The PERFORMANCE APPRAISAL QUESTION and ANSWER BOOK

255 Pages·1999·2.17 MB·English

The

PERFORMANCE

APPRAISAL

Y

QUESTION and
L
F
ANSWER BOOK:
M

A SURVIVA AL GUIDE

E

FOR MANAGERS
T

Dick Grote

AMACOM

Team-Fly®
More Praise for . . .
The Performance Appraisal Question and Answer Book:
‘‘Anenlightening,practical,andvaluabletool.Dickhastakenthesometime
confusing and frightening problem of performance appraisal and provided
effectiveapproachesandanswersthatcanbeadaptedtoanyorganization.
ItisaMUSTforthehumanresourcesprofessional’slibrary.’’
—WilliamK.Hill
HumanResourcesDirector
CityofWinston-Salem(NC)
‘‘DickGroteclearlyandeloquentlypresentsaverypracticalguidefornavi-
gating the often-murky waters of the performance appraisal process. The
PerformanceAppraisalQuestionandAnswerBookisamust-readforallwho
are captivated with the notion that the development, administration, and
oversightofaneffectiveperformancemanagementsystemisnotonlypossi-
ble,butindispensabletotheorganizationallifeofanybusiness.’’
—MichaelS.Sorrells
DeputyCommissionerforHumanResources
GeorgiaDepartmentofJuvenileJustice
‘‘Muchhasbeenwrittenanddebatedaboutthevalueofperformanceman-
agement systems. However, the fact remains that top-performing compa-
nies have rigorous performance management systems. The Performance
Appraisal Question and Answer Book is a must-have handbook for every
manager’smostcomplexissue:performance.’’
—DonLangewisch
PerformanceSystemsManager
ChevronTexacoCorporation
The
PERFORMANCE
APPRAISAL
QUESTION and
ANSWER BOOK
A SURVIVAL GUIDE
FOR MANAGERS
Dick Grote
American Management Association
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LibraryofCongressCataloging-in-PublicationData
Grote,RichardC.
Theperformanceappraisalquestionandanswerbook:survivalguide
formanagers/DickGrote.
p. cm.
Includesindex.
ISBN0-8144-0747-1(hardcover)
ISBN0-8144-7151-X(paperback)
1. Employees—Ratingof. 2. Performancestandards. I. Title.
HF5549.5.R3 G642 2002
658.3(cid:1)125—dc21
2002002171
(cid:2)2002DickGrote.
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Contents
Introduction ....................................... xv
1. The Importance of Performance Appraisal ........ 1
1.1 Whatis‘‘performanceappraisal’’? ....................... 1
1.2 Wheredidperformanceappraisalscomefrom? .............. 2
1.3 Whatisthepurposeofperformanceappraisal? .............. 4
1.4 Theperformancemanagementprocessinourorganizationhas
conflictingpurposes.Weuseittodeterminemeritincreasesand
performancefeedbackforworkdoneduringtheprevioustwelve
months,todeterminetrainingneeds,andasakeytoolinsuccession
planning.Canoneprocedurereallyserveallthosefunctionswell? 7
1.5 HowmanymeetingsshouldIhavewithanemployeetotalkabout
performance? ...................................... 8
1.6 Allthesemeetingstaketoomuchtime.WhyshouldIspendallthis
timedoingperformanceappraisalwhenI’vegotmuchbetterthings
todo? . .......................................... 8
1.7 Ifperformanceappraisalistrulyimportant,whyisitthebuttofso
manyjokesandthetargetofDilbertcartoons?. .............. 9
1.8 W.EdwardsDeming,thequalityguru,saidthatperformance
appraisalswereanorganizationalevilthatshouldbeabolished.Was
hewrong? ........................................ 10
1.9 Eveniftheytrytobeobjective,managerscan’thelpbut
discriminateonthebasisofrace,sex,age,andotherillegal
considerations.Isn’tperformanceappraisalactuallyaverybiased
process? .......................................... 11
1.10 Whatarethelegalrequirementsforaperformanceappraisal
system? . ......................................... 13
1.11 HowdoImakesurethatourperformanceappraisalsystemislegally
defensible? ........................................ 13
v
vi Contents
1.12 Isperformanceappraisalreallynecessary?Can’tthebenefitsthat
thesystemprovidestoorganizationsandthepeopleinthembe
obtainedanyotherway? .............................. 19
2. Performance Planning ......................... 21
2.1 Whatis‘‘performanceplanning’’? . ...................... 21
2.2 Whatarethemanager’sresponsibilitiesintheperformance-
planningphaseoftheprocess? .......................... 22
2.3 Whataretheemployee’sresponsibilitiesforperformanceplanning? 24
2.4 Whenisthebesttimetosetandreviewexpectations? . ... ... .. 26
