Don’t focus on negative events

Don’t just note negative things that may be useful if an incident occurs subsequently. It is also helpful to make file notes when the member of staff does something positive and is praised for doing so. All the file notes you keep about staff will be a useful aid when you come to doing their appraisal as well as any future references.

File notes save time

It can be difficult to fit the writing of file notes into a busy schedule but once you get into the habit you will find that they save you time. Keep notes throughout your day. Make a file note of any meetings you have had either with staff as a group or in one-to-one meetings. Keep the file notes short and to the point. Briefly note any actions agreed. These notes can prove useful as the basis for the next meeting or review of progress.

What you can and can’t include in file notes

Never write down anything derogatory or subjective, and never write down anything that you can’t justify or substantiate at a later date. All staff have the right to see any documents within their organisation that have their name mentioned (Section 7 of the Data Protection Act, IC 1998). If you keep any notes about anyone, they should never contain anything that you would not want the person to see.

Be open and honest with your staff. Show them the file notes you make, or at least let them know that you will make a note of the conversation you have just had. The file notes enable you to:

Step 1: Self-assessment by appraisee

A few weeks before the appraisal, ask the appraisee to write down anything they would like to discuss and the objectives they would like to agree at appraisal. Most organisations provide a self-assessment form with questions to help stimulate their thoughts. They may also need to provide some evidence for their KSF requirements. Make sure you let the appraisee know that their notes/provisional evidence will be discussed with your line manager.

Step 2: Meet with your own line manager

Review the self-assessment form with your line manager to ensure the objectives are congruent with the organisation’s objectives. They will be able to give advice about where else the appraisee can go for guidance and support in meeting the objectives, and any funding for development can be provisionally agreed.

Step 3: Carry out the appraisal

Your organisation will provide a specific appraisal form, usually based on the KSF. If possible, try to ensure you complete the form with the appraisee as part of the review rather than writing it up at a later date. It will save you a lot of time. Another good idea is to encourage the appraisee to write up the agreed objectives and action plan afterwards.

Remember to ensure that the appraisee should be encouraged to talk for as much of the time as possible (using the listening and feedback skills outlined in Ch. 3). It’s advisable to start off with a general discussion about how the past year has gone with regards to performance and development, followed by a review of the past year’s objectives, followed by an agreement on next year’s objectives and a personal development plan to meet those objectives. Remember that you don’t have to focus on formal study or courses for development. Taking on projects with support and feedback can often be just as helpful.

Tips on reducing the paperwork for KSF:

Step 4: Agree the final appraisal document

Agree the final document with both the appraisee and your line manager. All three of you should sign it. The same goes for your own staff carrying out appraisals. It is advisable that you agree and sign all those that have been carried out within your team.

Step 5: Set a date for review

Mark in next year’s diary when the next appraisal review is due. You may also want to set a date half way through the year to review the person’s progress towards the agreed objectives.