Performance Appraisal

Introduction

Performance Appraisal is very important for every kind of organization. It is a

justification of an individual employee. if we take the literal meaning of
performance The act of performing or fulfillment of an obligation or a promise;
especially, completion of ones, duty.appraisal An expert or official valuation.
Performance Appraisal is defined as structured formal interaction between a
subordinate and supervisor, where the work performance of the subordinate is to be
taken into consideration, with a view to identifying weaknesses and strengths as
well as opportunities for improvement and skills development. Appraisal results
are used to determine reward outcomes. That is, the appraisal results are used to
identify the better performing employees who should get the majority of available
merit pay increases, bonuses, and promotion. Simultaneously appraisal results are
also used to identify the poorer performers who may require some form of
counseling, or in extreme cases, demotion, dismissal or decrease in pay.
Performance Appraisal is a part of career development.

Performance appraisals, performance reviews, appraisal forms, whatever you want

to call them, let's call them gone. As a stand-alone, annual assault, a performance
appraisal is universally disliked and avoided. After all, how many people in your
organization want to hear that they were less than perfect last year? How many
managers want to face the arguments and diminished morale that can result from
the performance appraisal process?
How many supervisors feel their time is well-spent professionally to document and
provide proof to support their feedback - all year long? Plus, the most important
outputs for the performance appraisal, from each person's job, may not be defined
or measurable in your current work system. Make the appraisal system one step
harder to manage and tie the employee's salary increase to their numeric rating.
If the true goal of the performance appraisal isemployee development and
organizational improvement, consider moving to a performance management
system. Place the focus on what you really want to create in your organization -
performance management and development. As part of that system, you will want
to use this checklist to guide your participation in the Performance Management
and Development Process. You can also use this checklist to help you in a more
traditional performance appraisal process.
In a recent Human Resources Forum
have no performance appraisal system
a year, are the only appraisal process
percent described their appraisals as
administered more than once a year.
poll, 16 percent of the people responding
at all. Supervisory opinions, provided once
for 56 percent of respondents. Another 16
based solely on supervisor opinions, but

If you follow this checklist, I am convinced you will offer a performance

management and development system that will significantly improve the appraisal
process you currently manage. Staff will feel better about participating and the
performance management system may even positively affect - performance.

Preparation and Planning for Performance Management

Much work is invested, on the front end, to improve a traditional employee

appraisal process. In fact, managers can feel as if the new process is too time
consuming. Once the foundation of developmental goals is in place, however, time
to administer the system decreases. Each of these steps is taken with the
participation and cooperation of the employee, for best results.

Performance Management and Development in the General Work System

 Define the purpose of the job, job duties, and responsibilities.

 Define performance goals with measurable outcomes.
 Define the priority of each job responsibility and goal.
 Define performance standards for key components of the job.
 Hold interim discussions and provide feedback about employee
performance, preferably daily, summarized and discussed, at least, quarterly.
(Provide positive and constructive feedback.)
 Maintain a record of performance through critical incident reports. (Jot notes
about contributions or problems throughout the quarter, in an employee file.)
 Provide the opportunity for broader feedback. Use a 360 degree performance
feedback system that incorporates feedback from the employee's peers,
customers, and people who may report to him.
 Develop and administer a coaching and improvement plan if the employee is
not meeting expectations.
Immediate Preparation for the Performance Development Meeting

 Schedule the Performance Development Planning (PDP) meeting and define

pre-work with the staff member to develop the performance development plan
(PDP).
 The staff member reviews personal performance, documents “self-
assessment” comments and gathers needed documentation, including 360 degree
feedback results, when available.
 The supervisor prepares for the PDP meeting by collecting data including
work records, reports, and input from others familiar with the staff person’s
work.
 Both examine how the employee is performing against all criteria, and think
about areas for potential development.
 Develop a plan for the PDP meeting which includes answers to all questions
on the performance development tool with examples, documentation and so on.
The Performance Development Process (PDP) Meeting

