Development Department

Appraisal Guidelines








Version  1.1


Author:  Ian Turnbull































Copyright LS 2003 Limited, 2003 .  All rights reserved.



Cavendish House

Cambridge Business Park

Cowley Road



United Kingdom

Tel: (+44) (0) 1223 420414

Fax: (+44) (0) 1223 420044










Version History








Initial release of the guidelines.



4. Pre-appraisal Checklist : added reminder to check remaining holiday entitlement

5. Giving the Appraisal :  added reminder to check remaining holiday entitlement

7. Post-Appraisal Actions : added location of competencies spreadsheet .



























These guidelines describe the steps that the appraisee and their line manager (the 'appraiser') should follow when an appraisal becomes due. They consist of the following:


§         Section 2: an outline of the appraisal administration procedures


§         Section 3: a flowchart for the appraisal process


§         Section 4: a checklist against which the appraisee should provide a written review of their work over the previous review period


§         Section 5: a short summary of the objectives of the appraisal meeting


§         Section 6: further information for the appraiser about the topics that should be covered in the final write-up of the appraisal, and a template for the heading to the written appraisal


§         Section 7: actions that the appraiser and appraisee should take after the appraisal, and guidance on writing or updating the appraisee's sales CV








The appraisal administrator maintains a spreadsheet that lists, for each employee, the date that person joined the company and the weeks in which their appraisals fall due. It records the fact that notification has been issued, and tracks the progress of each appraisal.


Appraisals are made at 3-monthly intervals while staff are in their first year of employment. In subsequent years, appraisals are at 6-monthly intervals.


The administrator gives the appraiser and appraisee two weeks notice of an appraisal being due. In those two weeks the appraiser and appraisee should prepare for the appraisal meeting.


In order to record the status of appraisals, the administrator needs to know:


§         When an appraisal takes place


§         When the written and signed appraisal is given to the Development Manager


Upon receipt of this information, the administrator updates the spreadsheet accordingly.


It is the responsibility of the appraiser to provide the administrator with the required  information in a timely manner. Failure to do so undermines the appraisal system by making it difficult for the administrator or Development Manager to know the status of appraisals across the department.






Week 2











































Appraiser gives signed appraisal to Development  Manager, and copy to appraisee. Informs appraisal administrator.














The appraiser should give this checklist to the appraisee as soon as advanced notification of the appraisal is received from the appraisal administrator. Approximately one week prior to the appraisal meeting, the appraisee provides the appraiser with a typed response to the questions. It is important for the appraiser to make the appraisee aware that this reponse will form part of the final written appraisal (see section 6, Completing the Written Appraisal).


The checklist consists of the following questions:


§         What have you worked on since your last review?


§         For each job you have worked on:

- what have you achieved?

- what went well, and why?

- what went badly, and why?


§         Is there any training that you think would help you?


§         Have you been asked to do any things that you particularly enjoyed or did not enjoy?


§         Which of the objectives and actions in your previous appraisal have been met, and how? Which have not been met, and why?


§         Are there any improvements you would like to see in the way we do things?


§         What would you like to do over the next year?

§         What would you like to do in the longer term?


§         Do you need to update your training and competencies record?


§         Do you need to update your online sales CV?


§         Have you planned when to take holiday?  Will you be able to use your full holiday entitlement for the current year?


§         Have you any other comments about your job or Laser-Scan?


§         [You may also want to ask about a specific current issue within Laser-Scan].


















The appraiser and appraisee need to discuss the appraisee's responses to the pre-appraisal checklist. The appraisee should also be given the opportunity to discuss any subjects that they did not wish to include in their written response.


During the discussion the appraiser should give feedback on the performance of the appraisee, their strengths and weaknesses.


The outcome of the appraisal should be agreement on:


§         Current skills and training requirements


§         Actions for the appraiser and appraisee


§         Objectives for the appraisee over their next review period


§         Updates to the appraisee's online sales CV



At the start or end of the appraisal, the accuracy of key documents from the appraisee's personnel file should be reviewed (e.g. address, emergency contact, beneficiaries). Confirm also that the appraisee is on target to use up their holiday entitlement.


