Introduction
DISPLAY 24.4 Summary of Performance Appraisal Tools
Trait rating scales: rates an individual against some standard Job dimension scales: rates the performance on job requirements
Behaviorally anchored rating scales: rates desired job expectations on a scale of importance to the position Checklists: rates the performance against a set list of desirable job behaviors
Essays: a narrative appraisal of job performance
Self-appraisals: an appraisal of performance by the employee
Management by objectives: employee and management agree on goals of performance to be reached Peer review: assessment of work performance carried out by peers
LEARNING EXERCISE
24.5
Addressing Megan’s Change in Behavior
E
ven in organizations that have no formal peer review process, professionals must take someresponsibility for colleagues’ work performance, even if informally. The following scenario illustrates the need for peer involvement.
You have worked at Memorial Hospital since your graduation from nursing school. Your school
roommate, Megan, has also worked at Memorial since her graduation. For the first year, you and Megan were assigned to different units, but you were both transferred to the oncology unit 6 months ago. You and Megan work the 3 PM to 11 PM shift, and it is the policy for the charge nurse duties to alternate among three RNs assigned to the unit on a full-time basis. Both of you are among the nurses assigned to rotate to the charge position. You have noticed lately that when Megan is in charge, her personality seems to change;
she barks orders and seems tense and anxious.
Megan is an excellent clinical nurse, and many of the staff seek her out in consultation about patient care problems. You have, however, heard several of the staff grumbling about Megan’s behavior when she is in charge. As Megan’s good friend, you do not want to hurt her feelings, but as her colleague, you feel a need to be honest and open with her.
A S S I G N M E N T:
A very difficult situation occurs when personal and working relationships are combined. Describe what, if anything, you would do.
The 360-Degree Evaluation
An adaptation of peer review, and a relatively new addition to performance appraisal tools, the 360-degree evaluation, includes an assessment by all individuals within the sphere of influence of the individual being appraised. “Simply put, it is a mechanism for evaluating someone’s performance based on feedback from everyone with whom the individual comes in contact—supervisors, coworkers, partners, subordinates, the general public” (University of Missouri, 2016, para. 2). For example, a 360-degree evaluation of a ward clerk or unit secretary might include feedback from the nursing staff, from patients, and from staff from other departments who interact with that individual on a regular basis. In addition, most 360-degree feedback tools include a self-assessment.
Getting feedback from multiple individuals provides a broader, more accurate perspective of the
employee’s work performance. This divergent thinking suggests that involving additional individuals in the appraisal process provides unique and valuable perspectives that might otherwise not be considered. “When done properly, 360 is highly effective as a development tool. The feedback process gives people an
opportunity to provide anonymous feedback to a coworker that they might otherwise be uncomfortable giving.
Feedback recipients gain insight into how others perceive them and have an opportunity to adjust behaviors and develop skills that will enable them to excel at their jobs” (Custom Insight, 2016, para. 6).
In most 360-degree evaluations, somewhere between 8 and 12 people fill out an anonymous online
feedback form that asks questions covering a broad range of workplace competencies (Custom Insight, 2016).
The feedback forms include questions that are measured on a rating scale and also ask raters to provide written comments.
The most challenging aspect of the 360-degree evaluation typically is the evaluators’ concerns about confidentiality (University of Missouri, 2016). When implementing this type of evaluation, it’s best to assure other employees that what they share will remain strictly confidential. Likewise, the evaluator should explain to each employee that his or her performance will be evaluated by many people, including those who know their work best.
LEARNING EXERCISE
24.6
The 360-Degree Evaluation
T
hink of a role you have held which was important to you and which you worked hard at to be successful.This could be a personal role such as being a parent, boyfriend, or girlfriend or a specific job you have held in the past or at present. Identify at least six individuals you would have chosen to complete a 360-degree
evaluation of you in that role. Why did you select these individuals? Might their perceptions have been in conflict? Would these individuals have been likely to give you honest appraisal feedback? If so, how might their feedback have altered how you approached the role or the goals you were trying to achieve?
