
the scales.
2. The scales are anchored by descriptions of actual job behavior that, supervisors agree,
represent specific levels of performance. The result is a set of rating scales in which both
are relevant to the job being evaluated since BARS are tailor-made for the job.
4. Since the raters who will actually use the scales are actively involved in the development
process.
They are more likely to be committed to the final product. BARS were developed to provide
results which subordinates could use to improve performance. Superiors would feel
comfortable to give feedback to the rates. Further, BARS help overcome rating errors.
Unfortunately, this method too suffers from distortion inherent in most rating techniques.
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3) Relocate incidents,
4) Rating of level of performance for each incident and 5) Development of the final
instrument.
Below average 3 Can expect to unload the trucks when asked by the
supervisor.
Extremely poor 1 Can expect to take extended coffee breaks and roam around
purposelessly.
8.Forced Choice Method: In this, the rater is given a series of statements about an employee.
These statements are arranged in blocks of 2 or more, and the rater indicates which statement
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As in the checklist method, the rater is simply expected to select the statements that describe
the rate. Actual assessment is done by the HR Department. This approach is known as the
forced choice method because the rater is forced to select statements, which are readymade.
The advantage of this method is the absence of personal bias in rating. The disadvantage is that
the statements may not be properly framed – they may not be precisely descriptive of the ratee’s
traits.
Always regular
Never regular
Remain absent
No.
of
employees
1% 2% 4% 2% 1%
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poor 0
Below 0 0
average good 0Excellent 14
average
Performance appraisal in personality development
In this method, the appraiser compares each employee with all others in a group one at a time.
After all the comparisons, on the basis of the overall comparisons, the employees are given the
final rankings.
Under this method the appraiser compares each employee with every other employee one at a
time. For example there are five employees named A, B, C, D and E. The performance of A is
first compared with the performance of B and a decision is made about whose performance is
better. Then A is compared with C. D and E in that order. The same procedure is repeated for
other employees. The number of comparisons may be calculated with the help of a formula
which reads thus: N (N-1)/ 2 where N stands for the number of employees to be compared. If
After the completion of comparison, the results can be tabulated and a rank is created from the
9. Confidential Report:
It is mostly used in government departments. This report is prepared at the end of a year. It
shall have certain items like attendance, leadership, initiative, ability to work with others, job
knowledge, integrity etc. The superior records his impression about the subordinate considering
these items. This system does not offer any feedback to the subordinates hence there is no
surety of why he/ she is rated low than the others. [6]
1. Assessment Centre:
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An assessment Centre typically involves the use of methods like social/informal events, tests
and exercises, assignments being given to a group of employees to assess their competencies
to take higher responsibilities in the future. Generally, employees are given an assignment
similar to the job they would be expected to perform if promoted. This review of potential is
concerned with forecasting the direction in which an individual’s career should go and the rate
The trained evaluators observe and evaluate employees as they perform the assigned jobs and
are evaluated on job related characteristics. The major competencies that are judged in
assessment centers are interpersonal skills, intellectual capability, planning and organizing
capabilities, motivation, career orientation etc. assessment centers are also an effective way to
• Ranbaxy retained the services of a team of psychologists from the UK-based Kelly& King to
take the executives (of Ranbaxy) through an assessment center. 20 star manager went through
the exercise.
• Santrupt Misra, Director- Birla Management Corporation had plans for a similar exercise to
be held at Gyanodaya, the Aditya Birla learning center. Misra first specially Uploaded for
ProjectsParadise.com used the assessment center concept four years ago on 150 middle and
• Old timers like Tata have created their own assessment centers, and so have the talent centric
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• SHL, a HR consulting firm has worked with over 100 companies conducting dose to 1,000
assessment centers.
• Consulting firm ECS (formerly known as Eicher Consulting Services) does a number of
assessments in a month for a variety of clients like Tata Steel, ING Vysya and the host of BPO
outfits.
• ICICI Bank uses assessment centre as a recruitment and selection tool to find the best talent,
while GE India subsidiary GECIS has used it on 20% of it5 middle managers.
2. Management by Objectives:
Drucker, to describe a method of performance management that is based on the setting of clear
and measurable objectives, and the use of those objectives to evaluate and review performance.
