HUMAN RESOURCE MANAGEMENT

Global Edition 14e

Chapter 9
Performance
Management
and Appraisal

Copyright © 2015 Pearson Education GARY DESSLER

LEARNING OUTCOMES
1. Define performance management and discuss how
it differs from performance appraisal.
2. Set effective performance appraisal standards.
3. Describe the appraisal process.
4. Develop, evaluate, and administer at least four
performance appraisal tools.
5. Explain and illustrate the problems to avoid in
appraising performance.
6. Discuss the pros and cons of using different raters
to appraise a person’s performance.
7. Perform an effective appraisal interview.

9–2
Comparing Performance Appraisal and
Performance Management

Performance appraisal
– Evaluating an employee’s current and/or past
performance relative to his or her performance
standards which involves:
• Setting work standards
• Employees’ actual performance vs standards set
• Feedback to employees to motivate them to eliminate
deficiencies and perform above par
 Performance management
– process through which companies ensure that
employees are working toward organizational goals

9–3
 Basic Concepts in Performance
Management and Appraisal

Performance Appraisal Performance Management

Setting work standards, An integrated approach to

assessing performance, and ensuring that an employee’s
providing feedback to performance supports and
employees to motivate, contributes to the organization’s
correct, and continue their strategic aims.
performance.

9–4
Defining the Employee’s Goals and
Work Standards

Guidelines for Effective

Goal Setting

Set Assign Assign Assign Encourage

SMART specific measurable challenging/ participati
goals goals goals doable goals on

9–5
HOW TO SET EFFECTIVE GOALS
Setting SMART Goals
 Specific, and clearly state the desired results.
 Measurable in answering “how much.”
 Attainable, and not too tough or too easy.
 Relevant to what’s to be achieved..
 Timely in reflecting deadlines and milestones.

9–6
 An Introduction to Appraising
Performance
Why Appraise Performance?

1 Is basis for pay and promotion and salary decisions.

2 Plays an integral role in performance management.

Helps in correcting deficiencies and reinforcing good
3
performance.

4 Is useful in career planning.

Appraisals play a role in identifying training and development
needs.

9–7
Effectively Appraising Performance

Steps in Appraising Performance

1 Defining the job and performance criteria

2 Appraising performance

3 Providing feedback session

9–8
 Steps in Appraising Performance
 Defining the job
– Making sure that you and your subordinate
agree on his or her duties and job standards.
 Appraising performance
– Comparing your subordinate’s actual
performance to the standards that have been set;
this usually involves some type of rating form.
 Providing feedback
– Discussing the subordinate’s performance and
progress, and making plans for any development
required.

9–9
 Who Should Do the Appraising?

Immediate
Self-rating
supervisor

Potential
Peers Subordinates
Appraisers

Rating 360-degree
committee feedback

9–10
 The Immediate Supervisor
– is usually in the best position to observe and evaluate
the subordinate’s performance, and is responsible for
that person’s performance
 Peer Appraisals
– becoming more popular with firms using self-
managing teams.
 Rating Committees
– consist of multiple raters, typically the employee’s
immediate supervisor and three or four other
supervisors

9–11
 Self-Ratings
– tend to be higher than supervisor or peer ratings
 Appraisal by Subordinates
– or upward feedback, is where subordinates
anonymously rate their supervisor’s performance.
 360-Degree Feedback
-– where ratings are collected from the employee’s
supervisors, subordinates, peers, and internal or
external customers.

9–12
Alternative Sources of
Performance Appraisal
Supervisor

Team

Peers

Self
Customers

Subordinates
Techniques for Appraising Performance

Appraisal Methodologies
Graphic rating scale
1 ‫المقاييس البيانية المتدرجة‬
6 Narrative forms‫النماذج الروائية‬

Alternation ranking Behaviorally anchored rating scales

2 7
‫طريقة الترتيب‬ (BARS) ‫المقاييس التابتة سلوكيا‬
Management by objectives
3 Paired comparison 8
(MBO)
‫المقارنة الثنائية‬
Computerized and Web-based
4 Forced distribution 9
performance appraisal
‫التوزيع الطبيعي‬

5 Critical incident 10 Merged methods ‫اساليب مدموجة‬

‫األحداث المهمة‬

9–14
Performance Appraisal Methods
 Graphic rating scale
– A scale that lists a number of traits and a
range of performance for each that is used to
identify the score that best describes an
employee’s level of performance for each
trait.

