A7 - Performance Appraisal Flashcards
1
Q
- process of creating a work environ. in which ppl can perform to the best of their abilities
- entire work system that emanates from a company’s goals
A
perf. mgmt
2
Q
Steps of Perf. Mgmt
A
- Goals set to align w/ higher level goals
- Behavioral expectations and standards set and then aligned w/ EE and org. goals
- On-going perf. feedback provided during cycle
- Perf. appraised by mgr
- Formal review session conducted
- HR decision making (pay, promo, etc…)
3
Q
- the result of an annual/biannual process in which a mgr evaluates an EE’s perf. relative to the requirements of his/her job and uses the info to show the person where improvements are needed and why
- to maintain and enhance productivity
- facilitate progress toward their strat. goal
A
perf. appraisals
*if well executed - have capabilities to influence EE behavior and improve an org’s perf.
4
Q
adv. of ongoing perf. feedback
A
- most useful when immediate and specific to a partic. situation - s/b occurring regularly
- all types of EEs can benefit from ongoing perf. convos with mgrs
- potential to serve as catalysts for improvement w/in the company
5
Q
(8) key points to address during feedback convos
(U of Indiana’s “University HR Services”)
A
- give specific exps of desirable and undesirable behaviors
- focused feedback on behavior, not the person
- frame the feedback in turns of helping the EE by successful
- direct the feedback towards behavior the EE can control
- s/b timely
- limit it to the amt the EE can process
- use active comm. skills and confirm the EE is engaged in the convo
6
Q
- an appraisal system in which all of an org’s EEs are reviewed at the same time of yr rather than on their anniv. of hire
- enables mgrs to compare the perf. of diff. EEs simultaneously
A
focal perf. appraisal
7
Q
(2) purposes of perf. appraisals
A
- administrative
- developmental
8
Q
Administrative purposes of a perf. appraisal
A
- doc. personnel decisions
- promote EEs
- determine transfers and assignments
- ID perf. probs and develop ways to correct them
- doc HRM actions in case of legal issues
- make retention, term, and layoff decisions
- validate selection criteria
- meet legal requirements
- eval. training programs/processes
- assist w/ HR planning
- make reward and compensation decisions
9
Q
**Developmental **purposes of a perf. appraisal
**feedback essential for discussing an EE’s goals and how they align w/ the org
A
- provide perf. feedback
- ID indiv. strengths and weaknesses
- recognize indiv. perf. achievements
- help EEs ID goals
- evaluate goal achievement of EEs
- ID indiv. training needs
- determine org. training needs
- reinforce authority structure
- allow EEs to discuss concerns
- improve communication
- provide a forum for leaders to help EEs
10
Q
Why appraisal prog. sometimes fail
A
- no support from mgmt
- some believe they discourage teamwork b/c it frequently focuses on the indiv. achievements of workers rather than teams
- useful only at extremes - the best or the worse - but not for those in between.
- often focuses on S/T achievements rather than L/T improvement and learning
- mgrs don’t engage EEs and are afraid to ‘hurt feelings’
- slry often becomes main/only focus of meeting - instead of ways to improve perf.
11
Q
Parts to developing an effective appraisal program
A
- what are the perf. standards?
- are you complying w/ the law?
- who should appraise an EE’s perf.?
- putting it all together: 360-degree appraisal (feedback and appraisal)
- training appraisers
12
Q
Establishing Perf. Standards
A
- Strat. relevance
- Criterion deficiency
- Criterion contamination
- Reliability
13
Q
Establishing Perf. Standards: Strat. Relevance
A
- perf. standards linked to org. goals and competencies
- also provides HR with the doc. needed to justify various training expenses in order to close any gaps b/w EEs’ current skills and those they will need in the future to execute the firm’s strat.
14
Q
Establishing Perf. Standards: Criterion Deficiency
A
- if actual perf. is only measured by only focusing on one or a limited # of measurements = the appraisal is criterion deficient
- the standards should capture the entire range of an EE’s responsibilities
15
Q
Establishing Perf. Standards: Criterion Contamination
A
- standards s/b capable of being objectively applied
- elements that affect the appraisal measures that are not part of the actual perf.
- factors outside of the EE’s control that affect their perf.