When done correctly, MBO is probably the best and fairest way to plan for and create
The principle behind Management by Objectives (MBO) is to make sure that everybody within
the organization has a clear understanding of the aims, or objectives, of that organization, as
well as awareness of their own roles and responsibilities in achieving those aims. The complete
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MBO system is to get managers and empowered employees acting to implement and achieve
Human resources are valuable assets for every organization. Human resource accounting
method tries to find the relative worth of these assets in the terms of money. In this method the
performance appraisal of the employees is judged in terms of cost and contribution of the
employees. The cost of employees include all the expenses incurred on them like their
compensation, recruitment and selection costs, induction and training costs etc whereas their
contribution includes the total value added (in monetary terms). The difference between the
cost and the contribution will be the performance of the employees. Ideally, the contribution of
the employees should be greater than the cost incurred on them. [7]
360 degree feedback is also known as 'multi-source feedback. First developed at General
Electric, US in 1992, the system has become popular in our country too. GE (India), Reliance
Industries, Crompton Greaves, Wipro, Infosys, Thermax are using this method with great
group from a number of sources. The sources are immediate supervisors, peers, customers, self.
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Having collected data from these sources 360 degree feedback provides broader perspective
about employee performance. The 360-degree evaluation can help one person be rated from
different sides, different people which can give the wider prospective of the employee’s
competencies (Shrestha, 2007). It has been used for human resource development, appraisal
In the past few years, few human resource practices have received as much attention as multi-
source feedback systems (MSFSs). In the US and Canada, it is estimated that over one-third of
organizations are using some form of MSFS and recent surveys show that this practice is still
gaining popularity.
The results of an international survey of MSFS, the data collected from HR managers and
consultants from Argentina, Australia, China, Slovakia, Spain and the UK demonstrate that
MSFS are being implemented, in slightly different ways, in each of these six countries. The
main challenges in the application of MSFS in these various countries are the communication
efforts necessary before and after implementation, and the inherent difficulty in giving and
receiving feedback.
Self- appraisal
Superior’s appraisal
Subordinate’s appraisal
Peer appraisal
3 prime reasons
1. In order to get a enhance review about performance and prospective of the future leader.
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3. In order to collect feedback from all the employees and to ensure the organizational justice.
Usually under 360 degree appraisal system the feedback is collected from peers subordinates
customers managers and the team members of the employee. The feedback is collected using
on job survey based on the performance of employees there exist four stages of a 360 degree
appraisal. The first stages self appraisal followed by superior’s appraisal then subordinates
The implementation of 360 degree appraisal method is not an easy task. In order to design an
effective 360 degree appraisal system one has to take care of following things.
3. Proper training should be provided to all the employees about how to use the 360 degree
review system.
The objective of 360 degree feedback process differs from company to company however the
main objective of 360 degree performance review used to evaluate the performance of
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employee in a holistic manner expert of this field often claim that a properly and effectively
implemented 360 degree feedback process makes employee more comfortable with the
organization and lead to their overall development along with boosting their performance.
the entire process to the stakeholders of the organization. The purpose and objective of 360
degree performance appraisal process should be clearly mentioned and explained to each and
every participant. Also the process through which the feedback will be gathered and how the
feedback will be utilized should be clearly conveyed to the stakeholders. Time required- This
process could take 2-3 weeks to communicate about the appraisal system. This can be done
through in personal meeting with supervisors, managers, leaders and employees. Also it can be
communicated through emails and employees should be encouraged to come forward if they
2. Selection of raters- The selection of rater is one of the most important steps in 360 degree
receive data which is relevant and comprehensive. The number of raters will depend on the
employee’s job profile and working relationship. Time required- This process generally takes
one to two weeks. The rater will include supervisors, direct reports, peers and perhaps some
customers or clients.
