Performance Appraisal

1
Performance Appraisal

• Chapter 6

2
6.1
CHAPTER 6 PERFORMANCE APPRAISAL

• THE IMPORTANCE OF PERFORMANCE APPRAISAL
• PERFORMANCE APPRAISAL WITHIN PERFORMANCE
  MANAGEMENT
• A NATURAL PROCESS
• A UNIQUE PROCESS
• IMPACT ON THE HR DEVELOPER
• TYPES OF PERFORMANCE APPRAISAL
• JOB ANALYSIS CONSTRUCTING THE PREDETERMINED
  STANDARD
• OBSERVING THE PERFORMANCE
• THE COMPARISON
• FEEDBACK
• ACTION PLANS
• INPUT INTO THE DEVELOPMENTAL SYSTEM
• SURVEILLANCE SYSTEM
• KNOWLEDGE CREATION AND MAINTENANCE

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6.2
CHAPTER 6 PERFORMANCE APPRAISAL

• The importance of performance appraisal
• Performance appraisal within performance
  management
• A natural process
• A unique process
• Impact on the hr developer
• Types of performance appraisal
• Job analysis - constructing the predetermined
  standard
• Observing the performance
• The comparison
• Feedback
• Actions plan
• Input into the developmental system
• Surveillance system
• Knowledge creation and maintenance

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THE IMPORTANCE OF PERFORMANCE APPRAISAL
6.3

• Performance appraisal is important because
• it has direct and dynamic link between on-the-job
  performance and human resource development
• it is the prime organisational system for the
  HRDNI
• it provides an automatic and highly valid basis
  for evaluation.
• It is often misunderstood because it has been
  inappropriately used
• for discipline and other purposes. This has led
  to an almost
• inherent mistrust. For credibility, it has been
  given a variety of
• new names.

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6.5
PERFORMANCE APPRAISAL within PERFORMANCE
MANAGEMENT
Performance management concentrates on the
overall achievements of the organisation and
ensures that all actions are linked strongly and
directly to the strategic orientation of the
organisation. Performance management, therefore,
unites performance appraisal with the other
organisational sub-systems and strategies.
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6.7
A natural process

• When appraising something, we are measuring the
  extent that we may value it. In fact, appraisal
  is a natural process as we make hundreds of such
  judgments each day.
• However, performance appraisal has four stages
• having a predetermined standard
• observing some event or object
• comparing the observation against the
  predetermined standard
• taking some action.

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6.9
A UNIQUE PROCESS

• Performance appraisal is unique on two counts
• There is a positive relationship between
  communication and trust but a negative
  relationship between communication and conflict
  and trust and conflict. Performance appraisal
  enhances communication and therefore trust.
• Performance appraisal has a pivotal role in HRD
  as it can effect directly three of the four
  stages investigation, implementation and
  evaluation.

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6.11
IMPACT ON THE HR DEVELOPER

• HR developers are involved in performance
  appraisal (PA) in a number of ways
• as an input to the surveillance and
  investigatory stages of HRDNI
• to help design, develop and instigate PA systems
  into the organisation
• to develop the managers and appraisees in the
  skills of PA
• to ensure that the special interaction between
  the managers and the staff fulfills its potential
• the results of the PA system provides
  information for the evaluation stage.

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6.17
THE JOB SPECIFICATION
The job specification lists the characteristics
(e.g. skills, knowledge, abilities) that the
position occupant needs to carry out the duties
and successfully achieve the performance
indicators (see Figure 6.4 on page 143 of the
text). Thus, the performance indicators of the
job description and the job specification
together form the predetermined standard for the
performance appraisal systems.
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6.19
OBSERVING THE PERFORMANCE

• Three issues need to be considered at the
  observation stage
• What is to be observed? This is defined by the
  performance indicators and the job specification.
• Who will do the observing? Usually this will be
  the supervisor. With administrative performance
  appraisal, this is always the case. For the
  developmental performance appraisal, the net is
  sometimes cast wider e.g. 360-degree performance
  appraisal.
• The information gathered must be representative
  of the full period under consideration.

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6.21
THE COMPARISON
The comparison between what has been observed
and the predetermined standard is usually best
achieved by some permanent or semi-permanent
visual record. One of the more practical
approaches is to create a form. A visual record
is needed for the performance indicators see
Figure 6.5 on page 146 and another for the job
specification see Figure 6.6 on page 148. Note
two additional points. Firstly, the performance
indicators and the job specification are linked
in this judgment process. Secondly, using graphic
rating scales on the job specification for
administrative performance appraisal is a
calculated risk. Finally, the person to do the
comparison is usually the supervisor.
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6.23
FEEDBACK

• The feedback process is usually called the
  performance appraisal interview or the
  performance review discussion. The interview
  skills discussed in Chapter 7 are critical for
  this feedback task.
• There are three types of appraisal interviews
• The tell-and-sell is only useful if there is a
  high power differential between the appraiser and
  the appraisee and, even then, only when the
  appraisee is very inexperienced in the position.
• The tell-and-listen is most commonly used in the
  administrative performance appraisal.
• The problem-solving interview is most often used
  in the developmental performance appraisal.