9–15
 ‫‪Graphic rating scale‬‬
‫مسمى الوظيفة‪ ...........‬التاريخ‪..............‬‬ ‫إسم الموظف‪.................‬‬
‫القائم بالتقويم‪........................‬‬ ‫القسم‪.........................‬‬
‫درجات التقييم‬ ‫ا‬

‫جيد جد‬ ‫مرضي‬ ‫ضعيف‬

‫متميز‬
‫(‪)4‬‬ ‫جيد(‪)3‬‬ ‫(‪)2‬‬ ‫(‪)1‬‬
‫لعناصر‬ ‫ا‬
‫(‪)5‬‬
‫‪ -‬نوع األداء‪.‬‬
‫‪-‬القدرة على االبتكار‪.‬‬
‫‪-‬التعاون مع الزمالء‪.‬‬
‫التعاون مع الرؤساء‪.‬‬
‫‪-‬إتباع التعليمات‪.‬‬
‫‪-‬الحاجة لإلشراف‪.‬‬
‫‪16‬‬
 Performance Appraisal Methods
(cont’d)
 Alternation ranking method
-Ranking employees from best to worst on a
particular trait, choosing highest, then
lowest, until all are ranked.
 Paired comparison method
-Ranking employees by making a chart of all
possible pairs of the employees for each trait
and indicating which is the better employee of
the pair.

9–17
 ‫طرق تقويم األداء(تابع)‪:‬‬
‫‪ -2‬طريقة الترتيب ‪:‬‬
‫يتم فيها إعداد قائمة بأسماء العاملين معه يحدد فيها أحسنهم‬
‫وأسوأهم في األداء بشكل متسلسل يبدأ باألحسن وينتهي باألسوأ‪.‬‬
‫بيان بأسوأ الموظفين‬ ‫بيان بأحسن الموظفين‬
‫‪11‬‬ ‫‪ 1‬األول في األداء‬ ‫مزاياها‪ :‬السهولة والسرعة‬
‫‪12‬‬ ‫‪2‬‬
‫عيوب ‪:‬‬
‫‪13‬‬ ‫‪3‬‬ ‫ال توضح مناطق القوة والضعف •‬
‫‪14‬‬ ‫‪4‬‬ ‫في الموظف‪ ...‬ال تسمح بتطويره‪.‬‬
‫ال تحدد مقدار الفرق في األداء‪• .‬‬
‫‪15‬‬ ‫‪5‬‬
‫هناك تحيز في عملية الترتيب •‬
‫‪16‬‬ ‫‪6‬‬ ‫من الرئيس‪.‬‬
‫‪17‬‬ ‫‪7‬‬
‫لتفادي العيوب ‪:‬‬
‫‪18‬‬ ‫‪8‬‬
‫أن يقوم شخص آخر(يعرف مستوى‬
‫‪19‬‬ ‫‪9‬‬ ‫الموظف) بعملية الترتيب الى جانب‬
‫‪20‬االسواء في األداء‬ ‫‪10‬‬ ‫الرئيس ‪.‬‬
Performance Appraisal Methods
(cont’d)
 Forced distribution method
– Similar to grading on a curve; predetermined
percentages of ratees are placed in various
performance categories.
– Example:
• 15% high performers
• 20% high-average performers
• 30% average performers
• 20% low-average performers
• 15% low performers

9–19
 ‫طرق تقويم األداء(تابع)‪:‬‬

‫‪ -6‬طريقة التوزيع اإلجباري ‪:‬‬

‫يطلب من المشرف أن يقوم بتوزيع نتائج التقييم لموظفين على أسس التوزيع‬
‫الطبيعي للظواهر ‪.‬‬

‫منحنى التوزيع الطبيعي‬

‫‪10‬‬ ‫‪20 40 20‬‬ ‫‪10‬‬

‫غيرمرضي‪%10‬‬ ‫مرضي‪%20‬‬ ‫جيد‪%40‬‬ ‫جيدجدا‪%20‬‬ ‫متميز‪%10‬‬

‫عبيد سالم‬ ‫سعد محمود‬ ‫عباس مكي‬ ‫فهد سعيد‬ ‫احمد محمد‬

‫عبد المجيد حسن‬ ‫مازن علي‬ ‫عمر محمد‬ ‫ياسر المالكي‬ ‫منصور حامد‬

‫هشام الصائغ‬ ‫محمد إيهاب‬ ‫عبد هللا محمد‬ ‫عمر بافقيه‬

‫يحيى القاضي‬ ‫احمد حمزة‬

‫طارق السعدي‬

‫عيوبها ‪:‬‬
‫تحديد حدود لما يجب أن تكون عليه النتائج وهذا قد ال يتفق •‬ ‫مميزاتها‪:‬‬
‫مع مستويات الموظفين الخاضعين للتقييم ‪.‬‬ ‫طريقة سهلة‪• .‬‬
Basic Appraisal Methods
• Critical incident method
- Keeping a record of uncommonly good or
undesirable examples of an employee’s
work-related behavior and reviewing it
with the employee at predetermined times

