Performance Appraisal

Interview Guide

Human Resources Department

2010

HOW TO CONDUCT A PERFORMANCE APPRAISAL INTERVIEW

An appraisal interview should help improve an employees job performance by:
1. Using this opportunity to communicate your appreciation for the employees contribution
2. Informing the employee of his or her overall performance appraisal and the criteria used
for determining the rating.
3. Having an open proactive dialogue with the employee about how he or she can correct
any performance weaknesses and build upon strengths.
4. Clarifying any misunderstanding about performance expectations of the employee
5. Building and cultivating a stronger working relationship between the supervisor and
employee
6. Establish goals and objectives for the coming year
--------------------------------------------------------------------------------------------------------------------PREPARATION AND THE INTERVIEW
More harm than good can result if the appraisal interview is improperly conducted. Therefore,
careful planning is necessary prior to conducting the interview. The supervisor should select a
minimum of five factors applicable to the employees position requirements. NOTE: If there is
more than one incumbent in the same position, all should be evaluated with the same chosen
criteria. Additionally, the Supervisor should:
1. Schedule an appointment time sufficient for both the supervisor and
employee.
2. Provide a private environment to keep interruptions to a minimum.
3. Review pertinent employee information, including personnel records,
performance and or project status reports, and position descriptions.
4. Decide what is to be accomplished in the interview. Avoid ambiguity to: (1)
clarify the chosen performance criteria, (2) carefully measure the reasons for
giving specific ratings, and (3) determine which areas of improvement are
needed.
5. Consider the employees point of view. Anticipate what his or her reaction to
the discussion might be, remembering that each employee is different and
each may react differently in an interview.
6. To begin the discussion satisfactorily, have an opening statement carefully
prepared (e.g. We are here to discuss your performance for the 2009-10 rating
period)
7. Maintain a positive attitude. At the time of the interview, if the supervisor is
upset or angry, the interview should be delayed to a more appropriate time.
8. Have the necessary forms or information ready to present at the proper time;
searching for such information during an interview is distracting.
Preparedness: Have information ready to present to avoid distractions (i.e.,
searching for information, etc.)
2

BEGINNING THE INTERVIEW

The supervisors introductory remarks often sets the tone of the entire interview. For that reason,
it would be advantageous for the supervisor to create a friendly, constructive atmosphere at the
outset. The supervisor should:
Be natural. The approach should be friendly, courteous, and professional.
Put the employee at ease and establish a rapport. This can be done with a pleasant
greeting and a friendly statement that is of interest to the employee which would
prompt a reply.
Explain to the employee the purpose of the interview and how he or she will be
appraised. The employee should have a clear understanding of the criteria used in
determining the rating.
DISCUSSION OF THE APPRAISAL
This is the crux of the process - the supervisor should be prepared to face various reactions from
the employee. Most employees are doing a satisfactory job and are happy to know where they
stand and how they can improve job performance. However, dealing with employees who are
poorly performing or who are skeptical of the ratings is more difficult. The following guidelines
may be useful in dealing with either situation. The supervisor should:
1. Compliment the employee without going to extremes. Failure to recognize
good performance may cause a Whats the use? attitude. However, overdoing
the compliments will raise questions about the supervisors sincerity and abilities.
2. Constructive criticism. If pointing out a weakness, offer the employee a
constructive means to correct it.
3. Clarify the reasons why the rating was given. Cite specific examples of
performance - deal with facts and avoid generalities.
4. Be sure the employee understands what is expected of him or her.
5. ASK QUESTIONS AND LISTEN. Allow the employee to express reactions to
the evaluation; this can result in discovering the underlying causes for marginal
performance. This process should not be a one way dialogue, but a meaningful
conversation.
6. Do not interrupt but make sure the discussion is not sidetracked by irrelevant
topics.
7. Ask the employee for suggestions on how job performance can be improved.
Use this opportunity to guide employees towards improvement.
8. Keep the appraisal job-centered. Avoid discussion regarding personality
shortcomings, unless they adversely affect departmental operations or the
employees performance.

9. Maintain objectivity. Do not display anger or hostility, regardless of any hostile

remarks the employee may make - remain calm and professional.
10. If the employee gets angry, listen. Do not expect to convince the employee of
anything while he or she is angry.
11. Allow the employee their self-respect. Nothing is gained by proving the
employee wrong, being sarcastic, overbearing, or unduly stern.
12. Develop and cultivate the employees commitment on specific steps for
improvement and any follow-up activity. This commitment should be
documented.
CLOSING THE INTERVIEW
1. Summarize the discussion and the employees plan(s) for improvement.
2. Schedule a follow-up interview, if necessary.
3. End the interview on a positive, constructive note.
AFTER THE INTERVIEW
The supervisor should consider the following questions. If yes has been answered to each
question, the appraisal interview has been successful.

Does the employee clearly understand the goals and objectives of his or her position?

Does the employee clearly understand the reason for any unsatisfactory ratings?

Does the employee have a clear understanding of what and how performance improvements
can be made?

Is the employee motivated to improve?

Does the employee understand the repercussion of what will happen if his or her performance
does improve?

Were plans for performance follow-up made clear to the employee?

As a result of the interview, did a better relationship occur between the supervisor and
employee?

The supervisor should record the essential points of the interview and note anything that could
have been done differently to make the next interview more effective. It should be remembered
that the interview is part of a continuing process of communication between the supervisor and
employee. The next step is follow-up.

PITFALLS OF PERFORMANCE APPRAISALS

PITFALLS
1. The isolated incident

SUGGESTIONS
1. Consider the entire appraisal period. Enumerate
high points and low points in performance, and then
A rating should not be based on a few isolated assign a rating that typifies the individuals normal
incidents. When this is done, the rating is unfairly performance.
influenced by non-typical instances of favorable or
unfavorable performances.
Do not attempt to assign a rating to an element of
performance and then create justification to support
it.
2. The HALO Effect

Be able to explain the reason for each rating.

2. Rate each factor independently.

Examples: An employees work is of good quality;

therefore other ratings (such as those on
promptness or quantity) are higher than normal.
Another employee is frequently absent, with the
result that the ratings on other factors are unusually
low.

When rating more than one person simultaneously, it

may be helpful to rate all employees performance on
one factor rather than one employees performance
on all factors.

3. The CLUSTER Tendency

3. In a group of people in similar jobs, performance is

likely to be spread over most performance categories.

Use the overall rating to give weight to individual

factors.

The tendency to consider everyone in the work

group is above average, average, or below average. Review your own record as a rater. Check the
Some raters are considered tough because they tendency to be either too tough or too lenient in
normally cluster their people at a low level. your appraisals.
Others are too lenient. Clustering overall ratings
usually indicates that the rater has not sufficiently
discriminated between high and low levels of
performance.
4. Rating the Job and Not the Individual

4. Consider how an individual is performing in

relation to what is expected.

Individuals in higher-rated jobs are often

considered superior performers to those in lower- Rate the persons performance, not the job.
rated jobs. This normally means that confusion
exists between the performance appraisal and how
the job is evaluated.
5. Length of Service Bias

5. Recognize the some people may never achieve top

ratings, regardless of length of service.

There is a tendency to allow the period of an

individuals employment to influence the rating. Watch closely the progress of newcomers and be
Normally, performance levels should be higher as ready to recognize superior performance if it is
an individual gains training and experience, but this achieved.
is not always the case.

PERFORMANCE APPRAISAL
INTERVIEW NOTES