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6.25
ACTION PLANS
Action plans provide a permanent and reliable
record of the agreements reached during the
interview. For the administrative performance
appraisal the usual record is a report that is
sent to the decision-making body (e.g. the
selection panel in promotion). For the
developmental performance appraisal, an action
plan see Figure 6.7 on page 151 of the textbook
is often used.
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6.27
INPUT INTO THE DEVELOPMENTAL SYSTEMS
In the case of the administrative performance
appraisal, the report is usually forwarded to the
next system some action is taken (e.g. the
Payroll Section for a salary increase). However,
it is important that the action plan from the
developmental performance appraisal is included
in the organisational HRD developmental plans.
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6.29
SURVEILLANCE SYSTEM

• The developmental performance appraisal process
  is a key surveillance system for any HRDNI. The
  information on the action plans is used for two
  purposes
• to design learning programs for individuals
• to identify trends from a number of action plans
  to see if any hidden needs should be
  investigated.
• Information from the administrative performance
  appraisals may become available to the HR
  developer, but such reports may be confidential.

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KNOWLEDGE CREATION AND MAINTENANCE
6.31

• A well-designed developmental performance
  appraisal system forms the basic building block
  for the creation and maintenance of knowledge by
  setting a culture and fundamental expectation
  that learning will occur. This expectation is
  established by having key people focus on the
  development of one person close interaction,
  which increases the trust between the players
• constant interaction, which regularly emphasises
  the importance of an individuals development
• encouraging the knowledge creation process of
  externalisation.

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CHAPTER 7 INTERVIEWING AND FOCUS GROUPS
7.1

• QUALITATIVE RESEARCH
• INTERVIEWING
• THE FOCUS GROUP
• ANALYSING QUALITATIVE DATA
• THE BEGINNING OF LEARNING

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7.3
QUALITATIVE RESEARCH
Interviews and focus groups are qualitative
research methods. The data gathered with these
methods have to be an accurate representation of
the phenomenon being investigated. Further, the
research should be able to be replicated. While
accuracy and replicability are ideals, and
difficult to achieve fully, the good investigator
attempts to come as close as possible to this
utopian state. This is achieved by considering a
number of research options and through sampling.
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7.4
RESEARCH OPTIONS
The researcher should consider the following
options trustworthiness verification and
triangulation acknowledging subjectivity and
bias process and sequence interpretation
referential adequacy paint the path.
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7.5
SAMPLING
Gathering data from entire populations is usually
too costly and therefore a representative sample
is taken. There are various types of sampling
designs simple random sampling systematic
sampling stratified random sampling convenience
sampling purposive sampling convergence
sampling snowball sampling. The above list moves
from probability to non-probability sampling.
Each has its advantages and disadvantages.
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7.7
INTERVIEWING
Successful interviewing is the result of the
complex interaction of high-level skills, empathy
and understanding of others and an abundant
curiosity. Key interviewing skills include the
pattern of the interview listening
questioning paraphrasing probing summarising
non-verbal behaviour.
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7.8
THE PATTERN OF THE INTERVIEW
A well-patterned interview removes communication
barriers and encourages the flow of information.
There are four stages. Stage 1 Entrance
investment time, which includes a ritual, a pass
time, explaining reasons for the interview,
stating the rules, previewing and activity
no.1. Stage 2 Activity no.2, where the
interviewer uses the skills of questioning,
paraphrasing and probing. Stage 3 Intimacy,
where complexity, uncertainty and emotions are
encountered. Stage 4 Exit investment time, which
allows the interviewee to prepare to return to
the outside world and includes final comments, a
summary, future actions, final questions, pass
time and a ritual.
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7.9
LISTENING

• Listening is THE most important skill of the
  interviewer. There are two levels of listening
• listening to the substance of what the
  interviewee is saying
• listening for the unstated message.
• Further, the interviewer must be comfortable with
  silence and withstand the inclination to rush in
  and contaminate the outcome.
• It should always be remembered that the
  interviewees answers are the raw data for the
  investigation.

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7.10
QUESTIONING

• There are two types of questions
• Open questions have a stem-plus-query
  structure and allow the interviewee a wide choice
  of possible answers.
• I am interested in the concerns you may have
  about the new financial system. Would you tell me
  about some of these concerns, please?
• Closed questions are used to identify explicit
  facts.
• How many customers have complained?
• In an interview the first question on a topic is
  called a primary question and the other questions
  secondary questions. A question sequence usually
  starts with an open question, followed by a less
  open question, followed by a fairly closed
  question and then a closed question. This is
  called a funnel sequence.