 Establish a comfortable, private setting and rapport with the staff person.
 Discuss and agree upon the objective of the meeting, to create a performance
development plan.
 The staff member discusses the achievements and progress he has
accomplished during the quarter.
 The staff member identifies ways in which he would like to further develop
his professional performance, including training, assignments, new challenges
and so on.
 The supervisor discusses performance for the quarter and suggests ways in
which the staff member might further develop his performance.
 Add the supervisor's thoughts to the employee's selected areas of
development and improvement.
 Discuss areas of agreement and disagreement, and reach consensus.
 Examine job responsibilities for the coming quarter and in general.
 Agree upon standards for performance for the key job responsibilities.
 Set goals for the quarter.
 Discuss how the goals support the accomplishment of the organization's
business plan, the department's objectives and so on.
 Agree upon a measurement for each goal.
 Assuming performance is satisfactory, establish a development plan with the
staff person, that helps him grow professionally in ways important to him.
 If performance is less than satisfactory, develop a written performance
improvement plan, and schedule more frequent feedback meetings. Remind the
employee of the consequences connected with continued poor performance.
 The supervisor and employee discuss employee feedback and constructive
suggestions for the supervisor and the department.
 Discuss anything else the supervisor or employee would like to discuss,
hopefully, maintaining the positive and constructive environment established
thus far, during the meeting.
 Mutually sign the performance development tool to indicate the discussion
has taken place.
 End the meeting in a positive and supportive manner. The supervisor
expresses confidence that the employee can accomplish the plan and that the
supervisor is available for support and assistance.
 Set a time-frame for formal follow up, generally quarterly.

Following the Performance Development Process Meeting

 If a performance improvement plan was necessary, follow up at the

designated times.
 Follow up with performance feedback and discussions regularly throughout
the quarter. (An employee should never be surprised about the content of
feedback at the performance development meeting.)
 The supervisor needs to keep commitments relative to the agreed upon
development plan, including time needed away from the job, payment for
courses, agreed upon work assignments and so on.
 The supervisor needs to act upon the feedback from departmental members
and let staff members know what has changed, based upon their feedback.
 Forward appropriate documentation to the Human Resources office and
retain a copy of the plan for easy access and referral.

PERFORMANCE APPRAISAL METHODS

1. The Critical Incident File

The Critical Incident File is a performance appraisal method in which the manger
writes down positive and negative performance behavior of employees during their
employement period.this file is a form of documentation.

2. The Rating Scales

The Rating Scale is a form on which the manager simply checks off the employee's
level of performance. The possible eveluated areas include quantity of work,
quality of work, dependability, judgment, attitude, cooperation and initiative.

3. Behaviorally Anchored Rating Scales (BARS)

BARS is a method combining rating and critical incidents. Is is more objective and
accurate. Rather than having excellant, good, average. the form has several
statements that describe the employee's performance, from which the manager
selects the one that best describes the employee's performance for that task. 

4. Ranking

Ranking method is used to evaluate employee performance from bets to worst.

Under this method, the manager compare an employee to another employee, rather
than comparing each one to a standard measurement. A predetermined percentage
of employees are placed in performance categories for e.g excellent-5%,good-10%,
average-15%.

5. Management By Objectives (MBO)

MBO is a process in which managers and their employees jointly set objectives for
the employee, periodically evaluate the performance, and reward according to the
result

6. The Narrative Method

This method requires the manger to write a statement about the employee's
performance. Managers may be allowed to write whatever they want, or they may
be required to answer questions about employee's performance.

Performance Appraisal’s Relation with Productivity and Job Satisfaction

The whole essence of the management activities of an organization culminates in
the system of performance appraisal adopted in that organization. This, in turn,
reflects the extent of the individual
contributions and commitment of the employees in different hierarchical levels
toward the achievement of organizational objectives/goals. It goes without saying
that an effective performance
appraisal system can lead an organization to take strides towards success and
growth by leaps and bounds. Conversely, an ineffective performance appraisal
system can seal the fate of an organization by
creating chaos and confusion from top to bottom in the administrative hierarchy.
As a consequence the chances of success and growth of that organization are
doomed.
Literature Review

