Performance mangagement and apprasial
1. Definition
一种战略性手段来体现个人或者团队对于整个公司的贡献。
A strategic and integrated approach to delivering sustained success to organisations by
improving the performance of the people who work in them and by developing the
capabilities of teams and individual contributors
. 采取战略和综合办法，通过改善在组织工作的人员的业绩，并通过开发
小组和个别贡献者的能力
‘a holistic process that ensures employees’ performance contributes to business
objectives. It brings together many of elements of good people management practice,
including learning and development, measurement of performance, and organisational
development’ (CIPD, 2016).
确保员工绩效的整体流程有助于实现业务目标。它汇集了优秀员工管理实践的许
多要素，包括学习和发展、绩效衡量和组织发展
2. Theory perspective：
Bevan and Thompson(1991) defined that performance management system are in
operation as if the following elements exists in the organization
1) it communicates a vision of its objective to all its employees
2) it sets department and dividend performance target which are related to wider
objectives
3) it conducts a formal review of process towards these targets
4) It uses the review process to identify training, developing and rewards outcomes
5) It evaluate the effectives of the whole process in order to improve effectiveness
Performance management aim to achieve a culture in which individuals and groups
take responsibility for continues improvement of business processes and of their own
skill and contribution.
3. Performance management cycle
4. Two models of performance management
①The Balanced Scorecard approach
https://wenku.baidu.com/view/2af6dad9162ded630b1c59eef8c75fbfc77d9435.ht
ml
(4 basic perspectives )
how do customers see us? (customer perspective)
What must we excel at? (internal perspective)
can we continue to improve and create value (innovation and learning
perspective)
how do we look at shareholders (financial perspective)
②The ‘Bath’ model of performance management: “AMO”
( Ability, Motivation, Opportunity)
https://study.com/academy/lesson/amo-theory-ability-motivation-opportuniti
es.html
Ability to do so: knowledge and skills
Motivation： to do the work and do it well
Opportunity： to deploy their skills in the job, to contribute to the work group
and to organisational success
5. Comparison between two theories:
AMO model indicate that the key to improve performance management is to bring out
the discretionary behavior. In turn, increase the level of productivity by provides the
motivation and incentives to the employees to perform extra work.
Amo模型表明，提高绩效管理水平的关键是发挥自主行为。反过来，通过提供动
力和激励措施来提高生产力水平。 让员工做额外的工作。
However, BSC model includes four perspectives and successful implementation
require rather complicated procedures, for instance drawing strategic map, ensure
every member of the organization understanding what is their strategy, familiar with
the framework, ect.
然而，平衡计分卡模型包括四个方面，成功的实施需要相当复杂的程序，例如绘
制战略地图，确保组织的每个成员都支持。 他们的策略是什么，熟悉框架等。
From the cost point of view, BSC would have a much higher cost than implementing
AMO model in an organization. Most of the small median companies may not be able
to afford it. If company with specific HR management inefficiency, or with limited
resources, the AMO model would definitely help to improve the performance of the
organization.
从成本的角度来看，平衡计分卡比在组织中实现 AMO 模型的成本要高得多。大
多数中等规模的小公司可能负担不起。如果公司的人力资源管理效率低下，或者
资源有限，AMO 模式肯定会有助于提高组织的绩效
6. Advantages of Performance Management System：
Top down link between business objectives and individual objectives Represents a
more holistic view of performance
业务目标和个人目标之间的自上而下的联系代表了一种更全面的绩效观。
Appraisal or review is integrated with performance planning
Line manager driven and owned
A living document where performance and development is constantly reviewed
Performance is assessed and successful performance rewarded and reinforced Bevan
and Thompson 1992
考绩或考核与业绩规划、线经理驱动和拥有一份有活力的文件相结合，在该文件
中，业绩和发展不断得到审查，业绩得到评估并取得成功 SFUL 的表现奖励并
加强了 Bevan 和 Thompson 1992
7. Critiques of Performance management：
a. Can suffer from same problems as traditional appraisal systems
b. Lack of contextualisation
c. Usually driven by Chief Ex and HR department
d. Adding to work stress
e. Static
f. Need for training ‐ only as good as the people who use it Managers can be
g. influenced by subjective feelings Performance ratings can be demotivating
h. Performance is complex
i. Adding to the short term mind‐set
a.可能会遇到与传统的评估系统相同的问题。
b.缺乏语境 c.通常由首席执行官和人力资源部负责，增加工作压力。静态 f.需要
培训-只有那些使用信息技术的人才能做到这一点。
g.受主观感受的影响，评等可能会令人沮丧。表现是复杂的。
i.增加短期心态
No correlation is found between the existence of a performance management system
and organisational performance in the private sector
(Bevan and Thompson 1992)
Despite this, many organisations report their PMS (Performance Management System)
to be highly effective
This is called into question here, with PMS being described as a ‘leap of faith’
在私营机构中，并没有发现绩效管理制度的存在与组织绩效之间存在相关性
(贝文和汤普森 1992)
尽管如此，许多组织报告他们的 pm(绩效管理系统)是非常有效的
这在这里引起了质疑，经前症候群被描述为“信仰的飞跃”
8. Conclusions
• Performance management systems include more than appraisals, and are linked to
the strategic objectives of organisations
• There is conflict in many appraisal and performance management systems
•绩效管理体系不仅包括评估，还与组织的战略目标相关
•许多考核和绩效管理体系存在冲突
Why do you think there is so much focus on performance management at the present
time?
