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CHAPTER SEVEN: PERFORMANCE
APPRAISAL
第七章
绩效考评
CHAPTER OBJECTIVES
本章目标
AN BRIEF
INTRODUCTON TO PERFORMANCE
第一节
绩效考评概述
APPRAISAL
1. The Significance of Performance
Appraisal
2. Roles
(
作用
) of Performance
Appraisal
3. Principle of
Performance Appraisal
4. Who
Performance Appraisal
PERFORMANCE APPRAISAL
PROCESS
第二节
绩效考评的过程
1.
Preparation: To establish the criteria and
standard
for
each position
2. Conducting Performance
Appraisal
3
．
To Coach
(
辅导阶段
)
4
．
To improve
TYPES OF APPRAISAL
INSTRUMENTS
第三节
绩效考评的方法
ation
Ranking Scale
Distribution
Method.
（强制分布法）
comparison Method
（配对比较法）
C RATING SCALES
（量表法）
ORALLY ANCHORED RATING
SCALES
(
行为锚定法
)
al Incident Method
(
关键事件法
)
7
．
MANAGEMENT-BY-
OBJECTIVES
（目标管理法）
FEEDBACK
INTERVIEW
第四节
绩效考评的面谈
EXERCISES
作业
Reference
参考文献
CHAPTER
OBJECTIVES
（
本章目标
）
After you learn this
chapter, you should be able to:
1. To cite the various objectives of
performance appraisal.
2.
To identify the basic consideration in selecting
standards for appraisal
3.
To identify and discuss the major performance
appraisal method.
1
4.
To identify the different approaches to
performance appraisal interview.
describe the types of errors those are
commonly found in performance appraisal
AN BRIEF INTRODUCTON TO PERFORMANCE
APPRAISAL
（
第
一节
绩效考评概述
）
CASE:“ Why did
Zhang jump ship?”
After
graduated from the college, Zhang was recruited to
be a salesman in Company Z .In the first
two years, his performance was not so
satisfactory because of lacking experience. But at
the end
of the third year, His
performance was greatly improved.
Last year, Zhang did a very good job,
and he accomplished his sale-volume at the end of
September. But the sales manager didn’t
show any response to it, so Zhang felt quite
disappointed.
Zhang left the company in
October since the company had no formal appraisal
system. In the
Company z, an HR
professional appraised employees only based on
informal conversations
between the HR
professional and the employees’ supervisor. This
system yields no information
regarding
employee strengths and weaknesses. To make matter
worse, this system provided no
information regarding company
expectation, leaving the employees in the dark as
to what they
needed to do to achieve
favorable performance.
In this chapter we turn to discuss
performance appraisal programs, which are among
the most
helpful tools an organization
can use to maintain and enhance competitive
advantage and facilitate
progress
toward organization goals.
Performance appraisal
(
绩效评估
)
refers to
a formal, structured system for measuring,
evaluating, an employee’s
job
-related attributes, behavior, and
outcomes.
1.
The Significance of Performance
Appraisal
It may understand
at first glance that performance appraisals are
used for evaluating who is doing
a good
job and who is doing a bad one. The significance
of performance appraisals can be
reviewed from the point of employees as
well as the organization’s. The following are just
a
sample of those significance.
For Employees
a. Understand
more clearly about their own duties, tasks and
requirements.
b. Understand more about
what the organization expects from them and their
future goals
for achieving high
performance.
c. Employees who are
performing well can receive formal recognition
（认可）
for their
performance.
d. To provide
Employees with the opportunity to participate in
performance appraisal.
For
Organization
a. To provide the
supervisor with a means of identifying the
strengths and weaknesses of an
employe
e’s performance.
b. To provide a format enabling
managers and employees to jointly establish future
development and growth plan for the
employees.
c. To establish a
communication channel between managers and
employees.
d. To express what managers
wish to expect from employees.
2
2.
Roles (
作用
) of Performance
Appraisal
In HRM
activities, a lot decisions have to be based on
performance appraisal process, which
implies that performance appraisal
provides input into all aspects of HRM. The
interrelationship
between the
performance appraisal function and other major HR
functions is shown in following
Figure:
Training: It
can determined which employee needs more training
and what should be trained
(
培
训内容
)
b. Administrative decisions: It helps
the organization to decide who should be receive
pay
raises, promoted, laid off,
transferred.
c. Rewards: It provides
basis for judging Pay System
(
薪酬制度
) and pay adjustment.
d. Motivation: It encourages
initiative, develops a sense of responsibilities,
and stimulates
efforts to perform
better.
e. HR planning: Performance
appraisal data can also be used in HR planning, in
determining
the relative worth of jobs
under a job evaluation program.
f.
Selection: It can be used to validate selection
tool such as a testing program.