Evolution of Performance Appraisal

The evolution of performance Appraisal can be traced back to the reign of second
caliph of Islam, Hazrat Umar (634- 644 A.D /13-23 AH). Hazrat Umar laid the
foundations of many State institutions and enunciated several administrative laws
that are being followed and adopted by many nations of the world till today as a
role model of true administration. Hazrat Umar, before appointing an officer for
any duty, would thoroughly investigate his potentials and capabilities for the
assignment. Prime importance would be given to the honesty and integrity of the
officer/ official. But, when an officer of any status, was
found to have demonstrated any kind of negligence or dereliction from his duty, or
if his unsuitability for the job in question would come to light, no expediency could
forestall / prevent his removal from the post
assigned to him. Ammar bin Yasir was a pious companion of the Holy Prophet
(PBUH). His general popularity in public convinced Umar to appoint him as
Governor of Kofah, but taking into account his weakness in political affairs, Umar
removed him from his position, after a few days of his appointment.

The Governor of a province was a representative of the caliph in the province. He

was bound to perform all those functions in his area as the caliph did in Medina,
(capital City). However, apart from several
other government functionaries, each District had a district Officer, called
“Aamil”. His domain of activities was mainly concerned with collection of land-
tax, Zakat or poor tax, sadaqat or voluntary arms.
Only men of sterling character, honesty and integrity were to be chosen for this
responsible job.

Appointment of Wali or Amil

An Amil (Wali) was appointed through an instrument, which contained his
appointment order and specified his powers and duties. This deed bore the seal or
signature of the Caliph with signatures of some
witnesses. At the moment the Amil left Medina, the deed or instrument of
instructions was red out in assembly, and hence every citizen came to know the
exact powers and duties of Amils. The Amil was bound to carry his letter of
appointment with him to his place of appointment. It also came in the sphere of his
official responsibilities to assemble the residents of the locality and read them out
all the contents of his appointment letter, soon after his appointment. It would
enable the people of the concerned district to know about the powers and
responsibilities of the Amil and whenever he would commit transgression from his
official powers, it would tantamount to his parallel accountability by the public.
At the time of appointment of every Amil, a detailed list of properties and other
belongings was furnished. Every action was taken to retrain their powers and
accumulation of wealth as well as increase in properties was severely dealt with.
The officers were paid handsome salaries so that temptation and corruption must
not demoralize them. Their salaries were raised so that they should not accept any
bribe or illegal gratification. Whenever an officer’s financial position was found to
be incompatible with his known resources, he was to be subjected to severe
accountability. In the days of Haj (Pilgrimage), Umar would call the Amils from
all over the country to attend the annual gathering. Since, the pilgrimage was to be
attended by majority of the people coming from different cities of the country, it
would provide an opportunity to the Caliph to get first hand information about the
conduct of State Amils. All complaints, received against the Amils would be
inquired into on the spot and necessary orders were given to establish full justice.
The Amils could not escape the penalty on the spot, if their negligence of
duty or abuse of powers could be proved. For example, when a complaint against
Umro bin al- Aas (Governor of Egypt) was lodged by a poor person that he has
beaten him with 100 stripes, the caliph asked the Governor to pay fine to console
the plaintiff, lest he will be reciprocated with physical punishment of 100 stripes at
the hands of the plaintiff. Umro bin al- Aas managed to condone his physical
punishment by paying fine to the plaintiff. These examples manifest the unique and
unparallel system of performance appraisal adopted by Umer, during his reign,
which in turn exhibit the political sagacity and uprightness of Hazrat Umer.
Systematic performance appraisal techniques came into prominence during &
immediately after the World War I and it was used for evaluating the performance
of US. Military Officers. During the 1920’s & 1930’s, industrialists concerns
began installing rational wage structures for their hourly employees. They
established the policy that in grade wage increases would be based upon merit. The
early employee appraisal plans were called merit-rating programs. Most of the
merit rating plans from 1920 to the mid-1940’s were of the rating scale type with
factors, degrees, & points. During 1950’s, great interest developed in the
performance appraisal of technical, professional & managerial personnel. It was
recognized that appraisal, on systematic basis, was an integral part of a well-
designed development programs. With the passage of time, interest in the rating of
hourly paid workers has somewhat declined. Accompanying this change in
emphasis has been a change in terminology. The newer terms “Employee
Appraisal” & “Performance Appraisal” have the connotation of emphasis upon
development of the individual.

