Acknowledgement

Words often fail to express ones inner feelings of gratitude and indebtedness to ones benefactors, but then it is the only readily available medium through which the undersigned can express his sincere thanks to all those who are associated with the work in one way or the other. At this juncture I feel deeply honored in expressing my sincere thanks to Dr. Satyawan Baroda, faculty at Institute of Management Studies and Research, Maharishi Dayanand University, Rohtak for making the resources available at right time and providing valuable insights leading to the successful completion of project. This work would have not seen the light of the day without his constant guidance and suggestions. I would also like to sincerely thank all the faculty members for their support in sharing the information required for my project. I would like to thank all my colleagues at Institute of Management Studies and Research in providing me good support and sharing their knowledge. Last but not the least I would also like to thank all respondents who took time out of their busy schedules to give me valuable input for my study.

Mukesh Dheer Roll No. 4305 MBA 5yr 10th Semester 2003-07

CHAPTER-1

INTRODUCTION
Need for the study of Motivation Impact on Performance appraisal
Performance Appraisal is the activity, which enables systematic identification of job-related strengths and weaknesses existing in individual employees and between employee groups. An efficient Performance Appraisal system enables quick identification of process loopholes, if any, and helps in evolving precise benchmarks for employee evaluation. Performance Appraisal serves as an effective tool towards enhancing the motivation level of the employees. Performance Appraisal of the employees forms the basis for dispensing pay and other benefits to them. In the long run, the Performance Appraisal activity is instrumental in shaping the career of an employee.

Objectives: 1. The concept of performance appraisal. 2. The objectives, uses and characteristics of an appraisal system. 3. Important considerations in designing an appraisal system.

What Is Most Important To Employees Today ?

There are 4 key issues that are most important to employees today: 1) The Problem Keeping good employees is one of the major problems confronting organizations today. To retain valuable employees, senior management needs to have a good understanding of what is most important to their employees. 2) The Results and Recommendations The 5 issues most frequently cited by employees as most important to them are presented below along with strategies for meeting these employee needs.

(i) Enjoyment Of The Work Employees today want to enjoy the actual work they are performing. They can often withstand highly stressful working environments and uncertainty about the future of their

organization if they enjoy their actual work activities such as helping customers, using their creativity, or solving problems.

Make certain employees have an opportunity to use their valued skills and abilities.

Continually ask employees if they are enjoying their work assignments.

Provide employees with more say in how they actually conduct their work.

Ensure that employees receive the training they need to perform their job well.

(ii) Work/Life Balance Satisfaction with the degree of balance they are able to strike between their work and personal life is also very important to employees today. This is especially true for younger employees. Even the extremely hard-working baby-boomers have reached a point in their lives where they realize that better balance is essential to their psychological health.

Make work/life balance a recognized organizational value. Management should try to serve as role models for work/life balance. Reduce organizational inefficiencies that drain employee time and energy. Provide employees with scheduling flexibility.

(iii) Pay Satisfaction

Employees today still view pay as very important. They want to be paid fairly compared to others performing similar work in other organizations.

Establish and communicate the organization's pay philosophy. Conduct salary surveys to make certain the pay levels are appropriate. Eliminate clear internal pay inequities. Carefully script the messages supervisors transmit to employees about pay.

(iv) Link Between Pay And Performance Today's employees also want a clear linkage between the quality of their job performance and the pay increases they receive. They want to know that good performance will be recognized and appropriately compensated.

Eliminate across-the-board increases. Make sure performance reviews are conducted. Don't tolerate ineffective performers. Use other types of rewards for good performers as well, such as recognition, opportunities for training, and interesting work assignments.

(v) Adequate Staffing Levels It is important to employees today that their organizations hire and retain enough qualified employees to handle the workload. Downsizing and restructuring has left many organizations with a shortage of qualified workers. This has led to longer working hours, a frenetic work pace, and lower quality service.

Conduct staffing audits to make certain staffing levels match the workload. When appropriate, quickly replace departing employees. Develop innovative recruiting methods.

3) Recognition for Performance In The Human Capital Edge, authors Bruce Paul and Ira Kay say that people want recognition for their individual performance with pay tied to their performance. Employees want people who don't perform fired; in fact, failure to discipline and fire non-performers is one of the most de-motivating actions an organization can take - or fail to take. It ranks on the top of the list next to paying poor performers the same wage as non-performers. Additionally, the authors found that a disconnect continues to exist between what employers think people want at work and what people say they want. "Employers far underrate the importance to employees of such things as flexible work schedules or opportunities for advancement in their decision to join or leave a company. "That means that many companies are working very hard (and using scarce resources) on the wrong tools," say Paul and Kay. People want employers to pay them above market rates. They seek flexible work schedules. They want stock options, a chance to learn, and the increased sharing of rationale behind management decisions and direction. 4) Got Money? What's Next?

I have read the surveys and studies dating back to the early 1980s that demonstrate people want more from work than money. An early study of thousands of workers and managers by the American Psychological Association clearly demonstrated this. While managers predicted the most important motivational aspect of work for people would be money, workers as most rewarding cited personal time and attention from the supervisor for them at work. In a recent Workforce article, "The Ten Ironies of Motivation," reward and recognition guru, Bob Nelson, says, "More than anything else, employees want to be valued for a job well done by those they hold in high esteem." He adds, that people want to be treated as if they are adult human beings. While what people want from work is situational, depending on the person, his needs and the rewards that are meaningful to him, giving people what they want from work is really quite straightforward.

Employee Motivation, Recognition, Rewards, Retention Employee motivation, positive employee morale, rewards and recognition are explored in these resources. What creates motivated, contributing people? How do you maintain high employee morale when people work long hours? How does your reward and recognition system contribute to or deflate employee motivation, positive morale and retention? Answers are here. 1) Choose to Be Happy at Work Happiness is largely a choice. I can hear many of you arguing with me, but it's true. You can choose to be happy at work. Sound simple? Yes. But, simplicity is often profoundly difficult to put into action. I wish all of you had the best employer in the world, but, face it, you may not. So, think positively about your work. Dwell on the aspects of your work you like. Avoid negative people and gossip. Find coworkers you like and enjoy and spend your time with them. Your choices at work largely define your experience. You can choose to be happy at work. 2) Do Something You Love Every Single Day You may or may not love your current job and you may or may not believe that you can find something in your current job to love, but you can. Trust me. Take a look at yourself, your skills and interests, and find something that you can enjoy doing every day. If you do something you love every single day, your current job won't seem so bad. Of course, you can always make your current job work or decide that it is time to quit your job.

3) Take Charge of Your Own Professional and Personal Development A young employee complained to me recently that she wanted to change jobs because her boss was not doing enough to help her develop professionally. I asked her whom she thought was the person most interested in her development. The answer, of course, was her. You are the person with the most to gain from continuing to develop professionally. Take charge of your own growth; ask for specific and meaningful help from your boss, but march to the music of your personally developed plan and goals. You have the most to gain from growing - and the most to lose, if you stand still. 4) Take Responsibility for Knowing What Is Happening at Work People complain to me daily that they don't receive enough communication and information about what is happening with their company, their department's projects, or their coworkers. Passive vessels, they wait for the boss to fill them up with knowledge. And, the knowledge rarely comes. Why? Because the boss is busy doing her job and she doesn't know what you don't know. Seek out the information you need to work effectively. Develop an information network and use it. Assertively request a weekly meeting with your boss and ask questions to learn. You are in charge of the information you receive. 5) Ask for Feedback Frequently Have you made statements such as, "My boss never gives me any feedback, so I never know how I'm doing." Face it, you really know exactly how you're doing. Especially if you feel positively about your performance, you just want to hear him acknowledge you.

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If you're not positive about your work, think about improving and making a sincere contribution. Then, ask your boss for feedback. Tell him you'd really like to hear his assessment of your work. Talk to your customers, too; if you're serving them well, their feedback is affirming. You are responsible for your own development. Everything else you get is gravy. 6) Make Only Commitments You Can Keep One of the most serious causes of work stress and unhappiness is failing to keep commitments. Many employees spend more time making excuses for failing to keep a commitment, and worrying about the consequences of not keeping a commitment, than they do performing the tasks promised. Create a system of organization and planning that enables you to assess your ability to complete a requested commitment. Don't volunteer if you don't have time. If your workload is exceeding your available time and energy, make a comprehensive plan to ask the boss for help and resources. Don't wallow in the swamp of unkept promises. 7) Avoid Negativity Choosing to be happy at work means avoiding negative conversations, gossip, and unhappy people as much as possible. No matter how positively you feel, negative people have a profound impact on your psyche. Don't let the negative Needs and Nellies bring you down. Take a look at: How to Deal With a Negative Coworker: Negativity Matters. Dealing With Difficult People at Work.

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8) Practice Professional Courage If you are like most people, you don't like conflict. And the reason why is simple. You've never been trained to participate in meaningful conflict, so you likely think of conflict as scary, harmful, and hurtful. Conflict can be all three; done well, conflict can also help you accomplish your work mission and your personal vision. Conflict can help you serve customers and create successful products. Happy people accomplish their purpose for working. Why let a little professional courage keep you from achieving your goals and dreams? Make conflict your friend. 9) Make Friends In their landmark book, First, Break All The Rules: What the Worlds Greatest Managers Do Differently, Marcus Buckingham and Curt Coffman list twelve important questions. When employees answered these questions positively, their responses were true indicators of whether people were happy and motivated at work. One of these key questions was, "Do you have a best friend at work?" Liking and enjoying your coworkers are hallmarks of a positive, happy work experience. Take time to get to know them. You might actually like and enjoy them. Your network provides support, resources, sharing, and caring. 10) If All Else Fails, Job Searching Will Make You Smile If all of these ideas aren't making you happy at work, it's time to reevaluate your employer, your job, or your entire career. You don't want to spend your life doing work you hate in an unfriendly work environment. Most work environments don't change all

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that much. But unhappy employees tend to grow even more disgruntled. You can secretly smile while you spend all of your non-work time job searching. It will only be a matter of time until you can quit your job - with a big smile. A person wants from work: Every person has different reasons for working. The reasons for working are as individual as the person. But, we all work because we obtain something that we need from work. The something obtained from work impacts morale, employee motivation, and the quality of life. To create positive employee motivation, treat employees as if they matter because employees matter. These ideas will help you fulfill what people want from work and create employee motivation. 1) What People Want From Work Some people work for personal fulfillment; others work for love of what they do. Others work to accomplish goals and to feel as if they are contributing to something larger than themselves. The bottom line is that we all work for money and for reasons too individual to assign similarities to all workers. Learn more. 2) How to Demonstrate Respect at Work Ask anyone in your workplace what treatment they most want at work. They will likely top their list with the desire to be treated with dignity and respect. You can demonstrate respect with simple, yet powerful actions. These ideas will help you avoid needless, insensitive, unmeant disrespect, too. Read more about respect.

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3) Provide Feedback That Has an Impact Make your feedback have the impact it deserves by the manner and approach you use to deliver feedback. Your feedback can make a difference to people if you can avoid a defensive response. 4) Top Ten Ways to Show Appreciation You can tell your colleagues, coworkers and staff how much you value them and their contribution any day of the year. Trust me. No occasion is necessary. In fact, small surprises and tokens of your appreciation spread throughout the year help the people in your work life feel valued all year long. 5) Trust Rules: The Most Important Secret Without it, you have nothing. Trust forms the foundation for effective communication, employee retention, and employee motivation and contribution of discretionary energy, the extra effort that people voluntarily invest in work. When trust is present, everything else is easier. Learn more. 6) Provide Motivational Employee Recognition You can avoid the employee recognition traps that: single out one or a few employees who are mysteriously selected for the recognition; sap the morale of the many who failed to win, place, or even show; confuse people who meet the criteria yet were not selected; or sought votes or other personalized, subjective criteria to determine winners. Learn more.

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7) Employee Recognition Rocks Employee recognition is limited in most organizations. Employees complain about the lack of recognition regularly. Managers ask, Why should I recognize or thank him? Hes just doing his job. And, life at work is busy, busy, busy. These factors combine to create work places that fail to provide recognition for employees. Managers who prioritize employee recognition understand the power of recognition. 8) Top Ten Ways to Retain Your Great Employees Key employee retention is critical to the long-term health and success of your business. Managers readily agree that their role is key in retaining your best employees to ensure business success. If managers can cite this fact so well, why do many behave in ways that so frequently encourage great employees to quit their job? Here are ten more tips for employee retention. 9) Team Building and Delegation: How and When to Empower People Employee involvement is creating an environment in which people have an impact on decisions and actions that affect their jobs. Team building occurs when the manager knows when to tell, sell, consult, join, or delegate to staff. For employee involvement and empowerment, both team building and delegation rule. Learn more. 10) Build a Mentoring Culture What does it take to develop people? More than writing equal opportunity into your organizations mission statement. More than sending someone to a training class. More

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than hard work on the part of employees. What development does take is people who are willing to listen and help their colleagues. Development takes coaches, guides and advocates. People development needs mentors. Learn more. Motivation Success : Every person has different reasons for working. The reasons for working are as individual as the person. But, we all work because we obtain something that we need from work. The something we obtain from work impacts our morale and motivation and the quality of our lives. Here is the most recent thinking about what people want from work. Work is about the Money Some people work for love; others work for personal fulfillment. Others like to accomplish goals and feel as if they are contributing to something larger than themselves, something important. Some people have personal missions they accomplish through meaningful work. Others truly love what they do or the clients they serve. Some like the camaraderie and interaction with customers and coworkers. Other people like to fill their time with activity. Some workers like change, challenge, and diverse problems to solve. Whatever your personal reasons for working, the bottom line, however, is that almost everyone works for money. Whatever you call it: compensation, salary, bonuses, benefits or remuneration, money pays the bills. Money provides housing, gives children clothing

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and food, sends teens to college, and allows leisure activities, and eventually, retirement. To underplay the importance of money and benefits to people who work is a mistake. Fair benefits and pay are the cornerstone of a successful company that recruits and retains committed workers. If you provide a living wage for your employees, you can then work on motivational issues. Without the fair, living wage, however, you risk losing your best people to a better-paying employer. In fact, recent research from Watson Wyatt Worldwide in The Human Capital Edge: 21 People Management Practices Your Company Must Implement (or Avoid) to Maximize Shareholder Value, recommends that to attract the best employees, you need to pay more than your average-paying counterparts in the marketplace People want:

Control of their work: including such components as the ability to impact decisions; setting clear and measurable goals; clear responsibility for a complete, or at least defined, task; job enrichment; tasks performed in the work itself; and recognition for achievement.

To belong to the in-crowd: including items such as receiving timely information and communication; understanding management's formulas for decision making; team and meeting participation opportunities; and visual documentation and posting of work progress and accomplishments.

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The opportunity for growth and development: including education and training; career paths; team participation; cross training; and field trips to successful workplaces.

Leadership: people want clear expectations that provide a picture of the outcomes desired with goal setting and feedback and an appropriate structure or framework.

