人力資源和員工考核第1頁/共30頁StaffPerformanceAppraisalSystems …thenumberoneAmericanmanagementproblem.Ittakestheaverageemployee(managerornon-manager)sixmonthstorecoverfromit.

(Peters,1989;p.495)Mostlargebusinesseshavestaffappraisalschemes.Evenwithnoformalscheme,judgmentsaremadebenign,beneficialorinsidiousaboutcontinuityofemployment,promotion,reward,redundancy,inclusion/exclusion.formalpolicyforsystematic,job-relatedfeedbackboss/subordinateappraisalencounterspotentialforproblemsandfrustrationYetcompaniesandparticipantssaythatbenefitstemsfromtheprocess.第2頁/共30頁PurposesofStaffAppraisalReviewpastperformanceandgivefeedbackDefineexpectations,directionsandobjectivestoimproveperformanceAssessandsupporttraining&developmentneeds(learning,job/careerchange)Discussandencouragepotential/promotabilityCommunicatereviewandassessmentofadditionalrewards

Makeretentiondecisions(probationaryperiod)第3頁/共30頁TypesofStaffAppraisalSchemeInformalandunsystematicFormalschemes:policy(fabricandprocess)Ratingscales/formsTrait(Xhasthesepersonalqualities)Behaviour(Xdemonstratesthesebehaviours)Competencies(Xperformswiththislevelofcompetence)MbO-Results-orientedappraisal(deliversagainst"agreed"targets)360oappraisal(stakeholderfeedbacktothemanager)Self-appraisal第4頁/共30頁RatingApproach(Traits/behaviour)5.Problem-solvingetc6.Appearance,mannerandattendance4.Relationships&Valuesetc3.JobAbilityetcHigh654……321LowComments2.QualityofWorkQualitystandardsachieved?Effortsdirectedtowardscontractprofitandcosttargets?Reliableinformation,analysisandreports?High654……321LowComments1.QuantityofWorkManagesworkloadNo.ofcontracts&staffJobplans:completeaccurate&up-to-dateStaffrecords:complete,accurate&up-to-dateRatingandCommentsJobFactorCriteriaandcultureimperativesWeightingForcedchoiceSemanticdifferentialAppraiserknowledgeInterpretationforadvancement第5頁/共30頁Resultsoriented,MbOTenets?Standards/targetsFocusandchanneleffort.Evaluateprogressandperformance“quality“MbOdiscussionsinvolvestructured,mutualandchallengingprocessWhatisexpectedofme?realistic,attainabletargets(notexploitativedemands)trustandsharinganalysis,problem-solving+2-wayfeedback(experientiallearning)TheoryY:balancingindividualneedswithorganisationalsituationopeningsforpersonalgrowth/learninginthe"jobplan"delegatingresponsibility-empowering(scope,authority+resourcestohandlematters).Identifyinternal&externalbarriers第6頁/共30頁LearningfromExperienceandMbOAmodelforpersonalawarenessanddevelopment第7頁/共30頁TheenormityofMbOprinciplesandimperativesMbOoozes"common-sense"Humble'smethod(early1970's)posedproblemsDecomposingobjectives-corporatetoindividualAtomisticvs."thewhole",detailed,time-consumingskillinarticulating"objectives"time/skilltoengagein‘ideal’ways.lip-service,inconsistency,bureaucracy,meetings&records80/20principle-4/5keyjobareaswhereresultsreallymatter.Assumptions:Wecomprehendwhatwearetryingtoachieve,whatiswanted.Wearetrained,competentand"asone"Webothneedandgiverecognition/credit+roomtoperform.第8頁/共30頁MbOTenetsforMaintenanceandInnovationMbOusefulfordefiningexpectations-targeting.newstaffAsareviewprocessfor"self”,themanagerand"theteam"MAINTENANCEObjectives/targetsrollingreviewOFkeymatters-creative,plannedmaintenanceavoidslippageandentropy(tiredness,complacency,wear-and-tear)potentialforKaizen/CQIdiscourseoncorporatevaluesNEWINNOVATION-PROJECTsignificantjobchange-re-assigntonewprojectformaldelegationofnew"areas”-responsibility,authority,resourcesmanagechallenge,ambiguityandriskavoidoverload-toomanynewprojectsatonce第9頁/共30頁DefiningSMARTObjectivesObjectivesshouldbe:

Specific(notgeneralandvague,oractivityfocusedwithanunclearpurpose)MeasurableAchievable(notoveroptimistic/pessimistic)Realistic(nottoonumerousandunbalanced)Timespecific(notindeterminate)-focusonmilestones-Isresponsibilitybalancedwithauthorityandresources?-Arestartandendpointswelldefined?-Isprogress/monitoringdataavailable?Visibility?-Targetslinkedtoplans-howthestandard/targetwillbeachieved?-Focusingindividualstandardsandtargetsinateamsetting?-Possibilityofethicaldilemmas?第10頁/共30頁StaffAppraisalandKeyResultAreasKRA1KRA2KRA3KRA4KRA5DefinekeytasksforKRA5KT1KT2KT3KT4KT5

task,qualityandriskanalysisroledemands,choices,constraintsambiguities.overloads,pressures/conflictswhatisdifficultandsafetycritical?whatisvitalfororganisationalsuccess?generic&jobspecificcompetencetechnical&socialcontextandrangeConceptualisingthisOperationalisingthisKeepingitgoingTherealityoftheprocess第11頁/共30頁MbORecordNotesonAchievements/ProgressProgressReviewDates.Training/LearningNeedsDataforMonitoringObjective/TargettobeAchievedKeyJobAreaDate