3. Distribution of survey- Organizations can use online 360 degree feedback system which
will allow a quicker distribution of questionnaire among the employees. The participants will
receive an email with the link of questionnaires and notification. They can click on the link,
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start and complete the 360 degree review. Time required- This may take one week in order to
4. Submission of questionnaires- Once the survey is distributed, the participant will complete
the survey online. The completed review will be provided to the evaluator. This process can
take the longest time. The time required to submit a questionnaire depends on the number of
raters which are involved, the job profile of employee and organization. It is highly
recommended that a particular deadline should be assigned to the participant in order to quickly
finish the process. Time required- This process should take to 2-4 weeks in order to get
5. Completion of report- Once the review is been collected through the questionnaire
organization sometimes once the report is ready it is directly sent to the participants or the
result is been given through one-one feedback session. Time required- if you are using an
online system this very quick to produce the report, sometimes it takes 1 to 2 days.
confidential manner by arranging the meeting with employee’s manager or coach. This
meeting will allow a great understanding about the feedback report and also provides an
opportunity to discuss the strength of the employee and areas which need to be improved.
Time required- It depends on the in depth of the feedback session generally a meeting can
7. Completion of development plan- Once review is done the development plan should be
created for each of the participant based on the feedback reviews received through 360 degree
evaluation. It is important to develop an actionable plan which will help to improve the
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employee. The areas where the improvement is required should be identified as key areas based
mentoring should be arranged for the employee. The development of such plan helps
8. Re- evaluating- 360 degree feedback system is not one of event; once you start the process
it is important to see the consequences of the process. Specific goals and opportunities are
outlined in the development program; it does make sense to check the progress. The re-
evaluation of participant will enable the organization to see the changes and the area in which
the employees are actually improved. Time required- This process should be carried out after
The immediate benefits of 360 degree feedback system can be observed in terms of teamwork,
confidential and reliable way for colleagues to provide feedback. It also provides organization
valuable insights about the current leadership, how team mechanics works and overall culture
of the organization. 360 degree performance appraisal system provides powerful knowledge to
the leaders and hence helps them for the development of employees. The effectively used 360
degree performance appraisal system boosts the confidence of employees and helps them to
improve in their performance. It also helps employee to become better leader and contributor
• The feedback from colleagues helps to strengthen the self development process of the
employee
• It also increases the responsibility and alertness of employee towards their clients.
• The different ideas coming from different raters combined provide more accurate 360 degree
assessment.
• Here not only manager but colleagues are also responsible for assessment of staff performance
• Honest culture can be established among the organization using 360 degree performance
appraisal system.
Disadvantage
• If the feedback got exchange among the employees it can create trouble and tension among
the staff.
• A lot of effort has to be placed in order to train the employee to effectively use the 360 degree
appraisal system.
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Leadership Development
Career Development
Customer Feedback
Assessment Centres
Example: ALL Rater Groups: Rater Group's unique perspective (context) 360-degree
feedback systems use the same set of around 25 to 100 questions for ALL Rater Groups (e.g.
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enables highly targeted sets of questions/competencies for each individual Rater Group—
covering its unique working relationship with the 360 appraisee. These Rater Groups can
DIRECT REPORTS: Questions about the manager's management style and practices.
Smart360 allows for 20+ (no upper limit) Raters per 360 appraisal. Below are examples of how
Educational Institutions:
etc.)
Principal/Dean & Department Head/s feedback: 1 to 10 Raters (The above are examples only,
as any number of raters per Rater Group and 360 can be assigned) The number and types of
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Rater Groups will depend on who you want feedback from, and can therefore be different
If 360 feedback is linked to performance appraisal and compensation, it loses its power as a
development tool. Especially with peer feedback, the danger arises where individuals may
quickly learn how to play the game: "I'll scratch your back, if you scratch mine."
Appraisees are also likely to become unduly defensive during the feedback process to protect
their income levels and prevent poor raises and bonuses. Rather adopt a positive and optimistic
mindset that performance WILL improve as a result of stress-free learning and development,
based on valid 360 feedback. For the same reason, do not place undue emphasis on comparing
the 360 results of employees, except for confidential consideration with promotion and
succession planning decisions. The 360 feedback process as a performance appraisal tool
should only be considered if there is a very strong existing performance appraisal system in
place, as well as an open and mature organizational culture where constructive feedback is
Leadership
• Do you think this employee exhibit the quality of leadership in the role which he or her play
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Interpersonal skills
• When you interact with this employee do you think the interpersonal skills which were
• Do you experience any sort of problem while interacting with this employee?
