appraisals - patricia buhler

8/14/2019 Appraisals - Patricia Buhler

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Managing in the new millennium: the performance

appraisal process.By Buhler, Patricia M.

Publication: Supervision

Date:Tuesday, November 1 2005

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Performance appraisal is a critical human resource function. The performance of

individuals within the organization is modified and improved through the effective

utilization of the performance appraisal process. More companies are now using theevaluation process for developmental functions. That is, the process can be

effectively used to identify strengths and weaknesses of employees so areas of

improvement can be targeted (and thereby improved). Training and development

can then be outlined with coaching and mentoring opportunities proposed. In

addition, the process can be used as input to the skills inventory (or skills bank) of

companies. As organizations evolve and human resource staffing needs change, a

skills inventory can provide essential information. As new skills are acquired by

employees and strengths identified (during the performance appraisal process), the

skills inventory is updated. Internal candidates can then be identified when new

positions are created or openings occur within the organization. Volumes have beenpenned on delivering effective performance appraisals, developing successful

performance management systems, and training managers to write better

performance appraisals. The flip side of this process deserves equal time, though.

That is, the person receiving the appraisal must also understand the process and

understand his or her responsibilities to get the most out of the evaluation process.

Since virtually everyone in the organization is evaluated, the process should be of

interest to people at all levels within the organization. Even the firm's CEO should

be evaluated--though this function is usually performed by the board of directors.

Regardless of organizational level, effectively using the performance appraisalprocess can provide benefits to everyone. The trend today is toward the

implementation of 360-degree appraisal. This involves an evaluation of a full circle

of raters. This now is likely to include the employee himself or herself, the direct

manager, peers, customers, or anyone else who might have knowledge of the

individual's performance. In the case of managers or supervisors, this might also

include subordinate evaluations. Collaborative appraisal models have grown in

popularity. These encourage buy-in from both sides and provide a more informative

feedback process with more than one perspective (traditionally, just the

manager's). A self-appraisal is a systematic process providing the employee with an

opportunity to appraise his or her own work. It opens the door for discussions thatmay enlighten the manager to another perspective. This is especially important with

knowledge workers in an information age where the manager may not always know

everything that employees do.

As the use of self-appraisals has increased, the opportunity for each employee to

offer valuable input to the process has also grown. This opportunity, however, has
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come with increased responsibility. That is, to take full advantage of this input, the

employee must carefully do his or her homework and truly understand the process

and all its components. Becoming Familiar with the Appraisal Form and the Process

Employees should in no way be intimidated by their increased involvement in the

process. Administering performance appraisals consistently ranks at the top of the

list of the most disliked managerial tasks. An employee who is responsibly involved

in the process with valuable contributions can then be a welcome relief to themanager. It is important that each employee be familiar first with the appraisal form

itself. Many organizations have customized forms. Larger firms may even customize

the form from department to department. These forms should be received well in

advance of the actual evaluation date so employees can become familiar with them.

In addition to the form itself, the employee must possess a thorough knowledge of

the job description and the standards of performance. The job description should be

provided to each employee when hired. This document outlines the key

responsibilities and tasks that the employee is required to perform on the job.

Often, these responsibilities will be listed in descending order of the time expected

to be spent in each of these tasks.

An effective performance appraisal will then reflect how well the employee is

performing these specific tasks. More progressive organizations today are replacing

the use of job responsibilities and specific job tasks with competencies. These tend

to be broader and less likely to become obsolete as quickly. Employees should be

equally knowledgeable about the competencies required for them to perform

successfully on the job. The standards of performance are perhaps the most critical

input for performance appraisals. These are the specific measures of performance

against which an employee will be evaluated. These measures may be output or

behavioral. That is, they may specify what is to be done or how it is to be done. It isessential that every employee knows and fully understands these standards of

performance against which they will be appraised. Without full knowledge of these

measures, employees cannot be expected to perform at those levels. The

performance criteria must, however, be job-related and be within the employee's

control. They cannot be held accountable for performance that is not within their

control.

Generally, employees should receive a copy of the evaluation form itself a few

weeks prior to the appraisal interview. This should be completed as objectively as

possible. While these self-appraisals tend to be less objective and more positivethan the supervisor's appraisal, this is always a good starting point for discussions

during the interview. For this reason, employees must be very specific when

completing each item. It is not sufficient to circle a rating of 4 out of 5 for quality of

work. Specific examples should be provided with dates and details. Employees

should have a clear understanding of how their performance appraisal process is

aligned with their compensation (including any bonuses or merit pay increases) and


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promotion opportunities. Finally, it is important that employees know what their

options are if they disagree with the evaluation. In most cases, organizations

provide employees the option of submitting a rebuttal to document their

disagreement. This should be placed in the employee's personnel file with the

performance appraisal.

Employees should be provided sufficient time to complete their self-evaluations It isimportant to solicit this necessary time since the astute employee must carefully

think through what he or she most wants the manager to know. It is more than

reasonable to ask for 10-14 days to prepare. Documentation is an essential part of

preparation. Just as it is recommended that managers maintain critical incident

diaries to use for writing performance appraisals, employees should keep their own.

That is, each time the employee does something especially noteworthy or

something that presented a problem, a paragraph or two should be written

summarizing this incident. These entries can then be used as specific examples

when completing the appraisal form. The employee should have a prepared copy of

the appraisal form for the manager (and another for himself or herself) that isbrought to the appraisal interview. This evaluation should be grammatically correct

and free from spelling errors. A professional presentation will go a long way in

ensuring that the employee is truly "heard" and taken seriously. This also means

that the evaluation is not used as a venting mechanism, but is kept professional and

is focused on behaviors.

The performance appraisal interview itself is an active process. That is, the

employee should not remain passive. Instead, he or she should expect to provide

input and talk at least fifty percent of the time. This is not a one-way

communication process. The employee's remarks, however, should be carefullychosen. The environment is also important. To be effective, the employee should

ensure that the manager has selected a quiet meeting place free from interruptions.

It is critical that issues to be discussed during the interview be prioritized to ensure

that those most important topics are covered first. The employee might even think

of this appraisal interview as a meeting with an agenda where topics are outlined

and times are allotted to each. While the manager generally has control of the

interview, the employee can contribute and help to steer the discussion in the

desired direction. Topping the list might be a thank you for the opportunities

afforded the employee by the company and the manager. This serves to start on a

positive note. A list of accomplishments from the review period should be included.While the past performance of the employee is evaluated, the most effective

appraisals are oriented more toward the future. The focus of a developmental

appraisal should be on how shortcomings can be improved and what skills should be

developed going forward. This is also an opportunity to jointly set goals for the

upcoming year. Employees should be proactive in bringing their suggestions to the

table. This is a good time for the employee to think about the portfolio of skills that


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they want to develop. These should, however, be tied to the strategic objectives of

the firm and the department.

By aligning the employee's personal development and skill acquisition with the

achievement of organizational objectives, the manager will more clearly recognize

their importance and be more likely to assist. It is essential for the employee to gain

commitment from the manager. This is a partnership between the manager and theemployee to improve the employee's performance--and ultimately, the

organization's performance. It is always a good tactic to agree on a follow-up

meeting time and place. The action plan (with goals) discussed in the appraisal

interview can then be re-visited and progress monitored to ensure the employee is

on track. Unfortunately, the performance appraisal process is not used as

effectively if it is not a two-way process with employees actively involved. Training

managers to better provide feedback is helpful, but employees must step up to the

plate to take responsibility for reaping the benefits of a process designed

specifically to improve their performance--and the overall performance of the

organization.

Patricia M. Buhler, D. B. A

appraisals - patricia buhler

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