Planning the Performance Appraisal Interview
The most accurate and thorough appraisal will fail to produce growth in employees if the information gathered is not used appropriately. Many appraisal interviews have negative outcomes because the manager views them as a time to instruct employees only on what they are doing wrong rather than looking at strengths as well.
Managers often dislike the appraisal interview more than the actual data gathering. One of the reasons managers dislike the appraisal interview is because of their own negative experiences when they have been judged unfairly or criticized personally. Indeed, some managers are so uncomfortable with conducting performance appraisals that they find reasons not to do them at all.
Clearly, both parties in the appraisal process tend to be anxious before the interview; thus, the appraisal interview remains an emotionally charged event. For many employees, past appraisals have been
traumatizing. Although little can be done to eliminate the often-negative emotions created by past experiences, the leader-manager can manage the interview in such a manner that people will not be traumatized further.
Overcoming Appraisal Interview Difficulties
Feedback, perhaps the greatest tool a manager has for changing behavior, must be given in an appropriate manner. There is a greater chance that the performance appraisal will have a positive outcome if certain conditions are present before, during, and after the interview.
Before the Interview
Make sure that the conditions mentioned previously have been met (e.g., the employee knows the standard by which his or her work will be evaluated), and he or she has a copy of the appraisal form.
Select an appropriate time for the appraisal conference. Do not choose a time when the employee has just had a traumatic personal event or is too busy at work to take the time needed for a meaningful
conference.
Give the employee 2 to 3 days of advance notice of the scheduled appraisal conference so that he or she can prepare mentally and emotionally for the interview.
Be prepared mentally and emotionally for the conference yourself. If something should happen to interfere with your readiness for the interview, it should be canceled and rescheduled.
Schedule uninterrupted appraisal time. Hold the appraisal in a private, quiet, and comfortable place.
Forward your telephone calls to another line and ask another manager to answer any pages that you may have during the performance appraisal.
Plan a seating arrangement that reflects collegiality rather than power. Having the person seated across a large desk from the appraiser denotes a power–status position; placing the chairs side by side denotes collegiality.
During the Interview
Greet the employee warmly, showing that the manager and the organization have a sincere interest in his or her growth.
Begin the conference on a pleasant, informal note.
Conduct the conference in a nondirective and participatory manner. Input from the employee should be solicited throughout the interview; however, the manager must recognize that employees from some cultures may be hesitant to provide this type of input. In this situation, the manager must continually reassure the employee that such input is not only acceptable but also desired.
Ask the employee to comment on his or her progress since the last performance appraisal.
Avoid surprises in the appraisal conference. The effective leader coaches and communicates informally with staff on a continual basis, so there should be little new information at an appraisal conference.
When dealing with an employee who has several problems—either new or long-standing—do not overwhelm him or her at the conference with excessive criticism. If there are too many problems to be addressed, select the major ones.
Use positive encouragement and affirmation as much as possible during the appraisal interview because they are crucial to improving worker performance. “Billikopf calls these ‘good-will deposits,’ and says without them, ‘withdrawals cannot be made’” (Kerr, 2016).
Listen carefully to what the employee has to say and give him or her your full attention.
Focus on the employee’s performance and not on his or her personal characteristics.
Avoid vague generalities, either positive or negative, such as “your skills need a little work” or “your performance is fine.” Be prepared with explicit performance examples. Be liberal in the positive examples of employee performance; use examples of poor performance sparingly. Use several examples only if the employee has difficulty with self-awareness and requests specific instances of a problem area.
When delivering performance feedback, be straightforward and state concerns directly so as not to retard communication or cloud the message.
Never threaten, intimidate, or use status in any manner. Differences in power and status interfere with the ability of professionals to form meaningful and constructive relationships. This is not to say that
managers should not maintain an appropriate authority–power gap with their employees; it simply suggests that power and status issues should be minimized as much as possible so that the performance appraisal can appropriately focus on the subordinate’s performance and needs.
