Performance-Based Management

1、Performance-Based Managementhale_fm.qxd8/26/0311:30AMPageiAbout This BookWhy is this topic important?Every day first line managers and supervisors struggle with deficiencies and inequitiesin their organization, their leadership, and their people. The book recognizes that defi-ciencies exist, yet foc

2、uses on those things that first line managers and supervisors cando to be more effective.What can you achieve with this book?The book serves as a working guide. It is full of proven, practical guidelines, tools, andtips to overcome deficiencies and inequities, whether they are in the organization, t

3、heleadership, or the employees. The guidelines and tools on the accompanying CD can beimmediately put to use or modified to accommodate unique situations.How is this book organized?The book is organized around the four major roles of first line managers and supervi-sors. There are two chapters dedic

4、ated to each role. The first role is to provide direction.The chapters explain how managers and supervisors can provide direction whether ornot they have been given clear direction themselves. The second role is to communicateexpectations.The chapters explain how to identify behaviors that lead to r

5、esults andhow to measure performance. The third role is to equippeople with skills, information,and tools so they can succeed. The chapters explain how toorient new people to thejob, how to help them get the most from training, and how to make use of quick refer-ence guides so people avoid mistakes

6、and perform more consistently. The fourth role isabout how to steeror keep people on course through feedback and incentives. Thechapters explain how to take the pain out of giving people feedback and how to rec-ognize and reward behaviors that produce results.hale_fm.qxd8/26/0311:30AMPageiiAbout Pfe

7、iffer Pfeiffer serves the professional development and hands-on resource needs oftraining and human resource practitioners and gives them products to do theirjobs better. We deliver proven ideas and solutions from experts in HR devel-opment and HR management, and we offer effective and customizable

8、toolsto improve workplace performance. From novice to seasoned professional,Pfeiffer is the source you can trust to make yourself and your organizationmore successful.Essential KnowledgePfeiffer produces insightful, practical, andcomprehensive materials on topics that matter the most to trainingand

9、HR professionals. Our Essential Knowledge resources translate the expertiseof seasoned professionals into practical, how-to guidance on critical workplaceissues and problems. These resources are supported by case studies, worksheets,and job aids and are frequently supplemented with CD-ROMs, websites

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11、nt. These resources are frequently offered in loose-leaf orCD-ROM format to facilitate copying and customization of the material.Pfeiffer also recognizes the remarkable power of new technologies inexpanding the reach and effectiveness of training. While e-hype has oftencreated whizbang solutions in

12、search of a problem, we are dedicated tobringingconvenience and enhancements to proven training solutions. All oure-tools comply with rigorous functionality standards. The most appropriatetechnology wrapped around essential content yields the perfect solution fortodays on-the-go trainers and human r

13、esource professionals.Essential resources for training and HR professionals.pfeiffer4#ff66ffhale_fm.qxd8/26/0311:30AMPageiiiPerformance-BasedManagement What Every Manager Should Do to Get ResultsJudith Hale.pfeiffer#ff66ffhale_fm.qxd8/26/0311:30AMPageivCopyright ? 2004 by John Wiley & Sons, Inc.

14、Published by PfeifferAn Imprint of Wiley.989 Market Street, San Francisco, CA 94103-1741.Except as specifically noted below, no part of this publication may be reproduced, stored in a retrievalsystem, or transmitted in any form or by any means, electronic, mechanical, photocopying, recor

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16、Danvers, MA 01923, 978-750-8400, fax 978-750-4470, or on the web at .copyright#ff66ff.Requests to the Publisher for permission should be addressed to the Permissions Department, JohnWiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, 201-748-6011, fax 201-748-6008,e-mail:permcoordinatorwile

17、y#ff66ff.Certain pages from this book and all the materials on the accompanying CD-ROM are designed forusein a group setting and may be customized and reproduced for educational/training purposes. Thereproducible pages are designated by the appearance of the following copyright notice at the foot of

18、each page:Performance-Based Management. Copyright ? 2004 by John Wiley & Sons, Inc. Reproduced bypermission of Pfeiffer, an Imprint of Wiley. .This notice may not be changed or deleted and it must appear on all reproductions as printed.This free permission is restricted to limited cu

19、stomization of the CD-ROM materials for yourorganization and the paper reproduction of the materials for educational/training events. It does notallow for systematic or large-scale reproduction, distribution (more than 100 copies per page, peryear), transmission, electronic reproduction or inclusion

20、 in any publications offered for sale or used forcommercial purposesnone of which may be done without prior written permission of the Publisher.For additional copies/bulk purchases of this book in the U.S. please contact 800-274-4434.Pfeiffer books and products are available through most bookstores.

