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Un análisis detallado sobre los formatos absolutos y relativos en la evaluación de la actuación laboral. El autor aborda los desafíos y ventajas de cada uno, incluyendo la cuestión de la justicia, la especificidad del feedback y la evitación de conflictos entre empleados. Además, se discuten las herramientas de evaluación basadas en comportamientos y resultados, así como los desafíos que plantean, como el error y la bias del evaluador, la influencia de la política organizacional y la decisión de enfocarse en el individuo o el grupo.
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Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 1 This presentation draws on ideas from Gómez-Mejía, Balkin, Cardy’s book Managing Human Resources (Pearson, 2011, 7th^ edition), chapter 7
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 2
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 3
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 6 Appraisals are conducted for administrative and/or developmental purposes Administrative uses – when appraisals are used for decisions about employee’s work conditions, including promotions, termination, and rewards Developmental uses – geared toward improving employees’ performance and strengthening their job skills – providing feedback, counseling employees on effective work behaviors, and offering them training and other learning opportunities If done properly, appraisal can be the key to developing employees and improving their performance THE USES OF PERFORMANCE APPRAISAL Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 7 To be effective, the performance appraisal system may require considerable time and effort of managers and may require employees to gather information and receive feedback Managers have to take the task seriously or do not have the skills needed to do a good job of evaluating performance and providing feedback Some employees do not calmly accept the feedback, and others may become frustrated with an ineffective performance appraisal system and end up believing that the system is unfair and doesn’t matter THE USES OF PERFORMANCE APPRAISAL (Cont.)
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 8 Although more frequent formal appraisal can be positive, the practical reality is that informal appraisal, including feedback and discussion with workers, should occur on a continuous basis If appraisal is not done well, the costs might be greater than benefits and it may be better not to do any appraisal Most organizations recognize employees as an important and nonrandom influence on performance and consequently regularly conduct performance appraisals THE USES OF PERFORMANCE APPRAISAL (Cont.) Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 9 Employer Perspective: Individual differences in performance can make a difference to company performance Documentation of performance appraisal and feedback may be needed for legal defense Appraisal provides a rational basis for constructing a bonus or merit system Appraisal dimensions and standards can help to implement strategic goals and clarify performance expectations Providing individual feedback is part of the performance management process Despite the traditional focus on the individual, appraisal criteria can include teamwork and the teams can be the focus of the appraisal THE BENEFITS OF PERFORMANCE APPRAISAL
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 12 Many organizations identify performance dimensions based on their strategic objectives – this approach makes sure that everyone is working together toward the common goal Some organizations focus on competencies – the observable characteristics people bring with them in order to perform the job successfully (e.g., knowledge, work management, skills and capabilities, character and commitment) The set of competencies associated with a job is often referred to as a competency model IDENTIFYING PERFORMANCE DIMENSIONS (Cont.) Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 13 APPRAISAL FORMAT - EXAMPLE COMPETENCY BEHAVIORAL ILLUSTRATION Knowledge: Associate has solid grasp of basic legal concepts. Demonstrates intellectual curiosity and commitment to understand. Takes ownership of assignments. (+) Invests time to learn relevant law (+) Asks informed questions (-) Counts on other to know law Skills and Capabilities: Associate demonstrates strong basic skills in written and oral communication, analysis, organizations, and problem solving. Seeks out training and work opportunities to improve skills. (+) Produces written work that a partner can send to a client or to the court with limited editing and rewriting (-) Produces written work that a partner must substantially rewrite Work Management: Associate demonstrates strong work management skills, including time management and timely delivery of product. (+) Submits timesheets daily (-) Does not deliver work when promised Character and Commitment: Associate demonstrates ethical integrity and sound judgment. (+) Protects the confidentiality of client and firm information (-) Careless with client and firm information
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 14 Managers assign labels such as – excellent, good, average, or poor It is often difficult to quantify performance dimension (e.g., creativity) Appraisal formats can be classified in two ways: By the type of judgment that is required (relative or absolute) By the focus of the measure (trait, behavior, or outcome) MEASURING PERFORMANCE Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 15 Relative judgment – an appraisal format that asks supervisors to compare an employee’s performance to the performance of other employees doing the same job Examples: Ranking employees from the best to worst Classifying employees into groups such as top third, middle third, and lowest third It forces supervisors to differentiate among their workers – goes against the inclination to rate everyone the same, which ruins the appraisal value Relative judgment is not used often due to numerous disadvantages However, comparative judgment are common or natural way of making judgment RELATIVE JUDGMENTS
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 18 Supervisors may be reluctant to differentiate among employees and they all get the same evaluation Different supervisors may have significantly different evaluation standards (e.g., one professor may mark one exam as 7 while the other may mark the same exam as 9 out of 10) ABSOLUTE JUDGMENTS - DRAWBACKS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 19 Trait appraisal instrument – an appraisal tool that asks a supervisor to make judgments about worker characteristics that tend to be consistent and enduring Traits example – decisiveness, reliability, energy, loyalty, … Criticized as being too ambiguous and for allowing for conscious or unconscious bias It focuses on person rather than on performance, which can make employee defensive Not conductive to performance development TRAIT APPRAISAL INSTRUMENTS
