How many of us hold effective appraisal meetings? All too often, appraisals are not conducted in the right way, rendering them less effective and reducing their impact on the business. Effective appraisal meeting skills can be improved if we follow some basic steps. We are about to provide you with a guide to show you how to conduct effective appraisals, whilst avoiding common pitfalls and as a result, improving employee performance to successfully achieve company objectives. This guide will enable you to: - Understand the purpose and importance of effective appraisals - Understand the Pitfalls that can arise when conducting appraisal meetings - Understand the importance of self-appraisal - Know the key steps involved in planning for the self-appraisal - Be able to use the STAR Questioning technique - Have the ability to conduct effective appraisal meetings Download now to get started!

1. Conducting Effective
Appraisal Meetings
A Guide For Managers

2. 1
CONTENTS
Conducting Effective Appraisal Meetings Page
1. Introduction
A) What is an appraisal
B) The importance of appraisals
C) How do you conduct an effective appraisal?
2
2 Benefits of conducting effective appraisals 3
3. Performance Management Cycle 4
4. The Importance Of Self-Appraisal 5
5. The Art Of Questioning
A) Quality Questions
B) STAR Technique
12
6. Common pitfalls and overcoming them
A) Pitfalls and solutions
B) What are SMART objectives?
13
14
7. How To Conduct Effective Appraisal Meetings
A) Appraisal Process
B) Important points for Appraisers to consider when
conducting an appraisal meeting
16
17
8. Transferring To The Workplace – Your Action Plan 19
For more professional support on conducting appraisals and to find out how YOU
can have access to our dedicated HR Directors with no fixed costs, please visit our
website: www.connor.co.uk or call us on 01491414010

3. 2
Conducting Effective Appraisal Meetings
1) Introduction
A). What is an appraisal?
An appraisal is the name given to the meeting conducted between a manager and an
employee, where the purpose is to give the Appraisee the opportunity to discuss and reflect
on their work performance as well as learning needs, in order to improve their performance.
B). The importance of appraisals
We all know that appraisals can be a challenging process for any manager. When conducted
successfully, these complex routines are a crucial element in assisting companies with
achieving their targets and objectives. An effective appraisal will provide a company with the
opportunity to discover hidden talents, as well as the chance to better develop their staff
through training and nip any performance concerns in the bud! Equally they enable
employees to feel recognised and rewarded for their efforts, boosting company morale.
However, it’s no secret that many managers dislike the process of conducting appraisals and
more importantly, many employees do not understand the purpose or value of them. Many
will admit that the prospect of the annual performance appraisal comes with an atmosphere
of stress and anxiety, fearing performance criticism and whether this will act against their
professional development. In truth, appraisals can be a good opportunity for employee
recognition and business improvement – if they are done right.
But how many of us hold effective appraisal meetings? All too often, appraisals are not
conducted in the right way, rendering them less effective and reducing their impact on the
business. Effective appraisal meeting skills can be improved if we follow some basic steps.
C). So how do you conduct an effective appraisal?
We are about to provide you with a guide to show you how to conduct effective
appraisals, whilst avoiding common pitfalls and as a result, improving employee
performance to successfully achieve company objectives.
This guide will enable you to:
 Understand the purpose and importance of effective appraisals
 Understand the Pitfalls that can arise when conducting appraisal meetings
 Understand the importance of self-appraisal
 Know the key steps involved in planning for the self-appraisal
 Be able to use the STAR Questioning technique
 Have the ability to conduct effective appraisal meetings
Conducting Effective Appraisal Meetings – A Guide For Managers

4. 3
2) Benefits of conducting effective appraisals
An appraisal conducted effectively can have a significant impact on the success of the
business and can be extremely valuable to the staff management process. They are a key
tool in evaluating and planning employee performance and personal development.
Appraisals are the opportunity for managers to give positive feedback to employees,
encouraging them to improve their daily performance whilst making them aware of the
company’s long term objectives and how they contribute to achieving these.
We have captured some of the key benefits effective appraisals can bring to a
business:
 Links task performance to the business performance
 Opportunity to “stretch” and develop people
 Opportunity to recognise employees contribution
 Improves motivation as showing an interest
 Improves communication
 Learn from what worked and what didn’t work – improves future productivity
 People know where they stand
 Early warning of under-performing issues
Conducting Effective Appraisal Meetings – A Guide For Managers

