Transcript Performance Appraisal

Performance Appraisal:
“Meaningful Conversations”
Listening, Learning, & Improving
Learning Objectives
When you have completed this module you will
be able to define the key concepts associated
with Hood College’s Meaningful
Conversations performance appraisal
process and you will be able to:
• Understand the importance of continuous
dialogue in employee and organizational
success
• Identify the main obstacles to effective
performance appraisal
• Understand the value of the performance
appraisal process in employee development
Learning Objectives
• Utilize tools to promote productivity and
innovation
• Understand a range of techniques that
can be applied in performance appraisal
• Use these techniques as we build an
effective performance appraisal system
• Explain the benefits of having an
effective performance appraisal system
Strategies for our time together
Learning is a process.
There are different learning
styles.
Learning is improved when goaldirected.
Active participation enhances the
learning experience and retention
of important concepts.
Be open to learning.
Develop an action plan.
Meeting your needs
• What questions or concerns do you want to
make sure that we cover today?
• What problems do you anticipate in
implementing “Meaningful Conversations”?
• How shall we measure the process?
• What does success look like?
Creating Meaningful Conversations
Focus: Employee Success
Meaningful Conversations are
both the formal and informal
dialogues held throughout year.
What will “Meaningful
Conversations” be like?
• For supervisors?
• For employees?
• For the College?
Meaningful Conversations Process
Each stage is part
of a continuous
process which
takes place
throughout the
year as the
supervisor and
the employee
focus efforts on
achieving goals
and developing
the employee.
Planning
Dialogue
Alignment
Dialogue
Check In
Agreement
is a
requirement
for each
stage to be
successful
and for the
process to be
“meaningful.”
Why Have Performance Appraisals?
• Performance Appraisal offers several advantages at the
level of the:
– Individual
– Organization
Why Have Performance Appraisals?
• Performance Appraisal offers several advantages at the
level of the:
– Individual
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Enhances sense of purpose and self worth
Recognizes of past effort
Uncovers developmental requirements
Motivates for meeting new challenges
Provides information that employees want to know
– Organization
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Links jobs to organizational mission
Provides for staff development
Targets achievement of key objectives
Provides focus on important priorities and appropriate utilization
of human resources
Performance Appraisal
• The benefits to the individual and
organization are good reasons for having an
appraisal process in place
• To maximize the benefits - the organization
must support the appraisal process through:
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Appropriate resources to facilitate the process
Design of a suitable process for the organization
Training of management staff in the process
Training of the personnel in the process
What is a Meaningful Conversation?
• Is it just a
performance
appraisal?
– Connotates only
once a year soliloquy
• How can it be
meaningful?
– Becomes a formal
and informal process
for ongoing dialogue
Both Aspects of Meaningful
Conversations
• Formal
– Prescheduled
meetings
– Reports
– Results
– Annual appraisal
• Informal
– Impromptu
– Personal attention
– Catching people
doing things right
– Teachable
moments
Overview of the “Meaningful
Conversations” Appraisal
Process
Formal Appraisal Overview
Plan Work &
Identify Skills
Observe &
Document Performance
Business Plan
Job Description
Performance Goals
Service
Productivity
Innovation
Reward Review
Performance Appraisal
Discussion
PAST
Performance Review
PRESENT
Development Review
FUTURE
The Appraisal Process
• Components
– People
• Manager
• Employee
• Peers
– Information
• Facts
• Opinions
– Emotion
• Positive
• Negative
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Appraisal Procedure
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Agree on objectives
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Monitor performance
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Give sufficient notice
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Prepare necessary documentation
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Prepare location
Appraisal Procedure
• Conduct appraisal dialogue
• Complete documentation of agreement
• Implement plans for employee
development
Benefits of Appraisals
Overall Benefits of Appraisals
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Increased employee performance
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Greater control of work
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Improved motivation and commitment
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Increased information flow
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Better relationships within & across the
organization
Benefits of “Meaningful
Conversations”
• Designed by people that know Hood
College
– Vision/Mission
– Culture
• Designed by both supervisors and
employees to promote ongoing dialogue
• Designed with a focus on best practices
Manager’s Role
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Model appropriate behavior
Reinforce the process
Set Objectives with Employees
Manage process to ensure fair evaluation for
a each member of department
• Offer Accurate, Timely, Regular & Specific
Feedback
• Other ideas?
