Dessler HRM 12e ch 09 performance management and appaisal

Part I: Introduction Managing Human Resources Today Managing Equal Opportunity and Diversity Mergers, Acquisitions, and Strategic Human Resource Management Part II: Staffing the Organization Personnel Planning and Recruiting Selecting Employees Training and Developing Employees Part III: Appraising and Compensating Employees Performance Management and Appraisal Compensating Employees Part IV: Employee and Labor Relations Ethics, Employee Rights, and Fair Treatment at Work Working with Unions and Resolving Disputes Improving Occupational Safety, Health, and Security Part V: Special Issues in Human Resource Management Managing Human Resources in Entrepreneurial Firms Managing HR Globally Measuring and Improving HR Management’s Results

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PowerPoint Presentation by Charlie Cook

The University of West Alabama

Chapter 9

Performance Management and Appraisal

Part Three | Training and Development

publishing as Prentice Hall

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WHERE WE ARE NOW…

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1 Define performance management and discuss how it

differs from performance appraisal.

2 Set effective performance appraisal standards.

3 Describe the appraisal process.

4 Develop, evaluate, and administer at least four

performance appraisal tools.

5 Explain and illustrate the problems to avoid in

appraising performance.

6 Discuss the pros and cons of using different raters to

appraise a person’s performance.

7 Perform an effective appraisal interview.

LEARNING OUTCOMES

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Basic Concepts in

Performance Management and Appraisal

Performance Appraisal

Setting work standards, assessing performance, and providing feedback to employees to motivate, correct, and continue their performance.

Performance Management

An integrated approach to ensuring that an employee’s performance supports and contributes to the organization’s strategic aims.

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FIGURE 9–1

Online Faculty

Evaluation Form

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Defining the Employee’s Goals and Work Standards

Set

SMART

goals

Assign challenging/

doable goals

Assign specific goals

Guidelines for Effective

Goal Setting

Assign measurable goals

Encourage participation

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Setting SMART Goals

• S pecific, and clearly state the desired results.

• M easurable in answering “how much.”

• A ttainable, and not too tough or too easy.

• R elevant to what’s to be achieved.

• T imely in reflecting deadlines and milestones.

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An Introduction to Appraising

Performance

1

Is useful in career planning.

Plays an integral role in performance management.

Why Appraise Performance?

Is basis for pay and promotion decisions.

Helps in correcting deficiencies and reinforcing good performance.

2

3

4

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(Un)Realistic Appraisals

• Motivations for Soft Appraisals

 The fear of having to hire and train someone new.

 The unpleasant reaction of the appraisee.

 An appraisal process that’s not conducive to candor.

• Hazards of Soft Appraisals

 Employee loses the chance to improve before being discharged or forced to change jobs.

 Lawsuits arising from dismissals involving inaccurate performance appraisals.

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Performance Appraisal Roles

• The Supervisor’s Role

 Usually do the actual

appraising

 Must be familiar with basic

appraisal techniques

 Must understand and

avoid problems that can

cripple appraisals

 Must know how to conduct

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Performance Appraisal Roles

(cont’d) • The HR Department’s Role

 Serves a policy-making and advisory role.

 Provides advice and assistance regarding the

appraisal tool to use.

 Trains supervisors to improve their appraisal

skills.

 Monitors the appraisal system effectiveness

and compliance with EEO laws.

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Effectively Appraising Performance

1

Appraising performance

Steps in Appraising Performance

Defining the job and performance criteria

Providing feedback session

2

3

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Designing the Appraisal Tool

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Performance Appraisal Methods

Paired comparison Forced distribution Critical incident

6 7 8 9 10

Behaviorally anchored rating scales (BARS)

Narrative forms

Management by objectives (MBO)

Computerized and Web-based performance appraisal

Merged methods

Appraisal Methodologies

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FIGURE 9–2

Sample Graphic

Rating Performance

Rating Form

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FIGURE 9–3 One Item from an Appraisal Form Assessing Employee

Performance on Specific Job-Related Duties

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FIGURE 9–4 Appraisal Form for Assessing Both Competencies and Specific Objectives (cont’d)

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FIGURE 9–6 Ranking Employees by the Paired Comparison Method

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TABLE 9–1 Examples of Critical Incidents for Assistant Plant Manager

Continuing Duties Targets Critical Incidents

Schedule production

for plant 90% utilization of personnel and machinery

in plant; orders delivered

on time

Instituted new production scheduling system; decreased late orders by 10% last month; increased machine utilization in plant by 20% last month

Let inventory storage costs rise 15% last month; over-ordered parts “A” and “B” by 20%; under- ordered part “C” by 30%

Supervise machinery

maintenance No shutdowns due to faulty machinery Instituted new preventative maintenance system for plant;

prevented a machine breakdown

by discovering faulty part

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FIGURE 9–7

Appraisal-Coaching

Worksheet

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Behaviorally Anchored Rating Scale (BARS) Developing a BARS

1 Write critical incidents

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Management by Objectives (MBO)

• A comprehensive and formal organizationwide

goal-setting and appraisal program requiring:

1 Setting of organization’s goals

2 Setting of departmental goals

3 Discussion of departmental goals

4 Defining expected results (setting individual goals)

5 Conducting periodic performance reviews

6 Providing performance feedback

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Using MBO

Setting unclear

objective

Conflict with subordinates over objectives

Potential Problems with MBO

Time-consuming appraisal process

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Computerized and Web-Based

Performance Appraisal Systems

• Allow managers to keep notes on subordinates.

• Notes can be merged with employee ratings.

• Software generates written text to support appraisals.

• Allows for employee self-monitoring and self-evaluation.