What You Can Do for Employee Motivation and Positive Morale : You have much information about what people want from work. Key to creating a work environment that fosters motivation are the wants and needs of the individual. I recommend that you ask your employees what they want from work and whether they are getting it. With this information in hand, I predict you'll be surprised at how many simple and inexpensive opportunities you have to create a motivational, desirable work environment. Pay attention to what is important to the people you employ for high motivation and positive morale. You'll achieve awesome business success. Motivation Motivation is one of the most important assets a person can have en route to selfimprovement. It is something you need on a daily basis. Without motivation, your thoughts of self-improvement will dissipate and fade quite rapidly. You will be looking for reasons, or rather excuses, not to continue with any program of self-improvement. The chances are, though, that if you have got this far, you have some motivation to improve yourself in one way or another. That really, is the first motivation you need: the

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motivation to be motivated. It shows awareness that, to continue on the route to selfimprovement, your motivation will play an important part. It will help to reinforce that if you remind yourself on a daily basis. If the personal growth you are seeking has a number of branches, you may have a number of types and levels of motivation required all at the same time. For example, you may have just started your own business and are full of enthusiasm. That will apply a general motivation to push you forward. Say the inspiration for the business was a product you designed and have just patented. Your motivation to see that product in every home will probably be on autopilot; it will be pumping through that branch at high speed cruise. To achieve seeing the product in every home, you need to market it. As you are so enthusiastic about the product, you can list out the features and benefits of the product with ease. Again, the motivation is automatic. However, you find there are different elements to marketing. One of them is selling. You don't like selling; you think it's a dirty business. When it comes to selling, your motivation is not on autopilot; you need to instill it in yourself. So your motivation to sell will require a motivation that can over come resistance daily. The dislike of selling will re-emerge quickly if your motivation does not suppress it. That is just an example, but if you search yourself, you will find a lot of branches to attend to. They will benefit from the same meticulous attention a bonsai grower gives to a bonsai tree. You can jot down a list of those areas of your life which will benefit from a motivational uplift, and then think through how you can improve on those areas; how you can apply motivation rather than just let it drift or not appear at all. Try making it a

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routine to read through that list daily, maybe twice daily. Read it, say it out loud, in a quiet retreat in the home or outside. Make out the list in a positive way, using "I am" instead of "I will". Persevere, and be patient. Over time, your motivation should be balanced across all the branches of your motivational tree. You will find it easy to give your motivation a boost with successes in your daily, weekly or long-term activities. The test for you will come with the setbacks. Try to be alert at all times of setback. By recognizing your motivation is likely to slip at such a time, you can magnify your effort and attention. Turn the setback into something positive. That way you remain in control of your motivation, shielding it from all the negative debris trying to damage it. How To Be Motivated Without A Motivator Many professionals spend their entire careers working under managers or supervisors that dont truly understand the importance of motivation. This lack of understanding results in one of two things: 1) Low performance and productivity of the organization and staff or 2) Self-motivation of the professional, which results in high performance, satisfaction, and productivity. If you are in the low performance category then you know how difficult it is to reach your potential without someone motivating you. What you need to begin doing is motivating yourself. The definition of motivation used here is: Instruction and challenges given that assists in reaching goals, dreams and (more importantly) potential. This definition has been perfected by Weight Watchers: a very successful weight-loss organization. Weight

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Watchers has discovered that weekly weigh-in meetings boost the achievement of their clients weight loss goals. These meetings also serve to give instruction and accountability to those passionate about losing needed pounds. Therefore, lets apply a similar approach to your career and personal life, with you being the motivator. In order to motivate yourself you need to discover, design, and develop. Discover your passion. What is your passion? A basic definition of passion is: A powerful or compelling emotion or feeling. To help you discover yours, ask yourself the following question, What would I do if I could do anything at all, knowing I could not fail and personal abilities, time and money are not an issue? Design your goals. A good exercise to accomplish this is to write down where you where five years ago, where you are right and now, and where you want to be in five years in the following categories Personal development (what you want to learn, physical body, fears to overcome). Career, business, finances (amount of sales this month/year, those that you would like as your professional associates, savings/investing/retirement). Fun and adventure fun and adventure are both great rewards for staying motivated. Giving and service (time given to help others in need, use of your skills at your church or in the community)

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Once you have written these goals down it is very important that they be added to your task list and reviewed on a weekly basis. Develop ten positive weekly habits. These habits were modified from Mike Moores Ten Terrific Self Motivating Tips article. Be willing to leave your comfort zone. The greatest barrier to achieving your potential is your comfort zone. Great things happen when you make friends with your discomfort zone. Don't be afraid to make mistakes. Wisdom helps us avoid making mistakes and comes from making a million of them. Don't indulge in self-limiting thinking. Dare to dream big dreams. Shoot for the moon and expect to hit it. Choose to be happy. Happy people are easily motivated. Laugh at something every day. Spend at least one hour a day in self-development. Read good books, listen to inspiring tapes, pray and read Gods Word. Train yourself to finish what you start. So many of us become scattered as we try to accomplish a task. Review your goals, and celebrate accomplishments. Plan next week this week. If you hold yourself to your plans then you will accomplish a great deal and will not need someone to constantly motivate you.

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Never quit when you experience a setback or frustration. Success could be just around the corner. Find someone you can mentor and motivate. There is nothing like giving yourself away. These are the steps that I have seen successful people implement into their lives. I hope they will help you learn to motivate yourself, whether you have a motivator in your life or not. Performance Appraisal Steps in a Performance Review

Clarify job description and responsibilities Clarify employee development interests and needs List specific development areas for concentration Review performance objectives and performance standards Review progress toward objectives through ongoing feedback and periodic discussions

Decide on Purpose(s) Typically the purposes include Giving employees answers to: -What am I expected to do -How well am I doing. -What are my strengths and weaknesses. -How can I do a better job how can I contribute more.

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Other purposes include providing information about work performance judgmentalprovide basis for reward allocation, promotions, transfers, layoffs; identify high potential employees developmental-foster work improvement, identify training and development opportunities, develop ways to overcome obstacles, barriers; establish supervisor employee agreement on expectations sometimes these two don't mix well translating organizational goals into individual job objectives communicating expectations regarding employee. Performance providing feedback; coach on how to achieve objectives diagnosing strengths and weaknesses of employees determining a development plan for improving job performance. Define the behavioral aspects of performance and analyze performance; Identify specific problem to be solved identify specific levels of performance communicate all data to individuals about performance Gather Performance Data Develop specific, measurable, reasonable goals for each worker-make sure the worker accepts the goal Choose Performance Review Approach (eg. Tell and sell, Tell and listen, Problem-solving) Evaluate (Interpret) Performance Data Prepare for Interview Set Interview Make specific appointment (at least an hour) Private (hold telephone calls, etc.); arrange effective seating arrangement Use Characteristics of Constructive Feedback (see handout on effective feedback) Follow-up Action Plan for Future Reading note: Effective human resources management (HRM) is essential for optimally utilizing creativity and attaining individual as well as organizational goals. Leadership has to ensure proper integration of various activities and harmonious functioning directed towards organizational goals. High motivation is essential for ensuring commitment of

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human resources to the given objectives. The key to motivation lies in integrating organizational and individual goals. Therefore, a manager has to concentrate on basic HRM tasks such as planning, development, compensation and evaluation. Evaluation includes performance planning, appraisal and counseling. These are critical in effective HRM. Overview Of Performance Appraisal General

Ideally PA allows mgt to specify what employee must do; combines feedback and goal setting

Everyone involved needs to recognize that performance appraisal involves human judgment and information processing; can never be totally objective or infallible

System should aim to be easy to operate, easy to explain, easy to maintain, easy to administer

System should be job related, relevant, sensitive, reliable, acceptable, practical, open, fair, useful

Rater should participate in the development Need to take legal issues into account

Session guide: Performance appraisal Start the session by asking participants for their understanding of performance appraisal in their organizations. Is it a traditional approach, characterized by

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(i) Mere evaluation, excluding the planning and development function, (ii) Being linked with financial rewards and sanctions, and (iii) Being impersonal, bureaucratic, top down, secretive and centralized, which excludes participation of the employee being assessed? If the approach is traditional evaluation, then it can hardly be motivating to an employee. Instead, it must focus more on filling a form giving quantitative rather than qualitative information. What influence would such a system have on an employee's future performance? Observe that a performance appraisal system is a management tool which can help motivate and effectively utilize human resources. It includes performance planning, appraisal and counseling. Show EXHIBIT 1 and discuss desirable features of a performance appraisal system. Emphasize the linkage between (i) past performance and future planning, and (ii) individual and organizational goals. Using EXHIBIT 2, discuss the process of appraisal and the various stages involved. To begin with, realistic standards and measures have to be established to differentiate between different levels of performance. Then employees have to be informed as to what is expected of them and how their performance will be measured against the set standards and targets. Next comes planning for realization of performance expectation through use of resources and monitoring. Monitoring is to help remove difficulties rather than to interfere. Performance is documented in various ways during the appraisal stage and thereafter feedback is given. Emphasize that feedback should involve planning for the

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future as well. On the basis of appraisal and feedback, evaluation decisions have to be made, which include rewards or punishments. The final stage is development of performance. The performance appraisal system has to be based on clearly specified and measurable standards and indicators. Show EXHIBIT 3 and discuss important standards and indicators. Goals have to be consistent and mutually decided by the employee and management. If necessary, the appraisal system could be directed towards a particular client. The appraisal system has to be reliable and consistent, and should include both objective and subjective ratings. The appraisal format should be practical and simple. The process should be participatory and open. It should be linked with rewards. Feedback is an important part of appraisal, and has to be timely, impersonal and noticeable. Observe that an appraisal system can be effective only if it is accepted by employees and if management is fully committed. Performance appraisal has different objectives for management and for the employees. Employees are interested in having an assessment of their work from the viewpoint of personal development, work satisfaction and involvement in the organization. Management assesses the performance of employees to maintain organizational control and disburse rewards and punishments to further organizational goals. Thus, a spirit of mutuality is essential in an effective performance appraisal system. Show EXHIBIT 4 and discuss how a performance system can be useful. For employees, it can impart a better understanding of their job, skills and limitations, and provides an opportunity for

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self-reflection. It can help identify development needs. It can increase mutuality and strengthen communication between employees and management. Show EXHIBIT 5 and discuss different approaches to performance appraisal. The intuitive approach uses perceptions. The self-appraisal approach relies on self-evaluation. The group approach uses evaluation by a group of persons. The trait approach uses the conventional method of evaluation against certain traits. Last is achievement-based appraisal, which compares achievements against goals set mutually during the planning process. There are several techniques for performance appraisal. Show EXHIBIT 6 and discuss each of these techniques. In the essay appraisal method, evaluation is based on an essay type report from a rater who is familiar with the work of the employee being appraised. The graphic rating scale uses either quality of work or personal traits. In the field review method, effort is made to synchronize different ratings. The rater chooses the best-fit and worst-fit statements from a group of statements in the force choice rating method. The critical incident appraisal method uses critical incidents in evaluating performance. Management by objectives involves evaluation against mutually set, realistic goals. In the work standard approach, appraisal is for achievements against targets based on mutually agreed output standards. The ranking method involves several techniques. In the alteration ranking method, individuals are ranked in a descending order of performance. Paired comparison involves comparison of every individual in the group with other individuals. In the man-to-man rating system, standards are set against actual individuals and then other individuals are

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matched with them. The checklist method involves a pre-scaled checklist of behavior. Behaviorally anchored rating scales use a set of behavioral statements relating to qualities important for performance. The assessment centre is a technique used to predict future performance of the employee and involves performing higher-level duties. Performance appraisal should help in clearly distinguishing between more specific crucial issues and broad concerns often expressed as perceptions (EXHIBIT 7). Show EXHIBIT 8 and discuss various components of an appraisal format. Inform participants that later on they will be required to design an appraisal format. In designing this format, one must seek information on the attributes to be considered in evaluating performance. These may include personal qualities as well as demonstrated performance. Show EXHIBIT 9 and discuss various personal qualities and demonstrated performance attributes, which should be considered in designing an appraisal format. Note that there are problems relating to assessment, identification of appraisal criteria, and policy for performance evaluation. Show EXHIBIT 10 and discuss various problems in a performance appraisal system. These problems may relate to measurement, judgement, policy or organization. Show EXHIBIT 11 and discuss the importance of the performance appraisal interview, during which focus is on future planning while giving feedback on past performance. A performance appraisal interview should be properly planned and conducted skilfully. It should be used to efficiently communicate feedback on performance during the previous year.

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Conclude the session by asking the participants for their criteria for evaluating scientists. Write their responses on the chalkboard and compare them with EXHIBIT 12. EXHIBIT 1 WHAT SHOULD A PERFORMANCE SYSTEM BE? Correlated with the organization's philosophies and mission Cover assessment of performance as well as potential for development Look after the needs of both the individual and the organization Help create a clean environment Rewards linked to achievements Generate information for personnel development and career planning Suggesting appropriate person-task matching

Performance appraisal should evaluate, audit, motivate, identify training needs, develop the individual and plan for future performance

Why Performance Appraisal often fails

Managers often resist (passively or actively) May have limited contact with subordinate; may be poor at giving feedback

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Subordinates poor at receiving feedback Managers often view it as wasted paperwork, especially if nothing comes of their efforts

Interfere with their "coaching" function they prefer Managers fear the emotions that can be unleashed; may fear not being able to defend ratings

To be very legally defensible a system would have these components:

Employee participation in establishing performance. standards Standards based on critical elements of job; clearly recorded in writing Employee advised of critical requirements before the appraisal System should not be based on interpersonal comparisons (eg. curve) PA done in writing at least annually Results tied to personnel decisions Employees allowed to respond to charge orally and in writing Appraisers must be provided training PA system evaluated and refined as necessary

Questions most asked by system designers and system users:

Is the system valid are the ratings reliable Are performance measures job related how are numbers going to be used Is there any pattern of dissemination how will numbers be explained to employees Does the system distinguish high from low performers

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Are scales well anchored what type of job analysis was conducted

The actual experience with Performance Appraisal is not encouraging:

Employees are often less certain about where they stand after the interview Employees evaluated supervisors less favorably after the interview than before it Few constructive actions or significant improvements result from interviews Typical managers have limited contact with subordinates Managers often resist conducting PA program -Dont like giving negative feedback; fear reaction -Fear not being able to defend ratings -Often don't believe in it themselves so don't like defending it -Feel system interferes with role as coach

System often regarded as needless paperwork

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EXHIBIT 2 THE PERFORMANCE APPRAISAL PROCESS

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Source: Craig, E., Schneider, R., Beatty, W., and Baird, L. S. 1986. Training and Development Journal. May 1991. Performance appraisal system: The process Performance appraisal involves an evaluation of actual against desired performance. It also helps in reviewing various factors, which influence performance. Managers should plan performance development strategies in a structured manner for each employee. In

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doing so, they should keep the goals of the organization in mind and aim at optimal utilization of all available resources, including financial. Performance appraisal is a multistage process in which communication plays an important role. Craig, Beatty and Baird (1986) suggested an eight-stage performance appraisal process: (i) Establishing standards and measures The first step is to identify and establish measures, which would differentiate between successful and unsuccessful performances. These measures should be under the control of the employees being appraised. The methods for assessing performance should be decided next. Basically, management wants to: know the behaviour and personal characteristics of each employee; and assess their performance and achievement in the job. There are various methods available for assessing results, behaviour and personal characteristics of an employee. These methods can be used according to the particular circumstances and requirements. (ii) Communicating job expectations The second step in the appraisal process is communicating to employees the measures and standards which will be used in the appraisal process. Such communication should clarify expectations and create a feeling of involvement. (iii) Planning

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In this stage, the manager plans for the realization of performance expectations, arranging for the resources to be available which are required for attaining the goals set. This is an enabling role. (iv) Monitoring performance Performance appraisal is a continuous process, involving ongoing feedback. Even though performance is appraised annually, it has to be managed 'each day, all year long.' Monitoring is a key part of the performance appraisal process. It should involve providing assistance as necessary and removing obstacles rather than interfering. The best way to effectively monitor is to walk around, thus creating continuous contacts, providing first-hand information, and identifying problems, which can then be solved promptly. (v) Appraising This stage involves documenting performance through observing, recalling, evaluating, written communication, judgment and analysis of data. This is like putting together an appraisal record. (vi) Feedback After the formal appraisal stage, a feedback session is desirable. This session should involve verbal communication, listening, problem solving, negotiating, compromising, conflict resolution and reaching consensus. (vii) Decision making

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On the basis of appraisal and feedback results, various decisions can be made about giving rewards (e.g., promotion, incentives, etc.) and punishments (e.g., demotion). The outcome of an appraisal system should also be used for career development. (viii) Development of performance The last stage of performance appraisal is 'development of performance,' or professional development, by providing opportunities for upgrading skills and professional interactions. This can be done by supporting participation in professional conferences or by providing opportunities for further study. Such opportunities can also act as incentives or rewards to employees. Communication It is obvious that communication is at the core of an appraisal system. Communication can be either upward or downward. Downward communication is from upper management levels to lower levels, and passes on a judgment of how the employees are doing and how they might do even better. As the information flows downward, it becomes more individualized and detailed. Upward communication is from lower to higher levels. Through this process, employees communicate their needs, aspirations and goals. As information flows upward, it has to become brief and precise because of the channels through which it has to pass.

EXHIBIT 3

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STANDARDS AND INDICATORS OF PERFORMANCE APPRAISAL

Mutual goal Reliable and consistent Accurate and equitable Practical and simple format Regular and routine Participatory and open Rewards Timely feedback Impersonal feedback Noticeable feedback Relevance and responsiveness Commitment EXHIBIT 4 HOW CAN THE PERFORMANCE APPRAISAL SYSTEM HELP? Promote better understanding of an employee's role and clarity about his or her functions Give a better understanding of personal strengths and weaknesses in relation to expected roles and functions Identify development needs of an employee

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 Establish common ground between the employee and the supervisor Increase communication Provide an employee with the opportunity for self-reflection and individual goal setting Help an employee internalize the culture, norms and values of the organization. This helps develop an identity with and commitment to the organization and prepares an employee for higher-level positions in the hierarchy Assist in a variety of personnel decisions EXHIBIT 5 APPROACHES IN PERFORMANCE APPRAISAL Intuitive Self-appraisal Group Trait Achievement of results

EXHIBIT 6

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TECHNIQUES OF PERFORMANCE APPRAISAL Easy appraisal method Graphic rating scales Field review method Forced choice rating method Critical incident appraisal method Management by objectives Work standard approach Ranking methods - Alteration methods - Alteration ranking - Paired comparison - Person-to-person rating - Checklist - Behaviorally anchored rating scales - Assessment centers

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EXHIBIT 7 DURING PERFORMANCE APPRAISAL, DISTINGUISH BETWEEN...