Advantages to Managers
Through Performance Appraisal, Managers can :
• Translate business goals into individual job objectives
and standards
• Monitor performance and offer feedback
• Communicate and seek agreement on objectives
• Coach employees on how to achieve their performance
objectives
• Identify employees strengths and areas for growth
• Generate and agree development plans to best serve
the organizations and individual needs
Employee’s Role
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Set Objectives with Manager
Review current job responsibilities
Improve Performance
Be actively involved in their
Development
• Suggest ways to improve departmental
efficiency
• Be personal advocate
Advantages to Employees
Through Performance Appraisal, Employees can:
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Openly discuss performance with managers
Be provided with a development tool
Reinforce and sustain performance
Improve existing performance
Determine career progression goals
Identify training needs
Be engaged in meaningful work
Be empowered to take initiative
Meaningful Conversations
Promotes Empowerment
“Empowerment is the
process of enabling or
authorizing an individual
to think, behave, take
action, and control work
and decision making in
autonomous ways. It is
the state of feeling selfempowered to take control
of one's own destiny.”
http://humanresources.about.com/od/glossarye/a/empow
erment_def.htm
And employee engagement
• “…is a positive
attitude held by the
employee towards
their job and the
organization. The
three components of
an engagement are
beliefs, emotions and
behaviors.”
http://www.hrvalid.com/eei1.htm
• Research says :
– Senior mgmt has sincere interest
in employees’ well-being
– Organization provides
challenging work
– Opportunity for development
– Resources to do the job
– Opinions that matter
– Appropriate decision-making
authority
– Safe work environment
Why are empowerment and
engagement important?
• Highly engaged employees are less
likely to leave
• Individuals who are empowered and
engaged are more
– satisfied, motivated, committed, productive,
innovative, and service-oriented
– Have higher morale
– Less burnout
Communication Skills
Communication: A Critical
Tool
• Sender and
Receiver
• Questioning and
listening
• Clarifying and
responding
• Understanding and
summarizing
Questions promote dialogue
Open
Probing
Hypothetical
Reflective
Closed
Design your question to
close an information gap
Listening
Avoiding
Making
Judgment
Keeping
an
Open Mind
Shift from
Talking
Listening
Taking the
Time
to Listen
Not
Interrupting
Language
• Choose language which the employee will
understand easily
– Talk to get your point across not to show that
you are a ‘gifted orator’
– Check for understanding if the topic is technical
– Watch out for
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jargon
acronyms
‘big words’
‘trigger words’
Common Mistakes
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Halo Effect
Pitchfork Effect
Contrast Effect
Spillover Effect
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Recency Effect
Comparing
Mirroring
Nice Guy/Gal
The Appraisal
The Formal Appraisal
Appraisal Areas
Preparation
Writing the Appraisal
Do’s and Don’ts
Goals
Self Esteem
Structuring the Appraisal
Appraisal Areas
• Performance (What)
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Job responsibilities/duties
Accountabilities
Business targets
Key performance
indicators (KPI’s)
Objectives
Key result areas
• Skills & Knowledge
(How)
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Technical
Managerial
Interpersonal
Professional
Business
Product
Preparation
• Preparation includes
– Reflection - before completing document
• Information gathering – from a variety of sources
– Collect all relevant information, not just what will confirm your own
views!