Annual Confidential Report (ACR)

Annual Confidential Report (ACR) is a performance evaluation report of a public
servant, written by his immediate superior. In addition to performance, it contains
specific observations on the character, conduct and integrity of the officer reported
upon. ACR is to be countersigned by an officer immediately superior to the officer
who writes the report on his immediate subordinate. The report is classified as
confidential.

Significance of Performance Appraisal

The fundamental objective of performance appraisal is to facilitate management in
carrying out administrative decisions relating to promotions, firings, lay offs and
pay increases. For example, the present job performance of an employee is often
the most significant consideration for determining whether or not to promote the
person Managers must recognize that an employee’s development is a continuous
cycle of setting performance goals, providing training necessary to achieve the
goals, assessing performance as to the accomplishment of the goals and then
setting new, higher goals. A performance improvement plan consists of the
following components.

a) Where are we now? The answer to this question is found in the performance
appraisal process.
b) Where do we want to be? This requires the evaluator and the person being
evaluated to mutually agree on the areas that can and should be improved.
c) How does the employee get from where he or she is now to he or she wants to
be? This step is critical to the performance improvement plan. The appraiser and
appraisee must have mutual consensus on the specific steps to be taken. These
steps may include training the employee so as to improve his or her performance. It
should also contain the mechanism adopted by the appraiser/ evaluator to assist
employee in the achievement of performance goals.

Potential Rating Scale Appraisal Errors/ Problems

In most of the organizations/ departments rating scales are predominantly used for
conducting performance appraisal of their employees. It is essential that human
observer is free from the element of subjectivity and he should be reasonably
objective and accurate in his assessment. Research shows that rater’s memories are
quite fallible and in most of the cases they resort to their own sets of liking and
disliking, and expectations about people, expectations that may or may not be
reasonable and tenable. These biases breed rating errors, or deviation between the
“true” rating an employee deserves and the “actual” rating assigned. A brief
description of appraisal errors is given in the following lines:-

Central Tendency
Central tendency takes place when appraisal statistics show that most employees
are appraised as being near the middle of the performance scale.

Unclear Standards
Different appraisers would probably derive different meanings from the phrases,
“good performance”, “fair performance” and so on. Similarly, traits such as
“quality of work”, “creativity”, or “integrity” may carry different meanings for
different appraisers.

Hallo Effect
A hallo effect is “a process in which a general impression which is favorable or
unfavorable is used by judges to evaluate several specific traits.

The Rusty Hallo Effect

This is where general judgments about a person are formulated from the perception
of a negative characteristic.

Personal Biases
Racial, sexual, religious and other biases result in unfavorable considerations for
promotions and pay.
Lack of Feedback
The extent to which an individual receives direct and clear information about how
effectively he or she is performing on the job is termed feedback.Internal rewards
are obtained by individuals when they learn (knowledge of results) that they
personally (experienced responsibility) have performed well on task that they care
about (experience meaningfulness). The more that these three psychological
states are present, the greater will be employee’s motivation, performance, and job
satisfaction, and the lower their absenteeism and likelihood of leaving the
organization.11 Productivity and total quality experts have reached at the
conclusion that the need of the hour is to work smatter, not harder. No doubt sound
education and appropriate skill training are needed if one is to work smatter, but
the process does not end there. Employees of present era need instructive and
supportive feedback and designed rewards if they are to translate their knowledge
into improved productivity and superior quality.The importance of Feedback can
better be understood by carefully examining the following diagram. Unfortunately,
in most of the public sector organizations no positive feedback is given to the
employees to improve their performance. Mostly negative feedback is given to
harass or punish the employees. Negative feedback is typically misperceived
or rejected. Feedback needs to be tailored to the recipient.

Feedback and Reward are important links in the Job Performance Cycle.

 Timely
 Instructive
 Feedback
 Results learning
 Personal Development
 Stable, Strong job
 Development
  Abilities Efforts
 Properly
 Administered
 Reward

Job Performance
Performance refers to the degree of accomplishment of the task that make up an
employee’s job.14 The following exhibit demonstrates the various contents of job
performance.
Determinants of Performance.

Capacity
The capacity relates to the degree to which and individual possesses task relevant
skills, abilities, knowledge and experiences.

