人力资源和员工考核

1、1HRM and Staff Appraisal2Staff Performance Appraisal Systems the number one American management problem. It takes the average employee (manager or non-manager) six months to recover from it. (Peters, 1989; p. 495) Most large businesses have staff appraisal schemes. Even with no formal scheme, judgme

2、nts are madebenign, beneficial or insidiousabout continuity of employment, promotion, reward, redundancy, inclusion/exclusion. formal policy for systematic, job-related feedbackboss/subordinate appraisal encounters potential for problems and frustrationYet companies and participants say that benefit

3、 stems from the process.3Purposes of Staff AppraisalReview past performance and give feedbackDefine expectations, directions and objectives to improve performanceAssess and support training & development needs (learning, job/career change)Discuss and encourage potential/promotabilityCommunicate

4、review and assessment of additional rewardsMake retention decisions (probationary period)4Types of Staff Appraisal SchemeInformal and unsystematicFormal schemes: policy (fabric and process)Rating scales/formsTrait (X has these personal qualities)Behaviour (X demonstrates these behaviours)Competencie

5、s (X performs with this level of competence)MbO - Results-oriented appraisal (delivers against agreed targets)360 o appraisal (stakeholder feedback to the manager)Self-appraisal5Rating Approach (Traits/behaviour)5. Problem-solving - etc6. Appearance, manner and attendance4. Relationships & Value

6、s - etc3. Job Ability - etcHigh 6 5 4.3 2 1 Low Comments 2. Quality of Work Quality standards achieved? Efforts directed towards contract profit and cost targets? Reliable information, analysis and reports? High 6 5 4.3 2 1 Low Comments 1. Quantity of Work Manages work loadNo. of contracts & sta

7、ff Job plans: complete accurate & up-to-date Staff records: complete, accurate & up-to-date Rating and Comments Job FactorCriteria and culture imperativesWeightingForced choiceSemantic differentialAppraiser knowledgeInterpretation for advancement6Results oriented, MbO Tenets?Standards/target

8、sFocus and channel effort. Evaluate progress and performance “quality “MbO discussions involve structured, mutual and challenging processWhat is expected of me?realistic, attainable targets (not exploitative demands)trust and sharinganalysis, problem-solving + 2-way feedback (experiential learning)T

9、heory Y: balancing individual needs with organisational situationopenings for personal growth/learning in the job plandelegating responsibility - empowering (scope, authority + resources to handle matters). Identify internal & external barriers7Learning from Experience and MbOActualExperienceRef

10、lectiveObservationAbstracting &TheorisingTesting & experimentingLEARNINGCYCLED Kolb, Rubin & McIntyreOrganisational Psychology, Addison WesleyA model forpersonal awareness and development8The enormity of MbO principles and imperativesMbO oozes common-sense Humbles method (early 1970s) po

11、sed problemsDecomposing objectives - corporate to individualAtomistic vs. the whole, detailed, time-consumingskill in articulating objectivestime/skill to engage in ideal ways.lip-service, inconsistency, bureaucracy, meetings & records80/20 principle - 4/5 key job areas where results really matt

12、er. Assumptions: We comprehend what we are trying to achieve, what is wanted. We are trained, competent and as oneWe both need and give recognition/credit + room to perform. 9MbO Tenets for Maintenance and InnovationMbO useful for defining expectations - targeting. new staffAs a review process for s

13、elf”, the manager and the teamMAINTENANCE Objectives/targetsrolling review OF key matters - creative, planned maintenanceavoid slippage and entropy (tiredness, complacency, wear-and-tear)potential for Kaizen/CQIdiscourse on corporate valuesNEW INNOVATION - PROJECTsignificant job change - re-assign t

14、o new projectformal delegation of new areas” - responsibility, authority, resourcesmanage challenge, ambiguity and risk avoid overload - too many new projects at once10Defining SMART ObjectivesObjectives should be:Specific (not general and vague, or activity focused with an unclear purpose)Measurabl

15、eAchievable (not over optimistic/pessimistic)Realistic (not too numerous and unbalanced)Time specific (not indeterminate) - focus on milestones- Is responsibility balanced with authority and resources?- Are start and end points well defined?- Is progress/monitoring data available? Visibility?- Targe