- not comparing apples to apples
- it shouldn’t matter if someone has newer equipment than another person
16
Q
Establishing Perf. Standards: Reliability
A
- measures that are consistent across raters and over time
- measured by correlating 2 sets of ratings made by a single rater or by two differ. raters
- to make sure mgrs are rating EEs consistently - use calibration b/w a group of supers
17
Q
process whereby mgrs meet to discuss the perf. of indiv. EEs to ensure their EE appraisals are in line w/ one another
A
calibration
18
Q
Are You Complying w/ the law?
A
- must meet certain legal requirements
- must have carefully defined and measurable perf. standards
- Albemarle Paper Company v. Moody - prompted orgs to try to eliminate vagueness in descriptions of traits such as attitude, cooperation, dependability, initiative, and leadership
19
Q
Are You Complying w/ the law?
appraisals should meet the following legal guidelines:
A
- perf. ratings must be job-related, w/ perf. standards developed thru a job analysis
- EEs must be provided w/ clear, written job standards in advance of their appraisals so they
- mgrs who conduct appraisals must be able to observe the behavior they are rating
- do not allow perf. probs to continue unchecked
- supers s/b trained to use appraisal form correctly
- appraisals s/b discussed openly w/ EEs and counseling or corrective guidance offered to help poor performers improve their perf.
- an appeals procedure s/b estab. to enable EEs to express their disagreement w/ the appraisals
- document appraisals and reason for any actions
20
Q
Who Should Appraise an EE’s Perf?
A
- mgr/super appraisal
- self-appraisal
- subordinate appraisal
- peer appraisal
- team appraisal
- customer appraisal
21
Q
- a traditional approach to evaluating an EE’s perf.
- done by EE’s mgr and often reviewed by a mgr one level higher
- mgrs must rely on perf. records to evaluate an EE’s perf.
A
mgr and/or super appraisal
22
Q
- perf. appraisal done by the EE being evaluated, generally on an appraisal form completed by the EE prior to the perf. interview
- beneficial to increase an EE’s involvement with the review process
- gets EE thinking about strengths and weaknesses and opens convo about barriers to effective perf.
- super/EE can work together to develop goals for the future
- best used for development purposes
A
self-appraisal
23
Q
- perf. appraisal of a superior by an EE, which is more appropriate for developmental than the admin puproses
- both lg and sm orgs
- gives mgrs feedback on how their subordinates view them
- meant to improve the perf. of mgrs
- s/b submitted anonymously and combined across several indiv. raters
A
subordinate appraisal
24
Q
dimensions of a subordinate appraisal
A
- mgr’s leadership
- oral comm
- delegation of authority
- coord. of team efforts
- interests in subordinates
25
Q
- perf. appraisal done by one’s fellow EEs, generally on forms that are compiled into a single profile for use in the perf. interview conducted by the EE’s mgr
- equal rank who work together
A
peer appraisal
26
Q
a control system from the 1980s that involves setting standards (based on customer requirements), measuring a firm’s perf. against those standards, and ID’g opps. for continuous improvements
A
Total Quality Mgmt (TQM)
27
Q
a perf. appraisal based on TQM concepts, that recognizes team accomplishment rather than indiv. perf.
A
team appraisal
28
Q
- perf. appraisal that, like team appraisal, is based on TQM concepts and includes evaluation from both a firm’s external and internal cust.
- could have vendors and suppliers included in review
A
customer appraisal
29
Q
- this combines various sources of perf. appraisal info to create multirater appraisal and feedback systems
- intended to provide EEs w/ as accurate a view of their perf. as possible by getting input from all angles: supers, peers, subs, cust., etc…
A
360-degree appraisal
30
Q
Pros of 360-degree appraisal
A
- more comprehensive from info gathered from multiple perspectives
- quality of info is better
- complements TQM initiatives by emphasizing internal/external cust. and teams
- lessens bias/prejudice since feedback comes from more ppl, not just one indiv.