3. Principle of Performance
Appraisal
a. Transparency
(
透明
):
A supervisor
should communicate appraisal criteria
（评估项目）
or
dimension, appraisal
procedures,
results openly with employees.
b.
Objectiveness
（客观）
:
Employees’ outcome must be assessed by
supervisors fairly
without inserting
their own Likes or dislikes.
c.
Practical
（实用）
:
The appraisal scheme should be simple
but practical.
d.
Training
（培训）
:
Supervisor should be trained how to
apply appraisal standards, when
making
judgments.
e. Clear performance
standards:
It must be so clear that
employees know exactly
when the company
expects of them,
f. Relented:
Appraisal form must exclude criteria
that are irrelevant to job performance.
g. Difference
(
差别化
):
The result
of appraisal must be able to reflect the
difference
between high and low
performers.
4.
Who Performance Appraisal
a. Appraisal by
supervisor (
主管评估
)
The superior knows the
subordinate’
s
3
performance better. He knows his
ability and behaviors and attitude. However,
appraisal by
supervisor has drawbacks.
Supervisor appraisal has been the traditional
approach to evaluating an
employee’s
performance. Supervisor has the power to reward
and pu
nish.
b. Peer
Appraisals (
同事评估
)
Some companies use it to replace or
supplement the
appraisal given by
supervisor. The co-
worker who is at an
individual’s side all day has an
excellent opportunity to observe the
individual’s behavior and even can observe the
o
ther facets of
the
employee’s behavior that his supervisor can not
because employees often be have differently
when the boss is present.
c.
Self-Appraisal
（自评）
A worker
knows clearly what he has done. Self-appraisal can
reduce the defensive of the employee
and make the employee to evaluate his performance
with his
responsibility.
d.
Subordinate
Appraisal
（下属评价）
Subordinates
are in a good position to evaluate
their managers since they are in
frequent contact with many performance-related
behaviors. Those
performance dimensions
judged most appropriate for subordinate appraisals
include leadership,
oral communication,
delegation of authority, coordination of team
efforts, and interest in
subordinates.
e. Customers
(
客户评估
)
Some
companies like restaurants will ask the customers
to
assess their employees’ performance.
E. 360-Degree Feedback
（
360
度评估）
Performance information is collected
all round an employee, from his or her
supervisors,
subordinates, peers, and
internal or external customers; this approach is
increasingly popular. It is
generally
used for management and career development.
PERFORMANCE APPRAISAL
PROCESS
（
第二节
绩效考评的过程
）
4
1.
Preparation: To establish the criteria and
standard for each position
a
．
Types of
Performance Criteria
(
考评项目
)
Criteria
are dimensions against which the
performance of an employee team or a
work unit is evaluated.
Trait-based criteria:
They
focus on the personal moral character, value and
work attitude such
as team-sprit,
locality, initiative or creativity of an employee.
Behaviour-based criteria:
They focus on how the work is
performed. With behaviour clearly
defined, an employee is more likely to
exhibit the acts that lead to peak performance.
Behaviour is
difficult to be measured
in figures or amounts. As a matter of fact, an
organization generally uses
frequency
to describe the employee
s’ behavior.
Outcome-based criteria:
They focus on what was produced rather
than on how it was
produced. (focus on
output and contribution which can be reflected in
quality, quantity, efficiency).
This
kind of criteria can be easily measured. It
doesn’t c
are how the result achieved. A
result-at-all-cost may plague outcome-
based appraisal.
Unfortunately, when used alone, any one
of these performance criteria is deficient for
accurately
evaluating performance.
Thus, many organizations use several criteria in
making judgments about
an employee’s
performance.
Realistic,
measurable, clearly understood performance
standards benefit both the organization and
the employee. It is important to
establish standards before the work is performed
so that all
involved will understand
the level of accomplishment expected.
b
．
To set
performance standard
Ensure that the
targets set are in the smart model.
Specific means that they are
transparent and not open to dispute.
Targets should be measurable so that
all sides can agree when they are achieved or not.
Thirdly,
Targets should be agreed and
achievable. If employees disagree with the target
because they find
them too difficult to
achieve, then they may set out to prove this by
determining to fail.
5
Fourthly, targets should
be realistic and relevant, which makes them more
attractive to all parties.
Finally, they should be time-related,
so that it is clear at what point they should be
achieved.
An organization
may use three approaches to performance
evaluations. The first evaluates
employees against preestablished common
criteria or standards, similar to the way many
professors evaluate students’
performance.
The second
evaluation approach is based on individualized
performance criteria and standards.
Performance goals for each individual
are derived from the overall
departme
nt’s performance
requirements for a specified period.
Each employee may have unique performance goals
(criteria
and standards), and each
employee is evaluated on the basis of how well he
or she meets those
goals.
A third evaluation approach entails
rankin
g one employee’s performance
against the performance
of other
employees.
2.