Accomplishments and Activity Working efficiently and Working effectively Work and Important work Working hard and Working smart EXHIBIT 8 COMPONENTS OF THE APPRAISAL FORMAT Identification of key performance areas Identification of qualities for job performance Self-appraisal Analysis Discussion Identification of training needs Action plan and goal settings for the future Final assessment EXHIBIT 9 ATTRIBUTES CONSIDERED IN EVALUATING PERFORMANCE 41

Personal Qualities Adaptability Appearance and bearing Decisiveness Dependability Drive and determination Ingenuity Initiative Integrity Loyalty Maturity Stamina Tenacity Verbal expression Written expression

Demonstrated Performance Professional knowledge Administrative ability Responsibility for staff development Foresight Delegation Motivation Morale Control

EXHIBIT 10 PERFORMANCE APPRAISAL SYSTEMS

Measurement Deciding what to

PROBLEMS Judgment Policy Appraising Using the results of

Organization Recognizing how

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evaluate

performance

the appraisal

managers work and the organization culture

Ambiguity in roles and responsibilities of each job

SYMPTOMS Disagreement Top management Appraisal forms on ratings Official review changes ratings fails to reward managers who are excellent in staff plain about time assessment and Appeals, grievances, needed development Marginal performers receive discrimination promotions or salary increases designers, not the users Personnel/HR specialists take System seen as belonging to the not completed Managers com

Job performance is difficult to quantify

accusations of bias, No clear statement of overall objectives of units or the organization Appraisal contains only numerical indices

enforcer not adviser role system revised frequently

POTENTIAL CURES Job analysis and Observable, Top management Implement credible job description 43 behaviorally based actually uses performance performance appraisal using the

 Outcomes of

criteria

appraisal itself Polices for performance appraisal consistently applied performancecontingent reward system operates

Performance Management (PM) model

each job identified Performance Overall goals set for units and the organization Train managers to make documented judgments rater training and practice Effective communication of performance expectations documented over time

Source: Craig, E. S., Beatty, R. E., and Baird, L. S. 1986. How to contract a successful performance appraisal system. Training and Development Journal, April: 38-42

EXHIBIT 11 APPRAISAL INTERVIEW Planning an interview - tell and sell - tell and listen - problem solving

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 Conducting an interview as planned Applying good questioning techniques Listen intelligently and without prejudice while someone less senior does most of the talking Communicating effectively verbally and non-verbally Source: J. Davies, AFP, FAO, Rome. EXHIBIT 12 MEASURING THE PERFORMANCE OF RESEARCHERS

Overall performance Quality of output Productivity Quantity of written work Originality of written work Recent reports Membership in professional societies Recognition for organizational contribution Status-seeking tendencies Current organizational status Creativity rating from high-level supervisors Overall quality rating by immediate supervisors

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Components of the appraisal format Key performance areas, self-appraisal, performance analysis, performance ratings and counselling are the important components of a performance appraisal system oriented to development of human resources in an organization. The appraisal format should be designed in consonance with the objectives of the performance appraisal system, and generate information on a number of important aspects, including (Rao, 1985): Identification of key performance areas The first step in an appraisal process is identifying key performance areas and setting targets for the next appraisal period. This may be done either through periodic discussions or at the beginning of the year, as in research institutions. Self-appraisal by the subject At the end of the appraisal period, employees appraise their own performance against the key performance areas, targets and pre-identified behaviour. Information on these issues is provided in an appraisal format. The employees also write their self-evaluation reports and hand them to their supervisors. Analysis The supervisor reflects on the performance of the employee, and identifies the factors, which facilitated or hindered the employee's performance. The manager then calls the employee for a discussion to better understand his or her performance and provide counseling on further improvements. During this discussion, appraisal records (such as notes, observations, comments, etc.) are exchanged. The manager then gives a final rating and recommendations regarding the developmental needs of the individual.

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These are shown to the subject and his or her comments are recorded on the appraisal form. The appraisal form is then transmitted to the personnel department for the necessary administrative action. The personnel or human resource development department uses these forms for identifying and allocating training, rewards and other activities. Identification of training needs The use of a development-oriented performance appraisal system is based on a good understanding of the concept of human resources development. The need for developing employee capabilities, the nature of capabilities to be developed, and the conditions under which these capabilities can be developed have to be appreciated. During the discussion between the supervisor and the employee, the development needs of the subject are identified and goals set for the next period. Identification of qualities The supervisor may also identify the qualities required for current as well as future tasks, and assess the employee's potential and capabilities to perform jobs at higher responsibility levels in the organization. Employee Evaluations Use this tool to boost morale and employee contribution Evaluating employee performance is a key responsibility for most managers. Performance appraisals are very powerful tools. They provide documented feedback on an employee's level of performance; offer a means for determining continued employment, promotion, transfer, bonuses, and pay raises;

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and allow for improved communications between managers and employees. The actual performance appraisal documents become part of an employee's permanent record and can greatly influence lives and careers.

Yet sometimes performance evaluations are completed perfunctorily based on a manager's best guess or recent memory, and the review session is rushed, stressful, confusing, and de-motivating. A poorly managed evaluation system can actually be used against an employer in court. Managers must recognize the potential ramifications of failing to adequately manage employees' performance. They must be ready, willing, and able to communicate clear expectations, provide support to achieve those expectations, and develop and professionally present a factual and welldocumented performance evaluation to ensure the effectiveness of their review process and safeguard the company from legal liability.

Topics This workshop helps supervisors understand how to properly manage and document the performance of those who report to them. By the end of the program, participants will be able to:
Conduct

appraisals that increase employee motivation, performance, and

productivity, while reducing potential exposure to litigation.

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 State

why it is important to provide effective performance appraisals. common mistakes in the performance appraisal process. drawbacks and limitations of the traditional method of evaluating

Describe Pinpoint

performance.
List

the components of ongoing performance management.

Attributes considered in evaluating performance There are many personality traits, which could be considered when evaluating performance, and methods to facilitate such consideration include scaling methods that differentiate employees on a series of given traits. The important personality traits fall into two categories: personal qualities and demonstrated qualities (Table 1). Table 1 Personal and demonstrated personality traits

Personal Qualities Demonstrated Performance Qualities Adaptability: Adjustment with new or Professional knowledge: Ability to apply changing situations or people. Appearance and bearing: Having good bearing and appearance. Decisiveness: Ability to arrive at judiciously. conclusions promptly and to decide on a definite course of action. Dependability: Ability to consistently Responsibility for staff development: Ability to fulfill responsibilities in the development Administrative ability: Having administrative ability to use resources economically and professional knowledge to assigned duties so as to achieve a high standard of performance.

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accomplish allocated jobs without supervision.

and training of staff. Foresight: Ability to display foresight and

Drive and determination: Ability to execute job vigorously and resolutely,

plan beyond immediate needs. Delegation: Ability to delegate

and induce others to do so. responsibilities and exercise required degree Ingenuity: Resourcefulness and ability to creatively devise means to Motivation: Ability to motivate subordinates solve unforeseen problems. effectively to produce desired results. Initiative: Ability to take necessary Morale: Ability to maintain morale and look and appropriate action independently. after the management of staff. Integrity: Ability to maintain an Control: Ability to exercise control over honest approach in all dealings. subordinates and gain their confidence. Loyalty: Ability to faithfully, willingly and loyally support superiors, equals and subordinates. Maturity: Understanding and balance commensurate with age and service. Stamina: Ability to withstand and perform successfully under protracted of guidance and supervision.

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physical strain. Tenacity: Ability to preserve in face of odds and difficulties. Verbal expression: Ability to express oneself clearly and concisely. Written expression: Ability to express oneself clearly and concisely in writing.

One phase of the annual performance management cycle is performance appraisal, the process of reviewing employee performance, setting new performance objectives, documenting the review, and delivering the review verbally in a face-to-face meeting. Performance appraisal has been around for hundreds of years, as it is only human nature to evaluate fellow colleagues. Performance appraisals are also effective and useful during the beginning period of employment at set intervals or when an employee changes job duties. Suggested time periods include three and six month appraisals during this time the employee is learning the expectations of the job and the company. Annual performance reviews are typically intended to:

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Give feedback on performance Set new performance objectives Justify personnel decisions such as salary actions

Good performance management assumes that the performance appraisal does not introduce new ideas to the employee. Effective management requires timely feedback to an employee - not 9 months after an event occurs. A performance appraisal should be a recap of the time period for which the review is based. Although performance appraisal can highlight the above issues for an organization, employees as something that may harm their position or job security can also view it. Therefore a distrustful and adverse relationship may form between manager and employee which could be detrimental to the overall performance of the organization. There are vendors, which provide software to automate the process. Measuring performance Key to assessing an employee's performance is the setting of objectives. A key element of the performance appraisal process should be reviewing how well the employee has performed in relation to objectives that have previously been set for them. For objectives to be useful, it is often said they should be SMART.

S pecific M easurable A chievable (occasionally Agreed between line manager and employee)

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R esults orientated T ime framed (with a set date for completion)

Models of feedback A useful model in which to apply feedback is known as B.O.F.F or BOFF

Behaviour - describe the behaviour you wish to provide feedback on Outcome - describe the result of the behaviour in question Feeling - how the behaviour / result made you feel Future - what you expect in the future

The STAR and STAR-AR models are also effective and commonly used

Situation Task Action Result

Situation Task Action

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Result Action suggested Result

Human resources Performance appraisal a human resources activity used to determine the extent on which the employees are performing the job effectively. The history of performance appraisal roots can be traced to Taylor's pioneering Time and Motion studies. Performance appraisal can be either

Informal, when supervisors think about how well the employees are doing and Formal, when there is a system set up by the organization to regularly and systematically evaluate employee performance.

In the following we are referring to formal performance appraisal.

The 6 steps in performing evaluations

1. Establish performance standards for each position and the criteria for evaluation In setting objectives to be followed by the employee to be evaluated, the following principles are to be met (SMART objectives):

Specific Measurable Achievable (occasionally Agreed between line manager and employee) 54

Results orientated Time framed (with a set date for completion)

2. Establish performance evaluation policies on when to rate, how often to rate and who should rate When to rate. Usually, all employees are rated on / near the same date in a company. How often to rate. In many companies there is one evaluation in a year. However, more and more organizations shift to quarterly evaluations; this is convenient especially in fast moving organizations, because a more frequent up-date of the objectives is possible. Who should rate? There are several possibilities, such as

Rating by a committee of several superiors, Rating by the employees peers (co-workers), Rating by the employees subordinates, Rating by someone outside the immediate work situation (seldom used), Self-evaluation,

but the most used evaluation is the appraisal by the superior. Sometimes a combination of the above-mentioned possibilities is also used. 3. Have raters gather data on employee performance

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The raters collect information by observation, analysis of data and records, and discussion with the employee. The data they gather are influenced by the criteria used for evaluation and by the technique used for evaluation.

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CHAPTER-2

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OBJECTIVES The concept of Performance appraisal system: Performance appraisal is a management tool, which is helpful in motivating and effectively utilizing human resources. Assessment of human potential is difficult, no matter how well designed and appropriates the performance planning and appraisal system is. The performance appraisal system should: Be correlated with the organizational mission, philosophies and value system; Cover assessment of performance as well as potential for development; Take care of organizational as well as individual needs; and Help in creating a clean environment by - Linking rewards with achievements, - Generating information for the growth of the employee as well as of the organization, and - Suggesting appropriate person-task matching and career plans. Feedback is an important component of performance appraisal. While positive feedback is easily accepted, negative feedback often meets with resistance unless it is objective, based on a credible source and given in a skilful manner.

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Employees would like to know from a performance appraisal system: Concrete and tangible particulars about their work; and Assessment of their performance. This would include how they: Did; Could do better in future; Could obtain a larger share of rewards; and Could achieve their life goals through their position. Therefore an employee would desire that the appraisal system should aim at: Their personal development; Their work satisfaction; and Their involvement in the organization. From the point of view of the organization, performance appraisal serves the purpose of: providing information about human resources and their development; measuring the efficiency with which human resources are being used and improved; providing compensation packages to employees; and maintaining organizational control. Performance appraisal should also aim at the mutual goals of the employees and the organization. This is essential because employees can develop only when the

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organization's interests are fulfilled. The organization's main resources are its employees, and their interest cannot be neglected. Mutual goals simultaneously provide for growth and development of the organization as well as of the human resources. They increase harmony and enhance effectiveness of human resources in the organization. At the end of this session, participants will have applied and analyzed concepts underlying performance appraisal in a real-life situation. This will help in designing performance appraisal formats in the next session.

Developmental purposes: it helps to clarify the necessity and the effectiveness of the training programs;

Reward purposes: helps in determining who should receive rewards and who should be laid off;

Motivational purposes: stimulates effort to perform better; Legal compliance: it provides legally defensible reason for making promotion, transfer, reward and discharge decisions;

Human resource and employee planning purposes: it serves as a valuable input to skills inventories and human resource planning;

Compensation: helps to identify what to pay and what will serve as an equitable monetary package;

Communication purposes: the rater and ratee get to know each other through communication;

HRM research purposes: it can be used to validate selection tools, such as a testing program.

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The Importance of Setting Objectives One might wonder why we need to establish objectives in the first place, why not let the company or a specific activity just run smoothly into the future and see where it gets. That would be the case only if we really do not care whether the activity in discussion will be successful or not: but then, to use a popular saying, "if something deserves to be performed, then it deserves to be performed well". In other words, if we don't care for the results, we should not proceed with the action at all. Setting objectives before taking any action is the only right thing to do, for several reasons: - it gives a target to aim to, therefore all actions and efforts will be focused on attaining the objective instead of being inefficiently used; - gives participants a sense of direction, a glimpse of where theyre going to; - motivates the leaders and their teams, since it is quite the custom of establishing some sort of reward once the team successfully completed a project; - offers the support in evaluating the success of an action or project. The 5 Rules of Setting Objectives: Be SMART! I am sure most managers and leaders know what SMART stands for, well, at least when it comes of establishing objectives. However, I have seen some of them who cannot fully explain the five characteristics of a good-established objective things are somehow blurry and confused in their minds. Since they can't explain in details what SMART

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objectives really are, it is highly doubtful that they will always be able to formulate such objectives. It is still unclear from where the confusion comes: perhaps there are too many sources of information, each of them with a slightly different approach upon what a SMART objective really is; or perhaps most people only briefly "heard" about it and they never get to reach the substance behind the packaging. Either way, let us try to uncover the meaning of the SMART acronym and see how we can formulate efficient objectives. SMART illustrates the 5 characteristics of an efficient objective; it stands for Specific Measurable Attainable Relevant Timely. 1. Be SPECIFIC! When it comes of business planning, "specific" illustrates a situation that is easily identified and understood. It is usually linked to some mathematical determinant that imprints a specific character to a given action: most common determinants are numbers, ratios and fractions, percentages, frequencies. In this case, being "specific" means being "precise". Example: when you tell your team "I need this report in several copies", you did not provide the team with a specific instruction. It is unclear what the determinant "several" means: for some it can be three, for some can be a hundred. A much better instruction would sound like "I need this report in 5 copies" your team will know exactly what you expect and will have less chances to fail in delivering the desired result.

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2. Be MEASURABLE! When we say that an objective, a goal, must be measurable, we mean there is a stringent need to have the possibility to measure, to track the action(s) associated with the given objective. We must set up a distinct system or establish clear procedures of how the actions will be monitored, measured and recorded. If an objective and the actions pertaining to it cannot be quantified, it is most likely that the objective is wrongly formulated and we should reconsider it. Example: "our business must grow" is an obscure, non-measurable objective. What exactly should we measure in order to find out if the objective was met? But if we change it to "our business must grow in sales volume with 20%", we've got one measurable objective: the measure being the percentage sales rise from present moment to the given moment in the future. We can calculate this very easy, based on the recorded sales figures. 3. Be ATTAINABLE! Some use the term "achievable" instead of "attainable", which you will see it is merely a synonym and we should not get stuck in analyzing which one is correct. Both are. It is understood that each leader will want his company / unit to give outstanding performances; this is the spirit of competition and such thinking is much needed. However, when setting objectives, one should deeply analyze first the factors

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determining the success or failure of these objectives. Think of your team, of your capacities, of motivation: are they sufficient in order for the objectives to be met? Do you have the means and capabilities to achieve them? Think it through and be honest and realistic to yourself: are you really capable of attaining the goals you've set or are you most likely headed to disappointment? Always set objectives that have a fair chance to be met: of course, they don't need to be "easily" attained, you're entitled to set difficult ones as long as they're realistic and not futile. Example: you own a newborn movers company and you set the objective of "becoming no. 1 movers within the state". The problem is you only have 3 trucks available, while all your competitors have 10 and up. Your goal is not attainable; try instead a more realistic one, such as "reaching the Top 5 fastest growing movers company in the state". 4. Be RELEVANT! This notion is a little more difficult to be perceived in its full meaning; therefore we will start explaining it by using an example in the first place. Imagine yourself going to the IT department and telling them they need to increase the profit to revenue ratio by 5%. They will probably look at you in astonishment and mumble something undistinguished about managers and the way they mess up with peoples minds. Can you tell what is wrong with the objective above? Of course! The IT department has no idea what you were talking about and there's nothing they can do about it - their job is

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to develop and maintain your computerized infrastructure, not to understand your economic speech. What you can do it setting an objective that the IT department can have an impact upon, and which will eventually lead to the increase you wanted in the first place. What about asking them to reduce expenditures for hardware and software by 10% monthly and be more cautious with the consumables within their department by not exceeding the allocated budget? They will surely understand what they need to do because the objective is relevant for their group. Therefore, the quality of an objective to be "relevant" refers to setting appropriate objectives for a given individual or team: you need to think if they can truly do something about it or is it irrelevant for the job they perform. 5. Be TIMELY! No much to discuss about this aspect, since it is probably the easiest to be understood and applied. Any usable and performable objective must have a clear timeframe of when it should start and/or when it should end. Without having a timeframe specified, it is practically impossible to say if the objective is met or not. For example, if you just say "we need to raise profit by 500000 units", you will never be able to tell if the objective was achieved or not, one can always say "well, well do it next year". Instead, if you say "we need to raise profit by 500000 units within 6 months from now", anyone can see in 6 months if the goal was attained or not. Without a clear, distinct timeframe, no objective is any good.