– Documentation
• Make sure the participant and you have the appraisal
documents completed correctly
– Organizing a venue
• Somewhere neutral and undisturbed
• Make sure the phones are off
• Put a ‘Do not disturb’ sign on the door
– Scheduling a time
• Plan it into your diary and block it from interruption
Writing the Performance Appraisal
• Review the employee’s performance over the last
year & your file of past performance discussions
• Identify in particular areas for praise and also areas
for improvement
• Ensure completeness
• Make sure the documents are clearly written and
used in a way to encourage the employee’s
participation
Writing the Performance Appraisal
• Be Specific
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Where Outline Major Accomplishments of the Past
Year
Illustrate how they supported the overall success
of the team/company
Select areas for improvement and show how they
impacted on this year’s performance
Give Examples
Quantify
Writing the Performance Appraisal
• Note Key Strengths
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Key Areas where the employee excels
Describe areas of strength
• Note Areas of Development
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Areas of Growth & Improvement
Skills/Competencies to be developed
• Summarize Overall Performance Effectiveness
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Describe overall effectiveness in terms of team and
organization
Appraiser Activities
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Mentoring/Coaching
Information Provider
Encouraging
Advising
Clarifying problems
Questioning
Seeking Agreement
Summarizing
Appraisal Fundamentals - Do’s
• Focus on Behavior
• Be Specific
• Be Sincere
• Be Honest
• Consider Your Timing
• Check For Understanding
Appraisal Fundamentals - Don’ts
• Blame or Attack
• Offer Unsubstantiated or Unsupported
Feedback
• Become Emotional or Reactive
• Label or Judge the Employee
Appraisal Fundamentals Self Esteem
• Do
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Make positive
comments
Display acceptance
Reduce negative
feelings
Share experiences
Indicate
understanding and
empathy
• Don’t
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Devalue person
Use negative verbal
and non-verbal
behaviors (e g , sigh)
Show impatience
Be condescending
Goal Setting
• When setting performance or development
objectives apply the SMART criteria
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Specific
Measurable
Achievable
Relevant
Time Bound
Objectives set in this manner have an improved
chance of being realized
Structuring the Appraisal
• The Appraisal has 3 distinct phases
Beginning
Phase
Middle
Phase
End
Phase
Structuring the Appraisal
• The Beginning Phase
– 3 Parts
• The Rapport Building
– Short and personalized Set the employee at ease
• The Review of the Purpose
– Outline the reason for the meeting and indicate that you
will be taking notes Invite the employee to take notes as
well
• The Building of the Agenda
– This is a shared process so as to develop ownership with
the employee It also recognizes their right to be consulted
Structuring the Appraisal
• The Middle Phase
– Use the agenda which has been jointly
developed to guide the process
• Stay focused on the point
• Finish each point on the agenda and agree
actions that have been decided during the
discussion
• Control the process
Structuring the Appraisal
• The End Phase
– Signal that the process is ending
• Check if there are any additional matters that the
employee wants to raise
– Summarize the action points that have been
decided upon
• It can be useful to get the employee to do the summary
• Check for understanding and acceptance
– Conclude the meeting
• Try to end on a high note and thank the employee for
their contribution
The Appraisal Discussion
The Appraisal Discussion
Discussion
Framing
Disagreement
Criticism
Feedback
The Performance Appraisal Discussion
• Actively Listen
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Don’t interrupt
Do Clarify
Do Paraphrase
Do Problem Solve
• There should be no surprises!
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Regular performance meetings with
employees will ensure that surprises are
avoided
The Performance Appraisal Discussion
• Make sure that it is a discussion not a lecture!