• Electronic Performance Monitoring (EPM) Systems

 Use computer network technology to allow managers access to their employees’ computers and

telephones.

 Managers can monitor the employees’ rate, accuracy, and time spent working online.

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FIGURE 9–9

Online Performance

Appraisal Tool

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Dealing with Performance Appraisal

Problems

Unclear

standards

Leniency or strictness

Halo effect

Potential Rating Scale Appraisal Problems

Central

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TABLE 9–2 A Graphic Rating Scale with Unclear Standards

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Guidelines for Effective Appraisals

Know the

problems

Get agreement on

a plan

Use the right tool

How to Avoid Appraisal Problems

Keep a diary

Be fair

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TABLE 9–3 Important Advantages and Disadvantages of Appraisal Tools

Graphic rating scale Simple to use; provides a quantitative

rating for each employee

Standards may be unclear; halo effect, central tendency, leniency, bias can also be problems

BARS Provides behavioral “anchors.” BARS

is very accurate Difficult to develop.

Alternation ranking Simple to use (but not as simple as

graphic rating scales) Avoids central tendency and other problems of rating scales.

Can cause disagreements among employees and may be unfair if all employees are, in fact, excellent

Helps specify what is “right” and

“wrong” about the employee’s performance; forces supervisor to evaluate subordinates on an ongoing basis

Difficult to rate or rank employees relative to one another.

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Choosing the Right Appraisal Tool

Criteria for Choosing an

Appraisal Tool

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FIGURE 9–10 Selected Best Practices for Administering Fair Performance Appraisals

• Base the performance review on duties and standards from a job analysis.

• Try to base the performance review on observable job behaviors or objective

performance data.

• Make it clear ahead of time what your performance expectations are.

• Use a standardized performance review procedure for all employees.

• Make sure whoever conducts the reviews has frequent opportunities to observe

the employee’s job performance.

• Either use multiple raters or have the rater’s supervisor evaluate the appraisal

results.

• Include an appeals mechanism.

• Document the appraisal review process and results.

• Discuss the appraisal results with the employee.

• Let the employees know ahead of time how you’re going to conduct the review and

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FIGURE 9–11 Guidelines for a Legally Defensible Appraisal

1 Preferably, conduct a job analysis to establish performance criteria and standards.

2 Communicate performance standards to employees and to those rating them, in writing.

3 When using graphic rating scales, avoid undefined abstract trait names (such as “loyalty” or

“honesty”).

4 Use subjective narratives as only one component of the appraisal.

5 Train supervisors to use the rating instrument properly.

6 Allow appraisers substantial daily contact with the employees they’re evaluating.

7 Using a single overall rating of performance is usually not acceptable to the courts.

8 When possible, have more than one appraiser, and conduct all such appraisals

independently.

9 One appraiser should never have absolute authority to determine a personnel action.

10 Give employees the opportunity to review and make comments, and have a formal appeals process.

11 Document everything: Without exception, courts condemn informal performance evaluation practices that eschew documentation.

12 Where appropriate, provide corrective guidance to assist poor performers in improving.

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Who Should Do the Appraising?

Self-rating

Subordinates

360-degree feedback

Potential Appraisers

Immediate

supervisor

Peers

Rating committee

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The Appraisal Interview

Satisfactory—Promotable Satisfactory—Not Promotable Unsatisfactory—Correctable Unsatisfactory—Uncorrectable

Types of Appraisal

Interviews

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FIGURE 9–12 Sample Employee Development Plan

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Appraisal Interview Guidelines

Talk in terms of

objective work

data

Get agreement

Don’t get personal

Encourage the person to talk

Guidelines for Conducting

an Interview

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FIGURE 9–13

Checklist During

Appraisal Interview

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Handling Defensive Responses

1

Recognize your own limitations.

Never attack a person’s defenses.

How to Handle a Defensive Subordinate

Recognize that defensive behavior is normal.

Postpone action.

2 3 4

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How to Deliver Criticism

1 2 3 4

How to Criticize a Subordinate

Criticize in private, and do it constructively

Do it in a manner that lets the person maintain his or her dignity and sense of worth.

Give daily feedback so that the review has no surprises

Never say the person is “always” wrong.

Criticism should be objective and free of biases.

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Formal Written Warnings

• Purposes of a Written Warning

 To shake your employee out of bad habits.

 To help you defend your rating, both to your own boss and (if needed) to the courts.

• A Written Warning Should:

 Identify standards by which employee is judged.

 Make clear that employee was aware of the standard.

 Specify deficiencies relative to the standard.

 Indicate employee’s prior opportunity for correction.

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Performance Management

and developing the performance of individuals and

teams and aligning their performance with the

organization’s goals.

Performance Appraisal

strategic goals

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Basic Building Blocks of Performance Management

Ongoing performance monitoring

Rewards, recognition, and compensation

Coaching and development support Ongoing

feedback

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Why Performance Management?

Total Quality Management

Resolution of Appraisal Issues

Strategic Goal Alignment

The Performance

Management

Approach

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Using Information Technology to

Support Performance Management

• Assign financial and nonfinancial goals to each team’s

activities along the strategy map chain of activities

leading up to the company’s overall strategic goals.

• Inform all employees of their goals.

• Use IT-supported tools like scorecard software and

digital dashboards to continuously monitor and assess each team’s and employee’s performance.

• Take corrective action at once.

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FIGURE 9–14 Performance Management Report

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K E Y T E R M S

performance appraisal graphic rating scale alternation ranking method paired comparison method forced distribution method critical incident method behaviorally anchored rating scale (BARS) electronic performance monitoring (EPM) unclear standards

halo effect central tendency strictness/leniency bias

appraisal interview performance management

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Printed in the United States of America.

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