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CMS 1 > A7 - Performance Appraisal > Flashcards

A7 - Performance Appraisal Flashcards

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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

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2
Q

Steps of Perf. Mgmt

A
  1. Goals set to align w/ higher level goals
  2. Behavioral expectations and standards set and then aligned w/ EE and org. goals
  3. On-going perf. feedback provided during cycle
  4. Perf. appraised by mgr
  5. Formal review session conducted
  6. HR decision making (pay, promo, etc…)
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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.

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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
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5
Q

(8) key points to address during feedback convos

(U of Indiana’s “University HR Services”)

A
  1. give specific exps of desirable and undesirable behaviors
  2. focused feedback on behavior, not the person
  3. frame the feedback in turns of helping the EE by successful
  4. direct the feedback towards behavior the EE can control
  5. s/b timely
  6. limit it to the amt the EE can process
  7. use active comm. skills and confirm the EE is engaged in the convo
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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

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7
Q

(2) purposes of perf. appraisals

A
  1. administrative
  2. developmental
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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
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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
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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.
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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
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12
Q

Establishing Perf. Standards

A
  • Strat. relevance
  • Criterion deficiency
  • Criterion contamination
  • Reliability
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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.
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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
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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
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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
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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

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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
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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
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20
Q

Who Should Appraise an EE’s Perf?

A
  • mgr/super appraisal
  • self-appraisal
  • subordinate appraisal
  • peer appraisal
  • team appraisal
  • customer appraisal
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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

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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

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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

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24
Q

dimensions of a subordinate appraisal

A
  • mgr’s leadership
  • oral comm
  • delegation of authority
  • coord. of team efforts
  • interests in subordinates
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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

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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)

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27
Q

a perf. appraisal based on TQM concepts, that recognizes team accomplishment rather than indiv. perf.

A

team appraisal

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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

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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

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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
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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
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32
Q

(3) parts for Training Appraisers

A
  1. estab. an appraisal plan
  2. eliminating rater error
  3. feedback training
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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
  1. tell-and-sell interview
  2. tell-and-listen interview
  3. 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

CMS 1 (10 decks)

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