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Keys To An Effective Performance Appraisal Program \ Design Factors

Provide for rater and ratee participation in the design process Aim for simplicity, fairness, objectivity, openness, usefulness Aim to be inclusive of all behaviors and results that should be performed Questions to be addressed in designing a system:
o o o

-What is purpose -what are supervisors' attitudes toward PA -What are appropriate job criteria -who should conduct the appraisals; -What format instruments are appropriate -what type of performance records should be kept

Company Reward System

Accurately and thoroughly assessing subordinate performance For completing the forms conscientiously For communicating their judgments to subordinates

Evaluator's Skills

With subordinates set specific goals; identify paths to reach goals, analyze job, problems

Continuously monitor and improve subordinate performance Be trained in conducting effective PA; trained in setting objectives, giving feedback, conducting problem solving interviews

Be aware of potential for bias and counteract tendencies-stereotype, halo, central tendency, etc.

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need to have extensive information about ratee need to effectively observe, recall, assimilate, weigh

The Forms need to be

Job related, as simple as possible, easy to administer, valid, reliable Individuals need to be able to influence measures

Eliminating the sources of bias Organizational Support must support and reinforce time spent on these activities; organization from top to bottom must show PA is taken seriously must tie results of appraisals to decisions such as promotion, salary Designing Effective Performance Appraisal Systems Objectives of Performance Appraisal:

Evaluation goals Provide feedback to subordinates on where they stand. Develop valid data for pay and promotion decisions and provide a means for communicating these decisions.

Assist the manager in making discharge and retention decisions and provide a means of warning subordinates about unsatisfactory performance.

Coaching and development goals -Counsel and coach subordinates so they will improve their performance and develop future potential.

Develop commitment through discussion with subordinates of career opportunities and career planning.

Motivate subordinates through recognition and support.

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Strengthen supervisor-subordinate relations. Diagnose individual and organizational problems.

Commonly Used Techniques of Performance Appraisal:

Graphic Rating Scales, in which employees are rated on a scale, usually from 1 to 10, on traits and/or behavior such as intelligence, neatness, and quantity of work accomplished.

Management by objectives, wherein objectives are set, plans determined, performance reviewed, and rewards given.

Forced choice-requires the evaluator to choose among descriptions of employee behavior-scored according to a key.

Simple ranking, wherein raters simply rank the their subordinates from best to worst on their perceived performances.

Critical incidents, in which raters identify critical positive and negative employee performance (NOTE: Behaviorally anchored rating scales can be derived from these.)

Essay, in which performances are described in essays.

Note: Because each technique may be better for certain situations than others, students might be asked to assess the appropriateness of each for different levels of managers. Some Commonly Encountered Conflicts in Performance Appraisal:

Conflicting Intra-Individual Goals: desire for honest feedback vs. desire for self-concept affirming feedback.

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Conflicting Individual and Organizational Goals: person's desire for rewards vs. organization's desire for openness to feedback and helpfulness in supplying necessary information.

Improving the Design of the Appraisal System:

Uncouple Evaluation and Development: Many appraisal systems inadvertently force the mixing of the roles of judge and helper. The open problem-solving dialogue required for building a relationship and developing subordinates should be scheduled at a different time than the meeting in which the supervisor informs the subordinate about his/her overall evaluation and its implications for important rewards.

Choose Appropriate Performance Data: The behavior rating scale, the criticalincident methods, and various MBO techniques usefully guide the appraisal discussion toward reviewing specific task behaviors or accomplishments -feedback which is both less threatening and more helpful to the person who wants to improve performance. A comprehensive performance management system might include MBO and behavioral ratings--which are, respectively, a means of managing the what and how of employee task-related behaviors.

Separate Evaluations of Performance and Potential: Current performance, as measured by the attainment of results, is not necessarily correlated with potential for promotion. Separation of assessments of performance and potential mitigates against the superior's averaging his/her unconscious assessment of these qualities and increases the likelihood of a constructive, non-defensive dialogue.

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Recognize Individual Differences in System Design: Persons differ in their needs for performance evaluation and development, Within permissible bounds, appraisal policies should permit managers to use different methods depending on the particular employee being appraised.

Upward Appraisal: One way to mitigate the inhibitions of the superiorsubordinate power imbalance is to ask subordinates to appraise their supervisor; this allows influencing their environment, and may increases motivation to enter the appraisal process openly; provides the supervisor an opportunity to "model" the no defensive behavior essential to a real dialogue.

Self-Appraisal: Experiences with self-appraisal suggests that it often results in lower ratings than the supervisor would have given. Hence, the inclusion of selfappraisal before their the coaching or evaluation interview is likely to result in a more realistic rating and a greater acceptance of the final rating by both ratee and rater.

DATE TIME FORMAT Plenary participatory lecture TRAINER

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Uses of an Appraisal System or Why use performance appraisal?

Developmental purposes: it helps to clarify the necessity and the effectiveness of the training programs;

Reward purposes: helps in determining who should receive rewards and who should be laid off;

Motivational purposes: stimulates effort to perform better; Legal compliance: it provides legally defensible reason for making promotion, transfer, reward and discharge decisions;

Human resource and employee planning purposes: it serves as a valuable input to skills inventories and human resource planning;

Compensation: helps to identify what to pay and what will serve as an equitable monetary package;

Communication purposes: the rater and ratee get to know each other through communication;

HRM research purposes: it can be used to validate selection tools, such as a testing program.
A properly designed performance appraisal system can (Rao, 1985): Help each employee understand more about his or her role and become clear about their functions; be instrumental in helping employees to better understand their strengths and weaknesses with respect to their role and functions in the organization; 71

 help in identifying the developmental needs of employees, given their role and function; increase mutuality between employees and their supervisors so that every employee feels happy to work with their supervisor and thereby contributes their maximum to the organization; act as a mechanism for increasing communication between employees and their supervisors. In this way, each employee gets to know the expectations of their superior, and each superior also gets to know the difficulties of their subordinates and can try to solve them. Together, they can thus better accomplish their tasks; provide an opportunity to each employee for self-reflection and individual goalsetting, so that individually planned and monitored development takes place; help employees internalize the culture, norms and values of the organization, thus developing an identity and commitment throughout the organization; help prepare employees for higher responsibilities in the future by continuously reinforcing the development of the behaviour and qualities required for higher-level positions in the organization; be instrumental in creating a positive and healthy climate in the organization that drives employees to give their best while enjoying doing so; and assist in a variety of personnel decisions by periodically generating data regarding each employee.

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Characteristics of an appraisal system Performance appraisal cannot be implemented successfully unless all concerned accepts it. There should be a common and clear understanding of the distinction between evaluation and appraisal. As Patten (1982) argues, evaluation aims at 'objective' measurement, while appraisal includes both objective and subjective assessment of how well an employee has performed during the period under review. Thus performance appraisal aims at 'feedback, development and assessment.' The process of performance appraisal should concentrate on the job of an employee, the environment of the organization, and the employee him- or herself. These three factors are inter-related and inter-dependent. Therefore, in order to be effective, the appraisal system should be individualized, subjective, qualitative and oriented towards problem solving. It should be based on clearly specified and measurable standards and indicators of performance. Since what is being appraised is performance and not personality, personality traits, which are not relevant to job performance, should be excluded from the appraisal framework. Some of the important considerations in designing a performance appraisal system are: Goal the job description and the performance goals should be structured, mutually decided and accepted by both management and employees. Reliable and consistent Appraisal should include both objective and subjective ratings to produce reliable and consistent measurement of performance.

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 Practical and simple format the appraisal format should be practical, simple and aim at fulfilling its basic functions. Long and complicated formats are time consuming, difficult to understand, and do not elicit much useful information. Regular and routine While an appraisal system is expected to be formal in a structured manner, informal contacts and interactions can also be used for providing feedback to employees. Participatory and open An effective appraisal system should necessarily involve the employee's participation, usually through an appraisal interview with the supervisor, for feedback and future planning. During this interview, past performance should be discussed frankly and future goals established. A strategy for accomplishing these goals as well as for improving future performance should be evolved jointly by the supervisor and the employee being appraised. Such participation imparts a feeling of involvement and creates a sense of belonging. Reward Rewards - both positive and negative - should be part of the performance appraisal system. Otherwise, the process lacks impact. Feedback should be timely Unless feedback is timely, it loses its utility and may have only limited influence on performance. Impersonal feedback Feedback must be impersonal if it is to have the desired effect. Personal feedback is usually rejected with contempt, and eventually de-motivates the employee.

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 Feedback must be noticeable The staff member being appraised must be made aware of the information used in the appraisal process. An open appraisal process creates credibility. Relevance and responsiveness Planning and appraisal of performance and consequent rewards or punishments should be oriented towards the objectives of the programme in which the employee has been assigned a role. For example, if the objectives of a programme are directed towards a particular client group, then the appraisal system has to be designed with that orientation. Commitment Responsibility for the appraisal system should be located at a senior level in the organization so as to ensure commitment and involvement throughout the management hierarchy.

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CHAPTER-3

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What You Can Do for Employee Motivation and Positive Morale : You have much information about what people want from work. Key to creating a work environment that fosters motivation are the wants and needs of the individual. I recommend that you ask your employees what they want from work and whether they are getting it. With this information in hand, I predict you'll be surprised at how many simple and inexpensive opportunities you have to create a motivational, desirable work environment. Pay attention to what is important to the people you employ for high motivation and positive morale. You'll achieve awesome business success.

Appraisal Methods
In a landmark study, found that the three most common appraisal methods in general use are rating scales (56%), essay methods (25%) and results- oriented or MBO methods (13%). Certain techniques in performance appraisal have been thoroughly investigated, and some have been found to yield better results than others.

Encourage Discussion Research studies show that employees are likely to feel more satisfied with their appraisal result if they have the chance to talk freely and discuss their performance. It is also more likely that such employees will be better able to meet future performance goals. (e.g.,).

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Employees are also more likely to feel that the appraisal process is fair if they are given a chance to talk about their performance. This especially so when they are permitted to challenge and appeal against their evaluation. Constructive Intention It is very important that employees recognize that negative appraisal feedback is provided with a constructive intention, i.e., to help them overcome present difficulties and to improve their future performance. Employees will be less anxious about criticism, and more likely to find it useful, when the believe that the appraiser's intentions are helpful and constructive. In contrast, other studies have reported that "destructive criticism" - which is vague, illinformed, unfair or harshly presented - will lead to problems such as anger, resentment, tension and workplace conflict, as well as increased resistance to improvement, denial of problems, and poorer performance.

Set Performance Goals It has been shown in numerous studies that goal setting is an important element in employee motivation. Goals can stimulate employee effort, focus attention, increase persistence, and encourage employees to find new and better ways to work. The useful of goals as a stimulus to human motivation is one of the best-supported theories in management. It is also quite clear that goals which are "...specific, difficult and accepted by employees will lead to higher levels of performance than easy, vague goals (such as do your best) or no goals at all."

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Appraiser Credibility It is important that the appraiser (usually the employee's supervisor) be well informed and credible. Appraisers should feel comfortable with the techniques of appraisal, and should be knowledgeable about the employee's job and performance. When these conditions exist, employees are more likely to view the appraisal process as accurate and fair. They also express more acceptances of the appraiser's feedback and a greater willingness to change. TECHNIQUES OF PERFORMANCE APPRAISAL Easy appraisal method Graphic rating scales Field review method Forced choice rating method Critical incident appraisal method Management by objectives Work standard approach Ranking methods Alteration methods Alteration ranking

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Paired comparison Person-to-person rating Checklist Behaviorally anchored rating scales Assessment centers

APPRAISAL INTERVIEW Planning an interview - tell and sell - tell and listen - problem solving Conducting an interview as planned Applying good questioning techniques Listen intelligently and without prejudice while someone less senior does most of the talking Communicating effectively verbally and non-verbally Approaches in performance appraisal Performance appraisal is a multistage process involving several activities, which can be administered using a variety of approaches. Some of these approaches are considered below, based on Einstein and LeMere-Labonte, 1989; and Monga, 1983:

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 Intuitive approach In this approach, a supervisor or manager judges the employee based on their perception of the employee's behaviour. Self-appraisal approach Employees evaluate their own performance using a common format. Group approach The employee is evaluated by a group of persons. Trait approach This is the conventional approach. The manager or supervisor evaluates the employee on the basis of observable dimensions of personality, such as integrity, honesty, dependability, punctuality, etc. Appraisal based on achieved results In this type of approach, appraisal is based on concrete, measurable, work achievements judged against fixed targets or goals set mutually by the subject and the assessor. Behaviourial method This method focuses on observed behaviour and observable critical incidents. Methods of performance appraisal or Appraisal techniques There are several techniques of performance appraisal, each with some strong points as well as limitations. Oberg (1972) has summarized some of the commonly used performance appraisal techniques.

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(i) Essay appraisal method The assessor writes a brief essay providing an assessment of the strengths, weaknesses and potential of the subject. In order to do so objectively, it is necessary that the assessor knows the subject well and should have interacted with them. Since the length and contents of the essay vary between assessors, essay ratings are difficult to compare. (ii) Graphic rating scale A graphic scale 'assesses a person on the quality of his or her work (average; above average; outstanding; or unsatisfactory).' Assessment could also be trait centred and cover observable traits, such as reliability, adaptability, communication skills, etc. Although graphic scales seem simplistic in construction, they have application in a wide variety of job responsibilities and are more consistent and reliable in comparison with essay appraisal. The utility of this technique can be enhanced by using it in conjunction with the essay appraisal technique. Concept of graphic rating scale Our system is a graphic rating scale with narrative comments. The rater's objective is to reduce a year's activity to a numerical rating with supporting comments. This must be accomplished in a uniform way so that all concerned have a common understanding of what is communicated on the actual document. Uniformity is necessary so that personnel actions based on the Performance Appraisal are consistent throughout the system.

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FORM LAYOUT The rater and reviewer need to verify accuracy of the computer-generated rating form and personnel data and inform the Personnel Department of any errors. The rest of the form is divided into three sections: graphic rating scale, narrative, and the signature blocks. The graphic rating scale represents each factor measuring the employee's performance during the rating period. The Relative Impact (R/I) Scale allows each factor to be weighted according to the factors importance to the specific job or position in which the employee works. This makes the form job specific and builds flexibility and supervisory discretion into the formal process. The more "job specific" an evaluation is, the more valid the process becomes. Assigning relative weights to the rating factors gives the employee and supervisor a more accurate tool for evaluating overall performance. The block designated for the relative impact number is beside the rating factor. Overall performance is based on 10 rating factors commonly shared by all Classified employees plus possibly, some elective optional factors, and 2 factors for supervisors only. The relative impact numbers of the combined factors that are used total 100. This number actually represents 100% of the job being evaluated. The rater, in collaboration with the ratee and reviewer, will assign values to each factor as he/she feels they apply to the specific job. "Appearance" is not graded or assigned a relative impact number but considered "Satisfactory/Unsatisfactory." "Safety" can also be rated as "Satisfactory/ Unsatisfactory"

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for some employees at the departments discretion. In that case, "Safety" is also not assigned a relative impact number. (iii) Field review method Since individual assessors differ in their standards, they inadvertently introduce bias in their ratings. To overcome this assessor-related bias, essay and graphic rating techniques can be combined in a systematic review process. In the field review method, 'a member of the HRM staff meets a small group of assessors from the supervisory units to discuss each rating, systematically identifying areas of inter-assessor disagreement.' It can then be a mechanism to help each assessor to perceive the standards uniformly and thus match the other assessors. Although field review assessment is considered valid and reliable, it is very time consuming. (iv) Forced-choice rating method Unlike the field review method, the forced-choice rating method does not involve discussion with supervisors. Although this technique has several variations, the most common method is to force the assessor to choose the best and worst fit statements from a group of statements. These statements are weighted or scored in advance to assess the employee. The scores or weights assigned to the individual statements are not revealed to the assessor so that she or he cannot favour any individual. In this way, the assessor bias is largely eliminated and comparable standards of performance evolved for an objective. However, this technique is of little value wherever performance appraisal interviews are conducted.

