Chris Jarvis 1

BS3403

HRM and

Staff Appraisal

http://sol.brunel.ac.uk/bola/appraisal/http://sol.brunel.ac.uk/bola/appraisal/

Chris Jarvis 2

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 3

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 4

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 o appraisal (stakeholder feedback to the manager)

Self-appraisal

Chris Jarvis 5

BS3403

Rating Approach (Traits/behaviour)

5. Problem-solving ----- etc

6. Appearance, manner and attendance

4. Relationships & Values ----- etc

3. Job Ability ----- etc

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

1. Quantity of Work Manages work loadNo. of contracts & staff Job plans: complete accurate & up-to-date Staff records: complete, accurate & up-to-date

Rating and Comments Job Factor

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Chris Jarvis 6

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 7

BS3403

Learning from Experience and MbO

ActualExperience

ReflectiveObservation

Abstracting &Theorising

Testing & experimenting

LEARNINGCYCLE

D Kolb, Rubin & McIntyreOrganisational Psychology, Addison Wesley

A model forpersonal awareness and development

A model forpersonal awareness and development

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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 9

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"

MAINTENANCE Objectives/targets 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

NEW INNOVATION - PROJECT 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

Chris Jarvis 10

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?

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BS3403

MbO Record

Notes on Achievements/Progress

Progress Review Dates

4.

3.

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1.

Training/Learning NeedsData for

Monitoring

Objective/Target to be Achieved Key Job Area

Date Job/RoleName

Signed: (Post-holder)Signed: (Post-holder) Signed: (Manager)Signed: (Manager)

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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 14

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 15

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 16

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 Now I've got you ….. Everyone says that …..

Chris Jarvis 17

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

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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 19

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 20

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? 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

Chris Jarvis 21

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 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.

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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 23

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 24

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 the activity

the continuity/follow-up events.

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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 find the process useful (joint benefit) and not too arduous.

get a personal return from commitment & energy

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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 A focus on performance, achievement and individuality

employees are more than factors of production - they are valued in and of themselves - as people.

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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 28

BS3403

Seminar Questions

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?

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BS3403

Exercise

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 hunky-dory.

Evaluate the usefulness of discussing your work with someone who was well informed, but not your "boss".