- feedback from peers and others may increase EE self-development
31
Q
Cons of 360-degree appraisal
A
- system is complex in combining all the responses
- feedback can be intimidating and cause resentment if EE feels the respondents have “ganged up”
- may be conflicting opinions
- system requires training to work together
- EEs may collude or “game” the system by giving invalid evals to one another
- appraisers may not be accountable if their evals are anonymous
32
Q
(3) parts for Training Appraisers
A
- estab. an appraisal plan
- eliminating rater error
- feedback training
33
Q
Estab. an Appraisal Plan
(Training Appraisers)
A
- most effective if systematic process - begins w/ explanation of objs.
- rater must know purpose
- mechanics of system must be explained - how frequent, who, and standards
- should alert raters to the weaknesses and porbs of appraisal systs. so they can be avoided.
34
Q
Eliminating Rater Error
(Training Appraisers)
A
- elim. subjective errors
TYPES:
- halo
- horn
- distributional
- error of central tendency
- leniency or strictness error
- forced distribution
- temporal
- recency error
- contrast error
- similar-to-me error
35
Q
- type of rater error
- occurs during the appraisal process if raters do not have carefully developed descripts. of the EE behaviors being rated
A
halo error
36
Q
- type of rater error
- mgr focuses on 1 negative aspect about an EE and generalizes it into an overall poor appraisal rating
A
horn error
37
Q
- type of rater error
- involves a group of ratings given across various EEs
A
distributional errors
38
Q
- type of distributional rater error
- eval. everyone the same and in the middle
- when raters who are reluctant to assign either extremely high or extremely low ratings
- results in all EEs rated as average
A
central tendency error
39
Q
- type of distributional rater error
- appraiser tends to give unusally high (lenient) or low (strict) ratings
- way to reduce this error: have clearly defined characteristics or dimensions of perf. and to provide meaningful descriptions of behavior (anchors) of scale for appraisers to compare.
A
leniency or strictness error
40
Q
- type of distributional rater error
- raters are required to place a certain percentage of EEs into various perf. categories
- if this involves any of the protective class, it could be at risk of discrim. issues
A
forced distribution (a.k.a forced ranking)
41
Q
- type of rater error
- perf. review is biased either favorably or unfavorably, depending on the way perf. info. is selected, evaluated, and org’d. by the rater over time
A
temporal error
42
Q
- type of temporal rater error
- the appraisal is based largely on the EE’s most recent behavior rather than on behavior throughout the appraisal period
- solution: keep log or diary
A
recency error
43
Q
- type of temporal rater error
- bias that occurs when an eval. of an EE is misconstrued based on the previously evaluated EE.
- an avg EE can seem more productive in comparison to the recently appraised poor perf. EE
- can be reduced with training that focuses on using obj. standards and behavioral anchors to appraise perf.
A
contrast error
44
Q
- type of temporal rater error
- appraiser inflates the eval. of an EE b/c of a mutual personal connection
- could end up leading to discrim. if not corrected
A
similar-to-me error
45
Q
Feedback training
(Training Appraisers)
A
- provide some general points to consider for planning and providing feedback on an ongoing basis and during the appraisal interview
- 3 basic areas:
- comm. effectively
- diagnosing the root causes of perf. probs
- setting goals and objs.
46
Q
perf. appraisal methods (3)
A
- trait
- behavioral
- results
47
Q
Trait Perf. Appraisal Methods
A
- known for subjectivity (not necessarily a good thing)
- designed to measure the extent to which an EE possesses certain characteristics that are viewed as important for the job and the org. in general
- easy to develop
- if not done right, can be biased and subj.
48
Q
Advantages of Trait Perf. Appraisal Methods
A
- inexpensive to develop
- use meaningful dimensions
- are easy to use
49
Q
Disadvantages of Trait Perf. Appraisal Method
A
- have high potential for rating errors
- are not useful for EE counseling
- are not useful for allocating rewards
- are not useful for promotion decsions
50
Q
Types of Trait Perf. Appraisal Methods
A
- Graphic Rating Scales
- Mixed-Standard Scales
- Forced-Choice Method
- Essay Method
51
Q
- a trait approach to perf. appraisal whereby each EE is rated according to a scale of characteristics
- evaluators are often required to explain each rating w/ a sentence or two
A
graphic rating scale method
52
Q
- a trait approach to perf. appraisal similar to other scale methods but based on comparison w/ (better than, equal to, or worse than) a standard
- allows rater to select from three choices for each trait; reflecting superior, average and inferior perf.
