Performance Appraisal Uses
•
Raises, Merit Pay, Bonuses
• Personnel Decisions (e.g., promotion, transfer, dismissal)
• Identification of Training Needs
• Research Purposes (e.g., assessing the worth of selection
tests)
Basic Performance Appraisal Process
Conduct a Job Analysis (e.g., specify tasks
and KSAs)
Develop Performance Standards (e.g.,
define what is superior, acceptable, and
poor job performance)
Develop or Choose a Performance
Appraisal System
Performance Appraisal Process
Observation
• Selective Attention
• Timing
• Structure
• Frequency
Storage
• Encoding of Information (e.g., categorization)
• Short vs. Long-term
• Memory
Evaluation
• Retrieve Information
• Combine information
• Decision-making (judgment)
Sources of Information
1) Supervisors (most common)
• Role Conflict (e.g., judge and trainer/teacher)
• Motivation
• Time availability
• Friendship
2) Co-Workers (Peers)
• Friendship bias
• Leniency
• High level of accuracy
• Best used as a source of feedback
Sources of Information (cont)
3) Self
• Lots of knowledge
• Leniency effect
• Good preparation for performance appraisal meeting (conducive
for dialog)
4) Subordinates
• Biases (e.g., # of subordinates, type of job, expected evaluation
from supervisor)
5) Client
• Good source of feedback
• Negativity bias
Subjective Appraisal Methods
(can be used with any type of job)
Relative Methods
1) Ranking
1st _____
2nd_____
3rd _____
2) Pair Comparison
Employee-1 _____ versus Employee-2 _____
Employee-1 _____ versus Employee-3 _____ etc.
• Both are difficult to use with a large number of subordinates
Subjective Appraisal Methods (cont.)
Absolute Methods
1) Narrative essay
• Unstructured (e.g., content, length)
• Affected by the writing ability of supervisors and
time availability
2) Graphic Rating Scale (most common)
_____ _____ _____ _____ _____
Very
Average
Excellent
Poor
~ Basic Rating Scale Errors ~
1) Leniency (positive bias)
_____
Very
Poor
_____
_____ _____ _____
Average
Excellent
2) Severity (negative bias)
_____
Very
Poor
_____
_____ _____ _____
Average
Excellent
3) Central Tendency (midpoint)
_____
Very
Poor
_____
_____ _____ _____
Average
Excellent
All lead to a
restriction in the
range of
performance
scores
Halo Error
Responsibility
Commitment
Initiative
Sensitivity
Judgment
Communication
High ratings on other
performance
dimensions
Observation of specific
behavior (s) (e.g.,
volunteers to work
overtime)
3. Problem Solving/Troubleshooting
Definition: Uses a logical, step-by step approach to identify and solve process problems
1
2
Well Below Expectations
Below
Expectations
 Fails to understand how equipment
and processes interrelate
 Does not complete checklists or
other required forms
 Is not able to identify root causes of
process deviations
 Does not consistently meet A2E
expectations
 Depends on others to solve
problems
3
Meets Expectations
4
5
Consistently Exceeds
Expectations
 Uses available resources (e.g.,
drawings, checklists, forms,
people—engineers, data
historian) to determine the root
cause of problems
 Selects and interprets data to
solve problems
 Investigates the nature of
equipment and process
malfunctions on an ongoing
basis
 Participates in A2E efforts
Outstanding
 Develops novel, safe and
effective solutions to current
problems
 Anticipates problems before they
occur and suggests solutions
 Takes ownership in problem
solving and sees it through to
completion
 Effectively leads problem solving
efforts (e.g., A2E, handles
complicated analysis requests on
one’s own)
Behavioral Examples of Rating:_____________________________________________________________________
______________________________________________________________________________________________
______________________________________________________________________________________________
______________________________________________________________________________________________
2. Technical Ability
Definition: Uses mechanical, electrical and process equipment, tools, and principles properly
1
Well Below Expectations
2
3
4
5
Below
Expectations
Meets Expectations
Consistently Exceeds
Expectations
Outstanding
 Cannot describe the parts and
functions of various equipment
(e.g., valves, pumps, motors)
 Skips steps in the procedures
when performing job tasks
 Incorrectly uses tools and other
equipment
 Cannot read and interpret EFDs,
PFDs, blueprints and schematics
 Does not accurately perform basic
mathematical calculations or
conversions
 Interprets graphs, charts and
diagrams accurately
 Examines relevant information
(e.g., tank levels, set points)
before making process
adjustments
 Continuously learns and
improves one’s job knowledge
 Can explain to others how to do
their job
 Demonstrates knowledge of
different work areas (e.g., lab)
and how these interact with each
other
 Can train others on how to do
their job
 Independently resolves any
complex work-related request
 Suggests ways to improve system
functioning (e.g., increase yield,
prevent waste)
Behavioral Examples of Rating:_____________________________________________________________________
______________________________________________________________________________________________
______________________________________________________________________________________________
______________________________________________________________________________________________
~ Subjective Appraisal Methods ~
Behavioral Methods (Use of critical incidents; examples of good
and poor job behavior collected by job experts over time)
Behavior Observation Scales (BOS)
• Rate the frequency in which critical incidents are performed
by employees
• Sum the ratings for a total “performance” score
1) Assists others in job duties.