16、ts linked to plans - how the standard/target will be achieved?- Focusing individual standards and targets in a team setting? - Possibility of ethical dilemmas? 11Staff Appraisal and Key Result AreasKRA 1KRA 2KRA 3KRA 4KRA 5Define key tasks for KRA 5KT1KT2KT3KT4KT5 task, quality and risk analysis rol

17、e demands, choices, constraints ambiguities. overloads, pressures/conflicts what is difficult and safety critical? what is vital for organisational success?generic & job specific competence technical & socialcontext and rangeConceptualising thisOperationalising thisKeeping it goingThe realit

18、y of the process12MbO RecordNotes on Achievements/Progress Progress Review Dates .Training/Learning NeedsData for Monitoring Objective/Target to be Achieved Key Job AreaDate Job/RoleNameSigned: (Post-holder)Signed: (Manager)The BureaucracyHR Information systemDirect links to PRP?13Evaluate th

19、ese examples against the SMART principlescomplete project X by mid-summerachieve 95% deliveries within 24 hrs of order and 99% within 48 hrs.maintain staff awareness about customer relations policycontact all customers within 6 months and renew service contracts.implement Key-Note promotion to secur

20、e 70 new Gold Star customers open new shop on schedule and within budgetcomplete all ISO9000 documentation and secure accreditation by Christmas.14Conducting a staff appraisal meetingTell and sell, ski instructor approachappraiser as judge, tells/reveals the conclusion of his/her appraisal andadvice

21、 how to improveobtain/field appraisee reaction (will this change the assessment?)assumes reasonably frank, high trust exchange when and for whom is this approach appropriate? Mentoring, Problem-solving Approachthe meeting and outcome emerge as a process of interaction the answer is not known beforeh

22、and15Conducting a staff appraisal meeting - 2Preparation Appraisee briefing and reviewAppraiser reviewReview meetingrenew personal contact/rapportthe agendareview events, progress & outcomesgive feedback (two-way) & encouragementavoid blame, target standards, requirements and prioritiescriti

23、cal questions + reflective observation/analysisconsider job/role change and personal developmentnew SMART targets, agree plans/action and supportsummarisePersonal closure, record and follow-up 16Conducting a staff appraisal meeting - 3AvoidLack of preparationLose sight of the whole person and whole

24、performanceSide-lining real problemsNot differentiating fantasy and realitySmoke-screens, bluster, argumentVictimisation, bullying, humiliationConfrontation without trust & mutual understandingUnbalanced agenda coverageNit-picking and missing the KRAsTime guillotineOver-zealous deluge and underm

25、ining confidenceNow Ive got you .Everyone says that .17Conducting a staff appraisal meeting - 4SkillsSituation appraisal, problem definition, objective setting and resource allocation, solution development, examination of options, potential problem analysis, planning and implementation.Securing agre

26、ement and ownership Genuine regard for and commitment to the otherCommitment to the processEmpathy vs. sympathyGiving and receiving feedback Questioning and active listeningLeading/inspiring18Problems for AppraisersPrejudice and distortion of judgement: - both ways. Halo/HornsInsufficient knowledge

27、of appraiseeDistinguishing appraisees work from context in which they workComparison with other appraisees. Cumbersome documentation, too clever, prescriptive.Consistent reporting by appraisers. The formality: the encounter has a lot riding on it. Outcomes ignored + follow-up fails to take place. Ev

28、eryone is just above averageMost appraisees seek reassurance that “all is well”. Appraising the wrong things - behaviours actual work Some concerns, outcomes, competencies are difficult to evaluate and articulatePreparing, meeting and following-up AND doing your own job!19Personnels Staff Appraisal

29、Function/RoleControl and development function to advise the organisation on its staff appraisal system. Commission, maintain and evaluate the system train managers and ensure that appraisals take place properlyoversee decisions (merit awards?)staff appraisal information systemorganise communication

30、flowsanalyse/ summarise appraisal records to audit people resources/issues up-date staff records follow up on individual/group training needs, employee potential and succession handle appeals - verify managerial fairness! Are these things done? Does the data flow around the organisation?Do such proc