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(v) Critical incident appraisal method In this method, a supervisor describes critical incidents, giving details of both positive and negative behaviour of the employee. These are then discussed with the employee. The discussion focuses on actual behaviour rather than on traits. While this technique is well suited for performance review interviews, it has the drawback that the supervisor has to note down the critical incidents as and when they occur. That may be impractical, and may delay feedback to employees. It makes little sense to wait six months or a year to discuss a misdeed, a mistake or good display of initiative. (vi) Management by objectives The employees are asked to set or help set their own performance goals. This avoids the feeling among employees that they are being judged by unfairly high standards. This method is currently widely used, but not always in its true spirit. Even though the employees are consulted, in many cases management ends up by imposing its standards and objectives. In some cases employees may not like 'self-direction or authority.' To avoid such problems, the work standard approach is used. (vii) Work standard approach In this technique, management establishes the goals openly and sets targets against realistic output standards. These standards are incorporated into the organizational performance appraisal system. Thus each employee has a clear understanding of their duties and knows well what is expected of them. Performance appraisal and interview comments are related to these duties. This makes the appraisal process objective and

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more accurate. However, it is difficult to compare individual ratings because standards for work may differ from job to job and from employee to employee. This limitation can be overcome by some form of ranking using pooled judgment. (viii) Ranking methods Some of the important forms of ranking for performance appraisal are given below, based on Oberg, 1972; and Monga, 1983: (a) Alteration ranking method The individual with the best performance is chosen as the ideal employee. Other employees are then ranked against this employee in descending order of comparative performance on a scale of best to worst performance. The alteration ranking method usually involves rating by more than one assessor. The ranks assigned by each assessor are then averaged and a relative ranking of each member in the group is determined. While this is a simple method, it is impractical for large groups. In addition, there may be wide variations in ability between ranks for different positions. (b) Paired comparison The paired comparison method systematizes ranking and enables better comparison among individuals to be rated. Every individual in the group is compared with all others in the group. The evaluations received by each person in the group are counted and turned into percentage scores. The scores provide a fair idea as to how each individual in the group is judged by the assessor. (c) Person-to-person rating In the person-to-person rating scales, the names of the actual individuals known to all the assessors are used as a series of standards. These standards may be defined as lowest, low, middle, high and highest performers. Individual

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employees in the group are then compared with the individuals used as the standards, and rated for a standard where they match the best. The advantage of this rating scale is that the standards are concrete and are in terms of real individuals. The disadvantage is that the standards set by different assessors may not be consistent. Each assessor constructs their own person-to-person scale which makes comparison of different ratings difficult. (d) Checklist method The assessor is furnished with a checklist of pre-scaled descriptions of behavior, which are then used to evaluate the personnel being rated (Monga, 1983). The scale values of the behavior items are unknown to the assessor, who has to check as many items as she or he believes describe the worker being assessed. A final rating is obtained by averaging the scale values of the items that have been marked. (e) Behaviorally anchored rating scales (BARS) This is a relatively new technique. It consists of sets of behavioral statements describing good or bad performance with respect to important qualities. These qualities may refer to inter-personal relationships, planning and organizing abilities, adaptability and reliability. These statements are developed from critical incidents collected both from the assessor and the subject. (f) Assessment centers This technique is used to predict future performance of employees were they to be promoted. The individual whose potential is to be assessed has to work on individual as well as group assignments similar to those they would be required to handle were they promoted. The judgment of observers is pooled, and paired comparison or alteration ranking is sometimes used to arrive at a final assessment. The final assessment helps in making an order-of-merit ranking for each employee. It also involves subjective judgment by observers.

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A performance appraisal system could be designed based on intuition, self-analysis, personality traits, behavioral methods and result-based techniques. Different approaches and techniques could be blended, depending on the goals of performance appraisal in the organization and the type of review. For example, management by objectives, goalsetting and work standard methods are effective for objective coaching, counseling and motivational purposes. Critical incident appraisal is best suited when supervisor's personal assessment and criticism are essential. A carefully developed and validated forced-choice rating can provide valuable analysis of the individual when considering possible promotion to supervisory positions. Combined graphic and essay form is simple, effective in identifying training and development needs, and facilitates other management decisions. RELATIVE IMPACT SCALE The methods used to arrive at these values should involve the ratee, rater and the reviewing authority. The reviewing authority must approve the way factors are weighted for each like position within the work unit. How a rater begins the process of determining the values of each factor will be up to the individual. It is recommended that positions with similar tasks within the work unit have like relative impact numbers. A good way to begin would be to hand out copies of the rating form to all subordinates, asking their input on which factors of their job they see as most important.

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It should be explained how the relative impact number represents the "importance" of that factor to the overall job. It should also be explained how high or low numbers in any single factor multiplied by the level of performance or rating will affect the overall rating. The range for relative impact values is from 5 to 40. Therefore, it is possible for one factor to have a major impact on the overall rating. For this reason it is important that values assigned to each factor are completely understood by the ratee prior to actually doing the appraisal. In the case of new hires, transfers, or promotions, these values should be covered in the orientation and reinforced in the three-month and six-month performance appraisals. Remember, positions with like duties within the work unit should have like relative impact values.

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The levels of performance and relative impact scale represent numerically, in a concise and uniform way, the employee's performance for the rating period. The information represented on the scale should be supported by specific, job-related performance criteria, derived from the performance plan. Raters will want to compute and review the relative impact and overall rating numbers before completing the actual forms. For new hires or employees not familiar with Pinellas County's Performance Appraisal System, the rater should take the time to explain the system and go over the form itself. It is important that all personnel understand the mechanics of the system. After the employee and supervisor have discussed the relative impact numbers for the position, the rater will present them to the reviewing authority. The reviewing authority will have ultimate authority to finalize the values for each factor. The rater will then provide each employee with a copy of the relative impact values. Should there be cause to change the values of a position, this process will be repeated. RATING FACTORS A. FACTOR DEFINITIONS - Supervisory And Non-Supervisory Personnel Ten of the following factors (those marked with an asterisk (*)) apply to all Classified employees. Raters may add additional, optional factors applicable to the position being rated. Supervisory ratings include two additional factors (Supervisory Task Skills and Supervisory Leadership Skills).

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* QUANTITY OF WORK: The amount or volume of acceptable work completed in a timely manner. Refers to how much of a product or service an employee or a supervisor/managers work unit produces as compared to basic requirements of the position. * QUALITY OF WORK: How good the products or services produced are. Refers to accuracy, neatness, thoroughness, and compliance with specifications, as compared to the basic requirements of the position. * JOB KNOWLEDGE: An understanding or grasp of the skills, information and duties required to meet the responsibilities of the position. This includes staying current with changing technology, processes, legislation, methods, concepts and techniques. * DEPENDABILITY: Acceptance of responsibility, ability to work under pressure, willingness to follow instructions, ability to meet deadlines. Reliability, flexibility and the willingness to change plans as necessary to accomplish basic requirements of the position. * COMMUNICATION AND INTERACTION SKILLS: Effective use of oral and written communication skills. Includes interpersonal behavior such as tact, courtesy, integrity, discretion, listening skills and helpfulness in dealing with others. * JUDGEMENT: Effectiveness in making correct decisions and prioritizing the work load. The ability to determine the relative importance of information and choosing a worthwhile or appropriate course of action.

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* INITIATIVE: The amount of direction needed to accomplish job responsibilities. The degree beyond the basic requirements the employee seeks to achieve. Self-starting as opposed to needing others to begin work efforts. Also may include creativity, improving work methods, and seeking additional work or responsibility. * ATTENDANCE: Conformity to established working hours and schedules, and adherence to County expectations of attendance regarding use of annual and extended leave, scheduling, punctuality, etc. (Note: Excused absences that are FMLA qualifying or based on reasonable accommodation due to ADA cannot be used to evaluate this factor.) *SAFETY: Observation of safety rules and practices as prescribed by organizational policy, procedures, and supervisory direction. * APPEARANCE: Appropriate physical grooming and attire for the position. OPTIONAL: An organization may establish additional factors pertaining to that particular organization or position. Factors to consider include, but are not limited to "Goal Accomplishment," "Customer Service," "Teamwork" and/or "Self-development and Improvement." Any established OPTIONAL factors should be clearly described. SUPERVISORY TASK SKILLS (for Supervisors only): Ability of supervisor to plan and organize the work, establish goals and priorities, analyze and evaluate organizational effectiveness, and make sound decisions. Ability to apply management techniques to ensure compliance with organizational policies and directives, to control quality, quantity, time and costs.

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SUPERVISORY LEADERSHIP SKILLS (for Supervisors only): Ability of supervisor to provide encouragement, guidance and direction to subordinates with regard to their development and improvement. Coaching, counseling and helping employees overcome job problems and develop career plans. Assessing performance strengths and deficiencies, encouraging and rewarding employees, and/or exercising appropriate discipline. Complying with EEO laws and County EEO policy and Affirmative Action requirements. While each factor must be evaluated independently, it is possible and even likely that there may be correlations between certain factors, where actions that lead to attainment of a certain level of performance in one factor may influence the rating in another factor. For example, the same actions by an employee that lead to "Excellent" performance in "Dependability" may result in a high rating in "Initiative." Similarly, the same actions that lead to a low rating in "Attendance" may lead to a correspondingly lower rating in "Dependability." LEVELS OF PERFORMANCE A. The levels of performance assigned to each of the ten factors must take into consideration the performance pattern for the entire appraisal period. B. After reviewing all records of performance, the rater will select one of the five levels of performance listed below for all factors that have relative impact values. 4 points Excellent - Far exceeds performance expectations by regularly making contributions that improve the organization.

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3 points Very Good - Exceeds performance expectations by making significant contributions. 2 points Good - Meets performance expectations by performing all responsibilities of this factor. 1 point Needs Attention - Performs some of the responsibilities of the factor but does not meet expectations. Failure to improve could result in termination. 0 points Unsatisfactory - Not performing the responsibilities of this factor. Immediate corrective measures must be taken. Failure to improve could result in termination. (+/- point) Since the overall evaluation is a computation of the relative impact of the factors and the levels of performance, it is reasonable to use values between the numerical levels (such as 1.5, 2.5 or 3.5). Using a midpoint level is a good method of communicating or documenting an upward or downward trend in performance. Levels of performance less than half numbers (.5) shall not be used. GENERAL PERFORMANCE APPRAISAL POLICIES A. The same performance appraisal system will apply uniformly for all Classified employees within the Unified Personnel System. B. All official performance appraisals must be 1) sent to the Personnel Department on the form provided and 2) discussed in an interview with the employee. C. All regular status employees must be officially appraised at least annually.

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D. An appraisal period includes the time from which the last appraisal was completed, except in the case of newly hired, promoted or demoted employees, where the effective date of the action starts the cycle. Employees who are on probation receive performance appraisals minimally at the three-month, six-month and twelve-month periods and annually thereafter. Employees are eligible for a pay increase at the six and twelve-month reviews. Reviews for employees who have been promoted from one department (and in some cases divisions) are to be completed by the losing department or division. Where there is a promotion involved in the change, the employee will be considered for a prorated merit increase in accordance with Personnel Rule VI-A. Unscheduled or special performance appraisals are sometimes appropriate and may be scheduled at the discretion of the rater. These reviews will not normally change the individual's anniversary date and may not involve a merit increase. E. The rating authority who completes the employee performance review forms should be the employee's immediate supervisor. In those cases where an employee may be assigned work for various supervisors, a single rating authority will be designated and will normally make rating decisions after consulting with others for whom the employee has performed work. F. A rating of "Unsatisfactory" in any factor will lead to an overall rating of "Unsatisfactory" (regardless of total points) and result in a denial, reduction, or delay of a merit salary increase. The rater must indicate in the narrative section of the review form or on a separate attached sheet why the merit increase is being denied, reduced, or delayed. Any intention

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to reevaluate the employee at a date other than the next regularly scheduled review date, e.g., "Will reevaluate in 3 months," should also be included in the narrative section. G. A rating of "Needs Attention" in any factor will be calculated into the total amount of points the employee receives on the Appraisal, as is the case with all other factors rated above "Unsatisfactory." In such cases, in spite of the "Needs Attention" rating, the employee's overall rating score will determine the amount of the merit increase. As is the case with "Unsatisfactory" ratings, remedial action must be taken, however, to help the employee attain a "Good" or better rating. This can be in the form of coaching and counseling or a performance improvement plan. H. In no case shall an employee's rating authority reveal the contents of his/her performance review to another employee. I. The reviewing authority shall be the immediate supervisor of the rating authority, unless otherwise dictated by organizational structure. All official performance appraisals should be reviewed. Before the reviewing authority signs the forms, the review is discussed by the rating and reviewing authorities. Differences between the rating and reviewing authorities shall be resolved before the rating is discussed with the employee. J. Changes made on an employee's evaluation subsequent to the appraisal interview will be presented to an employee in a second interview, which will normally be conducted by the reviewing authority initiating the change.

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K. An employee is not allowed to refuse to sign his or her review once it has been discussed with the rating authority. The employee's signature indicates that the ratings have been communicated to the employee. The signature bears no reflection as to whether or not the employee agrees with the conclusions of the rater. The employee may add written comments that shall be appended to the performance review. L. A Classified employee (whether probationary or permanent) has ten (10) working days, from the date of signing his/her performance review, to grieve his/her rating in writing in accordance with the procedures provided in Personnel Rule XX, "Adjustment of Employee Grievance." M. A copy of the performance review form is kept in the employee personnel file. This is considered a public document and available for inspection. N. If a rater or reviewer chooses to rate "Safety" as a "Satisfactory/ Unsatisfactory" factor, the safety factor will have a relative impact of "0", and the level of performance shall be noted as "Satisfactory" or "Unsatisfactory." The 100 relative impact points will then be distributed over the other remaining rated factors. O. Since the overall evaluation is a computation of the relative impact of the factors and the levels of performance, it is reasonable to use values between the numerical levels (such as 1.5, 2.5 or 3.5). Using a midpoint level is a good method of communicating and documenting an upward or downward trend in performance. Levels of midpoint performance other than half numbers (.5) shall not be used.

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SUPERVISORY LEADERSHIP SKILLS (for Supervisors only): Ability of supervisor to provide encouragement, guidance and direction to subordinates with regard to their development and improvement. Coaching, counseling and helping employees overcome job problems and develop career plans. Assessing performance strengths and deficiencies, encouraging and rewarding employees, and/or exercising appropriate discipline. Complying with EEO laws and County EEO policy and Affirmative Action requirements. While each factor must be evaluated independently, it is possible and even likely that there may be correlations between certain factors, where actions that lead to attainment of a certain level of performance in one factor may influence the rating in another factor. For example, the same actions by an employee that lead to "Excellent" performance in "Dependability" may result in a high rating in "Initiative." Similarly, the same actions that lead to a low rating in "Attendance" may lead to a correspondingly lower rating in "Dependability." GENERAL PERFORMANCE APPRAISAL POLICIES A. The same performance appraisal system will apply uniformly for all Classified employees within the Unified Personnel System. B. All official performance appraisals must be 1) sent to the Personnel Department on the form provided and 2) discussed in an interview with the employee. C. All regular status employees must be officially appraised at least annually.

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D. An appraisal period includes the time from which the last appraisal was completed, except in the case of newly hired, promoted or demoted employees, where the effective date of the action starts the cycle, Employees who are on probation receive performance appraisals minimally at the three-month, six-month and twelve-month periods and annually thereafter. Employees are eligible for a pay increase at the six and twelve-month reviews. Reviews for employees who have been promoted from one department (and in some cases divisions) are to be completed by the losing department or division. Where there is a promotion involved in the change, the employee will be considered for a prorated merit increase in accordance with Personnel Rule VI-A. Unscheduled or special performance appraisals are sometimes appropriate and may be scheduled at the discretion of the rater. These reviews will not normally change the individual's anniversary date and may not involve a merit increase. E. The rating authority who completes the employee performance review forms should be the employee's immediate supervisor. In those cases where an employee may be assigned work for various supervisors, a single rating authority will be designated and will normally make rating decisions after consulting with others for whom the employee has performed work. F. A rating of "Unsatisfactory" in any factor will lead to an overall rating of "Unsatisfactory" (regardless of total points) and result in a denial, reduction, or delay of a merit salary increase. The rater must indicate in the narrative section of the review form or on a separate attached sheet why the merit increase is being denied, reduced, or delayed. Any intention

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to reevaluate the employee at a date other than the next regularly scheduled review date, e.g., "Will reevaluate in 3 months," should also be included in the narrative section. G. A rating of "Needs Attention" in any factor will be calculated into the total amount of points the employee receives on the Appraisal, as is the case with all other factors rated above "Unsatisfactory." In such cases, in spite of the "Needs Attention" rating, the employee's overall rating score will determine the amount of the merit increase. As is the case with "Unsatisfactory" ratings, remedial action must be taken, however, to help the employee attain a "Good" or better rating. This can be in the form of coaching and counseling or a performance improvement plan. H. In no case shall an employee's rating authority reveal the contents of his/her performance review to another employee. I. The reviewing authority shall be the immediate supervisor of the rating authority, unless otherwise dictated by organizational structure. All official performance appraisals should be reviewed. Before the reviewing authority signs the forms, the rating and reviewing authorities discuss the review. Differences between the rating and reviewing authorities shall be resolved before the rating is discussed with the employee. J. Changes made on an employee's evaluation subsequent to the appraisal interview will be presented to an employee in a second interview, which will normally be conducted by the reviewing authority initiating the change.

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K. An employee is not allowed to refuse to sign his or her review once it has been discussed with the rating authority. The employee's signature indicates that the ratings have been communicated to the employee. The signature bears no reflection as to whether or not the employee agrees with the conclusions of the rater. The employee may add written comments that shall be appended to the performance review. L. A Classified employee (whether probationary or permanent) has ten (10) working days, from the date of signing his/her performance review, to grieve his/her rating in writing in accordance with the procedures provided in Personnel Rule XX, "Adjustment of Employee Grievance." M. A copy of the performance review form is kept in the employee personnel file. This is considered a public document and available for inspection. N. If a rater or reviewer chooses to rate "Safety" as a "Satisfactory/ Unsatisfactory" factor, the safety factor will have a relative impact of "0", and the level of performance shall be noted as "Satisfactory" or "Unsatisfactory." The 100 relative impact points will then be distributed over the other remaining rated factors. O. Since the overall evaluation is a computation of the relative impact of the factors and the levels of performance, it is reasonable to use values between the numerical levels (such as 1.5, 2.5 or 3.5). Using a midpoint level is a good method of communicating and documenting an upward or downward trend in performance. Levels of midpoint performance other than half numbers (.5) shall not be used.