• Do you recommend any improvement in the interpersonal skills and relationship development
• What are the skills which this employee has demonstrated in order to solve the problem?
• Do you think this employee has less problem solving skills and the employee need to work
Motivation
• Do you observe that this employee appeared motivated towards his work-related task, job or
relationships?
• How committed and motivated do you think this employee is with regards to success of the
organization?
• Have you ever experienced any issues related to the motivation level of the employees?
Efficiency • Do you think the work method and approach used by the employee are effective,
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Nowadays, several performance appraisal software programs are available. These software
programs enable managers to keep computerized notes on subordinates during the year, and
then to combine these with ratings of employees on several performance traits. The software
programs then generate written text to support each part of the appraisal. In the traditional
Appraisal system, the paper based appraisal causes a lot of manual work, which is time
consuming, not secure and difficult to analyses the performance. Whereas Web based
5. Psychological Appraisals
Large organization employs full-time industrial psychologists. These psychologists are used
for evaluations. They assess an individual’s future potential and past performance. The
supervisors and a review' of other evaluations. The psychologists then write an evaluation of
suggest individual potential and may predict future performance. The evaluation by the
psychologist may be for a specific job opening for which the person is being considered. Or it
may be a global assessment of his or her future potential. From these evaluations, placement
and development decisions may be made to shape the person's career. [8]
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The method : Horizontal evaluation is a flexible method which can be applied in a range of
settings to facilitate: the sharing of information, experiences and knowledge; the building
of trust and a sense of community, which in turn fosters knowledge exchange; the social
or interactive learning and corrective action needed to improve R&D methodologies; and
History: Papa Andina, a regional network that works to reduce rural poverty in the Andean
region by fostering innovation in potato production and marketing, has used horizontal
evaluations to improve the work of local project teams and to share knowledge within
the network. In a horizontal evaluation workshop, a project team and peers from other
development (R&D) approach being developed and then compare the assessments.
Project team members formulate recommendations for improving the R&D approach,
and peers consider ways to apply it back home. Practical results of horizontal evaluation
have included strengthening the R&D approaches being developed, experimenting with
their use at new sites, improvements in other areas of work, and strengthened
workshop that includes all of the steps and processes essential to this approach. The
workshop brings together a group of 10-15 ‘local participants’ who are developing a new
R&D methodology and a similar-sized group of ‘visitors’ or ‘peers’ who are also
interested in the methodology. The workshop is organized from start to finish by a small
combines presentations about the methodology with field visits, small group work and
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plenary discussions. It elicits and compares the perceptions of the two groups concerning
The processes employed during the workshop and field-visits serve to promote social learning
among the different groups involved. Experience to date suggests the approach stimulates
further experimentation with and development of the methodology in other settings. The
authors believe that horizontal evaluation can be applied in different types of projects and
programs and is especially suited to those that operate in a multi-site, network mode
The primary responsibility for the planning and execution of the details of the workshop lies
with the group of “workshop organizers" - a sub-group of the 'local participants'. The
1. Identifying the appropriate object for evaluation (in the cases the authors have
and visitors. The latter should have an interest in learning about and perhaps using the
4. Finding a facilitator who should already be familiar with or be willing to master the
often based on the criteria of the organization or project using the methodology.
6. Arranging the field visits that will demonstrate the application of the methodology.
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7. Sending both sets of participants - local and visiting – all necessary background
8. Arranging a ‘dress rehearsal’ of key moments and presentations for the workshop.
9. Making provisions for writing up and promoting the use of the workshop’s
findings. [10]
Planning the workshop: We work with our partners to identify an appropriate methodology
to be evaluated, select participants and prepare for the event. An organizing committee should
be established and should include decision makers from among both local participants and
visitors. We have learned that it is very important that the topic of the evaluation should be
clearly defined: it is the methodology that should be evaluated, not the project or organization
that developed it. Defining and maintaining the scope of the evaluation is critical for its success
The professional facilitator, selected by the workshop organizers, works with the local
group to (i) identify the appropriate methodology to be evaluated, (ii) select participants
(both local and visiting) and (iii) contribute to the workshop organizers’ preparations for
the event.