Competitiveness – HR being business focused –organisational perspective (expand)
作为 performance management 的一种→appraisal
Appraisal (as a part of performance management)
1. How
– Comparative Methods (individuals are ranked against each other)
– Absolute Methods (compared to a standard of performance)
– Critical Incident Techniques
– Behaviour Anchored Rating Scales (BARS); descriptions and levels
– Behaviour Observation Scales (BOSs); frequency of specific behaviours
– Results Oriented Methods; achievement against performance standards
比较方法(个体之间进行排序)
-绝对方法(与性能标准相比)
-关键事件技术
-行为锚定等级表(条形图);描述和水平
-行为观察量表(BOSs);特定行为频率
-面向结果的方法;按工作表现标准取得的成绩
2. Purpose
Appraisal acts as an information processing system providing vital data for
rational objective and efficient decision making regarding performance, identifying
training needs, managing careers, and setting levels of reward.
评价作为一种信息处理系统，为有关绩效的理性、客观和有效的决策提供重要数
据，确定培训需求，管理职业生涯，并确定奖励水平。
3. Critics to Appraisal
◎it generates more costs than benefits.
◎There is a body of research that suggests that appraisal do not improve employee
job performance.
◎Appraisals may have a negative effect on an employee`s job satisfaction.
◎low organizational commitment.
◎focus on improving the ‘bottom line’, have added to the pressures of work for
employees.
归纳为下边几点：
①Attitudinal
wrong in principle and represents an ineffective philosophy of management ;
②Conceptual/theoretical
Wherther demonstrate that the performance of employees is under control?
③Practical
④Cultural: of organisation or employee group: more specific than general attitudes
①态度错误的原则上,代表了一个无效的管理哲学;
②概念/理论
在哪里可以证明员工的表现得到了控制?
③实际
④文化:组织或员工组:比一般的更具体的态度
4.What steps to improve appraisal process?
Expectancy theory: Victor Vroom(1964)
The expectancy theory says that individuals have different sets of goals and can be
motivated if they have certain expectations.
There is a positive correlation between efforts and perfromance
预期理论：Victor VRoom(1964 年)
预期理论认为，个人有不同的目标集，如果他们有一定的期望，就可以激发他们
的积极性。
努力与成果之间存在着正相关关系。
Three beliefs of expentancy theory:
※Valence: Manager needs to know what the employee expects most - money or
promotion?
※Expectancy: According to the capability of employees, managers need to
discover what resources, training, or supervision the employees need.
※Instrumentality: the perception of employees whether they will actually receive
what they desire.
膨胀理论的三个信念:
※价目表:经理需要知道员工最期待的是什么——薪水还是升职?
※期望:根据员工的能力，管理者需要发现员工需要什么样的资源、培训或监督。
※工具性:员工是否会得到他们想要的东西的感知。
期望理论提出了目标设置与个人需求相统一的理论。
但存在一定适用局限性
5. Means of appraisal:
◎360 degree performance appraisal
The apprasial is taken by number of different people, in different position relative to
employee, they often include feedback from peers subordinates supervisions and
sometimes customers. They are usually voluntary confidential, self-determing and
learning and learning oriented rather than linked to assessment.
◎Upward appraisal
Employee rating their manager`s performance
◎Customer appraisal
Customer appparisal are now very widespread in both th eprivate and the public
sectors in UK.
◎360 度绩效评估 apprasial 是由许多不同的人，在不同的位置相对于员工，他们
往往包括反馈从同行，下属，监督，有时客户。它们通常是自愿的、保密的、自
我决定的、以学习为导向的，而不是与评估挂钩的。
◎向上评估员工评价经理的表现
◎客户评价客户 appparisal 现在在英国的私人和公共部门都非常普遍。
6. Effective appraisal is......S.M.A.R.T.
◎Transparent and confidential
◎ongoing and indepth, beyond superficial mutual respect and trust and a ccountability
◎a learning process: CLARIFY ROLES clear guidelines
◎based on objective data
◎well resourced with training and time integrates development and accountability
◎透明和保密
◎持续和深入,除了表面的相互尊重和信任,ccountability
◎一个学习的过程:角色明晰的指导方针
◎基于客观数据
◎资源充足的训练时间和集成开发和问责制