Transcript Staff Appraisal

BS3403
HRM and
Staff Appraisal
http://sol.brunel.ac.uk/bola/appraisal/
Chris Jarvis
1
BS3403
Staff Performance Appraisal Systems
… the number one American management problem. It takes the
average employee (manager or non-manager) six months to recover
from it.
(Peters, 1989; p. 495)
 Most large businesses have staff appraisal schemes.
 Even with no formal scheme, judgments are made


benign, beneficial or insidious
about continuity of employment, promotion, reward, redundancy,
inclusion/exclusion.
 formal policy for systematic, job-related feedback
 boss/subordinate appraisal encounters
 potential for problems and frustration
 Yet companies and participants say that benefit stems from the process.
Chris Jarvis
2
BS3403
Purposes of Staff Appraisal
 Review past performance and give feedback
 Define expectations, directions and objectives to improve
performance
 Assess and support training & development needs (learning,
job/career change)
 Discuss and encourage potential/promotability
 Communicate review and assessment of additional rewards
 Make retention decisions (probationary period)
Chris Jarvis
3
BS3403
Types of Staff Appraisal Scheme
 Informal and unsystematic
 Formal schemes: policy (fabric and process)
 Rating scales/forms
 Trait (X has these personal qualities)
 Behaviour (X demonstrates these behaviours)
 Competencies (X performs with this level of competence)
 MbO - Results-oriented appraisal (delivers against
"agreed" targets)
 360 appraisal (stakeholder feedback to the
manager)
 Self-appraisal
o
Chris Jarvis
4
BS3403
Rating Approach (Traits/behaviour)
Job Factor
Rating and Comments
1. Quantity of Work
Manages work load
No. of contracts & staff
Job plans: complete accurate & up-to-date
Staff records: complete, accurate & up-to-date
High 6 5 4……....3 2 1 Low
Comments
2. Quality of Work
Quality standards achieved?
Efforts directed towards contract profit and cost targets?
Reliable information, analysis and reports?
High 6 5 4……....3 2 1 Low
Comments
3. Job Ability ----- etc
4. Relationships & Values ----- etc
5. Problem-solving ----- etc
6. Appearance, manner and attendance
Chris Jarvis
5
BS3403
Results oriented, MbO Tenets?
 Standards/targets
 Focus and channel effort.
 Evaluate progress and performance “quality “
 MbO discussions involve
 structured, mutual and challenging process
 What is expected of me?
 realistic, attainable targets (not exploitative demands)
 trust and sharing
 analysis, problem-solving + 2-way feedback (experiential learning)
 Theory Y: balancing individual needs with organisational situation
 openings for personal growth/learning in the "job plan"
 delegating responsibility - empowering (scope, authority + resources
to handle matters).
 Identify internal & external barriers
Chris Jarvis
6
BS3403
Learning from Experience and MbO
A model for
personal awareness
and
development
Actual
Experience
Testing &
experimenting
LEARNING
CYCLE
Abstracting &
Theorising
Chris Jarvis
Reflective
Observation
D Kolb, Rubin & McIntyre
Organisational Psychology, Addison Wesley
7
BS3403
The enormity of MbO principles and imperatives
 MbO oozes "common-sense"
 Humble's method (early 1970's) posed problems
 Decomposing objectives - corporate to individual
 Atomistic vs. "the whole", detailed, time-consuming
 skill in articulating "objectives"
 time/skill to engage in ‘ideal’ ways.
 lip-service, inconsistency, bureaucracy, meetings & records
 80/20 principle - 4/5 key job areas where results really matter.
 Assumptions:
 We comprehend what we are trying to achieve, what is wanted.
 We are trained, competent and "as one"
 We both need and give recognition/credit + room to perform.
Chris Jarvis
8
BS3403
MbO Tenets for Maintenance and Innovation
 MbO useful for defining expectations - targeting.


new staff
As a review process for "self”, the manager and "the team"




rolling review OF key matters - creative, planned maintenance
avoid slippage and entropy (tiredness, complacency, wear-and-tear)
potential for Kaizen/CQI
discourse on corporate values




significant job change - re-assign to new project
formal delegation of new "areas” - responsibility, authority, resources
manage challenge, ambiguity and risk
avoid overload - too many new projects at once
 MAINTENANCE Objectives/targets
 NEW INNOVATION - PROJECT
Chris Jarvis
9
BS3403
Defining SMART Objectives
Objectives should be:





Specific (not general and vague, or activity focused with an unclear
purpose)
Measurable
Achievable (not over optimistic/pessimistic)
Realistic (not too numerous and unbalanced)
Time specific (not indeterminate) - focus on milestones
- Is responsibility balanced with authority and resources?
- Are start and end points well defined?
- Is progress/monitoring data available? Visibility?
- Targets linked to plans - how the standard/target will be achieved?
- Focusing individual standards and targets in a team setting?
- Possibility of ethical dilemmas?
Chris Jarvis
10
BS3403
MbO Record
Name
Job/Role
Key Job Area
Objective/Target to be Achieved
Date
Data for
Monitoring
Training/Learning Needs
1.
2.
3.
4.
Progress Review Dates
Notes on Achievements/Progress
Signed: (Post-holder)
Chris Jarvis
Signed: (Manager)
12
BS3403
Evaluate these examples against the SMART principles
 complete project X by mid-summer
 achieve 95% deliveries within 24 hrs of order and 99% within 48 hrs.
 maintain staff awareness about customer relations policy
 contact all customers within 6 months and renew service contracts.
 implement Key-Note promotion to secure 70 new Gold Star
customers
 open new shop on schedule and within budget
 complete all ISO9000 documentation and secure accreditation by
Christmas.
Chris Jarvis
13
BS3403
Conducting a staff appraisal meeting
Tell and sell, 'ski instructor' approach
 appraiser as judge, tells/reveals


the conclusion of his/her appraisal and
advice how to improve
 obtain/field appraisee reaction (will this change the assessment?)
 assumes reasonably frank, high trust exchange
 when and for whom is this approach appropriate?
Mentoring, Problem-solving Approach
 the meeting and outcome emerge as a process of interaction
 'the answer' is not known beforehand
Chris Jarvis
14
BS3403
Conducting a staff appraisal meeting - 2
Preparation
Appraisee briefing and review
Appraiser review


Review meeting
renew personal contact/rapport
the agenda
review events, progress & outcomes
give feedback (two-way) & encouragement
avoid blame, target standards, requirements and priorities
critical questions + reflective observation/analysis
consider job/role change and personal development
new SMART targets, agree plans/action and support
summarise
Personal closure, record and follow-up










Chris Jarvis
15
BS3403
Conducting a staff appraisal meeting - 3
Avoid
Lack of preparation
Lose sight of the "whole person and whole performance"
Side-lining "real" problems
Not differentiating fantasy and reality
Smoke-screens, bluster, argument
Victimisation, bullying, humiliation
Confrontation without trust & mutual understanding
Unbalanced agenda coverage
Nit-picking and missing the KRAs
Time guillotine
Over-zealous deluge and undermining confidence











Chris Jarvis


Now I've got you …..
Everyone says that …..
16
BS3403
Conducting a staff appraisal meeting - 4
Skills
Situation appraisal, problem definition, objective setting and
resource allocation, solution development, examination of options,
potential problem analysis, planning and implementation.
Securing agreement and ownership
Genuine regard for and commitment to the other
Commitment to the process
Empathy vs. sympathy
Giving and receiving feedback
Questioning and active listening
Leading/inspiring








Chris Jarvis
17
BS3403
Problems for Appraisers
 Prejudice and distortion of judgement: - both ways. Halo/Horns
 Insufficient knowledge of appraisee
 Distinguishing appraisee's work from context in which they work
 Comparison with other appraisees.
 Cumbersome documentation, too clever, prescriptive.
 Consistent reporting by appraisers.
 The formality: the encounter has a lot riding on it.
 Outcomes ignored + follow-up fails to take place.
 Everyone is 'just above average'
 Most appraisees seek reassurance that “all is well”.
 Appraising the wrong things - behaviours > actual work
 Some concerns, outcomes, competencies are difficult to evaluate and
articulate
 Preparing, meeting and following-up AND doing your own job!
Chris Jarvis
18
BS3403
Personnel's Staff Appraisal Function/Role
Control and development function to
advise the organisation on its staff appraisal system.
 Commission, maintain and evaluate "the system"
 train managers and ensure that appraisals take place properly
 oversee decisions (merit awards?)
 staff appraisal information system





organise communication flows
analyse/ summarise appraisal records to audit "people resources/issues"
up-date staff records
follow up on individual/group training needs, employee potential and succession
handle appeals - verify managerial fairness!
 Are these things done? Does the data flow around the organisation?
 Do such procedures and controls justify the costs?
Chris Jarvis
19
BS3403
The Appraisal Prescription
 Despite problems, appraisal schemes are recommended
 Corporations invest time, energy and resources.
 Much advice on managing the process
Origins


Douglas McGregor, 1960, "The Human Side of Enterprise" (1960)
Theory Y - integrating individual and organisational needs to optimise
performance.
 How?