5. 4
3) Performance Management Cycle
The Performance Management Cycle is essential in the creation of a businesses’
Performance Management Strategy and in learning how to maintain it. It is the system by
which we can implement continuing motivation in the workplace.
Below is a typical performance management cycle diagram. It contains 4 stages that should
be considered when implementing a performance management scheme:
The cycle follows the above 4 stages, moving in a clockwise direction - setting objectives,
reviewing performance regularly, providing adequate training, support and resources
and conducting a performance review (appraisal).
Stage 1 – Define and agree on employee objectives. Use the SMART technique to plan
clear and measureable goals as explained on P.14 of this guide.
Stage 2 – Review performance regularly through coaching; track, monitor, support and
provide feedback on performance.
Stage 3 - Provide adequate training and resources to continue to develop employees and
improve performance
Stage 4 – Conduct an appraisal to review performance and measure if objectives have
been achieved
NB: Do not forget throughout this cycle, the importance of rewarding where necessary – i.e
relating pay to performance, career development and recognising achievements.
Conducting Effective Appraisal Meetings – A Guide For Managers
1
2
3
4

6. 5
4) The Importance Of Self-Appraisal
It’s important to remember that both parties have the right to contribute. In fact, taking
this concept one step forward, the Appraiser should ask themselves the following question:
“Who knows their job best, me, or the Appraisee?”
The answer is obviously the Appraisee as they know their job better than anybody.
Therefore it’s vital that the Appraisee prepares for this meeting, documenting how well
their task objectives have been met. This empowers the Appraisee to think of this
performance review meeting as one in which they take the lead on and communicate to the
appraiser their successes.
There are four key actions that the Appraisee
needs to be aware of in order to plan for their
performance appraisal meeting. They should
consider:
1. Did their Objective(s) get re-prioritised?
This is important as this changes which objectives
the Appraisee needed to focus upon and which
objectives needed to be abandoned or delayed.
2. Checking their task outcomes - in terms
of success criteria, i.e. quantity, quality, time and cost. These objective criteria
demonstrate how the Appraisee can measure the success of their work. This avoids
subjectivity. All well written Objectives contain measurements. They can then review
the evidence.
3. Review the value of any training/development - Has this helped them complete
their objectives? The Appraisee may have attended a valuable training course. What
did they learn and how did they apply this learning on the Objective(s).
4. Discuss their career development aspirations - Performance Review appraisal
meetings gives the Appraisee the platform to discuss where they wish to take their
career. Delivering high performance against agreed Objectives is naturally followed
by what else they can do for the Company.
Have a form template on us – You can ensure your employees are prepared thoroughly for
their appraisal.
Conducting Effective Appraisal Meetings – A Guide For Managers

7. 6
[Name of Company]
APPRAISALS
SELF-ASSESSMENT FORM
The purpose of the Appraisal meeting is to enable you and your Manager to review your job
performance, look at previous objectives and whether they have been achieved, agree on
future objectives and identify your training and development needs, in line with the plans of
the xxx.
In order to prepare for the Appraisal meeting, please complete this Self-Assessment Form
prior to the Appraisal meeting, and then bring it with you. It will form part of your
discussions with your Manager and reference will be made to this Self-Assessment Form
during your meeting. Please also bring with you to the meeting your current Job Description.
(If you need a copy, please obtain one from the HR Officer).
Please feel free to bring any further information you think is appropriate to the Appraisal
meeting relating to any issues you would like to discuss.
Please note the appraisal is confidential between you, your Manager and Human Resources.
Any documents you attach will not be seen by anyone else without your agreement. (After
the appraisal, a copy of all the completed forms and related information will be forwarded to
the HR Officer for the file.)
Name: ………………………………… Position: …………………………………………....
Name of Appraiser:
…………………………………………………………………………………..
Date/Time of Appraisal:
………….………………………………………………………………….

8. 7
PART A – PERFORMANCE AND COMPETENCIES
Please indicate below how you would rate yourself against the headings stated and include comments
where appropriate.
NB: Please be honest– it will help to set future tasks and objectives to encourage improvement
Outstanding Exceeds
expectations
Meets
expectations
Area for
development
Work rate / effort
Work quality
Job knowledge
Work planning/organisation
Supervision of direct reports
Meeting deadlines
Team work
Communication skills
Customer Service skills
IT Skills
Using initiative
Management of pressure
Problem Solving
Accountability
Reliability
Attitude
Attendance
Time Keeping
Safe working practices
Other (specific to role)
Rating standards:
Area for development performance does not consistently meet the standard required for the
position; significant development is needed to improve
Meets expectations performance consistently meets the standard required for the position
Exceeds expectations performance is consistently above the standard required for the position
Outstanding performance is consistently superior to standards required for the position
PART B – JOB DESCRIPTON/JOB ROLE
1. With reference to your Job Description, do you understand all the requirements of your
position?
(If No, please detail herewith any areas you wish to discuss)

9. 8
2. With reference to your Job Description, do you feel there are any duties that are not being
carried out? (If so, please comment on why and what action is needed to achieve these
requirements.)
3. Have you had much interaction with other xxx over the last 12 months?
(If so, please comment)
4. Would you like to have more interaction with other xxx and, if so, how would you see us
facilitating this?
PART C – OBJECTIVES
1. What objectives do you feel you have achieved over the last 12 months?