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 20 Behavioral appraisal instrument – an appraisal tool that asks managers to assess a worker’s behaviors Instead of ranking e.g., leadership ability (a trait), the rater is asked to assess whether an employee exhibits certain behaviors (e.g., works well with coworkers) The main advantage: the performance standards are unambiguous and observable Behavioral scales also provide employees with specific examples of the types of behaviors to engage in and to avoid if they want to do well in the organization – they also encourage supervisors to be specific in their performance feedback BEHAVIORAL APPRAISAL INSTRUMENTS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 21 Developing these instruments is very time consuming (e.g., several months) The points, or anchors, on behavioral scales are clear and concrete, but they are only examples of behavior a worker may exhibit – employees may never exhibit some of these anchor behaviors, which can cause difficulty for supervisors at appraisal time Significant organizational changes can invalidate behavioral scales (e.g., technology changes, restructuring, …) BEHAVIORAL APPRAISAL INSTRUMENTS – DISADVANTAGES
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 24 Outcome appraisal instrument – an appraisal tool that asks managers to assess the results achieved by workers The most prevalent outcome approaches are management by objectives Management by objectives (MBO) – a goal-directed approach to performance appraisal in which workers and their supervisors set goals together for the upcoming evaluation period The rating then consists of deciding to what extent the goals have been met Naturally occurring outcomes (e.g., number of pieces produced, the amount of waste, and the defect rate) OUTCOME APPRAISAL INSTRUMENTS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 25 This approach provides clear and unambiguous criteria by which worker performance can be judged Eliminates subjectivity and the potential for error and bias Provides flexibility (adding new measures and standards when production process change) Evaluation period can be easily adjusted Outcomes can be easily tied to strategic objectives OUTCOME APPRAISAL INSTRUMENTS
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 26 Not without its own share of problems Outcome measures may give a seriously deficient and distorted view of worker performance levels (e.g., machine breaks and it takes hours to get repaired) human judgment may still be needed When your main management concern is obtaining a desired results, an outcome appraisal approach may be best for this purpose OUTCOME APPRAISAL INSTRUMENTS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 27 EVALUATION OF MAJOR APPRAISAL FORMATS CRITERIA Appraisal Format Administrative Use Developmental Use Legal Defensibility ABSOLUTE 0 + 0 RELATIVE + + + - TRAIT + - - - BEHAVIOR 0 + + + OUTCOME 0 0 + (- - ) Very Poor (-) Poor (0) Unclear or mixed (+) Good (+ +) Very Good
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 30 How can managers ensure accurate measurement of worker performance? Challenges: Rater error and bias The influence of liking Organizational politics Whether to focus on the individual or the group Legal issues FIVE MAIN CHALLENGES FOR MANAGERS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 31 Rater error – an error in performance appraisals that reflects consistent biases on the part of the rater Halo error – the tendency to rate similarly across dimensions – very prominent type of rater error Causes for halo error: A supervisor may make an overall judgment about a worker and then conform all dimensional ratings to that judgment and-or A supervisor may make all rating consistent with the worker’s performance level on a dimension that is important to the supervisor RATER ERROR
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 32 Restriction of range error – occurs when a mangers restricts all of his or her ratings to a small portion of a rating scale Leniency error – restricting ratings to the high portion of the scale Central tendency errors – using only the middle points of the scale Severity errors – using only the low portion of the scale Hard to determine – e.g., is it leniency error, halo error, or accurate evaluation? Personal bias (conscious or unconscious) may also cause errors in evaluation RATER ERROR Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 33 A major difficulty is ensuring comparability in ratings across raters Comparability – the degree to which the performance ratings given by various supervisors in an organizations are based on similar standards One of the most effective way to deal with errors and bias is to develop and communicate evaluation standards via frame of reference training Frame of reference (FOR) training – a type of rating that presents supervisors with fictitious examples of worker performance (either in writing or in video), asks the supervisors to evaluate the workers in the examples, and then tells them what their rating should have been RATER ERROR
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 36 So far we have assumed that the value of each worker’s performance can be estimated ( rational perspective of appraisal ) Political perspective of appraisal assumes that a value of worker’s performance depends on the agenda, or goals, of the supervisor In most organizations, appraisal is seen as political rather than a rational exercise ORGANIZATIONAL POLITICS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 37 COMPARING RATIONAL AND POLITICAL PERSPECTIVE RATIONAL PERSPECTIVE POLITICAL PERSPECTIVE Goal is accuracy Goal is utility, the maximization of benefits over costs given the context and agenda Sees supervisors and workers largely as passive agents in the rating process Sees supervisors and workers as motivated participants in the measurement process Focus of appraisal is measurement (leads to promotion, training, pay raises) Focus of appraisal is management (rewarding and disciplining workers) Assessment criteria should be defined as clearly as possible. The definition of what is being assessed is left ambiguous so that it can be bent to the current agenda Dimensional and overall assessment is based on observed specific behavior Appropriate assessment of specifics follows the overall assessment
Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – Tomislav Rimac Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 38 If the organization has a team structure, managers need to consider team performance appraisal at two levels: Individual contribution to team performance The performance of the team as a unit Behavioral measures are typically most appropriate for assessing individual contributions to team performance – they are more easily observed and understood by team members and others who interact with the team The measurement system needs to be balanced (e.g., balance between collaboration, communication, self-management, and decision making) INDIVIDUAL OR GROUP FOCUS Universitat Autònoma de Barcelona - Departament d’Economia de l’Empresa – ADE - Human Resources Tomislav Rimac - Spring 2014 39 Outcome measures may need to be complemented with measures of process (e.g., Morgan Stanley case) The measures must reflect criteria that the teams can influence There is no consensus as to what type of appraisal instrument should be used for team evaluation INDIVIDUAL OR GROUP FOCUS