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COMPLETING THE STANDARD PERFORMANCE APPRAISAL FORM A. The following steps are arranged sequentially to assist the rater in preparing the standard form and computing the overall rating: 1. Review the employee's position description, performance plan, rater's notes, and any pertinent administrative records. 2. Where indicated, obtain feedback on the employee's performance from other supervisors and coworkers. 3. After reviewing the key responsibilities and performance expectations, choose the level of performance that is appropriate for each factor (relative impact values will already be in place). For the performance level, write the point value for the corresponding description of performance (i.e "Good" = 2 points). Enter the appropriate values for each of the factors. ("Appearance" does not carry point values.) 4. To calculate the performance points for a particular factor, multiply the relative impact X (times) the level of performance = performance (points). For example: 20 R/I x3 Perf. level = 60 Perf . points 5. Obtain the overall rating by adding the performance points for all graded rating factors. The "total points" figure is placed in the appropriate box. To obtain the recommended merit salary increase, refer to annually published merit salary guidelines.

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6. Complete a draft of the appraisal form and computations. Give special consideration to the narrative/comments section: a wide range of activity must be documented on the official form. Raters must explain their ratings in the narrative. Attach additional narrative pages when necessary. Confer with the reviewing authority and revise as necessary. Remember that the performance being rated is only for the current rating period. Each performance appraisal cycle begins with a blank slate. The employee's performance during that rating period only is evaluated in comparison to previously established performance expectations. 7. Give the ratee at least three working days advance notice of the performance appraisal interview. When scheduling the interview, give the employee a copy of the interview worksheet. The employee should be requested to either bring the completed worksheet to the meeting or to return it prior to the meeting, based on your preference. (Completion of the worksheet is optional.) Interview Worksheet There's one great truth which everyone experiences time and again - very few people truly love to give a presentation. If you have ever had to stand up in front of your grammar school class and talk about your book report or answer a math question, you know what I'm referring to - the sweaty palms, shaky voice and the fear that you will not do your best.

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It happens to just about everyone from time to time. Even as a County Commissioner, I find myself a little nervous from time to time when I speak to a community group or a classroom full of schoolchildren. It's only normal. But, what if you find yourself feeling anxious while you are in a job interview? Like it or not, the pressure is on when you know that how you answer the interviewer's questions may determine if you get the job of your dreams. While you may not be able to eliminate all of your nervous energy, you can reduce it if you use a few strategies to keep your calm when the pressure is on: * Do your homework - Once you land that interview appointment, you should become familiar with the company that may be hiring you. Most companies have an Internet site which you can check out, or you can also head to your local library to find newspaper articles which may have been written. The more you know about your potential employer, the easier it will be to have a knock-out interview. * Practice, practice, practice - While you can't prepare for every question in the interview, you can find lists of commonly-asked interview questions on the Internet or in books for job seekers and prepare for them. This way, when the interviewer asks you "What can you do for our company?" you'll have the answer ready to go. * Don't forget! - Some items you may want to bring to the interview include extra copies of your resume, a sheet with your professional references and a notepad and pen. * Arrive early - The easiest way to disarm the tension time bomb is to allow yourself plenty of time to get to the interview. This will allow you time to regain your composure

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after driving or commuting to the office, and it sends the message to your prospective employer that you will be a conscientious and prompt employee. * Slow down - It has been proven that when we are nervous, we talk faster. If you remind yourself to begin the interview in a calm, measured manner, you will find it easier to be understood. Remember to breathe, and know when to stop talking. * Keep your perspective - It's usually very difficult for people to see just how nervous you are. So, no matter how fast your heart is racing, the interviewer probably won't pick up on it. And, remember, even if you don't land this job, you can always view the interview as practice for the next one. By considering these tips, you'll stop thinking of interviews as trouble and start seeing them as an opportunity to showcase your skills. CONDUCTING THE INTERVIEW The core of any performance appraisal system is a formal discussion between a supervisor and a subordinate, the purpose of which is to:

Obtain direct feedback from the employee Communicate expectations Motivate

The appraisal interview should be a restatement and summarization of "performance reviews" the rater has been conducting informally throughout the rating period. Ideally there will be no surprises for either the supervisor or subordinate. The discussion ought to

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focus on documenting the work performed according to the rating factors on the form. This will be guided by the previously discussed performance plan. The success of the appraisal interview depends largely on the skills of the rater. There is evidence that performance appraisal interviews that give "real" and specific performance related feedback do affect performance positively. Likewise, a poorly conducted interview can be discouraging and actually have a negative impact on motivation and performance. The following are ideas to assist the rater in setting up and completing a successful interview. The interview will get off to a good start if the rater: A. Shows concern for the physical setting (for example, sits next to the employee instead of across a desk). B. Expresses concern for the employee's comfort (for example, offers the employee a cup of coffee). C. Conveys a positive attitude and receptivenes: listens to the employee. D. Makes sure the employee is told about the review session three working days in advance. E. Makes sure the review session is conducted in private. It may be necessary to schedule a conference room or "borrow" a private office or vehicle.

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F. Strives for a level of informality (but not too informal) since this will facilitate communication. Encourages employee participation and avoids "telling it like it is." G. Plans the interview.

Events that should occur before the performance appraisal interview - Ask employee to complete an interview or self appraisal form (optional) - Review notes related to employee performance - Review performance expectations and key responsibilities for the position - Rate employee on all applicable criteria - Prepare preliminary employee evaluation for reviewing authority - Plan for specific corrective and/or developmental actions - Write the final appraisal.

There are three general approaches the rater can use to adjust his/her style to suit the ratee. A particular style that works well with some will not work with others. Since the rater will want to create a positive atmosphere, he/she must be aware of the type of conversation that is taking place.

THE PARTICIPATORY EMPLOYEE - Eager to supply feedback - Thoughts and ideas about goals,

THE PASSIVE EMPLOYEE - Little feedback - No real interest

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performance, etc. - Uncomfortable in a one-to-one - Upwardly mobile conversation - May, however, be a good, productive - Wants constructive criticism employee

Most employees fall somewhere in between the above two general categories. Three approaches to be considered are:

TELL AND SELL - Inform the employee on how he/she is doing (in each factor), then set goals for improving or maintaining performance.

TELL AND LISTEN - Inform the employee on how he/she is doing, then just listen. If there is no feedback, continue with open-ended questions, observe nonverbal behavior, practice allowing "quiet time."

PROBLEM SOLVING - Discuss areas of concern. Concentrate on employee development, removing obstacles to performance, and goal-setting.

The following is a logical sequence of events for preparing and structuring the interview.

1. Discuss general issues about the job and/or the work unit. 2. Give specific feedback on performance - use the rating form, but be careful to discuss positive areas first. Give the ratee an opportunity to respond. 3. Give constructive criticism or observations about performance be careful to discuss positive areas first. Give the ratee an opportunity to respond.

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4. Formulate an employee development plan, which includes:

Ways to improve performance Opportunities for growth or promotion (use the previously completed interview form)

Commitment from the employee receiving the rating

5. Thank the employee. Sample Agenda 1. General discussion of last year's overall objectives. 2. Key result areas: the employee's performance in each area. 3. Employee's strengths: -their opinion -your opinion 4. Areas of performance that could be improved: -their suggestions -yours 5. General concerns confronting both of you within the organization. 6. Review of last year's goals and setting new ones for the year to come (joint effort).

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7. Discuss future plans, training and other developmental needs (planning performance). 8. Close the meeting with a summary and agreement of key points.

9. Put mutually agreed upon objectives in writing for both of you and to help stimulate next year's appraisal. 10. Finish on a positive note.

Total Performance Management: In accordance with Governor Freudenthals goal to implement a fair and equitable compensation plan, which includes a bonus for exceptional performance, it was determined that the current performance appraisal system does not provide the necessary tools to accurately measure job performance. It became evident of the necessity to develop a performance appraisal system that would more effectively assist supervisors in evaluating and working with employees to achieve their greatest potential. The system under development encompasses the concept of total

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performance management, which involves all aspects of employee supervision. In order to implement the concept of total performance management, the state must identify the competencies on which job performance and employee growth will be measured. Three distinct goals of total performance management are:

Implementing a system that ties the performance of the employees to the goals of the agency. This will demonstrate to employees the impact they have on the outcomes of the organization.

Training supervisors to obtain the competencies to accurately manage the job from start (hiring) to finish (separation from employment).

Setting the foundation for recruiting individuals who possess the competencies that the state has identified as necessary to be a successful and productive state employee.

In setting the foundation for total performance management, the state is currently developing a competency based performance appraisal system. A goal of this performance appraisal system is to minimize subjectivity and replace it with objective criteria in measuring job performance. While pay adjustments may be a consideration under this system, the focus will be on increasing communication, accountability and growth of both supervisors and employees. The Performance Appraisal Competency Committee (PACC), comprised of Human Resources Division personnel and agency representatives, has been established to

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develop this new system. The system will incorporate the following concepts:

All levels of agency management will be held accountable for the performance of employees.

All state employees will be evaluated on a set number of core competencies along with behavior characteristics.

Competencies will be identified by classification to be utilized as a guide for measuring specific job duties performed.

Supervisors will be trained to use these competencies and behavior characteristics in developing their expectations (output) of performance.

The system will not focus on negative job performance. It is intended to develop opportunities for job growth and career advancement on a continuing basis.

Performance criteria will be tied back to the goals of the agency so employees have a better understanding of how they impact the overall operations of the agency. What are competencies? Competencies are identified behaviors, knowledge, skills, and abilities that directly and positively impact the success of employees and the organization. Competencies can be objectively measured, enhanced, and improved through coaching and

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employee development opportunities. Some core competency examples include:

Technical and Functional Expertise

o

Definition: Technical and functional expertise are underlying knowledge and skills, described in observable and measurable terms that are necessary in order for you to perform a particular type or level of work activity. Technical and functional expertise typically reflects a career-long experience in the job or occupational area.

Understanding the Business

o

Definition: Understanding the organizations purpose and mission.

Achieving Results
o

Definition: Attaining goals and objectives.

Serving the Customer

o

Definition: Fulfilling the needs of internal and external customers.

Teamwork
o

Definition: Collaborating and cooperating to get the job done.

Interpersonal and Communications Skills

o

Definition:

Interpersonal: Developing and maintaining positive relationships.

Communication: Exchanging ideas and opinions.

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Leadership and Personal Effectiveness

o

Definition:

Leadership: Motivating, influencing, and supporting others to accomplish team and organizational goals.

Personal Effectiveness: Developing oneself, achieving results, and solving problems. Planning, organizing, and managing own time and work.

What are the benefits of a competency-based performance appraisal system?

Helps improve individual job performance Promotes employee training and development Focuses on agency goals Encourages teamwork in promoting cooperation Improves ability to hire better qualified employees

Whats in it for state employees? Competencies will provide opportunities for employees to determine what it takes to be fully successful. Success entails both what you do (applying technical knowledge, skills and ability) and how you do it (behaviors demonstrated through interacting and communicating). Agencies can utilize competencies to determine appropriate training needs, career development, selection and placement and compensation for employees. Competencies can also be used in self and multi-rater assessments in identifying areas of strength and need for improvement.

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While competencies pave the way to better performance, only personal commitment to excellence, motivation and consistent performance will determine performance level. Competencies will also contribute to a greater focus on agency goals and values directed toward improved customer service. Components of the appraisal format Key performance areas, self-appraisal, performance analysis, performance ratings and counselling are the important components of a performance appraisal system oriented to development of human resources in an organization. The appraisal format should be designed in consonance with the objectives of the performance appraisal system, and generate information on a number of important aspects, including (Rao, 1985): Identification of key performance areas The first step in an appraisal process is identifying key performance areas and setting targets for the next appraisal period. This may be done either through periodic discussions or at the beginning of the year, as in research institutions. Self-appraisal by the subject At the end of the appraisal period, employees appraise their own performance against the key performance areas, targets and pre-identified behaviour. Information on these issues is provided in an appraisal format. The employees also write their self-evaluation reports and hand them to their supervisors. Analysis The supervisor reflects on the performance of the employee, and identifies the factors which facilitated or hindered the employee's performance. The manager then calls the employee for a discussion to better understand his or her performance and

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provide counseling on further improvements. During this discussion, appraisal records (such as notes, observations, comments, etc.) are exchanged. The manager then gives a final rating and recommendations regarding the developmental needs of the individual. These are shown to the subject and his or her comments are recorded on the appraisal form. The appraisal form is then transmitted to the personnel department for the necessary administrative action. The personnel or human resource development department uses these forms for identifying and allocating training, rewards and other activities. Identification of training needs The use of a development-oriented performance appraisal system is based on a good understanding of the concept of human resources development. The need for developing employee capabilities, the nature of capabilities to be developed, and the conditions under which these capabilities can be developed have to be appreciated. During the discussion between the supervisor and the employee, the development needs of the subject are identified and goals set for the next period. Identification of qualities The supervisor may also identify the qualities required for current as well as future tasks, and assess the employee's potential and capabilities to perform jobs at higher responsibility levels in the organization. Attributes considered in evaluating performance There are many personality traits which could be considered when evaluating performance, and methods to facilitate such consideration include scaling methods that

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differentiate employees on a series of given traits. The important personality traits fall into two categories: personal qualities and demonstrated qualities (Table 1). Table 1 Personal and demonstrated personality traits

Personal Qualities Demonstrated Performance Qualities Adaptability: Adjustment with new or Professional knowledge: Ability to apply changing situations or people. Appearance and bearing: Having good bearing and appearance. Decisiveness: Ability to arrive at judiciously. conclusions promptly and to decide on a definite course of action. Dependability: Ability to consistently and training of staff. accomplish allocated jobs without supervision. Drive and determination: Ability to execute job vigorously and resolutely, Delegation: Ability to delegate and induce others to do so. Ingenuity: Resourcefulness and ability to creatively devise means to solve unforeseen problems. Motivation: Ability to motivate subordinates effectively to produce desired results. responsibilities and exercise required degree of guidance and supervision. Foresight: Ability to display foresight and plan beyond immediate needs. Responsibility for staff development: Ability to fulfill responsibilities in the development Administrative ability: Having administrative ability to use resources economically and professional knowledge to assigned duties so as to achieve a high standard of performance.

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Initiative: Ability to take necessary

Morale: Ability to maintain morale and look

and appropriate action independently. after the management of staff. Integrity: Ability to maintain an honest approach in all dealings. Loyalty: Ability to faithfully, willingly and loyally support superiors, equals and subordinates. Maturity: Understanding and balance commensurate with age and service. Stamina: Ability to withstand and perform successfully under protracted physical strain. Tenacity: Ability to preserve in face of odds and difficulties. Verbal expression: Ability to express oneself clearly and concisely. Written expression: Ability to express oneself clearly and concisely in writing. Control: Ability to exercise control over subordinates and gain their confidence.

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CHAPTER- 4

Case study: Suzene Kopec Cocoa research institute of Savanna CRIS is undoubtedly the oldest research organization in the country. Founded in 1938, it started as the Central Cocoa Research Station of the Department of Agriculture. In April 1944, it became the headquarters of the inter-territorial Cocoa Institute of Coastal States (CICS). When Savanna became independent, CICS was dissolved in October 1962, being replaced by CRIS. CRIS then became part of the National Research Council, which became the Savanna Academy of Sciences and, in 1968, the Council for Scientific and

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Industrial Research. In October 1973, CRIS was placed under the management of the Savanna Cocoa Board. In 1976 it was placed under the Ministry of Cocoa Affairs, until that Ministry was dissolved in July 1979, when CRIS reverted to management of the Board. As a result of the re-structuring exercise within the cocoa industry, CRIS is now a Division of the Savanna Cocoa Board. An Executive Director heads CICS. There are six scientific divisions: agronomy, entomology, physiology/biochemistry, plant breeding, plant pathology and soil science. In addition, there are four support divisions: general administration, plantation and station management, works and estates, and accounts. The main research station of the Institute is located at Tofa, in an area of just over 400 ha. There are three substations, at Suafa and Nobsu in the Eastern Region and at Belo in the Northern Region. The Belo substation is exclusively for shea nut research. The Suafa substation occupies an area of about 228 ha, while the Belo station has an area of about 6 504 ha. The labour force in the Institute numbers about 1 700, including those at the substations. CRIS investigates problems related to cocoa, cola, coffee, shea nut and tallow tree cultivation. It also studies cocoa by-products, with emphasis on utilizing the husk for animal feed, fertilizer and soap production, and the sittings for pectin and alcohol production. Much of the work is started in the laboratories, making use of specialized equipment and skilled technical staff working under research scientists. CRIS employs about 26 Savanna

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scientists, who are assisted by skilled technical staff. The progression of technical and scientific staff grades is shown in Annex 1. Field experiments under farm conditions are performed to test the validity of results from laboratories and controlled field experiments and their agronomic and economic effects. CRIS also conducts field experiments jointly with the Cocoa Services Division. Despite a number of problems, CRIS is one organization that was not hit by a brain drain in the 1980s. The country was undergoing a major economic crisis, but CRIS was always able to attract local scientists who were prepared to stay on the job and work for the ultimate good of the cocoa industry. Ms Suzene Kopec Ms Suzene Kopec had applied for a job as a Technical Assistant (TA) in CRIS in response to an advertisement. Although she had cited three referees in her application, only one provided a reference. Mr. Adim Wilsali, principal of the State Secondary School, stated that Ms Kopec was admitted to the Umed Secondary School after passing GCE 'O' level. She was a diligent student, always among the few top students of her class, well disciplined, respectful and obedient. For a while she was also the overseer of one of the girl's hostels. Mr. Wilsali recommended her appointment. Ms Kopec joined CRIS on 21 June 1971, as a TA Grade III, with an initial salary of NSc 450 per annum, on a scale of NSc 450 to NSc 630 by NSc 30 increments. Her appointment was governed by the conditions of service for junior staff of the Council for Scientific and Industrial Research, which included a six-month probation period. Even