Opportunity
The availability of opportunity to perform is also a critical ingredient in
the performance recipe sometimes; poor decisions and outdated
attitudes may prove to be potential hurdles for an employee to lack performance.
Capacity to Perform Willingness Opportunity

Willingness
The third factor, willingness, relates to the degree to which an individual both
desires and is willing to exert effort towards attaining job performance. It is, in
other words, motivation. No combination of capacity and opportunity will result in
high performance in the absence of some level of motivation or willingness to
perform.

Job Description
Overall written summary of task requirements is called job description. According
to Robert Clark and Jeremy Seward, “ a job description outlines what is expected
of the employee in the performance and outcomes of position, how performance
will be assessed, and the boundaries of the position in terms of personal
responsibilities and organizational supervision lines.

Job Satisfaction
Job satisfaction is associated with how well our personal expectations at work are
in line with outcomes.18 The idea of organization as a social system requires that
some benefits are received by its participants as well as by its customers and
clients. “Satisfaction” and “morale” are similar terms referring to the extent to
which the organization meets the needs of employees. Measures of satisfaction
include employee attitudes, turnover, absenteeism and grievances.

Managerial / Leadership Styles

Managerial / Leadership styles have a profound impact on performance appraisal
ratings given by the evaluators to the subordinate employees. Leaders were seen
having three basic styles:-

Autocratic Leader
An autocratic leader is one who tends to centralize authority and rely on
legitimate reward, and coercive power.

Democratic Leader
A democratic leader delegates authority to others, encourages
participation and relies on expert and referent power to influence
subordinates.

Laissez Faire
Laissez faire leaders generally give the group complete freedom, provide necessary
materials, participate only to answer questions, and avoid giving feedback- in other
words, they do almost nothing.

Basic Managerial Philosophies

Laurie J. Mullins believe that there are a number of basic, underlying philosophies,
which are likely to make for the successful management of people and lead to
improved work performance.

(1) Consideration, respect and trust: People generally respond according to the
way they are treated. If you give a little you will invariably get a lot back. Make
people feel important and give them a sense of personal worth.

(2) Recognition and credit: People can be praised to success. Give full
recognition and credit when it is due and let people know you appreciate them and
do recognize their worth. Positive feedback on good performance is a strong
motivator, and staff is then more likely to accept and respond to constructive
criticism.
(3) Investment and availability: Involve yourself with the work of the staff, and
make sure you fully understand the difficulties and distastes of their duties and
responsibilities. Whenever possible be available to staff as a priority, rather than to
administration, and remember the importance of giving time to listen to the
feelings and problems of the staff.

(4) Fair and equitable treatment: Treat people fairly but according to merit.
Ensure justice in treatment, equitable systems of motivation and rewards, clear
personnel policies and procedures, avoidance of discrimination, and full
observance of all laws or codes of conduct relating to employment.

(5) Positive action on an individual basis: Deal with individual situation on an

individual basis and avoid the “blanket” approach.

(6) Emphasis on end results: The manager should place emphasis on end results
and level of actual performance and achievement, rather than on compliance with
detailed instructions, rules and regulations.

(7) Staff satisfaction: The starting point for staff and other stake holder’s
satisfaction is good manager – subordinate relationships.

Golden Rule Management

Mary Kay Ash, presented an interesting and enlightened people approach of

management. Her concept of the management of people is based on the Golden
Rule ‘Do unto others as you would have them dounto you’. The philosophy of
‘Golden Rule Management’ is applied in such ways as, for example:

(a) Treat people fairly but according to merit.

(b) Make the other person feel important, and let people know you
appreciate them and recognize their professional worth.
(c) Encourage feedback and don’t undervalue the ability to listen.
(d) Sandwich every bit of constructive criticism between two
layers of heavy praise.
(e) Help other people in getting what they want- and you will get
what you want.
 PERFORMANCE APPRAISAL FORM-FACULTY

For the Period from……………………to………………………………..

Part I
(To be filled by Establishment Branch)

1. Name of the Faculty Member

(in Block Letters)

2. Designation

3. Whether the officer belongs to

Schedule Caste/Schedule Tribe?

4. Date of Birth
 5. Educational Qualifications
Including professionals and
technical Qualifications.

6. Date of continuous appointment

In school/university/college

7. Date of appointment to the Present

Post.

