Appraisal interviews: necessary evil or untapped opportunity?

Many complain that annual appraisal interviews are tedious, meaningless and do nothing to help organisations. Are they even fit for purpose any more?
People are often critical of them, but I think we should actually use that feedback as an opportunity to improve them. Appraisal interviews should be tailored to each individual, and carried out thoughtfully and with respect ¨C otherwise, they will end up being perceived as superfluous or just another routine task. But a valuable discussion is always worthwhile.

Wouldn¡¯t it be better for people to receive feedback from their manager or managers throughout the year, rather than just once towards the end of the year?
I think we need to have both real-time, concrete feedback and an annual appraisal interview, as the appraisal contains elements that are often lacking in the other discussions. It allows you to reflect on your working behaviour over a longer period of time ¨C and if you¡¯re a manager, it lets you gain feedback from your staff and the chance to discuss development opportunities together.

Does ETH have any guidelines on whether and how to conduct appraisal interviews?
Yes ¨C the ETH Personnel Ordinance (PersO-ETH) stipulates that managers must carry out an appraisal interview at least once a year. It also stipulates that the interview should take stock of how things stand, include support measures and assess performance. Moreover, the interview is intended to give staff an opportunity to provide feedback on leadership behaviour. This applies to all those who have a contract subject to the PersO-ETH; in other words, both administrative staff and most academic staff, including doctoral students.

What should I do if my manager fails to schedule an interview?
You should ask them to organise one and, if necessary, remind them that it is part of their responsibility as a manager to do so. If that still doesn¡¯t work, you can also contact the HR department.

Is it useful to grade staff performance?
The most important part is the discussion itself and the thoughtful feedback tailored to each individual.
As a manager, you should focus on developing your staff rather than adopting a primarily critical stance. You should also think about how your employee¡¯s strengths can be put to even better use and how you can make progress together. A single grade is not a thorough assessment.

But at the end of the day, everything still revolves around the final grade that is sent to the HR department, doesn¡¯t it?
No. The interview is the real priority ¨C that grade merely provides a classification and should not be the main focus of the appraisal. That¡¯s not to say that we shouldn¡¯t look at whether the evaluation form is still up to date and fit for purpose ¨C and in fact, this is something we¡¯re doing already.

What impact does a good grade such as an A+ have on salaries?
People tend to overestimate how much assessment grades and salary are linked. It doesn¡¯t actually have any impact on most academic roles because those usually have fixed salaries. It¡¯s really only administrative staff in the salary system who have their salaries managed in this way. A good assessment can have an impact on salary development, but there are multiple factors to consider and narrow pay bands. Depending on where your salary sits within the pay band for a specific role, you might not receive a salary increase even if you are awarded an A+.

Is there a set number of A+ grades that a manager can give within the team?
Some companies produce guidelines on this ¨C particularly organisations with performance-related salary components. However, there are no specific rules governing how many A+ grades can be awarded at ETH. Nevertheless, there are a few individual departments in which grade distribution is discussed. But keep in mind, an A grade means that high expectations have been completely fulfilled ¨C it¡¯s a very positive, strong statement that the person is doing far more than just enough.

How can managers strike a balance between a rewarding discussion and blunt criticism?
It is good to be firm but fair, or, in other words, ¡°soft on the people and hard on the problem¡±. This means approaching points of criticism objectively and using concrete examples. If someone realises that something has not gone well, you should accept that and trust them to make improvements. As a general rule, people will accept criticism more readily if it is given in conjunction with praise.

Staff members should still feel that managers are supporting them even if they¡¯re receiving a critical review, isn¡¯t that right?
Cases like that are the perfect time to clarify the expectations of both parties. The manager should ask the staff member what help they need from the manager in order to avoid similar situations in the future and improve things. Appraisal interviews often yield bright ideas, and this in turn builds trust and fosters a shared sense of responsibility.

What should staff members do to prepare for an annual appraisal interview?
The main thing is to actually do some preparation. These are some examples of questions you can ask yourself beforehand: What didn¡¯t go to plan? Where did I come across major challenges? Where did I do well, and what would I approach differently next time? In which areas can I continue to develop? And, last but not least: What did my manager or managers do well, and where is there room for improvement?

And how do you prepare as a manager?
Sometimes I¡¯ll take a short walk and look back on the past year, trying to remember particular instances that I can give specific feedback on. But I also look forward and think about what the next one to three years are going to look like and what opportunities for development are available.

How should appraisal interviews be conducted so that both sides benefit from the experience?
From the manager¡¯s perspective, the interview must be thoroughly prepared and carefully considered. The interview should be conducted in an honest and respectful manner, with a focus on development. It is vital that both sides have the chance to speak ¨C ideally, the employee should speak for half the time. It¡¯s also important to pay close attention to the other person and ask questions, as it¡¯s not just about speaking to each other, but also really listening to each other.

How honestly should staff appraise their managers?
We should all give feedback in the same way that we would wish to receive it. The best way to do this is to use concrete examples of when you felt your manager supported you or you would have wanted things to be handled differently.

Looking back at your own career, have you made any mistakes in appraisal interview situations?
Yes, I made one mistake that ended up being a key learning experience for me. My mistake was that I hadn¡¯t actually conducted one of these interviews before joining ETH, because I thought I was talking to my employees enough over the course of the year. Today, I no longer see the appraisal interview as a compulsory exercise that I need to carry out for my staff ¨C instead, it¡¯s an opportunity that bene-fits me as a manager.