Day 1– Introducing the methodology: At the start of the event, the facilitator introduces
the objectives of the workshop and the procedures to be followed. The facilitator stresses
that the workshop is intended to evaluate ONLY the methodology selected, not the project
as a whole, nor the executing agency as an organization. S/he encourages the visitors to be
critical but constructive by identifying the strengths and positive aspects of the
methodology as well as its weaknesses. S/he also encourages the local participants to be
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Day 2 – Field visits: Field visits provide the opportunity for visitors to see at first hand the
methodology under development and to talk with those whose livelihoods are directly
affected by it. Visitors conduct semi-structured interviews and carefully observe what they
Day 3 – Comparative analysis and closure: For each evaluation criterion, the two groups
(visitors and local participants) separately identify strengths, weaknesses and suggestions
for improvement. Each group is asked to limit itself to identifying no more than six
strengths, six weaknesses and six suggestions for each evaluation criterion. Following this
group work, visitors and local participants present their findings in separate plenary
sessions. The facilitator then helps all participants to identify convergent and divergent
ideas. Where the strengths converge, local participants can feel confident that they are on
the right track. Where weaknesses coincide for both groups, the need for corrective action
is indicated. Where the two groups’ assessments of strengths or weaknesses diverge, the
reasons must be explored together in detail in order to reach a shared understanding of the
differences of opinion.
After the workshop: The organizing committee should establish clear responsibilities and
deadlines for editing and distributing the report it is important to distribute the report soon
after the event, while participants are still interested in its outcomes. Local participants use
implementation more likely than in conventional evaluations. In all four workshops that we
helped organize, horizontal evaluation led to significant changes. Where the horizontal
evaluation forms part of a broader network, such as Papa Andina, network coordinators
may follow up by facilitating the exchange of information and the application or adaptation
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of the methodology by visitors (for example, they may provide consultancy support for
more in-depth training in the methodology, organize longer exchange visits, commission
Examples: Experiences: To learn about and improve the R&D methodologies under
(2003).
producers and match these with the supply of new technologies, conducted with the Innova
4. An evaluation of the initial application of the PMCA in Uganda, conducted with the
Practical Example:
We helped the INCOPA Project, which led the evaluation, to design and prepare for the
workshop. The partners identified the following criteria for analyzing PMCA:
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• cost-effectiveness.
Local workshop participants included market chain actors from Peru, while visitors came
On Day 1, local participants explained the PMCA methodology and activities and
achievements in entering two new markets: yellow potatoes to make crisps and
standardized bags of selected and classified potatoes for the Lima wholesale market. On
• a factory where yellow potatoes are processed into crisps. Visitors interviewed the factory
intermediaries and members of the trade union who carry overweight sacks.
Strengths:
• empowerment of participants, who are active in the process and assume new
responsibilities.
Weaknesses:
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• training materials should be made available for those facilitating the PMCA
knowledge. After the workshop the visitors applied and further developed the approach in
Bolivia and Ecuador. Papa Andina supported this process, and documented both the
Overcomes the lack of clear outcomes and lack of follow up that typically results
learning
Creates the conditions for the adaptation and wider use of the R&D technologies
being evaluated
It is enjoyable for participants who, as part of the process, learn a great deal in a
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Local participants accept critical feedback and observations more easily from peers
It fosters social learning, as local participants and visitors are actively engaged
throughout the review process, which guides analysis and synthesis and generates
other locations;
The authors identify the following factors as critical for the success of an application of the
Select the right moment for the workshop – one when the new R&D methodology
is sufficiently advanced so that there is real substance to review but not so finished
Select visitors with care to ensure that they have diverse perspectives, possess
adequate knowledge and experience, and are perceived as peers rather than
Ensure presentations and field visits and well planned and prepared to ensure the
visitors have all the information they need to understand the methodology. [11]
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the subordinates.
after the manager has finished preparing and discussing their performance appraisals with each
how well the manager manages them. The results are distilled into an anonymous report and
given to the manager so that he can learn about his managerial strengths and shortcomings.
In most organizations that use this technique (there aren’t too many), as soon as the manager
has completed his responsibilities for creating and reviewing the performance appraisals of his
staff, each staff member completes a written questionnaire that contains a dozen or so questions
individual reviews without a self-evaluation. VM180 Upward Performance Review is the ideal
performance appraisal solution when seeking to compile all rater groups in one metric.