8. Period of absence from duty

(or leave,training,etc. during the
Year .If She/he has undergone
training please specify)

Part II

SELF ASSESSMENT REPORT

For Period…………………………….to……………………………..

(To be filled by Teacher)

1. Name……………………………..Designation……………………

School/college…………………………………………………

2. Academic Qualification
(Mention if any additional
Qualification Has been acquired
 during the year under review)

3. Name of the courses taught

during the year.

4. Maximum no. of periods per

course available in the Semester
as per Time – Table (Lectures & Practical)

5. Teaching load mentioned in

Time table.

6. Total shortfall in lectures

7. Reason for shortfalls if any

8. Any new experiment added in practical course

9. Any innovative idea given

10.Papers published(give title,co-author

if any, in which journal/business magazine)

11.Any contribution made during

course development

12.Contribution to industrial development

In form of consultancy

13.Refresher course attended during the year

14.Membership or fellowship of
Any professional/academic bodies

15.Any extra contributions which are

Not covered above which are relevant
 for faculty’s appraisal

Place Signature

Name in Block Letters

Designation

Part-III

Assessment of the Reporting officer

Length of the service under the officer……………………

Kindly provide your assessment on five point scale in respect of the following
parameters:

Outstanding Very good Good Satisfactory Unsatisfactory

5 4 3 2 1

Please indicate your evaluation on each parameter by putting in the appropriate

number in column opposite the parameter.

If rating is unsatisfactory please specify the reason.

 A. Assessment of the Part-II filled up by the faculty

Keeping in view the information furnished by the Faculty member, please provide
your assessment on the following parameters (weightage : 50)

Assessment on five point scale

1.Teaching load and regularities in

taking classes
2.Guidance to students
3.Any Project undertaken
4.innovations introduced in the course
5.contribution in curriculum
development
6.Publication in any journal
7.organization and participation in any
workshops,special lectures
8.membership/fellowship of academic
,socities etc.

Total A:…………………….

B. Performance and General Attributes

S.no.
1 .Knowledege in the sphere
of work
2. Quality of output
3.Communication skills
4.Initiative and
adaptiveness(resourcefulness
in handling normal and
unforeseen problems
and willingness to take
responsibilities in
the new area of work)
5.Aptitude of work
6.Ability to inspire and
motivate
7.Supervisory ability
8.Interpersonal relations and
team work
9.integrity and trust
worthiness
10.General Conduct

Total B……………………

C. General assessment taking all the above parameters

Total (A) + (B) : __________________

(Outstanding - 91to 100

Very Good - 71 to 90
Good - 51 to 70
Satisfactory - 40 to 50
Unsatisfactory - upto 40)
Signature of the reporting officer :
Seal :
Date:

Part-IV

(To be filled in by the Reviewing officer)

1. Length of service under the Reviewing

Officer

2. Are you satisfied that the Reporting

officer has made his / her report with
due care and after taking into
account all the relevant material

3. Do you agree with the assessment

of the Faculty Member given by the
Reporting Officer?
4. Remarks about any meritorious
work or otherwise of the Faculty
Member.

5. Remark about grading of the Faculty

Members by the Reporting Officer.

6. Has the Faculty Member any special

Characteristics, and/or any abilities

Signature of the Reviewing Officer

Place: Name in Block Letters

Date: Designation
(During the period of Report)

Conclusion

For an effective management and do best evaluation among personnel,

performance appraisal is very essential instrument. it generally review each
individual's performance against agreeing objective, standard and delegation of
responsibilities and tasks. Performance Appraisals are important for staff
motivation, attitude and behavioral development, communicating and aligning
individual as well as organizational aims and having positive relationships between
management and staff and also increase the level of competence among the
employee of organization and their energetic level increase.
As performance appraisal provide a formal, recorded, regular review of an
individual's performance so we can plan for future development. In this way the
chances of organizational growth increases. So as profit will also in gain.
The significance of performance appraisal, being a major and pivotal HR activity,
can hardly be overemphasized for the growth, development and success of any
organization. Unfortunately, in most of the public sector organizations, this
fundamental activity is not given due importance. The ultimate corollary of this
scenario appears in the shape of slow progress and lower productivity of the
employees and of the organizations as a whole.