Let the employee know that the organization and the manager are aware of his or her uniqueness, special interests, and valuable contributions to the unit. Remember that all employees make some special contribution to the workplace.
Make every effort to ensure that there are no interruptions during the conference.
Use terms and language that are clearly understood and carry the same meaning for both parties. Avoid words that have a negative connotation. Do not talk down to employees or use language that is
inappropriate for their level of education.
Mutually set goals for further growth or improvement in the employee’s performance. Decide how goals will be accomplished and evaluated and what support is needed.
Use coaching techniques throughout the conference.
Plan on being available for employees to return retrospectively to discuss the appraisal review further.
There is frequently a need for the employee to return for elaboration if the conference did not go well or if the employee was given unexpected new information. This is especially true for the new employee.
Indirectness and ambiguity are more likely to inhibit communication than enhance it, and the employee is left unsure about the significance of the message.
After the Interview
Both the manager and the employee need to sign the appraisal form to document that the conference was held and that the employee received the appraisal information. This does not mean that the employee is agreeing to the information in the appraisal; it merely means that the employee has read the appraisal. An example of such a form is shown in Figure 24.1. There should be a place for comments by both the manager and the employee.
End the interview on a pleasant note.
Document the goals for further development that have been agreed on by both parties. The documentation should include target dates for accomplishment, support needed, and when goals are to be reviewed. This documentation is often part of the appraisal form.
If the interview reveals specific long-term coaching needs, the manager should develop a method of follow-up to ensure that such coaching takes place.
Performance Management
Some experts in human resource management have suggested that annual performance appraisals should be replaced by ongoing performance management. In performance management, appraisals are eliminated, and the manager places his or her efforts into ongoing coaching, mutual goal setting, and the leadership training of subordinates. This focus requires the manager to spend more regularly scheduled face-to-face time with subordinates.
In contrast to the annual performance review, which is often linked to an employee’s hire date, the performance management calendar is generally linked to the organization’s business calendar. This way, performance planning is coordinated throughout the entire organization, as strategic goals for the year can be identified and subordinates’ roles to achieve those goals can be openly discussed and planned. Some
organizations, however, view performance management as a continuous cycle. Regardless, all performance-
managed organizations identify role-based competency expectations for every employee, regardless of job description. Then, employees can determine how these qualities translate into performance in specific jobs.
Coaching: A Mechanism for Informal Performance Appraisal
Coaching is described as a transfer of skills and knowledge by a coach to achieve agreed on outcomes (Coaching College, 2016). In other words, coaching conveys the spirit of leaders’ and managers’ roles in informal day-to-day performance appraisals, which promote improved work performance and team building.
Coaching can guide others into increased competence, commitment, and confidence as well as help them to anticipate options for making vital connections between their present and future plans.
Day-to-day feedback regarding performance is one of the best methods for improving work performance and building a team approach.
Coaching does not, however, replace the need for self-motivation on the part of the employee. “The coach serves on the sidelines but is not pushing or prodding the individual toward the finish line” (Kooker, Latimer,
& Mark, 2015, p. 637). Instead, leader-managers meet with employees regularly to discuss aspects of his or her performance. Both individuals determine the agenda jointly with the goal of an environment of learning that can span the personal and professional aspects of the employee’s experience. Employees can discuss challenges they are encountering and get new ideas and information about how to deal with situations from someone who often has experienced the same problems and issues. This shared connection between the manager and the employee makes the employee feel validated and part of a larger team. When coaching is combined with informal performance appraisal, the outcome is usually a positive modification of behavior.
For this to occur, however, the leader must establish a climate in which there is a free exchange of ideas.
Becoming an Effective Coach
The following tactics will assist managers in becoming more effective coaches:
Be specific, not general, in describing behavior that needs improvement.
Be descriptive, not evaluative, when describing what was wrong with the work performance.