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7.11
PARAPHRASING
From the interviewees perspective, the most
important part of the interview are the answers.
The interviewee is often concerned whether the
message is being heard and if it is being
interpreted correctly. To help the interviewee,
the interviewer paraphrases the answer back to
the interviewer. In paraphrasing, the interviewer
repeats back to the interviewee, in a concise
form, the essential message of the interviewees
reply. A special form of paraphrasing is
reflection of feelings.
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7.12
PROBING
Probing combines the funnel sequence of
questioning with paraphrasing and allows the
interviewer to delve into the memories of the
interviewee. For an example of probing, see A
closer look on page 173 of the textbook.
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7.13
SUMMARISING
A summary is a restatement of ideas, facts,
themes and/or feelings the interviewee has
expressed. A summary usually occurs at the end of
a section of an interview before going onto a new
topic. An example of summarising is shown in A
closer look on page 174 of the textbook.
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7.14
NONVERBAL BEHAVIOUR
Interviewers need to be aware of their own
non-verbal behaviour as well as that of the
interviewee. A robust model for checking
nonverbal behaviour is the SOLER model. (S)quare
on (O)pen posture (L)ean forward (E)yes (R)elax T
he interviewer can check the interviewees
non-verbal behaviours to see if they are in the
rapport zone as well as checking their own
behaviour.
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7.15
STRUCTURED vs. UNSTRUCTURED
Interviews can be considered as highly structured
or highly unstructured. An unstructured interview
commences with a broad, open question and then
relies on the interview skill of probing to
manage the process and the direction of the
interview. These interviews require a very
experienced interviewer. Structured interviews
use standardised, pre-prepared questions that are
carefully worded and ordered. These questions are
usually based on previously gathered information.
These interviews do not necessarily need an
experienced interviewer.
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7.16
THE THREE LEVELS
The interviewer operates on three levels. The
content level is where the interviewer listens
to, and records, the information. The process
level is where the interviewer uses the skills of
questioning, paraphrasing, probing and attending
to control the direction of the interview. The
executive level is where the interviewer controls
the time and is aware of other issues such as the
interviewees energy levels.
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7.18
THE FOCUS GROUP

• The focus group collects data through group
  interaction with a number of respondents
  simultaneously. There are a number of
  similarities with an interview. The facilitator
  operates at the same three levels content,
  process and executive and uses the same six
  factors the overall pattern, listening,
  questioning, paraphrases, probes, and uses
  non-verbal.
• There are four other factors to be considered
• structured and unstructured focus groups
• logistics
• group composition
• conducting the focus group.

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7.19
STRUCTURED vs. UNSTRUCTURED
In a similar fashion to the interview, a decision
has to be made on whether the focus group will be
structured or unstructured.
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7.20
LOGISTICS
A focus group brings together a number of people,
at a common time, in a relatively large space
that is comfortable, quiet and free form
interruptions. Associated equipment such a
chairs, tables, video equipment, visual aids and
writing material is usually needed. This takes
quite a deal of planning!
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7.21
GROUP COMPOSITION
The investigator has to give careful
consideration to the membership of the groups,
including homogeneity representation
strangers vs. acquaintances size of group.
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7.22
CONDUCTING THE FOCUS GROUP
There are five considerations that need
attention facilitator team recording use of
visual aids thinking time group dynamics The
facilitator must be aware of the task roles and
relationship roles that occur within a group (see
Table 7.1 on page 183 of the textbook).
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7.24
ANALYSING QUALITATIVE DATA
The overall purpose of analysing qualitative data
is to identify the themes and sub-themes in the
raw data which will provide an understanding of
the issue, opportunity or problem being
investigated. Themes can be identified in two
ways by using the pre-planned questions as
themes for the analysis. This is usually only an
option in the structured interviews and focus
groups. by using content analysis.
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7.25
CONTENT ANALYSIS
Content analysis is the process of identifying,
coding and categorising the primary patterns in
the qualitative data. 1. Read through notes and
other evidence. 2. Code themes as they surface.
Highlight the full passage containing the
theme. 3. When a second theme is found, compare
it with the first, and so on. If it is
different, start a new code. 4. Maintain a list
of the abbreviations of the main themes
identified. 5. At reasonable intervals,
transfer the indicated passages to a file. This
transferring classifies the data into specific
categories.
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7.26
CONTENT ANALYSIS (Continued)
6. Steps 1 to 5 are called open coding the
first pass through the raw data. 7. The second
reading of the raw data is for axial coding to
look for new ideas to review and examine
initial codes and themes to look for causes and
consequences. 8. In the third reading, selective
coding occurs looking for evidence that
illustrates or justifies identified codes and
making comparisons and contrasts between themes
and sub-themes. 9. Write the report.
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ANALYSING QUALITATIVE DATA (Continued)
7.27

• Six important comments can be made about
  analysing qualitative data
• It is a messy process
• There are two levels of data. The manifest data
  is the data that is physically present and
  accountable. The latent data is the symbolism
  underlying the physical data.
• The decisions are yours.
• Computer programs (e.g. NUDIST) can be used.
• Gathering data, analysing data and writing the
  report are not mutually exclusive.
• The best instrument to analyse qualitative data
  is the human brain.

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7.29
THE BEGINNING OF LEARNING
The HRDNI is the beginning of the learning
process for the individual and the organisation.
This is particularly so with the qualitative
research methods. The interaction between the
investigator and the participants is the epitome
of communicative learning. In addition, both
parties are involved in the knowledge creating
processes of externalisation and internalisation.
Human Resource Development Principles and
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By Brian Delahaye