6-21
 ‫طرق تقويم األداء (تابع)‪:‬‬
‫‪ -3‬طريقة الوقائع الحرجة ‪:‬‬
‫يقوم المشرف على الموظف بتسجيل األحداث الجيدة والسيئة التي ظهرت من‬
‫الموظف خالل فترة التقييم ‪ ،‬وعندالتقييم يرجع لسجل هذه الوقائع لقياس نتيجة‬
‫األداء‪.‬‬

‫مميزاتها ‪:‬‬
‫عدم التحيز الشخصي ‪•.‬‬
‫عيوبها ‪:‬‬
‫نسيان تسجيل بعض األحداث ‪•.‬‬
‫الميل إلظهار الوقائع السيئـة ( ميل فطري ) ‪•.‬‬
‫يستدعي هذا األسلون نوع من الرقابة على الموظف‪•.‬‬
Narrative forms
-involve rating the employee’s performance for each
performance factor, writing down examples and an
improvement plan, aiding the employee in
understanding where his/her performance was good or
bad, and summarizing by focusing on problem solving.
 Behaviorally anchored rating scale (BARS)
– An appraisal method that uses quantified scale
with specific narrative examples of good and poor
performance.
.

9–23
Performance Appraisal Methods (cont’d)
 The five steps in Developing a BARS:
– Generate critical incidents
– Develop performance dimensions
– Reallocate incidents
– Scale the incidents
– Develop a final instrument
 Advantages of using a BARS
– A more accurate gauge
– Clearer standards
– Feedback
– Independent dimensions
– Consistency
9–24
 ‫تشبه طريقة التقرير البياني في إنها تتضمن عددا من األبعاد للتقييم‪،‬‬
‫ومستويات ‪7‬أو‪10‬بالنسبة لكل بعد‪،‬إال أنها أكثر تحديدا بالنسبة لمستويات‬
‫األداء بالنسبة لكل بعد‪،‬ألنها تعبر عنها بأمثلة سلوكية‪ ،‬حيث يوضع أمام كل‬
‫مستوى أمثلة للسلوك الفعلي في الوظيفة‪ ،‬مما يساعد على تخفيف أخطاء‬
‫التقدير التي تحدث في طريقة التقرير البياني‪.‬‬
‫ويتم تقييم الموظف عن طريق قيام الرئيس باختيار المثال السلوكي الذي يمثل‬
‫أداء الموظف‪.‬‬

‫‪25‬‬
 ‫القسم ‪.......................:‬‬ ‫اسم الموظف ‪..................................:‬‬
‫التاريخ‪......................:‬‬ ‫اسم القائم بالتقويم‪............................:‬‬
‫التعليمات ‪ :‬فضال إقراء مجموعة السلوكيات التالية لعمل الموظف ثم ضع عالمة صح‬
‫درجة القياس‬
‫*يقوم المبرمج باستخدام كل مهاراته الفنية وينجز كل المهام‬ ‫‪10‬‬ ‫*متميـــز‬
‫بطريقة رائعة ‪.‬‬ ‫‪9‬‬
‫* يقوم المبرمج في معظم األوقات باستخدام جزء كبير من‬ ‫‪8‬‬
‫المهارات الفنية وينجز معظم المهام بطريقة جيدة ‪.‬‬ ‫‪7‬‬ ‫•جيد جدا‬

‫* المبرمج قادر على أن يستخدم بعض المهارات الفنية‬ ‫‪6‬‬ ‫•جيد‬

‫وينجز معظم المهام ‪.‬‬ ‫‪5‬‬

‫* يواجه المبرمج صعوبة في استخدام المهارات الفنية وينجز‬ ‫‪4‬‬

‫معظم المهام متأخرا ‪.‬‬ ‫‪3‬‬ ‫•متوسط‬

‫* يواجه المبرمج صعوبات جمة في استخدام المهارات‬ ‫‪2‬‬

‫وينجز المهام متأخرا بسبب هذه الصعوبات‬ ‫‪1‬‬ ‫•ضعيف‬
‫‪26‬‬
 Management by Objectives (MBO)
 Involves setting specific measurable goals
with each employee and then periodically
reviewing the progress made. The process
consists of six steps
1. Set the organization’s goals.
2. Set departmental goals.
3. Discuss departmental goals.
4. Define expected results (set individual goals).
5. Performance reviews.
6. Provide feedback.