2.5 Ihaveneverheldaperformance-planningmeeting.HowdoIget
theplanningmeetingofftoagoodstart? ................... 26
2.6 Whatisthedifferencebetween‘‘results’’and‘‘behaviors’’? ... .. 27
2.7 Howdoyoudeterminesomeone’skeyjobresponsibilities? ... .. 29
2.8 Somebigrocksmaybebiggerthanothers;somekeyjob
responsibilitiesaremorecriticalthanothers.Howdoyoudetermine
themostimportantitems? ............................. 32
2.9 Howdoyoudetermineamethodforevaluatingsomeone’s
performanceinmeetingtheirkeyresponsibilities? .. ... ... ... . 32
2.10 Descriptivemeasuresseemsubjective.Don’twehavetobe
objectivewhenweevaluatesomeone’sperformance? ......... 34
2.11 Wheredoesgoalsettingfitintotheperformance-planningprocess? 36
2.12 HowdoIpicktherightgoals?Whereshouldanindividuallookto
findgoalsandobjectives? ............................. 37
2.13 Howshouldagoalstatementbewritten? . ................. 39
2.14 WhatareSMARTobjectives? ........................... 41
2.15 HowhighshouldIsetmyperformanceexpectations? . ... ... .. 42
2.16 WhatdoIdoiftheindividualdisagreeswiththegoalsIwantset,or
saysthatmystandardsareunreasonableorthatoneofthekeyjob
responsibilitiesI’veidentifiedisnotreallypartofthejob? ... ... . 44
2.17 HowdoIwrapupaperformance-planningmeeting? .......... 44
3. Performance Execution ......................... 46
3.1 Whatis‘‘performanceexecution’’?....................... 46
3.2 Whatarethemanager’sresponsibilitiesintheperformance
executionphase? ................................... 46
3.3 Whataretheemployee’sresponsibilitiesintheperformance
executionphase? ................................... 48
Contents vii
3.4 HowshouldIkeeptrackofemployees’performance?ShouldIkeep
ajournal?AndshouldIrecordday-to-dayperformanceorjustnote
theexceptionalpositiveandnegativeevents? ............... 50
3.5 Shouldemployeeshaveaccesstomyperformancelog? ........ 51
3.6 HowdoImotivatepeopletodelivergoodperformanceandto
correctperformanceproblems? ......................... 52
3.7 Whataboutpay?Isn’tmoneytheonlythingthatreallymotivates? 55
3.8 Whatcanamanagerdotocreatetheconditionsthatmotivate? .. 57
3.9 Whataboutrecognition?Isn’trecognizinganemployeewho’sdone
goodworkaneffectivemotivationaltool? .................. 64
3.10 We’reconsideringstartinganemployee-of-the-monthprogram.Is
thisagoodrecognitiontool? ........................... 65
3.11 Dopeopleneedpraiseeverytimetheydoagoodjob? .. ... ... 67
3.12 Idon’thaveabudgetforawardstorecognizepeople.HowcanI
recognizetheirgoodperformanceifIcan’tdemonstratefinancially
thatweappreciategoodwork? ......................... 68
3.13 Isrecognitionjustamatterofheapingonthepraise? ... ... ... . 69
3.14 HowdoIactuallyuserecognition?Istheremoretoitthanjust
saying,‘‘Thanks...nicejob’’? .......................... 70
3.15 Won’tsomepeople—thebetterperformers—endupgettingmore
recognitionthanotherswhodon’tperformaswell?Isn’tthat
discriminatory? . .................................... 72
3.16 Won’tpeoplecomplainwhenIdeliberatelytreatsomepeople
betterthanothers?Won’tIbeaccusedoffavoritism? .. ... ... .. 73
4. Performance Assessment ....................... 74
4.1 Whatis‘‘performanceassessment’’? ...................... 74
4.2 Whatarethemanager’sresponsibilitiesforperformance
assessment? ....................................... 75
4.3 Whataretheemployee’sresponsibilitiesintheperformance
assessmentphase?................................... 77
4.4 Whataremyboss’sresponsibilitiesintheperformanceassessment
phase?Doesshehavetoreviewandapprovemyappraisalsbefore
Ideliverthemtomystaff? . ............................ 78
4.5 ShouldIasktheindividualwhoseperformanceappraisalIam
preparingtomakeupalistofaccomplishments? . ............ 80
4.6 ShouldIasktheindividualtocompleteaself-appraisalusingthe
company’sperformanceappraisalform? ................... 82
4.7 Ihavetowriteaperformanceappraisal.WheredoIstart? . ... .. 83
viii Contents
4.8 WhatinformationdoIneedtowriteavalidperformanceappraisal? 85
4.9 Whataboutcollectingdatafromotherpeopletouseonthe
performanceappraisalform?Woulditbeagoodideatoaskfor
informationfromasalesman’scustomers,oraskamanager’s
subordinatesaboutherperformanceasasupervisor? .......... 87
4.10 I’veaskedtheemployeetowriteaself-appraisal.ShouldIusewhat