31、edures and controls justify the costs?20The Appraisal PrescriptionDespite problems, appraisal schemes are recommendedCorporations invest time, energy and resources. Much advice on managing the processOriginsDouglas McGregor, 1960, The Human Side of Enterprise (1960) Theory Y - integrating individual

32、 and organisational needs to optimise performance.How? job/role definition, targeting, planning (within staff appraisal) supportive, mutually evaluative boss-subordinate relationshipfocusing employee energy on business objectivesperformance-related criteriadevelopment needs and interests21Theory Y a

33、nd development ideologyTheory Y references high order motivational needsSupervisors are urged to create and maintain conditions forparticipative, trusting team relationshipsrealise employee capacity to be creative and self-managing individual growth, stimulus, empowerment, problem-solving Appraisal

34、practicea means to embed socially positive, individually beneficial and organisationally essential norms into the conduct of manager-staff relationships and work arrangements and rewardsensures that motivational needs for security-orderliness-predictability, social acceptance and self-esteem/status

35、are not chronically under-served.reinforces the organisational discourse of performance, quality, commitment and membership.22Slogan: Adopt an appraisal policy and reap the benefits !Potential outcomesimproved communication between manager and worker better linking of business priorities with how th

36、e individual delivers their job performances enhanced loyalty, commitment to work, personal identification and motivation to perform23Two Perspectives - Control and DevelopmentStaff Appraisal as a Control System Standard procedure to regularise behaviour (appraisers & appraisees)A rational-legal

37、 system. Conform and appraise to a standard. The policy and proceduredefines and requirescommunicates criteria of performance, values and expectationsrequires routine meetings with staff to review roles and priorities systematically focus on current issues being articulated by management assumes 2-w

38、ay feedback (Theory Y vs Theory X) encourages analysis, planning, agreement and documentation by mote unitary and organisational commitments through individualsantipathy where staff do not share the same values as managers 24Two Perspectives - Control and DevelopmentAppraisals as a Develo

39、pment Process Still a standard operating procedureJob review is diagnostic - joint problems, needs, interestsFeedback - essential for learning and adaptationTheory X - imposed, potentially coercive, one-sided appraisalTheory Y - requires trust and belief in the process itself with the parties gettin

40、g meaningful, tangible benefit from the activitythe continuity/follow-up events. 25The developmental proposition?What are the costs of set up a scheme and maintaining it - year in year out? Assume a business of, say, 5,000 employees. Resource-hungry and costly to design, implement and maintain. Are

41、individual and group performances significantly enhanced by the investment?Are benefits significant and measurable compared to no formal or systematic activity?At a participant level, appraisers and appraisees need tofind the process useful (joint benefit) and not too arduous. get a personal return

42、from commitment & energy26Participative Management Culturesorganisational commitment to participative managementopen, interactive culturestress the humanistic, development side of staff appraisal. The HRM, Investors in People doctrinelinked to quality, competitive business - the Be Excellent Sch

43、ool. Messages of staff appraisal reflect A focus on performance, achievement and individuality employees are more than factors of production - they are valued in and of themselves - as people. 27ConclusionsStaff appraisal systems are regulative, controlling methodsThey reflect HRM norms and despite

44、problems, organisations still do it.Millions undergo formal appraisal. Much attention & resource is investedPractical issues. They need to be conducted wellBe quizzical about what they can or cannot achieve. Are they an act of faith?Is there real evidence that the big approach really works? Is t

45、he promise greater than what is actually delivered? What are the ethical and unethical angles? Tension between control and development.Development emphasises a supportive, constructive conversation rather than unilateral imposition & bureaucratic form-filling.28Seminar QuestionsIs staff appraisa

46、l suitable only for managerial, professional and technical posts with a considerable discretionary element to them? Is it unsuitable for routinised, simple operative jobs?How can we evaluate whether the benefits of both approaches to staff appraisal (control versus developmental) are satisfied and achieved in a single scheme? Who should/should not conduct the appraisal interview? What problems arise when an individuals actual performance is subs