10. 9
2. Where objectives have not been achieved, what has prevented you from achieving them?
3. What objectives do you think need to be set for the next 12 month review period?
4. What action is needed (if any) for you to achieve these objectives? (Include details of
further instruction or training if appropriate.)

11. 10
5. Is there any action your Line Manager can take to facilitate your role and/or help in
achieving the above objectives?
PART D – GENERAL COMMENTS
1. What skills have you improved or learned in the appraisal period?
2. Any comments you wish to make regarding future aspirations and/or expectations
regarding your career?
3. Where do you see yourself in 5 years? What kind of work would you like to be doing?

12. 11
4. Describe/give examples when you have demonstrated any of the values:
(Quality, Integrity, Authority, Customer Focus, Empowerment, Sustainability, Entrepreneurship, Creativity, Accountability)
5. Any other comments you wish to make or discuss at your Appraisal meeting?
Signed: ……………………………………………………… Dated: ………………………
Name: ………………………………………………………

13. 12
5) The Art Of Questioning
A) Quality Questions
The most important skill demonstrated by the Appraiser is the art of asking quality questions.
This is imperative if the Appraiser is to succeed in their role of facilitator. Rudyard Kipling
summarised this very aptly:-
B) STAR Questioning Technique
One of the most appropriate open questioning techniques is that based on behavioural
questioning, i.e., the STAR technique
When discussing the task accomplishment with the Appraisee, the same technique is used
to elicit information - just like interviewing external candidates for selection purposes.
Here’s an example of what STAR questions look like -
“Appraiser – ‘’Keith, can you describe to me a situation you have encountered where a
process has had to be reviewed and improved? What was the business significance of
tackling this objective? (SITUATION)
"Describe to me the task objective that was agreed to improve this process." (TASK)
“What did you do to resolve the problem?" (ACTION)
“What was the final outcome?" (RESULT)
Conducting Effective Appraisal Meetings – A Guide For Managers
“I keep six honest serving men, they
taught me all I knew, their names are
“What” and “Why” and “When and “How”
and “Where” and “Who.”
Rudyard Kipling
S – SITUATION
T – TASK
A – ACTION
R – RESULT

14. 13
6) Common Pitfalls And Overcoming Them
A). Pitfalls and solutions
There are many pitfalls managers can stumble into when conducting
performance appraisals - here are some of the most common, along
with simple solutions you can try in order to overcome these:
 Pitfall: Surprises’ being raised in the meeting
In many instances, it is highly likely that there were no regular communications between the
Appraiser and the Appraisee prior to the meeting.
Solution: To combat this issue the answer is to have more regular reviews so that for this
performance meeting, both parties are able to provide evidence that they can agree upon.
 Pitfall: One or both parties hasn’t prepared for the meeting
At a Performance Appraisal Meeting it’s vital that the Appraisee leads the meeting and as
such, it’s important they prepare for this meeting. Equally the Appraiser should be prepared
for this meeting – though this is not always the case.
Solution: If the Appraisee hasn’t prepared, ask them why not? Uncover the real reasons for
this and discuss these. If the Appraiser hasn’t prepared sufficiently then, so long as there
have been regular progress discussions, the Appraiser should facilitate the meeting, ask
questions and listen.
 Pitfall: Appraiser ‘tells’ rather than ‘joins’
Catch yourself ‘telling’ and not listening? Check this by identifying who is doing most of the
talking. If it’s the Appraiser then this isn’t right.
Solution: The Appraiser should ask more questions. By asking questions the Appraiser
will naturally adopt a more consultative approach and the Appraisee is free to lead the
meeting.
 Pitfall: Appraisee is confronted by new evidence at the meeting
In some instances the Appraisee is confronted with new information during the meeting that
they were not expecting and as a result had not prepared for.
Solution: Then the Appraiser should check out the evidence corroborated by third party
evidence, wherever possible. If the Appraiser is unsure as to the facts, they should ask for
time out to talk to the relevant parties so gather all the information. They should also ask
why this information hadn’t been communicated to them before.
Conducting Effective Appraisal Meetings – A Guide For Managers