Job/RoleNameSigned:(Post-holder)Signed:(Manager)TheBureaucracyHRInformationsystemDirectlinkstoPRP?第12頁/共30頁EvaluatetheseexamplesagainsttheSMARTprinciplescompleteprojectXbymid-summerachieve95%deliverieswithin24hrsoforderand99%within48hrs.maintainstaffawarenessaboutcustomerrelationspolicycontactallcustomerswithin6monthsandrenewservicecontracts.implementKey-Notepromotiontosecure70newGoldStarcustomersopennewshoponscheduleandwithinbudgetcompleteallISO9000documentationandsecureaccreditationbyChristmas.第13頁/共30頁ConductingastaffappraisalmeetingTellandsell,'skiinstructor'approach

appraiserasjudge,tells/revealstheconclusionofhis/herappraisalandadvicehowtoimproveobtain/fieldappraiseereaction(willthischangetheassessment?)assumesreasonablyfrank,hightrustexchangewhenandforwhomisthisapproachappropriate?Mentoring,Problem-solvingApproachthemeetingandoutcomeemergeasaprocessofinteraction'theanswer'isnotknownbeforehand第14頁/共30頁Conductingastaffappraisalmeeting-2PreparationAppraiseebriefingandreviewAppraiserreviewReviewmeetingrenewpersonalcontact/rapporttheagendareviewevents,progress&outcomesgivefeedback(two-way)&encouragementavoidblame,targetstandards,requirementsandprioritiescriticalquestions+reflectiveobservation/analysisconsiderjob/rolechangeandpersonaldevelopmentnewSMARTtargets,agreeplans/actionandsupportsummarisePersonalclosure,recordandfollow-up第15頁/共30頁Conductingastaffappraisalmeeting-3AvoidLackofpreparationLosesightofthe"wholepersonandwholeperformance"Side-lining"real"problemsNotdifferentiatingfantasyandrealitySmoke-screens,bluster,argumentVictimisation,bullying,humiliationConfrontationwithouttrust&mutualunderstandingUnbalancedagendacoverageNit-pickingandmissingtheKRAsTimeguillotineOver-zealousdelugeandunderminingconfidenceNowI'vegotyou…..Everyonesaysthat…..第16頁/共30頁Conductingastaffappraisalmeeting-4SkillsSituationappraisal,problemdefinition,objectivesettingandresourceallocation,solutiondevelopment,examinationofoptions,potentialproblemanalysis,planningandimplementation.SecuringagreementandownershipGenuineregardforandcommitmenttotheotherCommitmenttotheprocessEmpathyvs.sympathyGivingandreceivingfeedbackQuestioningandactivelisteningLeading/inspiring第17頁/共30頁ProblemsforAppraisersPrejudiceanddistortionofjudgement:-bothways.Halo/HornsInsufficientknowledgeofappraiseeDistinguishingappraisee'sworkfromcontextinwhichtheyworkComparisonwithotherappraisees.Cumbersomedocumentation,tooclever,prescriptive.Consistentreportingbyappraisers.Theformality:theencounterhasalotridingonit.Outcomesignored+follow-upfailstotakeplace.Everyoneis'justaboveaverage'Mostappraiseesseekreassurancethat“alliswell”.Appraisingthewrongthings-behaviours>actualworkSomeconcerns,outcomes,competenciesaredifficulttoevaluateandarticulatePreparing,meetingandfollowing-upANDdoingyourownjob!第18頁/共30頁Personnel'sStaffAppraisalFunction/RoleControlanddevelopmentfunctiontoadvisetheorganisationonitsstaffappraisalsystem.