A
mixed-standard scale method
53
Q
- a trait approach to perf. appraisal that requires the rater to choose from stmts designed to distinguish b/w successful and unsuccessful perf.
- rater selects one stmt from the pair w/o knowing which is correctly describing successful job behavior
A
forced-choice method
54
Q
- a trait approach to perf. appraisal that requires the rater to compose a stmt describing EE behavior
- rater is usually asked to describe the EE’s strengths and weaknesses and to make recommendations for development
- usually combined w/ another method b/c it provides additional descriptive info about an EE’s perf. that cannot be generated w/ a structured rating scale
A
essay method
55
Q
Behavioral Perf. Appraisal Methods
A
- provides action-oriented info
- developed specifically to describe which actions s/b (or not) be exhibited on the job
- often used to provide EEs w/ developmental feedback
- improves a rating scale with having descripts. of behavior along a scale, or continuum
- permit the rater to readily ID the point where a particular EE falls on the scale
56
Q
Advantages of Behavioral Perf. Appraisal Methods
A
- use specific perf. dimensions
- are acceptable to EEs and superiors
- are useful for providing feedback
- are fair for rewards and promo decisions
57
Q
Disadvantages of Behavioral Perf. Appraisal Methods
A
- can be time-consuming to develop/use
- can be costly to develop
- have some potential for rating error
58
Q
Types of Behavioral Perf. Appraisal Methods
A
- Critical Incident Method
- Behavioral Checklist Method
- Behaviorally Anchored Rating Scale (BARS)
- Behavior Observation Scale (BOS)
59
Q
- Type of Behavioral Perf. Appraisal Methods
- structured to focus on occasions when the behavior of an EE results in unusual success or unusual failure
- mgr keeps log/diary for each EE throughout the appraisal period and notes specific critical incidents related to how well they perform
- elims. recency error b/c it covers then whole eval. period
- helps mgr counsel EE when they are having perf. probs while the prob is still minor
A
critical incident method
60
Q
- Type of Behavioral Perf. Appraisal Methods
- rater checks the stmts on a list that the rater believes are characteristic of the EE’s perf. or behavior
A
behavioral checklist method
61
Q
- a behavioral approach to perf. appraisal that consists of a series of vertical scales, one for each important dimension of job perf.
- based on critical incident approach
- supers give descripts. of actual good and bad perf. for each of 5 to 10 rating scales
- committees of mgrs and EEs then rework and approve a set of critical incidents for each scale and anchor them quantitatively along each scale
- facilitates the assignment of points when EEs are eval’d on each of the job characteristics incorporated w/in the rating scales
A
behaviorally anchored rating scale (BARS)
62
Q
behaviorally anchored rating scales (BARS)
characteristics
A
- critical incidents are placed along the scale and are assigned point values according to the opinions of experts based on importance
- developed by a committee that includes both subs and mgrs
- studies show that this yields more accurate results
- adv - personnel outside the HR dept partic. w/ HR staff in its development = greater acceptance in the process
- disadv - requires lots of time and effort to develop
63
Q
- a behavioral approach to perf. appraisal that measures the frequency of observed behavior
- based on critical incidents
- allows rater to play the role of abserver rather than of judge
A
behavior observation scale (BOS)
64
Q
Results Perf. Appraisal Methods
A
- focuses on measurable contribs. that EEs make to org.
- eval. EEs’ accomplishments - the results they achieve through their work
- more objective and empowering for EEs
- gives EEs more responsibility for their outcomes while giving them discretion over the methods they use to accomplish them.
65
Q
Advantages of Results Perf. Appraisal Methods
A
- have less subjectivity bias
- are acceptable to EEs and superiors
- link indiv. perf. to org. perf.
- encourage mutual goal setting
- are good for reward and promo decisions
66
Q
Disadvantages of Results Perf. Appraisal Methods
A
- are time-consuming to develop/use
- may encourage a S/T perspective
- may use contaminated criteria
- may use deficient criteria
67
Q
Types of Results Perf. Appraisal Methods
A
- Productivity Measures
- Mgmt by Objectives
- The Balanced Scorecard (BSC)
68
Q
- Type of Results Perf. Appraisal Methods
- measures that directly links what EEs accomplish to results that benefit the org.