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after confirmation, her services were liable to be dismissed on one month's notice at the discretion of the Director. Her duties included providing assistance in field data retrieval, including statistical computations, and assistance in laboratory work. Mr. P. Waterford, her immediate supervisor, made a favorable confidential report on Ms Kopec four months after she joined the Institute. Her services were to be continued and her salary also reviewed, since she had been appointed at a lower level in the salary scale than Ms Aneta. Both Ms Kopec and Ms Aneta were appointed as TA Grade III at the same time. They had same qualifications. The recommendation was that unless there was some good reason, Ms Kopec should also be given the same salary. Dr Johnson, Head, Plant Breeding Division, had endorsed these recommendations, noting that Ms Kopec's work and conduct had been satisfactory. These recommendations were accepted and her service was confirmed. Her salary scale was revised upward, to NSc 540, from December 1, 1971, on par with Ms Aneta. At the same time, the probation period of Ms Aneta was extended by three months as she lacked application and tended to disappear when not under close supervision. However, Ms Aneta's services were not discontinued since she had shown some improvements by way of more initiative and better dependability. Promotion to TA grade II Ms Kopec received another favorable report from the Head of the Plant Breeding Division during her annual assessment in September 1971. She was reported to be very

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hard working, both in the field and in the laboratory, but particularly so when under the supervision of the senior officer. The negative part of the report was that she was inclined to be chatty when supervision was relaxed and she visited the hospital rather frequently. According to the scientific staff with which she has been working all along, her performance started deteriorating soon after she married in January 1973. On October 17, 1973, the Head of the Plant Breeding Division, citing late arrivals with fancy excuses and loitering, gave her a warning letter. This letter noted previous verbal warnings given by her immediate supervisor. Ms Kopec responded to the warning letter by improving her performance. Her annual performance review was due in another month. It was reported that she was doing well, but required more experience. Her overall performance was rated average (satisfactory), but not yet ready for promotion. Her annual assessment for 1974-75 was quite favourable. She was reported to be very hard working, had good control of subordinate staff, and her punctuality had improved. In September 1976, she was recommended for promotion in the normal way. She was promoted with effect from 1 October to TA Grade II, after having spent five years in Grade III. This was the normal time taken for progression from Grade III to Grade II. Promotion to TA grade I In the following three years, Ms Kopec received adverse reports. It was reported in her assessment for 1976-77 that her output was impaired by domestic and health problems. She was distracted by the illness of her husband, who was suffering from sickle cell anemia. Consequently, she was not considered fit for either promotion or training. The

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assessment for 1977-78 noted that even though she continued to be fairly reliable in the field, she was increasingly becoming less and less reliable in the laboratory. She had been given several warnings for being late. Her performance did not improve in the following year. She continued to be distracted from her work, presumably on account of domestic problems. In 1979-80, she was punished for overstaying her leave and also warned to be punctual. Her work performance was rated as just average. However, her conduct was rated as 'fair' in contrast to previous years, when it was always assessed as 'good.' She became eligible for another promotion at the end of September 1981. On the basis of a favourable report in her annual assessment for the year 1980-81, she was promoted as TA Grade I, with effect from 1 October, 1981.

Stoppage of increment Ms Kopec received adverse reports during the following four years. In 1981-82, her output was low. She was guilty of malingering. She often ignored instructions, and signed the sick attendance register whenever she could. During 1982-83, she was warned for lateness and truancy, and was formally told that if she did not improve she would face a demotion or dismissal purely on the grounds that she had outlived her usefulness in the Division. It was hoped that she would not allow matters to reach the stage where such disciplinary action would be necessary against her.

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In September 1983 her supervisor sent another damning report. Her work was characterized by truancy, lateness, absenteeism and inefficiency. Her attendance, hospital and casual leave records clearly indicated that she had not lived up to expectations. She needed very close supervision, which should not have been the case. It was suggested that she be assigned to more routine work, such as daily allocation of labour and providing weekly and monthly summaries of hospital attendance, casual leave, etc., which would not require very close supervision. Her supervisor felt constrained to say that "she was not fit for field duties." Continuing adverse reports prompted the head of the Department of the Plant Breeding Division to issue a warning letter to Ms Kopec, admonishing her to "gird up her loins and turn over a new leaf now onwards." Ms Kopec's performance continued to deteriorate, despite several warnings. In the 198283 assessment, her supervisor reported that she "was a redundant Technical Assistant because of her attitude toward work. None of the research grade staff was prepared to assign her any job." The matter was finally referred to the Disciplinary Committee; on 30 January 1984, Mr. D. P. Tickfaw, Administrative Secretary, sent a formal warning to Ms Kopec through her Head of Department. The warning letter stated that her work had been classified as below average for the second consecutive period. Conveying the concern of the Executive Director over this disappointing performance, the letter warned Ms Kopec that unless she showed substantial improvement in her performance during the coming year, it would become necessary to take appropriate disciplinary action against her. In the meantime, her increment for the assessment year (1 October 1983 to 30 September 1984) was stopped. As expected, Ms Kopec appealed to the Promotions Committee for a review.

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The matter was considered in a meeting of the Promotions Committee held on 30 August 1984. All members except one attended the meeting. Mr. Tompkins had been representing the Workers Defence Committee (WDC) on the Promotions Committee. However, Ms Sella Towada, Research Officer, representing senior staff officers on the Committee, objected to his presence in this particular meeting. Ms Towada felt that since Mr Tompkins was the husband of Ms Kopec, he had personal interest in this particular case, thus creating a conflict of interest between his official duties as a WDC representative and as a husband. It was, therefore, not appropriate for him to participate in this particular meeting. Some other person could represent WDC. Mr. Tompkins argued that as husband of Ms Kopec he was in the best position to pursue her case and defend her. However, he conceded Ms Towandas viewpoint when other members of the Committee also saw impropriety in his attending that particular meeting. At that point, Mr. Tompkins left the meeting, and Mr. Samedan replaced him. Dr Santos Dumas briefed the Committee, noting that Ms Kopec's annual increment was stopped on the recommendation of the Promotions Committee because of her poor performance for two consecutive years. Her Division people were most unhappy with her attitude toward work, performance and conduct, so much so that she was now considered redundant. The union representative argued that, according to current conditions of service, in all such cases performance had to be reviewed quarterly. Since the report on her performance during the last quarter had been satisfactory, her rise should be released. This was not such a strong case as to warrant withholding the regular increment. Besides, there could be personal animosities. The trade union representative was strongly supported by the WDC representative.

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After some discussion, the Promotions Committee reached an agreement. The minutes of the meeting showed that the latest report from her Head of Division said that her work was quite satisfactory. The Promotions Committee, therefore, recommended that if she continued to do satisfactory work - and that this was confirmed by a second report - her increment should be allowed with effect from October 1984. After the meeting, Dr Santos Dumas was reported to have expressed his unhappiness with this decision. He felt that there were some undercurrents. It was common knowledge that Ms Kopec was a useless member of the staff. The Administrative Secretary subsequently called for a follow-up report on Ms Kopec's performance. The report showed that she had improved tremendously in the performance of her duties. Consequently, Ms Kopec's increment was restored in conformity with the decision of the Promotions Committee. Denial of promotion Even though Ms Kopec's performance during 1984-85 was rated as average (satisfactory), her attitude to work was "not all that satisfactory." Ms Kopec showed improvement in her performance during the following year (1985-86). By then, Ms Kopec had become eligible for promotion to Senior Technical Assistant (STA) in the normal way, as she had completed five years at TA Grade I. The report from the Head of the Division stated that she was qualified for promotion in the normal course of events. A favourable report warranted consideration. When the matter came up before the Executive Director, she observed that "Ms Kopec should be

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given more time to demonstrate the change in her attitude to work. She has had only one good year after a succession of warnings and lapses (truancy, selling during office hours, etc.). The minimum number of years required for promotion in the usual way should be extended for a year or two." The assessment report for 1986-87 again assessed her performance as average (satisfactory), but no recommendation was made for promotion even though she had already put in six years of service in the present grade. Changed assessment procedure The assessment procedure was revised from 1987-88 onwards, and a new format was introduced. While work and conduct were assessed essentially based on the same traits as earlier, a grading system was introduced. The most notable feature was that the staff being assessed had an opportunity to comment on the supervisor's assessment. The procedure was that the head of department would complete the assessment and ask the employee concerned to accept the assessment as fair or unfair. Following the new practice, the Head of Division called in Ms Kopec on 30 September 1988. She was shown his assessment of her work during the year. Although her overall performance was rated as B (very good), she was recommended only for a normal increment. When Ms Kopec saw the assessment report she was shocked. She had expected her promotion to come through at least this year. A favourable report and a specific recommendation for promotion from the head of the department were the necessary first steps in this direction. This was not to be so. She knew she would continue

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in Grade I at least for another year while some of her contemporaries were promoted and became senior to her. In fact one of her juniors was to be promoted soon. Shocked beyond belief, Ms Kopec certified on the assessment form that it was an unfair assessment of her work and conduct. She had now been at the maximum level of the scale for three years. Ms Kopec was enraged. Her eyes were full of tears. She did not know who to blame for this: the people who were supposed to assess her performance or the new assessment system. What was most shocking was that, even though her overall performance was rated as very good, promotion had not been recommended. She wanted to talk to someone. There was a strong urge to unburden herself before someone. But who? Certainly not the head of the department. He was not interested in discussing this matter with her, and she no longer had any confidence in him following the current assessment report. As she left the office of the Head of the Department, she was shaking with rage. She did not even say the customary 'Thank you.' She had hoped against hope that the Promotions Committee would undo this damage. But that was not to be so. While the Committee released her normal increment, there was no reference to her promotion. She felt aggrieved and protested formally to the new Chairman of the Promotions Committee. Appeal to the promotions committee The Promotions Committee invited the Head of the Plant Breeding Division to attend its meeting on 14 August 1989. There is no record of what discussions actually took place in

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that meeting, but the Head of the Division was visibly angry as he left the meeting after less than 15 minutes. Subsequently, he mentioned to his colleagues in the Division that the Promotions Committee sought his explanation as to why Ms Kopec - who was graded high last year - was not recommended for promotion. During the meeting, he was shown a protest letter written by Ms Kopec, said to have been passed through him as Head of the Division, but never was. He had expected the Committee to draw his attention to it beforehand so that he could have responded to it. That apart, he was not even informed why the Promotions Committee was calling him. Besides, the questions being asked needed more detailed answers than he could readily remember. He had, therefore, requested the Committee to excuse him from the meeting and instead permit him to send a written reply. This was agreed.

Communication from the head of the department On the following day, 15 August 1989, the Head of the Department addressed a detailed communication to the Promotions Committee, drawing their attention to the fact that the annual confidential report was based on the year's work, but recommendation for promotion was based on sustained good work and responsible conduct over a reasonable number of years. Promotion also implied greater responsibility, and if one was known to have been not fully serious with work for a long time and of questionable conduct, promotion could not be recommended on a single year's good work.

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The plant-breeding nursery where Ms Kopec worked was one of the most important sections of the Division. Work here, particularly the essential recordings, needed close supervision by the TA in charge. Ms Kopec left her work to very junior staff, who could not make the recordings or left essential pods to rot in the nursery. The Head of the Department concluded his letter by hoping that the Committee would take time to read through the testimony of the most senior members of the Plant Breeding Research grade staff, as reflected in the queries and warnings attached with his communication. The Trade Union Committee and WDC already had copies of most of these letters since they were routinely copied to them. There were two attachments to this letter. The first, dated 15 August 1989, was from Mr. K. J. Menzies, Scientific Officer, Plant Breeding Division, addressed to the Head, Plant Breeding Division. Mr. Menzies noted that he had had to assess Ms Kopec in the 1988 promotion exercise because her previous assessor Mr. A. B. Midvale was on sick leave. Referring to the record, Mr. Menzies observed that her work had been borderline and her conduct questionable, such that in September 1983 her immediate boss written a stern report to the then Acting Head of the Plant Breeding Division. She was then formally warned. With the assistance of her Senior Technical Officer, Mr. C. R Maxwell, improvement in her work was observed in the following years, although overall performance remained erratic. All this had to be reflected in her assessment. She was not recommended for promotion because her work needed to be observed for further year to ensure that indeed she had turned over a new leaf.

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Consideration was also given to the fact that the next post for Ms Kopec on promotion would be that of STA, a very important and responsible post in the Institute. It was, as a matter of fact, the springboard to the Senior Officer grade, and the Department did not want it to be cheapened with members of staff who failed to exhibit the caliber expected of a senior member of staff status. Mr. Menzies enclosed with his letter copies of the warning letters given to Ms Kopec in 1983. The second attachment was a letter dated 15 August 1989, from Dr Lualaba Luan, Plant Breeding Division, to the Head, Plant Breeding Division. He made repeated references to Ms Kopec's poor performance during 1983-84. He stated that her performance had not improved since then. Contending that her performance had indeed not improved, Dr Luan cited some instances. In 1985, when assigned to the plant-breeding greenhouse, she was always trading instead of being at her place of work. Once she was found in this act by the Executive Director, and formally warned for truancy. She was then shifted to the main nursery, in the hope that since the site was far from the office and town she would concentrate more on essential work than on trading during working hours. That did not work out, and she continued to be truant and an inefficient supervisor. During 1988, many verbal warnings had been given to her, as well as a query in truancy. Her reply was that she was on a course of injections, but investigations at the clinic later showed that what she had said was not true. These verbal warnings and query were overlooked when grading her in 1988. Even though her performance was better than previous years, there was a need to

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observe her for another year before promoting her to an STA post, which required greater responsibility. Decision of the promotions committee Dr A. Kedah, Chairman of the Promotions Committee, replied to the Head of the Plant Breeding Division on August 23. He observed that (i) the protest letter from Ms Kopec, dated 4 April 1989, was in fact transmitted through proper channels as shown by the signature of the Head of the Department on the photocopy, (ii) a cursory look at the record showed that Ms Kopec's performance from 1984 to 1988 has been satisfactory. The earlier warning letters were irrelevant, since in general a warning letter ceased to take effect one year after it was issued, (iii) under the new method of assessment, the employee had a right to know his/her assessment and could appeal if dissatisfied. Ms Kopec had used this procedure and the Promotions Committee was obliged to go into the matter and decide, (iv) since the appeal of Ms Kopec was in relation to the 1988 assessment, it had to be disposed of first before going into the assessment for 1989. The assessment for 1989 was thus being considered separately. The Head of the Plant Breeding Division was not to be brushed aside so easily. On 1 September he retorted that his Division had no quarrel with the assessment system - new or old. However, there was a consensus among the senior members of the Plant Breeding Division that Ms Kopec was not suitable for promotion at that time. She needed to be observed further for demonstrated consistent improvement in her approach to work. At that time, the Division staff had little confidence in her ability to carry out satisfactorily the responsibilities of an STA. This position was considered very important and played a

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vital role in collection and analysis of data. The Department was very careful in their selection of people to be assigned to it. If, in spite of the strong feelings of the Department, the Promotions Committee was keen to promote Ms Kopec, it should simultaneously find a more suitable Division for her. The Promotions Committee, in its meeting on 4 September 1989, considered the whole matter again, and recommended promotion for Ms Kopec. Even though all the decisions of the Promotions Committee were strictly confidential, their recommendation for the promotion of Ms Kopec became common knowledge in the Institute. The scientific staff in the Plant Breeding Division was considerably dismayed. Ms Kopec was elated. She was advised to meet the Executive Director to impress upon her that she indeed deserved a promotion. In her meeting with the Executive Director, she did not refer to the adverse reports on her performance. Instead, she argued that the new system of assessment was responsible for her promotion being withheld. Executive director's dilemma After Ms Kopec left, the Executive Director was wondering whether it was indeed an art fact of the new assessment system or whether it was a case of a truant employee with lot of support from various quarters. She had known that there were several problems with the new system of assessment. She could recall two instances. In the first instance, a Head of the Department asked the employee concerned to assess himself whereas the Head of the Department should have made the first assessment. Naturally, the employee gave himself A grades on all traits and recommended a promotion for himself to a senior

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grade. The Head of the Department in his confidential report admitted that this was the assessment of the employee with which he did not agree fully. He contended that the employee knew exactly what his job was but he was never in his office nor was he out on the field. He never did what he was asked to do. Notwithstanding this negative report, the Head of the Department went on to strongly recommend promotion for the employee in the hope that the promotion would re-activate him into being as productive as he used to be. The Executive Director had then commented on the evaluation form that perhaps the self-assessment was an indication of the potential of the employee but certainly not what he had contributed. Promotion did not guarantee that the attitude of the employee towards work would change. In another case, a senior staff member had given a fairly low rating to an employee, reporting that she needed to improve her punctuality and seek medical treatment to improve her poor health, which was adversely affecting her work. The employee disagreed with this assessment, contending that very frequently she went first to the field to check on the field staff, and then to her office. For this reason, it had been presumed that she came to office late. She accepted that she was sick for some time when she joined the Institute several years ago. At that time she was going through 'a double trauma, a crisis period in her lifetime.' For no apparent reason, this remark had been retained. This was very unfair to her, particularly when she was fairly healthy now. There were several other instances when the new assessment system had been questioned. Perhaps, the staff and the supervisors did not fully appreciate the new system. The assessment exercise was meant to be participative. The objective was to make

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assessment open and do away with unnecessary secrecy. The employee had every right to know how his or her work had been assessed. Dr Stevenson was quite sure in her mind that Ms Kopec's case (summarized in Annexes 2 and 3) had very little to do with the new assessment system. Yet, a decision had to be made. Categorization of scientific and technical staff in CRIS TECHNICAL STAFF Grade Technical Assistant (Grade III) Technical Assistant (Grade II) Technical Assistant (Grade I) Senior Technical Assistant Senior Technical Officer Principle Technical Officer Chief Technical Officer Entry conditions 'O' level 'A' level 5 years at Grade III 5 years at Grade II 5 years at TA Grade I 5 years by selection or upgraded qualifications through acquisition of a diploma in relevant fields, e.g., Laboratory Technician Diploma 5 years at Senior Technical Officer level 5 years at Principle Technical Officer level

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Progression from TA Grade III to STA usually takes a minimum of 15 years. Promotion to Senior Technical Officer is by screening and selection. Thereafter, at each level, one has to spend a minimum of 5 years. Promotions to higher levels are further constrained by availability of vacancies.