The next section gives further guidance on the topics that the written appraisal should cover. The appraiser needs to ensure that at the end of the appraisal meeting they have sufficient information to be able to cover all these topics.


After the meeting, the appraiser should notify the appraisals administrator that the meeting has taken place.







The written appraisal is in two parts:


§         The first part is the appraisee's written responses to the pre-appraisal checklist. It is acceptable for the appraisee to amend this part of the appraisal after discussing it at the appraisal meeting.


§         The second part is the appraiser's contribution. The appraiser should aim to complete the written appraisal within at most two weeks of the appraisal meeting.


Remember to include the dated signatures of the appraiser and appraisee at the end of the appraisal. Remember also to notify the appraisals administrator when the write-up has been given to the Development Manager.


There is considerable flexibility in the presentation of the written appraisal, to enable both appraiser and appraisee to express themselves as freely as possible. However, the appraiser should ensure that the written appraisal covers the following topics.

Responsibilities And Performance


Describe the appraisee's responsibilities, tasks or objectives over the review period i.e. what have they been doing. It will probably be possible to list a number of major activities. Ensure that, for each activity, the appraisal describes:


§         What the appraisee has been doing

§         How well they have been doing it

§         Whether they have enjoyed it

§         What their strengths and weaknesses have been

§         What new techniques or concepts they have encountered

§         Any obstacles the appraisee has encountered that have reduced their efficiency (e.g. it might be Laser-Scan procedures, or lack of training).



Other Comments


Describe any additional issues that do not fit into the section on responsibilities and performance. Give the appraisee the opportunity to comment on company issues.



Objectives and Actions for the Previous Three/Six Months


Specify whether the objectives agreed at the previous appraisal have been met, and  actions completed. Describe what has been done. Explain why objectives have not been met or actions not completed.





Describe what the appraisee would like to be able to work on during the coming year, and what longer term ambitions they have. Specify any actions agreed.



Training Requirements


Describe any training requirements.



Objectives For The Next Three/Six Months


You should have agreed a set of objectives for the next review period. An objective is a specific short-term task, ideally with a realistic measurable goal that the appraisee can aim for. This helps clarify the manager's expectations of the appraisee over the next review period and provides something against which performance can be measured. The appraisee's work may be such that objectives cannot be tightly defined, but it is unfair to the appraisee not to make every effort to define your expectations, and the measures of success, as clearly as possible.





List all the actions on the appraiser or appraisee that have been agreed in the course of the appraisal.




6.1  Heading Template



The appraisal heading should be presented in the following format:



Appraisee: [name]

Job Title: [appraisee's job title]


Date of Appraisal: [when appraiser and appraisee met]

Date of Previous Appraisal:


Appraiser: [name]







When the appraiser and appraisee have agreed the written appraisal, the appraiser should:


§         Update the training and competencies spreadsheet


§         If necessary, update the appraisee's personnel records, then return the documents to the appraisee's personnel file


Where necessary, the appraisee should update their online CV. It is the responsibility of the appraiser to ensure that the update occurs. The CVs are held in \\Chopin\Mkting\DOCREPOS\Cvrepos\New layout.



7.1 Writing the CV


The CV should be presented as an MS Word document. Keep it to one A4 page, with sufficient space for headers and footers to be added when the CV is included in a tender document.


Formatting should be very simple, so that the salesman can cut and paste the CV into a new document without then having to fix complex formatting glitches. For a template, refer to the file \\Chopin\Mkting\DOCREPOS\Cvrepos\New layout\CVtemplate.doc.


For guidance on the type of information to put in the CV, refer to other recent CVs.




Staff Appraisal and Training



K Willingale & M Sanderson


Facilities & HR Manager

Issue date





Change Record


Issue No.

Change Reason




First ISO9001:2000 issue

K Willingale & A P Cornell



Introduction of “Training Sponsor”, Training records

K Willingale



Minor word change in Para 10

K Willingale



Changes as a Result of Audit 46

M Sanderson



Minor changes to Scope. Minor changes to training sponsor.