• Make sure that the employee participates
• Make sure that there is clarity in terms of the
issues discussed and the action points that
come out of them
• Get Signed Agreement on the Appraisal and
on any action plans
Positive Framing
• Dependent upon
– Tone & Pitch
– Body language
– Language
– Structure of the sentence
If There is Disagreement
• Listen to the Employee’s Opinion
• Assess Any New Information as Appropriate
• Should the Employee not Agree to sign the Appraisal
- document this fact
• The Employee can choose to add an addendum or
rebuttal - this should be signed also by your manager
and HR representative
• Sign and date the Appraisal including any rebuttals
Giving Criticism
• Constructive criticism
– Collect the evidence on what you are to give constructive
criticism on
– Ration the criticism so that it will be effective
– Prioritize the criticism
– Avoid going over old ground
– Balance between criticism and praise
– Compartmentalize the criticism
Receiving Criticism
• The appraisal process may offer the
employee a chance to criticize you as a
manager so you need to be able to take
criticism as well
– Listen to the critic, then repeat back the
criticism
– Ask the critic to specify the problem
– Search for a solution to the problem
Feedback of Results
• Types of Feedback Interviews
–Tell and Sell
–Tell and Listen
–Problem Solving
–Coaching
Feedback of Results
• Tell & Sell
– The feedback is designed to
• Tell the participant what is wrong
• Show the participant what must be improved
• Sell the improvement process
• Motivate the participant to change
Feedback of Results
• Tell & Listen
– The feedback is designed to
• Tell the participant what is wrong
• Show the participant what must be improved
• Listen to what the participant intends to do to
generate the required changes
• Motivate the participant to change
Feedback of Results
• Problem Solving
– The feedback is designed to
• Identify the problem
• Clarify what the root cause of the problem is
• Design a solution that will eliminate the problem
• Agree on an implementation plan
Feedback of Results
• Coaching
– The feedback is designed to
• Identify the challenges faced by the participant
• Decide on what type of coaching (directive or nondirective) best suits the situation
• Assist the participant to design their own solutions to the
challenges
• Provide a source of advice through the activity of
implementing the solutions
Directive & Non-directive
Coaching
Listening to understand
PUSH
- Reflecting
solving someone’s
- Paraphrasing
problem for them
Summarizing
Asking ‘good’ questions
Non
Making suggestions
Directive
Giving feedback
Offering Guidance
- Giving advice
Instructing
PULL
Directive
- Telling
helping someone
solve their own
problem
Problems with Appraisals
Appraisal Problems
• Appraisal problems can arise due to
People
Process
Preparation
What problems are you expecting?
People Problems
• The performance appraisal can run into
problems that are centered on people due to:
– Lack of trust in the appraisal process
– The appraisal process is seen as generating
negative experiences based on past activity
– Focus on personality rather than performance
– Poorly trained people conducting the appraisals
• What can you do to make this a positive
experience for your team?
Process Problems
• Process problems can arise due to:
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Poor process design
Complex process
Poor fit with the capabilities of the organization
Lack of training
Little or no co-ordination of the activities
Little or no real support for the process from the
senior management level
– No credibility
Preparation Problems
• These can arise due to:
– Lack of time allotted to carry out the process in a
professional and complete manner
– Lack of a support structure
– Unclear objectives
– No value assigned to the process therefore it has no
priority in terms of preparing
– Poor training in the process
• How will you ensure that you and your team
are prepared for “Meaningful
Conversations”?
Common Appraisal Problems
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Time consuming
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Can de-motivate
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Retrospective
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Can cause frustration and confusion
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Stresses disagreement
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Inaccurate results
Problems with Appraisals
• Unclear goals
• Unrealistic goals
• No attention paid to goals
• Fear
• Criticism is avoided
• No link to overall strategy for the company
Problems with Appraisals
• Poor communication
• Bad or no preparation
• Interruptions
• Postponement of the appraisal interview
• Lack of trust
• Linked to pay
Preparing your Action Plan
• Scheduling frequent formal discussions
– How
– When
– What
• Capitalizing on informal discussions
– Demonstrate your ongoing interest in the
employee and his/her work
– Capture the information for future review
Meaningful Conversations Forms
Employee Form
– Mostly narrative – Adult to
Adult interaction
– Progress, Accomplishments,
Strengths, Innovation
– Development, Mentoring
– Future planning
• Goals
• Changes
Supervisor Form
– Rating of competencies
and Professional
Characteristics
– Conversation Points
– Accomplishments and
Commendations
– Recommendations
– Rating person on the same
factors as the supervisor
How does the structure of these forms help to facilitate
Meaningful Conversations?
Summary
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Preparation is vital
Meaningful Conversations is a two way process
Communication skills are vital
Clear and positive language is required
Objective setting should be smart
Know the pitfalls and observe them
Your participation is important to the
success of this process
• Feedback will be used to continuously improve
the process
Feedback
• Additional concerns
• Questions
• Other information