SCIENTIFIC STAFF Grade Assistant Research Officer Research Officer Senior Research Officer Principal Research Officer Chief Research Officer Entry conditions Minimum of second class degree or equivalent 3 years as Assistant Research Officer; acquire PhD or MSc. 5 years as Research Officer 5 years as Senior Research Officer 2 years as Principal Research Officer

Progression from Assistant Research Officer to Research Officer requires a minimum of 3 years and gaining a second degree. Thereafter, it takes a minimum of 12 years to move to the position of Chief Research Officer. All promotions are subject to availability of vacant positions. Key to legend: 1. Knowledge of work. 2. Skill or efficiency. 3. Work capacity or output. 4. Initiative. 5. Sense of responsibility. 6. Capacity for cooperation. 7. Power of

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leadership (control of subordinates). 8. Power of written expression. 9. Power of oral expression. 10. General behaviour. 11. Overall assessment. Key to classes: O = outstanding; AA = above average; A = average; BA = below average; NO = not observed.

Assessment period; grade; duties 1971/72; TA III; personal assistant, data retrieval including some statistical calculation and assisting in field 1972/73; TA III; assisting in preparation for new trials, field recording, some work with data

10 11

A AA A

A AA A N.O. A

AA AA AA A

0 AA A

A AA A

in office 1973/74; TA III; assisting field A AA AA A trial planting, recording and analysis of data 1974/75; TA III; field recording, assisting with planting and data analysis 1975/76; TA III; labeling and field recording of vegetative measurements in progeny trials,

A AA 0

AA AA AA AA AA 0

AA AA A

AA AA AA A

A AA 0

BA

A AA A

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some time on numerical data in office 1976/77; TA 11; supervision of A AA AA A nursery preparations, field recording, data handling in office 1977/78; TA II; nursery work in connection with progeny trials 1978/79; TA II; same A A BA A 1979/80; TA II; data collection AA AA A A and analysis Assessment period; grade;

A AA 0

BA

A AA AA A

A AA BA BA

A A

A AA A AA A A AA AA AA A

A A

10 11

duties 1980/81; TA II; field recording A (growth and reproduction) 1981/82; TA I; same 1982/83; TA I; scoring of flowers 1983/84; TA I; in charge of work in the greenhouse and nurseries 1984/85; TA I; in charge of the A

A BA BA A A BA A A A AA AA AA AA AA AA AA

A BA BA A AA A

A BA A

A BA BA

main nursery (cocoa plantation) 1985/86; TA I; in charge of the AA A nursery 1986/87; TA I; in charge of the A

A AA AA N.O. N.O. A

A AA A

A AA A

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main nursery activities

CRIS assessment reports Cocoa Research Institute Of Savana Assessment Report For Junior Staff Annual Assessment Report for the year ending: 30 September 1988. PART 1: To be completed by Head of Division and signed both by Head and staff member assessed. 1. Name (Full) Suzene Kopec Age: 39 years 2. Date of first appointment: 21.6.71 3. Date of present appointment: 1.10.81 Station: Tofa 4. Present salary: NSc 133 320.00 p.a. Tech. Asst. I 5. Was any warning or disciplinary action taken against the officer during the year? (if so give details): No. 6. Brief description of duties performed (if in supervisory role, state number of subordinate staff): Technical Assistant Grade I in charge of the Main Nursery Activities, Tofa. Supervises sowing of beans, recording of germination, watering seed, etc. 7. Assessment of work and conduct (Please assign reasons for grades A & E).

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A = Outstanding; B = Very good; C = Satisfactory; D = Below Average; E = Poor

(a) (b) (c) (d) (e) (f) (g) (h) (i) (j)

WORK AND CONDUCT GRADE REMARKS Knowledge of work B Ability to work without supervision B Initiative C Sense of responsibility C Capacity for cooperation B Supervisory ability A Attendance B Punctuality C Health B Willingness to undertake extra duties C

PART II (CONFIDENTIAL): To Be Completed By Head Of Division 8. Overall Grade (A - E): B 9. Give final remarks in the space below, indicating: (a) Recommendation for increment (b) Recommendation for special commendation (c) Recommendation for promotion (i) in normal turn or (ii) out of turn with reasons

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(d) Need for written warning. Recommended for increment 10 Additional remarks indicating views of staff assessed on Part I (if any) Cocoa Research Institute Of Savanna Confidential Report On Junior Staff Confidential Report for the year ending 30 December 1987

PART I 1. Name (full): Suzene Kopec 2. Appointment and salary scale: Technical Assistant Grade I: Sc 97 728 - Sc 106 656 per annum 3. Date of appointment to present grade: 1.10.81 4. Station: Tofa 5. Age: 38: 6. Established 7. Salary at end of year under review: Sc 106 656 per annum 8. Was it found necessary to withhold an increment during the year under review?: No

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9. Was any warning given or any disciplinary action taken against the officer during the year? (if so give details): No. 10. Was the staff member's conduct satisfactory: Yes 11. Brief description of duties performed: In-charge of cocoa nursery involving sowing of cocoa beans, supervision of filling of polythene bags with topsoil, and maintenance. 12. Detailed classification of work:

ASSESSMENT OF ABILITY OR PERFORMANCE Outstanding Above Average average (a) (b) (c) (d) (e) (f) (g) Knowledge of work Skill/efficiency Work capacity or output Sense of responsibility Initiative Capacity for cooperation Power of leadership, e.g.,

Below average

control of subordinate staff (h) Power of written expression (i) Power of oral expression (j) General behaviour Note: Insert NA (= Not applicable) or NO (= No opportunity for assessment) as appropriate

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13. Classification of work during the year based on performance of duties of present grade:

(a) (b) (c) (d) (e) PART II

Outstanding Above Average Average (Satisfactory) Below Average Incompetent

14. Fitness for promotion to next higher grade

(a) (b) (c) (d) (e) (f)

Date of first appointment Years of service in present grade Well qualified for promotion out of turn Qualified for promotion in normal turn Doing well, but requires more experience (i) Not at present suitable for promotion for other reasons (ii) Not at present eligible for promotion

COCOA RESEARCH INSTITUTE: JUNIOR STAFF CONFIDENTIAL REPORT Confidential Report for the year ending 30 December 1986

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PART I 1. Name (full): Suzene Kopec 2. Appointment and salary scale: Technical Assistant I; NSc 73 296 - NSc 79 992 3. Date of appointment to present grade: 1 October 1981 4. Station: Tofa 5. Age: 39 6. Established/non-established: Established 7. Salary at end of year under review: NSc 79 992 per annum 8. Has it been found necessary to withhold an increment during the year under review?: No 9. Was any warning given or any disciplinary action taken against the officer during the year? (if so give details): No 10. Was his or her conduct satisfactory: Yes 11. Brief description of duties performed: General nursery duties - Supervises filling of polythene bags with seed, sowing of cocoa and beans, watering of seedling and tidying up of the area 12. Detailed classification of work:

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ASSESSMENT OF ABILITY OR PERFORMANCE Outstanding Above Average average (a) (b) (c) (d) (e) (f) (g) Knowledge of work Skill/efficiency Work capacity or output Sense of responsibility Initiative Capacity for cooperation Power of leadership, e.g.,

Below average

control of subordinate staff (h) Power of written expression N. O. (i) Power of oral expression N. O. (j) General behaviour Note: Insert NA (= Not applicable) or NO (= No opportunity for assessment) as appropriate 13. Classification of work during the year based on performance of duties of present grade:

(a) (b) (c) (d) (e) PART II

Outstanding Above Average Average (Satisfactory) Below Average Incompetent

14. Fitness for promotion to next higher grade 147

(a) (b) (c) (d) (e) (f)

Date of first appointment 21/06/71 Years of service in present grade 5 years Well qualified for promotion out of turn Qualified for promotion in normal turn Doing well, but requires more experience (i) Not at present suitable for promotion for other reasons (ii) Not at present eligible for promotion

RECOMMENDED BY HEAD OF DIVISION: JUNIOR STAFF She has improved considerably this year. Her supervision was better. Suzene Kopec should be given more time to prove the change in her attitude to work. She has had only one good year after a succession of warnings and lapses, i.e., truancy, selling during office hours, etc. The minimum number of years required for promotion in usual term should be extended for a year or two.

This training manual has been prepared as basic reference material to help national research trainers structure and conduct training courses on research management at the institute level. It is intended primarily for managers of agricultural research institutes in developing countries and for institutions of higher education interested in presenting in-service training courses on research management. The manual consists of ten modules, each addressing major management functions including motivation, leadership, direction, priority setting, communications and delegation. The four structural functions of management planning, organization, monitoring and control, and evaluation - are covered in individual modules. The manual has been designed to support participatory learning through case studies, group exercises and presentations by the 148

participants.

CHAPTER-5

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What you have learnt: Motivation refers to the driving and pulling forces which result in persistent behaviour directed towards a goal Motives are inference from observations of behaviour. The primary needs such as hunger,! thirst and sex, have their origin in the physiological state of the body. Hunger motivation may be, initiated when blood sugar level falls below certain point. A decrease in the volume of the blood duff| water loss causes to thirst. Sexual motivation depends on sex hormones. Socio-psychogenic motives such as need for power, affiliations achievement and approval are learned motives and involve other people. The need for achievement is a motive to accomplish things and to be successful in performing tasks. Power motivation is a social motivation In which the goal is to influence, control, persuade, lead, charm others and enhance one's own reputation in the eyes of others. Intrinsic motives are those activities for which there is no apparent \reward but one gets enjoyment and satisfaction in doing -these activities. Competence is an intrinsic motivation. Motives are often blocked or frustrated. The major sources of this frustration are environmental factors, personal factors, and conflict. Three types of conflicts are. a) Approach- approach conflict b) avoidance-avoidance conflict, and c) approach-avoidance conflict.

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Some Commonly Encountered Conflicts in Performance Appraisal:

Conflicting Intra-Individual Goals: desire for honest feedback vs. desire for self-concept affirming feedback.

Conflicting Individual and Organizational Goals: person's desire for rewards vs organization's desire for openness to feedback and helpfulness in supplying necessary information.

Improving the Design of the Appraisal System:

Uncouple Evaluation and Development: Many appraisal systems inadvertently force the mixing of the roles of judge and helper. The open problem-solving dialogue required for building a relationship and developing subordinates should be scheduled at a different time than the meeting in which the supervisor informs the subordinate about his/her overall evaluation and its implications for important rewards.

Choose Appropriate Performance Data: The behavior rating scale, the criticalincident methods, and various MBO techniques usefully guide the appraisal discussion toward reviewing specific task behaviors or accomplishments -feedback which is both less threatening and more helpful to the person who wants to improve performance. A comprehensive performance management system might include MBO and behavioral ratings--which are, respectively, a means of managing the what and how of employee task-related behaviors.

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Separate Evaluations of Performance and Potential: Current performance, as measured by the attainment of results, is not necessarily correlated with potential for promotion. Separation of assessments of performance and potential mitigates against the superior's averaging his/her unconscious assessment of these qualities and increases the likelihood of a constructive, non-defensive dialogue.

Recognize Individual Differences in System Design: Persons differ in their needs for performance evaluation and development, e.g., persons high in "nAch" may require more frequent performance feedback. Within permissible bounds, appraisal policies should permit managers to use different methods depending on the particular employee being appraised.

Upward Appraisal: One way to mitigate the inhibitions of the superiorsubordinate power imbalance is to ask subordinates to appraise their supervisor; this allows influencing their environment, and may increases motivation to enter the appraisal process openly; provides the supervisor an opportunity to "model" the no defensive behavior essential to a real dialogue.

Self-Appraisal: Experiences with self-appraisal suggests that it often results in lower ratings than the supervisor would have given. hence, the inclusion of self-appraisal before their the coaching or evaluation interview is likely to result in a more realistic rating and a greater acceptance of the final rating by both ratee and rater. Why Performance Appraisal often fails

Managers often resist (passively or actively) May have limited contact with subordinate; may be poor at giving feedback

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Subordinates poor at receiving feedback Managers often view it as wasted paperwork, especially if nothing comes of their efforts

Interfere with their "coaching" function they prefer Managers fear the emotions that can be unleashed; may fear not being able to defend ratings

To be very legally defensible a system would have these components:

Employee participation in establishing performance. standards Standards based on critical elements of job; clearly recorded in writing Employee advised of critical requirements before the appraisal System should not be based on interpersonal comparisons (eg. curve) PA done in writing at least annually Results tied to personnel decisions Employees allowed to respond to charge orally and in writing Appraisers must be provided training PA system evaluated and refined as necessary

Questions most asked by system designers and system users

Is the system valid are the ratings reliable Are performance measures job related how are numbers going to be used Is there any pattern of dissemination how will numbers be explained to employees Does the system distinguish high from low performers

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Are scales well anchored what type of job analysis was conducted

The actual experience with PA is not encouraging

o o o o o o o

Employees are often less certain about where they stand after the interview Employees evaluated supervisors less favorably after the interview than before it Few constructive actions or significant improvements result from interviews Typical managers have limited contact with subordinates Managers often resist conducting PA program

-Dont like giving negative feedback; fear reaction

-Fear not being able to defend ratings

-Often don't believe in it themselves so don't like defending it

-Feel system interferes with role as coach

System often regarded as needless paperwork Management problems in evaluating performance Some of the important problems faced by managers in evaluating performance are identification of appraisal criteria, problems in assessment, and policy-related problems.

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Identification of appraisal criteria It is usually quite difficult to decide the criteria for evaluating performance, particularly the performance of those engaged in research activities. Initiative, appearance, tact or organizational skills of researchers are very difficult to assess. While deciding the performance criteria, it is important to simultaneously decide how well people should perform. The aim of the appraisal system is to make informed, accurate and fact-based judgments, although some of these judgments may not be quantifiable. Conventionally, the number of contributions accepted for publication in refereed professional journals has been a useful measure for evaluating the performance of scientists. This is perhaps an appropriate measure for those who are engaged in basic research. However, publication numbers do not adequately measure performance of those engaged in adaptive and applied research, which are aimed at meeting practical and critical needs of users. The performance of such researchers has to be measured differently, taking due consideration of their success with the user system. On the whole, qualitative assessment may be more appropriate for researchers because of difficulties in quantitative assessment, as research is relatively non-repetitive, requires creativity, usually takes a longish time, has unpredictable outcomes, and could result in multidimensional outputs. Therefore, outputs of research and researchers should not be measured by one criterion. Instead, performance of a researcher has to be measured in Toto, as an integral part of the research programme.

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Assessment problems It is difficult to observe behaviour and interpret it in terms of its causes, effects and desirability. Rating behaviour on an appraisal form is quite difficult. The human element plays a significant role in the appraisal process and introduces subjectivity and bias. This can be minimized by: documenting performance from time to time; basing criteria for evaluation on observable behaviour; training the supervisors; and effectively communicating the expectations which management has of staff. Policy problems The results of the appraisal system should be followed up through a set of well-designed and enforced policies, and translated into rewards and punishments. Performance of researchers is sometimes difficult to assess. A research manager has to balance between researchers' creativity and organizational goals. Researchers do not like others passing judgment on qualitative or quantitative aspects of their work, yet the need for an effective performance planning and appraisal system in a research organization is well accepted

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BIBLIOGRAPHY
The information for the project was mainly contributed from the secondary data collected through
Company manuals Newspaper References www.google.com , www.fao.org, www.humanresources.about.com Einstein, W. O., & LeMere-Labonte, J. 1989. Performance appraisal: dilemma or desire? Sam Advanced Management Journal, 54 (2): 26-30. Monga, M. L. 1983. Management of Performance Appraisal. Bombay: Himalaya Publishing House. Oberg, W. 1972. Make performance appraisal relevant. Harvard Business Review, January-February 1972: 61-67.

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Patten, T. H., Jr. 1982. A Manager's Guide to Performance Appraisal. London: Free Press. Rao, T. V. 1985. Performance Appraisal Theory and Practice. New Delhi: Vikas Publishing House. Craig, S. E., Beatty, R. W., & Baird, L. S. 1986. Creating a performance management system. Training and Development Journal, April: 38-42; May: 74-79.

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