21、 To contact Pfeiffer directly call ourCustomer Care Department within the U.S. at 800-274-4434, outside the U.S. at 317-572-3985 or fax317-572-4002 or visit .pfeiffer#ff66ff.Pfeiffer also publishes its books in a variety of electronic formats. Some content that appears in printmay not be available i

22、n electronic books.Printed in the United States of AmericaISBN: 0-7879-6036-5Library of Congress Cataloging-in-Publication DataHale, Judith A.Performance-based management : what every manager should do to get results/Judith Hale.p. cm.Includes bibliographical references and index.ISBN 0-7879-6036-5

23、(alk. paper)1. Management by objectives. 2. Performance. 3. Supervision ofemployees. I. Title.HD30.65.H355 2004658.4012dc212003008893Acquiring Editor: Matthew DavisDirector of Development: Kathleen Dolan DaviesEditor:Rebecca TaffSenior Production Editor: Dawn KilgoreManufacturing Supervisor: Bill Ma

24、therlyInterior Design: Joseph PilieroCover Design: Laurie AndersonIllustrations:Lynn Kearny and Richard SheppardPrinted in the United States of AmericaPrinting10987654321hale_fm.qxd 8/26/03 11:30 AM Page vContents List of Figures/ixCD-ROM Contents/xiPreface/xiiiIntroduction/1Chapter 1How Leaders Set

25、 the Direction / 9Performance Improvement / 10Common Missteps / 10Leadership / 11Goals, Objectives, and Outcomes / 13Messages and Direction / 21Consistency / 21Off the Cuff / 24Tips / 30Summary / 31Where to Learn More / 32Notes / 32Chapter 2 How to Provide Direction / 35Performance Improvement / 35C

26、ommon Missteps / 36Governance / 37Endorsement and Legitimacy / 42Operational Protocols / 43Tools and Techniques / 44Tips / 54vhale_fm.qxd8/26/0311:30AMPagevivi ContentsSummary / 54Where to Learn More / 54Notes / 55Chapter 3How to Set Expectations / 57Performance Improvement / 58Common Missteps / 58W

27、hat Sets Expectations / 59Where to Find Measures / 63What to Measure / 65Jobs and Measures / 67What to Use for Comparison / 74Tips / 74Summary / 75Where to Learn More / 75Note / 75Chapter 4How to Identify Behaviors That Lead to Performance / 77Performance Improvement / 77Common Missteps / 78Competen

28、cies and Competency Statements / 78Using Competencies to Select People / 83Tips / 86Summary / 86Where to Learn More / 87Note / 87Chapter 5How to Use Orientations and Training Effectively / 117Performance Improvement / 117Common Missteps / 117Orientation / 118Readiness Check / 119Training / 122Tips /

29、 130Summary / 130Where to Learn More / 130Chapter 6How to Use Job Aids to Support Performance / 133Performance Improvement / 133Common Missteps / 134Job Aids or Quick Reference Guides / 134Standards, Work Rules, and Procedures / 145hale_fm.qxd8/26/0311:30AMPagevii ContentsviiTips / 152Summary / 152W

30、here to Learn More / 152Notes / 152Chapter 7How to Make Giving Feedback Less Painful / 155Performance Improvement / 155Common Missteps / 156Performance Problems / 156Feedback and Coaching / 157Why We Give Feedback / 158Why Giving Feedback Is Difficult / 159System Solutions / 159Human Connection / 16

31、9Performance Appraisals and Feedback / 170Tips / 175Summary / 176Where to Learn More / 176Note / 177Chapter 8How to Recognize and Reward People / 179Performance Improvement / 180Common Missteps / 181Leading and Lagging Indicators / 181Leading Indicators / 183Lagging Indicators / 187Recognizing the U

32、nseen and the Unclean / 188Peer Recognition / 190Compensation / 192Meaningful Work / 193Aligning Incentives / 193Tips / 197Summary / 198Where to Learn More / 199Notes / 199Index/201About the Author/217How to Use the CD-ROM/219Pfeiffer Publications Guide / 223hale_fm.qxd8/26/0311:30AMPageviiihale_fm.