K Willingale





·        Appraisal

·        Objectives

·        Training

·        Training Needs

·        Training Records

·        Training Sponsor

·        Career Development




0.1          Terms and Definitions

1           Scope

Current staff appraisal arrangements and employees career development including assessment of employees' training needs are outlined.  This guideline is a significant tool in supporting Laser-Scan’s passion for working together.

2             Appraisal

Staff appraisals are carried out regularly for the benefit of all employees and their line managers. Other staff may be consulted if appropriate. Appraisals are a forum for review, and improvement if appropriate, of

both performance and opportunity. Appraisals are the opportunity to set objectives. These are the basis for improvement assessment. Appraisals should not be the only time that objectives are reviewed, because objectives need dates set against them to be meaningful. This means that they need to be reviewed at or about the time they are due. It is too late to review them at appraisal time as the individual may be struggling with events outside their control.

Training needs may be identified at appraisal, and at other times.

The details of the Development appraisal process are described at  [1]. Appraisal forms can be found at [4] and [5]

3                Appraisal Frequency

3.1          New Staff

Departmental Managers will assess the frequency of appraisal required in the first year of employment.  While appraising at 3,6,9, and 12 months may well be appropriate for development, a lesser frequency may be more in keeping with Pre Sales department.  The general principle is that a starter needs more care and guidance in the first year of employment.

3.2          After First Year

After the initial year of employment, each member of staff and their line manager should continue to review regularly performance, opportunities and problems.

The interval between appraisals should be appropriate to the work being carried out, but it is recommended that an appraisal should be carried out at least once a year. Suggested periods of review are: upon project completion, prior to hand-over to a new line manager, or on the anniversary of the employee's start date with the company.

4                Reminder of Appraisal & Objective Due Date

Departments need to have a trigger mechanism that alerts the Line Manager and employee when an appraisal is due.

5                Actions upon Completion of Appraisal

The Manager passes the appraisal report(s) to the Senior Management Team who is responsible for following up on any recommendations made. The member of staff should be kept informed of any decisions taken.

6                Training Needs (outside the appraisal process)

Any identified training needs are to be passed to the Senior Management Team for the allocation of resources. If the training sought is from a third party then at this stage a training sponsor is nominated – see Training Sponsor, below at para. 8.


7                Training records

Employees are responsible for keeping their own training record up to date.  These are recorded primarily in the employees “Staff profile”.  This is normally located at [3]. Formal written training records are kept in the employee’s personnel folder; this includes all training, internal and external.  The “Staff profile” should be inspected at each appraisal.

Employees who undertake external training are required to fill in the form found at [2].


8                Third Party Training and the role of the Training Sponsor

Laser-Scan has introduced the Training Sponsor. The role is concerned with getting the best value out of any 3rd party training given to company personnel. The detailed duties of the “Training Sponsor” are as follows:

·        Gain authority from the Senior Management Team to go ahead with the training.

·        Inspect the Supplier Assessment list with Finance function to confirm the desired supplier is an appropriate choice.

·        Brief all the attendees prior to the course; on what the company hopes the students will learn from the course.

·        On completion of the course the Training Sponsor should formally debrief all the attendees and seek any feedback regarding value of the course.  They should further seek any suggestion’s/ideas that may improve the way we do things. They should then devise an action plan for bringing appropriate ideas and suggestions into general use (owners and time scale should be defined)

·        Finally after three months the training sponsor conducts an evaluation that seeks to determine the courses effectiveness.  The output for this evaluation is to go to the following:
a) Supplier Assessment list
b) Into a matrix that assesses the benefit of the course either in terms of efficiency, productivity.

       c) Senior management team.


9           Referenced Documents


[1]          http://www/tops/guidelines/ref/Development_Appraisal_guidelines_v1-1.pdf

The word file for this is available at:



[2]          \\Chopin\training\Admin\post_third_party_training_questionnaire.doc   

This is available as a word template under “Training courses”.


[3]          \\chopin\staff_profiles


[4]          \\Chopin\personnel\Appraisals\Appraisal - Line Manager.doc


[5]          \\Chopin\personnel\Appraisals\Appraisal - Appraisee.doc