Chris Jarvis
job/role definition, targeting, planning (within staff appraisal)
supportive, mutually evaluative boss-subordinate relationship
focusing employee energy on business objectives
performance-related criteria
development needs and interests
20
BS3403
Theory Y and "development" ideology
 Theory Y references high order "motivational" needs
 Supervisors are urged to create and maintain conditions for



participative, trusting team relationships
realise employee capacity to be creative and self-managing
individual growth, stimulus, empowerment, problem-solving
 Appraisal practice



Chris Jarvis
a means to embed socially positive, individually beneficial and
organisationally essential norms into the conduct of manager-staff
relationships and work arrangements and rewards
ensures that motivational needs for security-orderliness-predictability, social
acceptance and self-esteem/status are not chronically under-served.
reinforces the organisational discourse of performance, quality, commitment
and membership.
21
BS3403
Slogan: Adopt an appraisal policy and reap the benefits !!
Potential outcomes
 improved communication between manager and worker
 better linking of business priorities with how the individual
delivers their job performances
 enhanced loyalty, commitment to work, personal identification
and motivation to perform
Chris Jarvis
22
BS3403
Two Perspectives - Control and Development
Staff Appraisal as a Control System
 Standard procedure to regularise behaviour (appraisers & appraisees)
 A rational-legal system. Conform and "appraise" to a standard.
 The policy and procedure






defines and requires
communicates criteria of performance, values and expectations
requires routine meetings with staff to review roles and priorities
systematically
focus on current issues being articulated by management
assumes 2-way feedback (Theory Y vs Theory X)
encourages analysis, planning, agreement and documentation by "formula".
 promote " unitary and organisational commitments" through individuals
 antipathy where staff do not share the same values as managers
Chris Jarvis
23
BS3403
Two Perspectives - Control and Development
Appraisals as a Development Process
 Still a standard operating procedure
 Job review is diagnostic - joint problems, needs, interests
 Feedback - essential for learning and adaptation
 Theory X - imposed, potentially coercive, one-sided appraisal
 Theory Y - requires trust and belief in the process itself with the parties
getting meaningful, tangible benefit from


Chris Jarvis
the activity
the continuity/follow-up events.
24
BS3403
The developmental proposition?
What are the costs of set up a scheme and maintaining it year in year out? Assume a business of, say, 5,000
employees.
 Resource-hungry and costly to design, implement and maintain.
 Are individual and group performances significantly enhanced by
the investment?
 Are benefits significant and measurable compared to no formal
or systematic activity?
 At a participant level, appraisers and appraisees need to


Chris Jarvis
find the process useful (joint benefit) and not too arduous.
get a personal return from commitment & energy
25
BS3403
Participative Management Cultures
 organisational commitment to





participative management
open, interactive culture
stress the humanistic, development side of staff appraisal.
The HRM, Investors in People doctrine
linked to quality, competitive business - the "Be Excellent School".
 Messages of staff appraisal reflect


Chris Jarvis
A focus on performance, achievement and individuality
employees are more than factors of production - they are valued in
and of themselves - as people.
26
BS3403
Conclusions
 Staff appraisal systems are regulative, controlling methods
 They reflect HRM norms and despite problems, organisations still do it.
 Millions undergo formal appraisal.
 Much attention & resource is invested
 Practical issues. They need to be conducted well
 Be quizzical about what they can or cannot achieve.




Are they an act of faith?
Is there real evidence that the "big approach" really works?
Is the promise greater than what is actually delivered?
What are the ethical and unethical angles?
 Tension between control and development.
 Development emphasises a supportive, constructive conversation rather
than unilateral imposition & bureaucratic form-filling.
Chris Jarvis
27
BS3403
Seminar Questions




Chris Jarvis
Is staff appraisal suitable only for managerial, professional and technical
posts with a considerable discretionary element to them? Is it unsuitable
for routinised, simple operative jobs?
How can we evaluate whether the benefits of both approaches to staff
appraisal (control versus developmental) are satisfied and achieved in a
single scheme?
Who should/should not conduct the appraisal interview?
What problems arise when an individual's actual performance is
substantially affected by external and internal events over which he/she
has little or no control? How best can we focus on the individual's
performance in these situations?
28
BS3403
Exercise




Chris Jarvis
Work with a colleague - a friendly critic with whom you have a good working relationship and
who knows your job (and you, theirs). Engage in a job review conversation.
As preparation, write down information relating to the following
A very important activity, priority or key area of your job
A less frequent activity (not necessarily important) which occupies a good deal of time.
An important activity unlikely to appear in your diary. You know it is important although
others (including the boss) may be unclear of this.
The most important activity not so far listed




Each person should lead an appraisal meeting. Through questions, discussion and summary
assist the other in reviewing their performance (efforts, achievements, problems). Aim to
 define actual performance - successes and gaps clearly.
 pin down what must be done to maintain or improve performance
 identify where you need to develop - learn more and apply more skill
 Identify contradictions and points of tension - discuss how to tackle these. What steps are
needed internal to the job and external (outside work).
Focus on information gathering, developing understanding and giving feedback to each other.
Be supportive and give positive reinforcement - but be probing - avoid being bland and hunkydory.
Evaluate the usefulness of discussing your work with someone who was well informed, but
not your "boss".
29