Purpose: Upward Feedback provides an anonymous and confidential means for employees to
How it works: Upward Feedback utilizes an online survey consisting of rated items and open-
ended questions that takes approximately ten minutes to complete. All supervisors and
managers who supervise at least three staff are expected to be rated every two years; the process
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involves both a self-assessment by the person being rated and the evaluation by the direct
reports.
The manager, supervisor and direct reports all have a role. Managers will identify the
supervisor to be rated and conduct the debriefing of the feedback report with the individual.
The supervisor does a self-assessment, identifies with the manager specific development
activities, and communicates with the direct reports about the results. Employees of the
supervisor complete the online survey and provide honest feedback that the supervisor can use
to improve.
The Upward Feedback process is designed primarily as a developmental process rather than as
a performance evaluation tool. However, once developmental needs are identified, the
[13]
supervisor is expected to take the necessary steps to develop the needed competencies
• Conduct the upward appraisal process after you’ve completed and delivered staff appraisals.
• Select and edit one template for completion by a group of staff and/or by all staff in your
department.
• Establish guiding principles, procedures, and a timeline for the upward appraisal process.
Recommendations:
Because the independent perspective of all members of the staff is important, ask each
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To protect confidentiality, ask staff to complete their appraisals anonymously and send
them to a third party for review and summary. If needed, provide preaddressed
envelopes. Options for a third party include the individual to whom you report, your
Ask the third party to provide you with a summary of common themes. The summary
should not identify or attempt to identify individuals and no verbatim statements should
At the end of the process, thank staff for their willingness to provide feedback and, as
appropriate, acknowledge what you have learned and actions you plan to take as a result
thorough review of the use of upward appraisal systems in libraries throughout the
United States. Most notable of these is the 20-year successful experience with upward
appraisal at the University of Texas at Austin. There the stated purpose for conducting
opinion on the supervisory skills of his or her supervisor.' (RiceLively, 1991). Feedback
forms are tabulated by computer and the results reported as averages. Because the
feedback is anonymous, it is not retained in the rated manager's personnel file and only
the evaluated manager sees the cumulated results. In addition, a computerized report is
produced showing average scores library-wide. Each year, these aggregate scores are
published in their General Libraries Library bulletin. Areas of strengths and weaknesses
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are highlighted. Staff and managers alike have shown strong support for the process.
Another notable example, this time for its lack of success, is the Center for Health
Sciences Library at the University of Tennessee, where, in the second year of the
program, a lowered response rate and overall higher ratings for managers resulted when
anonymity was eliminated from the program and signed feedback forms were
mandated. This caused the director to discontinue the program. Upward appraisal has
been tried with varying degrees of success at these and other US libraries
effectiveness.
2. Staff members can provide valuable suggestions about how they need to be
4. It increases employees' sense of empowerment and lets them know that their
opinions about how they are managed are valuable to the organization.
6. Because the appraisals are conducted anonymously, they may be more accurate
8. It can also point out and facilitate needed changes in a manager's department by
1. subordinates are not qualified to give valid ratings on the performance of their
2. subordinates may not give an accurate appraisal because they fear retribution
4. the manager will focus too much on pleasing employees at the expense of
other responsibilities
organizational perspective about the job - the process will turn into a
popularity contest
6. the subordinates who are pushed the hardest will rate the lowest.
delegation of authority
an evaluative scale of some sort, usually a Likert scale which rates performance along
a comments section
upward appraisal suggests several guidelines that should be followed in order to ensure a
1. Determine the purpose of the program:Most authorities recommend that the program be
used only for development purposes for the first three years to allow employees time to become
accustomed to the process. If it is to be used solely for development purposes, who will see the
results? Will they only be seen by the manager, or by the manager and his or her supervisor?