- directly aligns EE and org goals
A
Productivity Measures
69
Q
Disadv of Productivity Measures Perf. Appraisals
A
- can be contaminated by external factors that EEs cannot influence
- encourages EEs to “look good” on S/T basis, while ignoring the L/T ramifications
70
Q
- Type of Results Perf. Appraisal Methods
- a philosophy of mgmt that rates perf. on the basis of EE achievement of goals set by mutual agreement of EE and mgr
- EEs have established goals set by EE and mgr; evaluated based on these goals
- s/b viewed as part of the total system for managing, not as merely an additon to the mgr’s job
- combines the super-oriented and the self-eval. systems
A
mgmt by objective (MBO)
71
Q
steps of MBO
A
- Step 1: Org. goals and metrics
- Step 2: Dept. goas and metrics
- Step 3A: Super lists goals and metrics for sub.
- Step 3B: Sub. proposes goals and metrics
- Step 4: Mutual agreement of goals and metrics
- Step 5: Interim review
- Step 5A: Inappropriate goals/metrics deleted
- Step 5B: New inputs are then provided
- Step 6: Final review
- Step 7: Review of org. perf.
72
Q
guidelines for a successful mgmt by objs. (MBO)
A
- mgrs and EEs must be willing to estab. goals and objs. together
- objs. s/b quantifiable and measurable for both L/T and S/T
- expected results must be under EE’s control
- goals/objs. must be consistent for each level of the org.
- mgrs and EEs must estab. specific times when goals are to be reviewed and eval’d
73
Q
- Type of Results Perf. Appraisal Methods
- used to appraise indiv. EEs, teams, bus. units, and the corporation itself
- takes into acct 4 related categories - fin., cust., processes, and learning
- EE can see more clearly how his/her perf. ties into the overall perf. of the firm
- allows mgrs to translate broad corporate goals into divisional, departmental, and team goals in a cascading way
A
The Balanced Scorecard (BSC)
74
Q
Tools for successful BSC
A
- translate the strat. into a scorecard of clear objs.
- attach measures to each obj.
- cascade scorecards to the front line
- provide perf. feedback based on measures
- empower EEs to make perf. improvements
- reassess the strat.
75
Q
Appraisal Interviews
A
- most important part of the entire perf. appraisal process
- gives mgrs opp to discuss a sub’s perf. record
- able to explore possible improvement and growth with EEs
- s/b sched’d far enough in advance to let both parties prepare for it
76
Q
(3) types of appraisal interviews
A
- tell-and-sell interview
- tell-and-listen interview
- problem-solving interview
77
Q
- type of appraisal interviews
- skills required: ability to persuade an EE to chg in a prescribed manner
- may require the development of new bahaviors on the part of the EE and skillful use of motivational incentives on the part of the appraiser/super
A
tell-and-sell interviews
78
Q
- type of appraisal interviews
- 1st part: appraiser/super communicates the strong and weak points of an EE’s job perf.
- 2nd part: EE’s feelings about the appraisal are thoroughly explored
- gives both mgrs and EEs the opp. to release and iron out any frustations
A
tell-and-listen interviews
79
Q
- type of appraisal interviews
- skills required: listening, accepting, and responding to feelings
- seeks to stimulate the growth and development of an EE by discussing his/her probs, needs, and on-the-job statisfaction and dissatisfaction
A
problem-solving interviews
80
Q
guidelines for conducting the appraisal interview
A
- ask for a self-assessment
- invite participation
- express appreciation
- minimize criticism
- chg the behavior, not the person
- focus on solving probs
- be supportive
- establish goals
- followup day to day
81
Q
Factors that effect an EE’s perf.
A
- ABILITY
- technical skills, interpersonal skills, prob-solving skills, analytical skills, comm. skills, physical limitations
- MOTIVATION
- career ambition, goals and expectations, job satisfaction and frustrations, fairness perceptions, relations w/ co-workers
- ENVIRONMENT
- equipment/materials, job design, econ. conditions, unions, rules/policies, managerial support, laws/regs