Conducting Performance Appraisal
After an appraisal system is designed,
must be properly implemented. Managers are chiefly
responsible for implementation; they
must complete the real ratings for employees and
provide
feedback to employees.
One of the key objectives
of feedback is to improve employee performance by
giving them
constructive criticism,
when necessary, to make them aware of their
shortcomings.
3
．
To
Coach (
辅导阶段
)
After completing performance Appraisal,
some employees’ result may
turn out to
be comparatively dissatisfactory which may be
resulted from lacking knowledge or
skills. In reality, it is supervisor’s
responsibility to establish a
performan
ce improvement plan as
follows.
Whether
Standards
Accomplish
ornot
Criteria
1
2
3
Reasons
Ways of
Time-
table
Improvement
4
．
To
improve
The supervisor must
evaluate whether the employees have improved their
outcome or not after
caring out the
plan for some time.
TYPES OF APPRAISAL
INSTRUMENTS
（
第三节
绩效考评的方法
）
ation Ranking
Scale
For the trait you are
measuring, list all the employees you want to
rank. Put the highest-ranking
6
employee’s name on line 1.
Put the lowest-
ranking
employee’s mane on line 10. Then list the next
highest ranking on line 2, the next
lowest ranking on ling 9, and so on Continue all
names are on
the scale.
Highest-ranking employee
1.____________________________________
6
._____________________________________
2.____________________________________
7
._____________________________________
3.____________________________________
8
._____________________________________
4.____________________________________
9
._____________________________________
5.____________________________________
1
0.____________________________________
Lowest
–
ranking employee
2..Forced Distribution
Method.
（强制分布法）
The forced distribution method is
similar to grading on a curve. With this method,
predetermined
percentages of rates are
placed in performance categories. For example, you
may decide to
distribute employees as
follows:
5% high performers
20% high-average performers
50% average performers
20%
low-average performers
5% low
performers
3..Paired
comparison Method
（配对比较法）
The paired comparison method helps make
the ranking method more precise. For every trait
(quantity of work, quality o f work,
and so on), every subordinate is paired with and
compared to
every other subordinate.
For the trait ―Quality of
Work‖
For the
Trait ―Creativity‖
Employee
Rated:
Employee
Rated:
As
A
B
C
D
E
As
A
B
C
D
E
Compared
Compared
zhang
Li
Wang
Hao
Chen
to:
zhang
Li
Wang
Hao
Chen
to:
A zhang
B Li
-
+
+
-
-
-
+
-
-
-
-
+
A zhang
B Li
+
-
-
-
-
+
-
+
-
+
+
-
C
Wang
-
D Hao
E Chen
+
+
+
+
-
+
+
C Wang
+
D
Hao
E Chen
+
+
+
-
+
-
-
C RATING
SCALES
（量表法）
A
graphic rating scale (GRS) presents a list of
traits (e.g., cooperativeness, adaptability,
maturity,
7
motivation). Each trait is accompanied
by a five or seven-point rating scale. The points
along the
scale are defined by numbers
and/or descriptive words or phrases that indicate
the level of
performance.
Many organizations use graphic rating
scales because they are practical and cost little
to develop.
But Graphic
rating scales do present a number of problems.
Such scales do not effectively direct
behavior; that is, the rating scale
does not clearly indicate what a person must do to
achieve a
given rating. Another problem
with GRS is the points on the rating scale are not
clearly defined.
An example
of GRS is showed as follows
Evaluate
the worker on each quality using the following
ratting scale:
5=Outstanding; one of the best workers
you have known
4=Good; meets all job
standards; exceeds some
3=Adequate;
meets all job standards
2=Needs
improvement; needs improvement in some way
1=Unsatisfactory; not acceptable
A. Dress and appearance
B.
Self-confidence
C. Dependability
D. Tact and diplomacy
E.
Attitude
F. Cooperation
G.
Enthusiasm
H. Knowledge
1___
______2________3________4________5_________
1_________2________3________4________5_______
__
1_________2________3________4_______
_5_________
1_________2________3_______
_4________5_________
1_________2_______
_3________4________5_________
1________
_2________3________4________5_________
1_________2________3________4________5_________
1_________2________3________4________5___
______
ORALLY ANCHORED
RATING
SCALES(
行为锚定法
)
A behaviorally anchored rating scale
(BARS), is a combination of a graphic rating
scale, and
Critical Incident Method. It
requires appraisers to rate employees on their
traits. The typical BARS
includes seven
or eight traits, referred to as ―dimensions,‖ each
anchored by a seven
-or nine-point
scale.
Example
of Critical Incidents for an Assistant Plant
Manager
Continuing
Schedule production for
plant
Targets
Critical incidents
Pull utilization of
personnel
Instituted new production
and machinery in plant;
scheduling system;
orders
delivered on time
decreased
late orders by
10% last month;
increased
machine utilization in plant
by 20% last month
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