Will an action plan be developed to ensure that issues raised in the evaluation are addressed?
responses is Upward Appraisal critical to the success of the program. Raters must feel that they
can trust the process before they will feel confident enough to give an accurate evaluation of
their manager's behavior. In departments that have only one or two employees, protecting
programs require that there be at least four employees in a department before that department
consultants, but these forms tend to be too general to be of any real value. Designing your own
form has the advantage that the questions can be specific to your organization. When devising
the questions for your feedback instrument, ask for input from the staff. In addition, your
performance on a given dimension will not be helped by vague feedback. Each question should
focus on only one behavior or skill. Open-ended responses are also important and may be
provided for either through a comments section at the end of the feedback instrument or by
allowing space for comments after each question. The designer may also want to include a few
open-ended questions at the end of the questionnaire, such as `Which two or three things is it
most important for your supervisor to focus on improving during the coming year?' or 'What
would you say are your supervisor's two greatest strengths and two greatest weaknesses?'
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4. Target the appropriate behaviors: Be sure that subordinates are asked to rate those
timely performance feedback, and fairness and honesty in evaluations. The choice of items to
include in the questionnaire should also be guided by which managerial behaviors are most
questions about how well the manager uses quality principles in their interactions with staff
can be included.
5. Provide fast turnaround of the results of the evaluations to the managers involved.
Upward Appraisal ratees alike will become frustrated and disillusioned with the process if too
much time goes by before they receive their feedback. Ensure that whoever compiles and
prepares the reports on the feedback has adequate time to do so in a timely fashion, even if this
6. Establish performance norms. Providing computerized data analysis not only can speed
up the turnaround time of results, but can also facilitate the establishment of performance
norms for each item on the questionnaire. The existence of such norms allows managers to see
how their ratings compare with the standard and puts their results in a larger organizational
context. It also allows the organization to identify any training needs for their managers as a
group.
7. Evaluate the responses carefully and use them to develop action plans to improve
managerial performance. H. John Bernardin recommends that `managers above the rank of
managers being appraised should serve as the major vehicle for the feedback and action
planning to correct acknowledged problems' (ibid.). Both the manager being evaluated and his
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or her manager should focus on those items that suggest corrective action and draw up an
appropriate action plan. One of the biggest causes of failure in upward appraisal programs is
8. Keep the results in perspective. Upward appraisal should always be used in conjunction
with other appraisal techniques and incorporated into a multiple rater system. There are many
dimensions to a manager's job that their subordinates are not qualified to rate. The results
should be properly weighted and compared with all other sources of information.
9. Solicit feedback on the process itself from both the raters and the managers being rated.
This should be done at the time of the appraisal, or as soon as possible thereafter..
10. Repeat the process every year. This will allow managers to track their improvement over
influenced by the effectiveness of its appraisal system. Report takes the conceptual
been covered in detail. Upward appraisal, horizontal and 360 degree feedback are such
References: [1]https://www.businessblogshub.com/2013/09/performance-appraisals-are-key-
to-employee-development/
[2]https://www.hrhelpboard.com/performance-management/360-degree-performance-
appraisal.htm
[3]https://virtualspeech.com/blog/360-degree-feedback
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[4]https://www.appraisal-smart.com/360-Degree-Feedback-Appraisal-
FAQs.htm#360LinkingToPerformanceAppraisal
[5]https://www.slideshare.net/PranavKumarOjha/performance-appraisal-concepts-and-
method
[6]https://www.slideshare.net/preeti52/performance-management-herman-augnis-82353530
[7]https://www.slideshare.net/bindmadhuri/performance-appraisal-23010631
[8]https://www.slideshare.net/hemanthcrpatna/performance-appraisal-h-r-
project?qid=394d7d06-e61b-4e33-be3b-f5073af6e384&v=&b=&from_search=1
[9] https://journals.sagepub.com/doi/abs/10.1177/1098214007308989.
[10]https://www.betterevaluation.org/en/plan/approach/horizontal_evaluation
[11]https://www.betterevaluation.org/sites/default/files/ILAC_Brief13_Horizontal_Evaluatio
n_0.pdf
[12] .https://www.adeak.com/2011/03/what-is-upward-appraisal/
[13]https://www.visionmetrics.net/en/management-performance/
[14]https://hr.nd.edu/career-development/performance-management/upward-feedback/
[15]https://www.rit.edu/fa/humanresources/sites/rit.edu.fa.humanresources/files/docs/upward
guidelines.pdf
[16]https://files.eric.ed.gov/fulltext/ED405882.pdf
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