33、qxd8/26/0311:30AMPageixList of Figures Figure I.1Leadership Roles for Performance / 5Figure 1.1Leadership Roles / 8Figure 1.2Ripple Effect of Goals and Objectives / 12Figure 1.3Hierarchy of Goals and Objectives / 13Figure 2.1Leadership Roles / 34Figure 2.2Governance Structure / 41Figure 2.3Sample Cr

34、oss-Functional Chart / 46Figure 2.4Cross-Functional Chart / 51Figure 2.5Sample RASCI Chart / 53Figure 3.1Leadership Roles / 56Figure 3.2Three Ways to Measure Job Performance / 68Figure 3.3Measures Worksheet / 72Figure 3.4Means and Evidence / 73Figure 4.1Leadership Roles / 76Figure 4.2Comparison of L

35、eader Behaviors / 79Figure 4.3Behaviors Across Roles / 80Figure 4.4Performance Checklist Template / 82Figure 4.5Sample Form to Interview for Project Management Skills / 85Figure 5.1Leadership Roles / 116Figure 6.1Leadership Roles / 132Figure 6.2Sample Worksheet: How to Balance Your Checkbook / 136Fi

36、gure 6.3Sample Array: Candy Box Lid / 137ixhale_fm.qxd 8/26/03 11:30 AM Page xx List of FiguresFigure 6.4Sample If, Then Decision Table: How to Clean Exterior Surfaces / 137Figure 6.5Sample Flow Chart: Starting a Task / 138Figure 6.6Sample Checklist: Air Sampler Maintenance Checklist / 139Figure 6.7

37、Dirty Oil / 144Figure 6.8Pitch Card / 145Figure 7.1Leadership Roles / 154Figure 7.2Meeting Management Checklist / 164Figure 7.3Phenomena That Contribute to Unfair Evaluations / 172Figure 7.4Sample Rating Scale / 172Figure 8.1Leadership Roles / 178Figure 8.2A Comparison of Incentives and Rewards / 18

38、0Figure 8.3Identifying Leading Indicators / 187Figure 8.4Matrix to Align Incentives / 197hale_fm.qxd8/26/0311:30AMPagexiCD-ROM Contents Tool 1.1How to Identify Goals and Objectives / 16Tool 1.2How to Identify What Is Important / 23Tool 1.3How to Challenge Mixed Messages / 25Tool 2.1How to Design a G

39、overnance Structure / 39Tool 2.2How to Develop and Use Cross-Functional Charts / 45Tool 2.3How to Develop Governing Principles, Protocols, and Ground Rules / 47Tool 2.4How to Develop Operating Guidelines and Procedures / 48Tool 2.5How to Develop and Use RASCI Charts / 50Tool 3.1How to Identify Deliv

40、erables / 61Tool 3.2How to Evaluate Your Current Use of Measures / 66Tool 3.3How to Select Measures / 72Tool 4.1How to Identify Desired Behaviors / 81Tool 4.2How to Develop Behavioral Interview Questions / 83Tool 4.3Job Aid for Describing Behaviors by Job Level and Level of Performance / 88Tool 4.3a

41、Job Aid for Describing Behaviors by Job Level and Level of PerformanceSenior Manager / 90Tool 4.3bJob Aid for Describing Behaviors by Job Level and Level of PerformanceMid-Level Manager / 95Tool 4.3cJob Aid for Describing Behaviors by Job Level and Level of PerformanceFirst-Level Manager / 100xihale

42、_fm.qxd8/26/0311:30AMPagexiixii CD-ROM ContentsTool 4.3dJob Aid for Describing Behaviors by Job Level and Level of PerformanceSupervisor / 104Tool 4.3eJob Aid for Describing Behaviors by Job Level and Level of PerformanceIndividual Contributor / 111Tool 5.1How to Orient New Employees / 120Tool 5.2Ho

43、w to Get the Most from Training / 124Tool 5.3How to Make On-the-Job Training More Effective / 128Tool 6.1How to Select and Use Job Aids / 140Tool 6.2How to Identify and Use Standards, Work Rules, and Procedures / 147Tool 7.1How to Use Project Plans and Action Plans for Giving Feedback / 161Tool 7.2H

44、ow to Use Meeting Guidelines to Give Feedback / 164Tool 7.3How to Obtain and Use Internal Customer Feedback / 167Tool 7.4Guidelines for Giving Feedback / 173Tool 8.1How to Identify Leading Indicators / 186Tool 8.2How to Identify and Select Incentives / 191Tool 8.3How to Align Recognition and Rewards