Be certain that the feedback is not self-serving but meets the needs of the employee.
Direct the feedback toward behavior that can be changed.
Use sensitivity in timing the feedback.
Make sure that the employee has clearly understood the feedback and that the employee’s communication has also been clearly heard.
When employees believe that their manager is interested in their performance and personal growth, they will have less fear of the work performance appraisal. When that anxiety is reduced, the formal performance interview process can be used to set mutual performance goals.
LEARNING EXERCISE
24.7
The New Nurse as Coach (Marquis & Huston, 2012)
Y
ou have just completed your 6-month probation as a new nurse, and while you are beginning to feel comfortable in this new role, you feel there is still much you need to learn. You also know that your self- confidence is not yet what you want it to be.A new nursing assistive personnel (NAP) began working on your unit about 3 weeks ago. She has asked the charge nurse to be assigned to your team whenever possible. She is a hard worker and a quick learner, and you enjoy having her on your team.
Today, she comes to you and shares that her goal is to be an RN and that she is currently taking her
prenursing courses at the local university and hopes to apply to the nursing program next year. She asks if you would be willing to “take her under your wing” and teach her more about what being a professional RN is all about. You are flattered that she thinks of you as a role model but are not sure that you have either the time or the skill level yet to be an effective coach for her.
A S S I G N M E N T:
How will you respond to her request? What factors will you consider in making your decision?
What are the potential driving and restraining forces for both accepting and denying her request?
How much knowledge and experience are needed to be an effective coach?
When Employees Appraise Their Manager’s Performance
Lindzon (2016) suggests that as a result of a competitive hiring landscape, an increase in turnover rates, and advancements in employee management software, the dynamic between employees and managers is shifting dramatically. Work environments are increasingly becoming “always-on feedback environments” so that employees can provide feedback, anonymous or not, on their workplace and the quality of their supervision.
One of the offshoots is that employees are increasingly evaluating managers instead of managers only assessing the performance of employees (Lindzon, 2016).
Often, this is done through a 360-degree evaluation process. In addition, organizations may conduct focus group discussions about management effectiveness (Mayhew, 2016). When focus groups are used, an experience-qualified employee relations specialist facilitates the discussion so that it does not dissolve into a gripe session. Instead, employees are encouraged to speak candidly and with respectful candor about how well they believe managers are performing (Mayhew, 2016). In addition, employers may use employee opinion surveys to determine the overall level of job satisfaction in the workplace.
Leader-managers should view this trend positively, because employee feedback provides the same opportunities for growth in leadership or management positions that subordinates have with traditional performance appraisals. In addition, this process may provide the supervisor with feedback from employees who might not otherwise be able to do so. It does, however, require that the leader-manager trust his or her subordinates and believe their feedback is meant to be constructive.
Using Leadership Skills and Management Functions in Conducting Performance Appraisals
Performance appraisal is a major responsibility in the controlling function of management. The ability to conduct meaningful, effective performance appraisals requires an investment of time, effort, and practice on the part of the manager. Although performance appraisal is never easy, if used appropriately, it produces growth in the employee and increases productivity in the organization.
To increase the likelihood of successful performance appraisal, managers should use a formalized system of appraisal and gather data about employee performance in a systematic manner, using many sources. The manager should also attempt to be as objective as possible, using established standards for the appraisal. The result of the appraisal process should provide the manager with information for meeting training and educational needs of employees. By following up conscientiously on identified performance deficiencies, employees’ work problems can be corrected before they become habits.
Integrating leadership into this part of the controlling phase of the management process provides an opportunity for sharing, communicating, and growing. The integrated leader-manager is self-aware regarding his or her biases and prejudices. This self-awareness leads to fairness and honesty in evaluating performance.
This, in turn, increases trust in the manager and promotes a team spirit among employees.
The leader also uses day-to-day coaching techniques to improve work performance and reduce the anxiety of performance appraisal. When anxiety is reduced during the appraisal interview, the leader-manager is able