9–27
 Using MBO

Three problems in using

MBO

Time-consuming Conflict with

Setting unclear
appraisal subordinates over
objective
process Objectives

9–28
Computerized and Web-Based Performance Appraisal

 Performance appraisal software programs

– Keep notes on subordinates during the year.
– Electronically rate employees on a series of
performance traits.
– Generate written text to support each part of the
appraisal.
 Electronic performance monitoring (EPM)
– Having supervisors electronically monitor the
amount of computerized data an employee is
processing per day, and thereby his or her
performance.
9–29
 ‫استخدام الحاسب اآللي في عملية التقويم يسبب للموظفين الضيق والتعب‬
‫ويجعلهم تحت المراقبة المستمرة مما يترتب عليه الضغوط النفسية‪.‬‬

‫لذلك يرى البعض أن هذا العمل يمكن أن يقتصر فقط على عملية تحليل النتائج‬
‫ووزنها وتقديراتها النهائية ‪ ,‬على أن يترك جمع المعلومات عن‬
‫عملية التقويم لألفراد المسئولين عن التقييم‪.‬‬

‫‪30‬‬
 Merging the Methods
– Most firms’ tools include combining
several methods. Anchoring a scale, as in
Figure 9-3, improves reliability and
validity of the appraisal scale.

9–31
 ‫أي االستفادة من تركيبات بعض طرق التقويم وجمعها‬
‫في مزيج تقويمي واحد‪ ،‬مثل الجمع بين ثالث طرق تقويمية هي‬

‫( طريقة التدرج البياني‪ ,‬طريقة التدرج البياني السلوكي‪ ,‬طريقة‬

‫الوقائع الحرجة ) وغالبا ما تستخدم هذه الطريقة في تقويم أداء‬

‫المديرين)‪.‬‬

‫‪32‬‬
 ‫* القسم‪.........................‬‬ ‫*اسم الموظف‪.................‬‬
‫*التاريخ‪..............‬‬ ‫*اسم القائم بالتقويم‪.......................‬‬

‫التعليمات‪ :‬اقرأ الوظائف اإلدارية التالية‪ ،‬ثم حدد المستوى الذي يتناسب مع‬
‫الموظف في إطار كل وظيفة بما يتطابق مع مستوى أدائه للوظيفة( ضع عالمة‬
‫الدرجة مستويات الداء‬ ‫صح ) أمام الرقم المختار‪.‬‬
‫‪ 1‬فاشل في تحقيق التوقعات‪.‬‬
‫يحقق الحد األدنى من التوقعات‬ ‫‪2‬‬ ‫مهارات وظيفة التخطيط‬
‫يحقق المطلوب من التوقعات‬ ‫يحدد مسبقا األهداف واألولويات‬
‫غالبا يحقق أكثر من المطلوب‪.‬‬ ‫يعد خططا قصيرة وطويلة واقعية‬
‫دائما يحقق نتائج أكثر من المطلوب‬
‫يقوم بالبرمجة الزمنية للخطط‬
‫يتوقع المشاكل مقدما ويحاول التغلب‬
‫عليها‬

‫‪33‬‬
Advantages and Disadvantages of Appraisal
Tools

Table 9–3
9–34
 Dealing with Performance
Appraisal Problems

Potential Rating
Scale Appraisal
Problems

Unclear Halo Central Leniency or

Standards Bias
effect Tendency strictness

9–35
 Potential Rating Scale Appraisal
Problems
 Unclear standards
– An appraisal that is too open to interpretation.
 Halo effect
– Occurs when a supervisor’s rating of a
subordinate on one trait biases the rating of
that person on other traits.
 Central tendency
– A tendency to rate all employees the same way,
such as rating them all average.

9–36
Potential Rating Scale Appraisal
Problems (cont’d)
 Strictness/leniency
– The problem that occurs when a supervisor
has a tendency to rate all subordinates either
high or low.
 Bias
– The tendency to allow individual differences
such as age, race, and sex to affect the
appraisal ratings employees receive.