_____ _____ _____ _____
Never
Usually
_____
Always
2) Cleans equipment after each use.
_____ _____ _____ _____ _____
Never
Usually
Always
Behaviorally Anchored Rating Scale (BARS) Process
1) Generate critical incidents (examples of good and poor job
performance)
2) Place critical incidents Into performance dimensions (e.g.,
Responsibility, Initiative, Safety)
3) Retranslation Step (do step # 2 again with a separate group of job
experts. Discard incidents where disagreement exists as to which
dimension in which they belong)
4) Calculate the mean and standard deviation of each critical incident
(discard those with a large standard deviation)
5) Place critical incidents on a vertical scale
~ BARS (Pros and Cons) ~
Process involves various employees (increases chances
of usage)
J Job specificity (different BARS need to be developed for
ach position)
Not any better at reducing common rating scale errors
(e.g., leniency, halo)
Time consuming
Performance Appraisal & Self-Fulfilling Prophecies
Supervisor Expectancy
Leadership Behaviors
Subordinate
Self-Expectancy
Subordinate Performance
Subordinate
Motivation
Objective Appraisal Data
1) Production Data (e.g., sales volume, units produced)
• When observation occurs (timing), and how data is
collected
• Fairness and relevancy issue
• Potential limited variability
• Limitations regarding supervisory personnel
2) Personnel Data
• Absenteeism (excused versus unexcused)
• Tardiness
• Accidents (fault issue)
Performance Appraisal Training
1)
Frequent observation of performance and feedback
(both positive and negative)
2) Recordkeeping (ongoing if possible)
3) Encourage self-assessment of employees
4) Focus on behaviors (not traits)
5) Use specific behavioral criteria and standards
6) Set goals for employees (specific and challenging ones)
7) Focus on how to observe job behaviors and provide incentives
Legally Defensible Appraisal Systems
•
Ensure that procedures for personnel decisions do not discriminate on
the basis of the race, sex, national origin, religion, or age of those affected
by such decisions.
•
Use objective and uncontaminated data whenever they are available.
•
Provide a formal system of review or appeal to resolve disagreements
regarding appraisals.
•
Use more than one independent evaluator of performance.
•
Use a formal, standardized system for personnel decisions.
•
Ensure that evaluators have ample opportunity to observe and rate
performance if ratings must be made.
•
Avoid ratings on traits such as dependability, drive, aptitude, or attitude.
•
Provide documented performance counseling prior to performance,based termination decisions.
Legally Defensible Appraisal Systems (cont)
•
Communicate specific performance standards to employees.
•
Provide raters with written instructions on how to complete performance
evaluations.
•
Evaluate employees on specific work dimensions, rather than on a single
overall or global measure.
•
Require documentation in terms of specific behaviors (e.g., critical incidents)
for extreme ratings.
•
Base the content of the appraisal form on a job analysis.
•
Provide employees with an opportunity to review their appraisals.
•
Educate personnel decision-makers regarding laws on discrimination.
Intercept Bias (Test)
Satisfactory
Minority
Performance
Criterion
Non minority
Unsatisfactory
Reject
Accept
Predictor Score
Equal validity, unequal predictor means
- Job performance is equal
- Test scores are greater for non-minorities
Satisfactory
Non minority
Performance
Criterion
Minority
Unsatisfactory
Reject
Accept
Predictor Score
Equal validity, unequal criterion means
- Equal test scores; Minorities performing less well on job (over predicting performance)
- Minorities hired same as non minorities but probability of success is small. Can
reinforce existing stereotypes.