15. 14
 Pitfall: Disagreement on the success of the Objective
It may be the case that during the appraisal there is a disagreement on the success of a
particular objective.
Solution: The Appraiser should go back to the SMART objectives previously set with the
Appraisee, with a particular focus on the success criteria originally agreed. (For those who
are not familiar with SMART, the use of SMART objectives is covered below).
Following this, use evidence to back your view, ask for examples from the person and review
the gap.
B). What are SMART objectives?
Setting objectives is important for any organisation because they clearly focus the overall
aims of the business. The clearer and more specific the objectives, the more likely they are
to succeed.
S.M.A.R.T. is an acronym that is used to guide the development of measurable goals. Each
objective should be:
Specific
Specific answers the questions "what is to be done?"
"How will you know it is done?" and describes what the
end product should look like. When setting your objectives
you should answer the 6 ‘W’ questions – who, what,
where, when, which, why?
Measurable
Measurable answers the question "how will you know it
meets expectations?" and defines the objective
using assessable terms (quantity, quality, frequency,
costs, deadlines, etc.).
Achievable
Achievable answers the questions "can the person do it?"
"Can the measurable objective be achieved by the
person?" "Does he/she have the experience, knowledge
or capability of fulfilling the expectation?"
Relevant
Relevant answers the questions, "should it be done?", "why?" and "what will be the
impact?"
Time-oriented
Time-oriented answers the question, "when will it be done?" It refers to the fact that an
objective has end points and check points built into it.

16. 15
Examples of setting SMART objectives:
1). Non SMART objective: Learn how use the advanced features of PowerPoint
Learn, by the end of March 2014, use animation and slide master on the next sales proposal
that 100% sales staff agree is more professional than the previous sales proposal.
2). Non SMART objective: Increase the financial results of the department
Increase revenues by 100% Quarter on Quarter until July 2015 with operating costs
remaining at 2014 levels.

17. 16
7) How To Conduct Effective Appraisal Meetings
A) Appraisal Process
 Plan for the Meeting (both of you!)
- Both of you bring along the evidence that you will have discussed already. Make
sure that you book a quiet room where you will not be disrupted. Mobiles will be
switched off.
 Set the Scene
- Explain the purpose of the meeting and the roles, i.e. Appraiser is the facilitator
whereas the Appraisee will be driving the meeting. Explain that there will be no
surprises as both of you have been in regular communications about the task in hand
and its outcomes.
 Encourage the Appraisee to review their performance first
- Get the Appraisee to give their views on the task outputs and success criteria met.
This will help you shape how you frame your feedback. Listen.
 Probe to find out how they have approached tasks/objectives
- Ask open questions using the STAR technique. Probe for detailed examples and
what happened as a result. If the results weren’t the best, what was learnt? How
could they handle it differently? What support do they need? This provides good data
to assess their ongoing future development needs. This is a great opportunity to give
recognition for a job well done!
 Review the relevance of development/resources provided
- The Appraisee might have undergone training/coaching etc as part of their
development. Ask how this went? Was it relevant? Did the development give them
additional skills to tackle the task in hand? Were the resources given to the
Appraisee relevant and appropriate? Did these resources make a key difference to
getting the task completed?
 Appraisee Summarises
- Get the Appraisee to summarise the task outcomes of each Objective versus SMART
objectives agreed. Ask the Appraisee to review how these newly learnt skills can
assist them in taking on more responsibility and how it may help their career develop
within the company. The role of the Appraiser is to check out the accuracy of the
Appraisee's summary to make sure everybody is ‘on the same page’. It also gives
the opportunity for the Appraiser to recognise and congratulate the Appraisee on a
job well done!
Conducting Effective Appraisal Meetings – A Guide For Managers

18. 17
B) Important points for Appraisers to consider when conducting an appraisal
meeting
These notes are provided as a reminder about points to consider whilst conducting the
appraisal process. Many of the points you will of course already be familiar with, but
hopefully will just help as a focus in the preparation and execution of appraisal meetings.
Points for Consideration
 Celebrate achievements and provide
constructive feedback where more
needs to be one (identifying why and
how);
 Discuss good points first and then go on
to issues where improvement may be
needed;
 Ask them which things they are least happy with (ie where objectives not met, difficult
to achieve what is required of them, etc);
 There is no point in glossing over employees’ weak points – it is important to
encourage employees to discuss their development needs openly and encourage
them to suggest ways in which they can improve – try to get employees to suggest
their own solutions;
 Be wary of scoring too high or too low. One way is to judge an employee against their
peers – is their performance stronger or weaker than average? This may help you
make your best (and worst) staff stand out from the average majority;
 Try not to base your comments on the last few months, which are likely to be foremost
in your mind. Whilst mention may be made on recent improvement (or decline), you
must give equal weight to the full 12 months;
 As well as task objectives, the staff member may need to focus on competencies (ie
behaviours) relating perhaps to customer service, team work, interaction with other
departments etc;
 Objectives should be about what you are trying to achieve – a link between individual
objectives and those of the department and business as a whole.
 By jointly agreeing objectives and development needs, staff are contributing to
achieving business goals;
 By involving the staff member in discussing and setting objectives, it is likely to make
the objectives more relevant to them and better understood;
 Objectives should be SMART, ie
- Specific – what does the employee need to achieve?
- Measurable – how will you both know when an objective has been achieved?
- Achievable – it needs to be challenging but also achievable

