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Training and Performance Appraisal

Are They Related?EDITORS NOTE: Performance appraisal within the organi-

zational context is defined as the supervisors judgment

of how well an employee performs his job based on estab-

lished job measurement criteria. This term, which has

gained some steam in the highly competitive business

world, has infused the thinking of Donald L. Kirkpatrick,

who is considered the father of training evaluation.

For this 60th anniversary issue, Kirkpatrick examines

the evolution of performance appraisals and how they fit

with workplace training.

It seems to me that workplace training and perfor-

mance appraisals have the same objective: to im-

prove performanceboth behavior and results. And

to my knowledge, very few organizations integrate

the two concepts.

If you are reading this article and have a formal

performance appraisal program, you probably think

of it as a human resources program that will deter-

mine merit increases and promotions and other per-

sonnel decisions. This is the emphasis that most

programs link to appraisals.

An effective performance appraisal program

should do more than set salary and promotion deci-

sions on past performance.It should aid in the devel-

opment of a performance improvement plan that

utilizes coaching from the department supervisor or

manager to increase skills development. This puts it

in the same category as training, which is all about

looking ahead and developing practical programs

that result in improved performance.

Both training and performance appraisal rely on

managers to work with employees to obtain maxi-

mum performance. Training in most large organiza-

tions has branched out from the human resources

department to form its own niche, usually in the

form of a corporate university. And this departure

from HR has usually sent performance appraisal and

training in different directions.

Corporate universities and other training depart-

ments,whether or not they are under HR, should eval-

uate how they can integrate the two programs.

Nearly all performance appraisal programs identify

an employees strengths and weaknesses. These weak-

nesses can be translated into training needs,which are

a basic ingredient of practical training programs.The

needs of individual employees can be used to deter-

mine subject content for training programs.This is why

performance appraisals play an indirect role in training.

But are typical performance appraisal programs

related to training?

As stated earlier, in most organizations, per-

formance appraisals are not used to determine

training content. Typically the manager calls the

employee into her office once a year to review the

performance appraisal form.The ratings are usually

determined without any self-appraisal from the

employee. Once the manager has filled out the ap-

praisal, it is taken to the executive level to deter-

mine the merit increase.

After that, the so-called performance appraisal in-

terview is conducted.The manager explains and justi-

fies both the ratings and the merit increase. After

answering any questions from the employees, the in-

terview is concluded and the process is over.

Yes, I have simplified and perhaps slightly distort-

ed what exactly takes place, but I have accurately de-

scribed the general approach. Unfortunately, little or

nothing is said about what should be done to im-

Effective performance appraisals should aid in employee development.

y Donald L. KirkpatrickCopyright ASTD, September 2006

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prove performance. And rarely is any performance

improvement plandeveloped.

In some organizations, performance appraisals

are done semi-annually and even quarterly, but, the

overriding factor is still merit increases instead of im-

proved performance.

There is general agreement that the same ap-

proach should not be used for appraisals linked with

salary decisions and those linked with performance

improvement. In both approaches, an appraisal of

performance is necessary. But the main difference

is that one looks back and the other looks ahead.

For the performance appraisal, the subordinate

should be asked to complete a self-appraisal using

the same form as the manager.

The atmosphere of both appraisals is different. In

the one tied to salary decisions, the ratio of discussion

averages about 9 to 1, managers to employees. In the

performance appraisal, the ratio is more 50-50. Input

from the employee is usually necessary.

Once the strengths and weaknesses are agreed

upon, weaknesses should be converted into training

needs. Then the employee and the manager should

jointly develop a performance improvement plan.

Then, the manager develops a coaching plan to en-

sure that the agreed upon training needs are met.

When both the manager and the employee work to-

gether to create an individual development plan, im-

proved performance results.

Yes, training and performance appraisals are close

relatives if the performance appraisal projects what

can be done to improve employee performance. If you

are responsible for performance appraisals, examine

how you can use training to improve performance.

And if you are a workplace training professional,

you need to meet with performance appraisal profes-

sionals to see how you can work together to improve

employee performance and productivity.

One final thought for trainers: Put coaching on

your top priority list for management training and tie

it to your performance appraisal program.You should

also include a training program that teaches man-

agers how to conduct an appraisal interview.

This will solidify the relationship between training

and the performance appraisal process.TD

Donald L. Kirkpatrickis professor emeritus of the University

of Wisconsin. He is a past president of ASTD, and the 2003

recipient of the Lifetime Achievement in Workplace Learning

and Performance award. The article was based on his new

book, Improving Employee Performance Through Appraisal

and Coaching; Dleekirk1@aol.com.

TDSeptember 2006 45Copyright ASTD, September 2006

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