45、 / 196hale_fm.qxd8/26/0311:30AMPagexiiiPreface This book is based on more than twenty-five years of experience witnessingmanagers and supervisors succeed despite inept leadership, ill-formed humanresource policies, and inadequate information and communication systems.They succeeded because of their

46、respect for others, their ingenuity in ad-dressing problems, and mostly because of their unwavering optimism. I haveimmense respect for the people who live day-to-day with dysfunctional man-agement systems. Geary Rummler said, “Put a good person in a bad system,1and the system will win every time.”T

47、his may be true in many circumstances,but I see people succeeding in bad systems. This book is meant to help man-agers and supervisors become even more effective, whether they work in goodor bad systems.AUDIENCE FORThe primary audience for this book is managers and supervisors who areTHEBOOKresponsi

48、ble for:?The performance of employees, contractors, suppliers, and third-partyafter-market partners?Facilitating the successful deployment and adoption of major initiatives?Evaluating recommended solutions to improving performance?Working with others not in their chain of commandA secondary audience

49、 is internal and external consultants (human resourcedevelopment, training and development).xiiihale_fm.qxd8/26/0311:30AMPagexivxiv PrefaceThetips,guidelines,andtoolsaredesignedtobeworkableandpracticalsomanagersandsupervisorscanmoreeffectivelyimprovehumanperformance.ACKNOWLEDG-Some very special peop

50、le played a major role in helping make this book pos-MENTSsible. They painstakingly read the first draft of every chapter and addedinsights, examples, and guidance. They are Deb Barrett, Training Manager;Ann Berasley, #99ff99MBA; Mike Brogan, Manager of Organizational Development,Metropolitan Washin

51、gton Airports Authority; Ann Daniels, Chipote Restau-rants; Cordell Hauglie, Consultant, Delivery Systems Consulting & Training,Boeing; David R. Haskett, Manager, Instructional Design, Johnson Controls,Inc.; Jim Heine, Manager of Utility Services, Argonne National Laboratory;Nora Holcomb, Manage

52、r of Internal and External Training, CCC InformationSystems; Roger Kaufman, Professor, Florida State University; DonaldL.Kirkey, Learning & Development ManagerGlobal Operations, JohnsonControls, Inc.; Karen G. Kroczek, Manager of Technical Training, PlantFacilities and Services Division, Argonne

53、 National Laboratory; Dean R.Larson, Ph.D., CSP CEM CPEA, Department Manager, Safety & IndustrialHygiene, U.S. SteelGary Works; Annemarie Laures, Director, LearningServices, Walgreen Co.; Jim Momsen, Contractor, Instructional Designer;Gwendolyn Nichols-White, Implementation Manager, U.S. Cellula

54、r; TomNorfleet, Manager of Corporate Services, Michigan Auto; Karen Preston,Director, Systems Support & Process Improvement Services, PerformanceDevelopment Department, Walgreen Co.; George Pollard, Assistant Professorof Education and Director of Advance Programs, Crichton College; JoeliRidley,

55、Manager of Certification, Charles Schwab; Malou Roth, Consultant;Belinda Silber, Owner, Divanoir Catering; Kenneth Silber, Ph.D., AssociateProfessor, EducationalTechnology, Research and Assessment, Northern Illi-nois University; Mike Singleton, Holnam Industries; Charline Wells, Managerof Training a

56、nd Performance, Sandia National Laboratory.I was fortunate to have the continued confidence of Kathleen DolanDavies and Matt Davis of Pfeiffer, whose support made this book possible.Special thanks goes to my friend Sue Simons, who continues to encourage meto be true to my style of simplicity and dir

57、ectness.NOTE1.This quote is fromTrainingmagazine (December 1986, p. 43.)hale14326_intro.qxd8/26/0311:31AMPage1Introduction This book has stories, examples, and guidelines to help managers andsupervisors improve the performance of their work units. Performance im-provement operates on the premise tha

58、t to be effective, individuals and groupsrequire:Direction About What the Organization Wants to Accomplish?Consistent direction from the leadership?Management processes that allow for efficient decision makingClear Expectations?A clear understanding of what is expected of them?An explanation of the

59、criteria that will be used to judge the adequacy oftheir workThe Equipment to Do the Job?Training and the information required for the job?Performance support tools to help them remember how to do the job rightand efficientlyInformation and Incentives to Keep Them on Track?Feedback on how well they are doing and coaching on how to improve?Rewards and incentives that support the behaviors that produce the resultsEach of these requirements is discussed in greater detail in subsequentch