9–37
 Guidelines for Effective Appraisals

How to Avoid
Appraisal Problems

Get agreement Be
Know the Use the Keep a on a plan fair
Problems right tool diary

9–38
Choosing the Right Appraisal Tool

Criteria for Choosing an

Appraisal Tool

Accessibility Ease-of-use Employee Accuracy

acceptance

9–39
 Appraisal Interview

Appraisal Interview
– An interview in which the supervisor and
subordinate review the appraisal and make
plans to remedy deficiencies and reinforce
strengths
– Maybe be uncomfortable due to negative
feedback
– Require adequate preparation and effective
implementation

9–40
 The Appraisal Interview

Satisfactory—Promotable

Satisfactory—Not Promotable
Types of Appraisal
Interviews
Unsatisfactory—Correctable

Unsatisfactory—Uncorrectable

9–41
 Appraisal Interview
How to conduct the appraisal interview
1. Prepare for the interview
2.Prepare the employee
3.Choose time and place
Issues in conducting the appraisal
interview
– Talk in terms of objective work data.
– Don’t get personal.
– Encourage the person to talk..
– Don’t tiptoe around.
9–42
 Appraisal Interview Guidelines

Guidelines for Conducting

an Interview
‫كيفية إدارة المقابلة‬

Encourage the Get

Talk in terms of Don’t get
person to talk agreement
objective work data personal
‫كن واضحا ومباشرا ومحددا‬ ‫شجع الموظف على أن‬ ‫تأكد من فهم وموافقة‬
‫ال تركز على شخص الفرد‬
‫يتحدث‬ ‫الموظف‬

9–43
 Handling Defensive Responses

How to Handle a Defensive Subordinate

1 Recognize that defensive behavior is normal.

2 Never attack a person’s defenses.

3 Postpone action.

4 Recognize your own limitations.

9–44
 How to Deliver Criticism
How to Criticize a Subordinate

Do it in a manner that lets the person maintain his

1
or her dignity and sense of worth.

2 Criticize in private, and do it constructively.

Give daily feedback so that the review has no
3 surprises

4 Never say the person is “always” wrong.

5 Criticism should be objective and free of biases.

9–45
The Appraisal Interview (cont’d)
 How to ensure the interview leads to
improved performance
– Don’t make the subordinate feel threatened
during the interview.
– Give the subordinate the opportunity to
present his or her ideas and feelings and to
influence the course of the interview.
– Have a helpful and constructive supervisor
conduct the interview.
– Offer the subordinate the necessary support
for development and change.

9–46
The Appraisal Interview (cont’d)
 How to handle a formal written warning
– Purposes of the written warning
• To shake your employee out of bad habits.
• Help you defend your rating, both to your own boss and
(if needed) to the courts.
– Written warnings should:
• Identify standards by which employee is judged.
• Make clear that employee was aware of the standard.
• Specify deficiencies relative to the standard.
• Indicates employee’s prior opportunity for correction.

9–47
Performance Management
 What is Performance Management
– Is the continuous process of identifying, measuring,
and developing the performance of individuals and
teams and aligning their performance with the
organization’s goals.

 How Performance Management Differs

From Performance Appraisal .
– A continuous process for continuous improvement
– A strong linkage of individual and team goals to
strategic goals
– A constant reevaluation and modification of work
processes

9–48
Six Basic Element of Performance Management

Direction
Goal Ongoing performance
sharing
alignment monitoring

Coaching and
Ongoing Rewards, recognition,
development
feedback and compensation
support

9–49
 Why Performance Management?

Total Quality Management

The
Performance Resolution of Appraisal
Management Issues
Approach
Strategic Goal Alignment

9–50
 Using Information Technology to
Support Performance Management
 Assign financial and nonfinancial goals to each
team’s activities along the strategy map chain of
activities leading up to the company’s overall
strategic goals.
 Inform all employees of their goals.
 Use IT-supported tools like scorecard software
and digital dashboards to continuously monitor
and assess each team’s and employee’s
performance.
 Take corrective action at once.

9–51
 Key Terms

performance appraisal management by objectives

(MBO)
performance management
electronic performance
graphic rating scale
monitoring (EPM)
alternation ranking method
unclear standards
paired comparison method
halo effect
forced distribution method
central tendency
critical incident method
strictness/leniency
behaviorally anchored rating
bias
scale (BARS)
appraisal interview

9–52