theemployeehaswrittenintheself-appraisalaspartoftheofficial
appraisalI’mwriting? ................................ 88
4.11 ShouldIputmoreemphasisontheresultstheindividualachieved
oronthewaythepersonwentaboutdoingthejob? . ... ... ... 89
4.12 OneofmysubordinatesworksinadifferentcityandIdon’tseeher
verymuch.HowcanIappraiseherperformanceaccurately? .. .. 90
4.13 ShouldIincludetheemployee’ssuccessesandfailuresin
completingthedevelopmentplanaspartofhisformalperformance
appraisal? ......................................... 91
4.14 Whatare‘‘ratingerrors’’? ............................. 91
4.15 ShouldIgoovertheemployee’sappraisalwithmymanagerbefore
Ireviewitwiththeindividual? .......................... 92
4.16 HowdoIgoaboutconvincingmyboss(assumingherapprovalis
needed)thatoneofmypeopledeservesaparticularlypositiveor
negativereview? .................................... 97
4.17 Iftheappraiser’sbossapprovestheappraisalbeforetheemployee
seesit,hasn’tthedoorbeenclosedonthepossibilityofany
changes? ......................................... 98
4.18 Theindividualfailedtoachieveanimportantobjective,butthere
wereextenuatingcircumstances.HowshouldIrateher
performance? ...................................... 99
4.19 Inwritingtheindividual’sperformanceappraisal,shouldIconsider
howwellheperformscomparedwithotherpeopleinthe
departmentwhoaredoingthesamejob? .................. 100
4.20 Ourperformanceappraisalformhasaratingscalethataskswhether
theperformancefailedtomeetexpectations/metsome
expectations/metallexpectations/exceededexpectations/far
exceededexpectations.IfIhaven’tdiscussedmyexpectationswith
theemployee,howdoIrateperformance? . ................ 101
4.21 Ourratingscaleisnumerical:one,two,three,four,andfive,with
fivebeingthehighestonthescale.Sallybasicallydidagoodjob
thisyear.ShouldIrateherathree,afour,orafive?........... 103
4.22 Shouldemployeesinnewrolesbemeasuredandevaluatedthe
sameasemployeeswhohavebeeninaroleforalengthoftime? 104
Contents ix
4.23 Howcanwetakethe‘‘personal’’outofareviewandstillgivean
accuratepictureoftheemployee?Forexample,Joe’sgoingthrough
adivorce.Hisperformancehassuffered,butIempathizeandwant
togivehimapassingreview. ........................... 105
4.24 Oneofmysubordinatesdoesaverygoodjob...notbreathtakingly
outstanding,butsolidandstrongandbetterthanaverage.ShouldI
rateherinourmiddlecategoryoffullysuccessfulorpushher
evaluationoverthelineandintothesuperiorcategory?HowdoI
figureouttherightcategory? ........................... 106
4.25 Ihaveaconcernaboutoneofmypeople’sperformance,butI
haven’tpreviouslydiscusseditwithhim.Isitokaytobringitupfor
thefirsttimeontheperformanceappraisal? ................ 107
5. Performance Review ........................... 110
5.1 Whatis‘‘performancereview’’? ......................... 110
5.2 Whatarethemanager’sresponsibilitiesintheperformancereview
phaseoftheprocess? ................................ 110
5.3 Whataretheemployee’sresponsibilitiesintheperformancereview
phase? ........................................... 112
5.4 WhatshouldIdobeforethemeeting? .................... 114
5.5 BeforeIsitdowntoconductanappraisaldiscussionwithan
individual,isitappropriatetotalkwithotherstogetsomeinsights
intowhatImightexpect? . ............................ 118
5.6 HowshouldIopenthediscussion? ....................... 119
5.7 HowdoIstarttheappraisaldiscussionwithanindividualwhohas
agreatdealofexperienceandhasworkedforthecompanymuch
longerthanIhave? .................................. 121
5.8 It’seasytodiscusstheperformanceappraisalwhentheindividual
andIareinagreement.ButwhatdoIdowhenwedisagreeabout
somethingimportant? ................................ 122
5.9 HowdoIfigureoutwhattheemployeeisfeeling? ... ... ... ... 125
5.10 HowcanIgetsomeonetoagreewithanhonestandaccurate
performanceappraisalrating?........................... 127
5.11 TheemployeeI’mabouttoreviewisanunsatisfactoryperformer
andtheappraisaltellsitlikeitis.HowshouldIstartthemeeting? 127
5.12 WhatdoIdowhenanemployeedisagreeswithsomethingIhave
writtenontheperformanceappraisal? . ................... 128
5.13 HowdoIhandlethoseawkwardmomentsthatalwaysseemtoarise
inperformanceappraisaldiscussions?Forexample,theemployee