Commission,maintainandevaluate"thesystem"trainmanagersandensurethatappraisalstakeplaceproperlyoverseedecisions(meritawards?)staffappraisalinformationsystemorganisecommunicationflowsanalyse/summariseappraisalrecordstoaudit"peopleresources/issues"up-datestaffrecordsfollowuponindividual/grouptrainingneeds,employeepotentialandsuccessionhandleappeals-verifymanagerialfairness!Arethesethingsdone?Doesthedataflowaroundtheorganisation?Dosuchproceduresandcontrolsjustifythecosts?第19頁/共30頁TheAppraisalPrescriptionDespiteproblems,appraisalschemesarerecommendedCorporationsinvesttime,energyandresources.MuchadviceonmanagingtheprocessOriginsDouglasMcGregor,1960,"TheHumanSideofEnterprise"(1960)TheoryY-integratingindividualandorganisationalneedstooptimiseperformance.How?job/roledefinition,targeting,planning(withinstaffappraisal)supportive,mutuallyevaluativeboss-subordinaterelationshipfocusingemployeeenergyonbusinessobjectivesperformance-relatedcriteriadevelopmentneedsandinterests第20頁/共30頁TheoryYand"development"ideologyTheoryYreferenceshighorder"motivational"needsSupervisorsareurgedtocreateandmaintainconditionsforparticipative,trustingteamrelationshipsrealiseemployeecapacitytobecreativeandself-managingindividualgrowth,stimulus,empowerment,problem-solvingAppraisalpracticeameanstoembedsociallypositive,individuallybeneficialandorganisationallyessentialnormsintotheconductofmanager-staffrelationshipsandworkarrangementsandrewardsensuresthatmotivationalneedsforsecurity-orderliness-predictability,socialacceptanceandself-esteem/statusarenotchronicallyunder-served.reinforcestheorganisationaldiscourseofperformance,quality,commitmentandmembership.第21頁/共30頁Slogan:Adoptanappraisalpolicyandreapthebenefits!!Potentialoutcomesimprovedcommunicationbetweenmanagerandworkerbetterlinkingofbusinessprioritieswithhowtheindividualdeliverstheirjobperformancesenhancedloyalty,commitmenttowork,personalidentificationandmotivationtoperform第22頁/共30頁TwoPerspectives-ControlandDevelopmentStaffAppraisalasaControlSystemStandardproceduretoregularisebehaviour(appraisers&appraisees)Arational-legalsystem.Conformand"appraise"toastandard.Thepolicyandproceduredefinesandrequirescommunicatescriteriaofperformance,valuesandexpectationsrequiresroutinemeetingswithstafftoreviewrolesandprioritiessystematicallyfocusoncurrentissuesbeingarticulatedbymanagementassumes2-wayfeedback(TheoryYvsTheoryX)encouragesanalysis,planning,agreementanddocumentationby"formula".promote"unitaryandorganisationalcommitments"throughindividualsantipathywherestaffdonotsharethesamevaluesasmanagers

第23頁/共30頁TwoPerspectives-ControlandDevelopmentAppraisalsasaDevelopmentProcessStillastandardoperatingprocedureJobreviewisdiagnostic-jointproblems,needs,interestsFeedback-essentialforlearningandadaptationTheoryX-imposed,potentiallycoercive,one-sidedappraisalTheoryY-requirestrustandbeliefintheprocessitselfwiththepartiesgettingmeaningful,tangiblebenefitfromtheactivitythecontinuity/follow-upevents.第24頁/共30頁Thedevelopmentalproposition?

Whatarethecostsofsetupaschemeandmaintainingit-yearinyearout?Assumeabusinessof,say,5,000employees.Resource-hungryandcostlytodesign,implementandmaintain.Areindividualandgroupperformancessignificantlyenhancedbytheinvestment?Arebenefitssignificantandmeasurablecomparedtonoformalorsystematicactivity?Ataparticipantlevel,appraisersandappraiseesneedtofindtheprocessuseful(jointbenefit)andnottooarduous.getapersonalreturnfromcommitment&energy第25頁/共30頁ParticipativeManagementCulturesorganisationalcommitmenttoparticipativemanagementopen,interactiveculturestressthehumanistic,developmentsideofstaffappraisal.TheHRM,InvestorsinPeopledoctrinelinkedtoquality,competitivebusiness-the"BeExcellentSchool".MessagesofstaffappraisalreflectAfocusonperformance,achievementandindividualityemployeesaremorethanfactorsofproduction-theyarevaluedinandofthemselves-aspeople.第26頁/共30頁ConclusionsStaffappraisalsystemsareregulative,controllingmethodsTheyreflectHRMnormsanddespiteproblems,organisationsstilldoit.Millionsundergoformalappraisal.Muchattention&resourceisinvestedPracticalissues.TheyneedtobeconductedwellBequizzicalaboutwhattheycanorcannotachieve.Aretheyanactoffaith?Isthererealevidencethatthe"bigapproach"reallyworks?Isthepromisegreaterthanwhatisactuallydelivered?Whataretheethicalandunethicalangles?Tensionbetweencontrolanddevelopment.Developmentemphasisesasupportive,constructiveconversationratherthanunilateralimposition&bureaucraticform-filling.第27頁/共30頁SeminarQuestionsIsstaffappraisalsuitableonlyformanagerial,professionalandtechnicalpostswithaconsiderablediscretionaryelementtothem?Isitunsuitableforroutinised,simpleoperativejobs?

Howcanweevaluatewhetherthebenefitsofbothapproachestostaffappraisal(controlversusdevelopmental)aresatisfiedandachievedinasinglescheme?

Whoshould/shouldnotconducttheappraisalinterview?

Whatproblemsarisewhenanindividual'sactualperformanceissubstan