19. 18
- Relevant – do the objectives relate to those of the department/business?
- Time – by when do the objectives need to be achieved?
 Whilst agreement needs to be reached on objectives, future action/training etc,
remember this is your record and opinion. Whilst employees should be asked for their
opinions on the feedback you give them, the objective of this is to ensure that they
understand your perspective, not to ensure that they agree with it.
 Retirement – whilst we are no longer able to ask people if and when they intend
retiring, we can still ask about people’s aspirations, thoughts for the future and where
they see themselves being in 5 years’ time. As this question is included in every
appraisal form, it is perfectly legitimate, so long as everyone is asked the same
question;
 Remember that ‘development’ is not restricted to training courses. Think about
coaching, mentoring, holiday job cover, shadowing, distance-learning, e-learning,
books, videos, attending meeting, workshops, manual and guides, giving
presentations, anything relevant and helpful to help the person develop;
 Be brave and seek feedback on yourself from your employee – are there things that
you need to improve on (in their view), more you can do to facilitate their role and/or
help achieve their objectives or career aspirations?
 The important questions the employee wants answered at an appraisal are – ‘How am
I doing?’ ‘Are you pleased with my work?’ ‘Is there a future for me with this
organisation?’
 The new appraisal forms are not set in stone –feedback is welcomed after this year’s
appraisals.
 An appraisal can be an extremely valuable tool in motivating employees and helps
staff become more engaged with the organisation as a whole and with their own work.
They also help in recording discussions, agreed action and objectives (so that you can
refer to it later if you need to).
 Please do not just see it as a form filling exercise – make the most of it and enjoy it!

20. 19
8) Transferring To The Workplace – Your Action Plan
We hope you have found this document to be useful, but as you will be aware, the real test
is applying what you’ve learnt back on the job. Thinking about actions now will help build
motivation and focus to put them in practice in your role.
Below is an action plan for you to complete, which is designed to trigger you to monitor the
effectiveness of those actions. From a business perspective it’s vital that we see results from
training. This process will help you get the most from this session and feel motivated to act.
When completing your action plan, ask yourself:
- What is one thing you will do differently to conduct more effective Appraisal
meetings?
- What is the NEXT Appraisal meeting opportunity that they are going to apply
these new skills on?
MY ACTION PLAN
Name
Date
Putting into practice:
What were my learning objectives?
What did I learn?
How do the learnings relate to my current job?
Conducting Effective Appraisal Meetings – A Guide For Managers

21. 20
How specifically will I apply these new skills back on-the-job?
In what way will these new skills make me better at my job?
How will I measure my skill improvements?

22. 21
Founded in 1992 and with offices throughout the UK, Connor has over two decades
experience in providing flexible HR support.
Companies who have used our service have said the following
about Connor:
About Connor
 That we are PASSIONATE about making a difference
 That we are highly personable and accessible
 We understand their business drivers so that all the work we deliver is relevant to
their business
 The service offers great flexibility whether the support be needed at short notice, on
site or remotely
About Our People
All of our HR Directors have the following things in common:
 They understand small businesses and what it is like to run a business
 They are first and foremost business people who happen to have specialised in HR –
No fluff here!
 They are “doers” and used to getting their hands dirty
 As they are experienced they will have come across most issues before, meaning
they can do things quicker, saving you money
 They are pragmatic, accountable, responsive and credible
We are not just an HR Services Provider……
We also supply our clients with:
 Strategic HR Services
 Training & Development
 Executive Coaching
 Professional Outplacement
 Management Outplacement
 Executive Outplacement
 Career Coaching
Look Out For More From Connor
Can we help you? Call Sam Eaton today to find
out more!
Call Sam: 01491 414 010
Email: sam@connor.co.uk
Twitter: https://twitter.com/Connor_HR
Website: www.connor.co.uk