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Energizing Performance Appraisals

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  1. Energizing Performance Appraisals Barbara Caldwell, MS, MT(ASCP)SH

  2. Objectives • Understand the goals of effective performance appraisals. • Discuss common appraisal pitfalls and rating errors, and how to avoid them. • Examine strategies to remove the dread from performance appraisals. • Investigate alternative strategies for performance evaluation in the changing workforce

  3. Wow, it’s performance appraisal time of year, yippee!!!

  4. Components of Laboratory Performance Appraisal Systems • Required evaluation • Competency assessment • Why? – mandated by CAP, JCAHO • CAP GEN.55200 Annual performance review • CAP GEN.55500 Competency assessment • JCAHO 3.10 Competency assessment • JCAHO 3.20 Performance assessment based on job description • Behavioral assessment • Optional: goal setting, merit increase assessment, talent rating for succession planning

  5. Articulating Expectations • As an employee, you are expected to: • Accomplish the work for which you were hired at the quality level that we expect in this organization • Create and maintain healthy working relationships with your co-workers

  6. Why Do Appraisals? Improvement Coaching Documentation THE FUNCTIONS OF APPRAISAL ProfessionalDevelopment Communication Compensation

  7. Single annual event Compliance focused HR owned & managed One way communication Disconnected from organizational goals Ongoing feedback Employee focused Leader driven Collaborative process w/ free-flowing communication Integrated w/ dept. and organization objectives Traditional vs Modern

  8. It’s Not Supposed to Be This Way…

  9. It’s Not Supposed to Be This Way… • What’s the problem? • Appraisals can be one of the most anxiety producing activities – for employees and supervisors • Described as “once a year necessary evil”, “one error dragged through 10 categories”, “I hate being judged” • Appraisals can be confrontational and stir emotions • Appraisals are judgmental • Appraisals are complex • What are the roots of the anxiety?

  10. A Hallmark Card Could Read… You’re wondering what your rating is I haven’t told you all year long Now it’s time to tell you All the things that you’ve done wrong!

  11. Self Assessments • Self-Assessment for Supervisors • Self-Assessment for Employees

  12. Good Intentions That Are Difficult to Live Up To • Assumption • One appraisal process can accomplish several functions.

  13. Good Intentions – Time Out Exercise • Case Study • Sharon’s annual evaluation by Supervisor Mary

  14. Good Intentions That Are Difficult to Live Up To Case Study Discussion questions • How did the context of the formal process of appraisal affect their conversation? • Did the tone of formal judgment and the linkage to other purposes (pay and promotion) impact the quality of communication and listening? • Is there a better way to deliver this information?

  15. Good Intentions That Are Difficult to Live Up To • Assumption • One appraisal process can accomplish several functions. • More realistic assumption • The many purposes of appraisal can be more effectively achieved by separate processes.

  16. Good Intentions That Are Difficult to Live Up To • Assumption • People need to know how they rank compared to others, and appraisals tell them where they stand. • More realistic assumption • People need to clearly understand and have access to information about their pay, promotion, status, and future.

  17. Good Intentions That Are Difficult to Live Up To • Assumption • The organization and supervisor are responsible for an employees’ performance, behavior, morale, and development. • More realistic assumption • People need to be responsible for their own feedback, performance, and development, with and without support from the organization

  18. “As each human being is unique, we simply cannot add them together, or subtract them from one another… to arrive at meaningful measurements is one of the greatest challenges of management.” - Peter Drucker

  19. Appraisal as a Measuring Tool • Is it fair and objective? • Is it consistent? • Is it accurate? • Can we control all rater bias? • Is the process trustworthy?

  20. Beware of Rating Errors • An awareness of what these errors are and how they affect performance evaluations is critical to both supervisors and their employees

  21. Various Types of Rating Errors • Leniency or severity errors • Central tendency • all ratings clustered near middle rating • Halo and horn errors • strengths/weakneses • Recency error • “what-have-you-done-for-me-lately?” syndrome • “People-I-Like” favoritism • Critical incidents effect

  22. Various Types of Rating Errors • Self-serving bias • Compensation bias • Shadow effect • small sample of work evaluated • Gender, race, age, or other stereotyping bias • Attribution error (opposite for others) • Favorable outcome – our good qualities • Unfavorable outcome – out of our control

  23. Rating errors Time out - Small group discussion Would you catch these rating errors?

  24. Don’t Let the Evaluation “Form” Predominate!! “Organizations…are not paying enough attention to doing the right thing, while paying too much attention to doing things right.” - Warren Bennis, former university professor, presidential advisor, leadership guru

  25. “When you don’t deliver critical feedback, you declare your indifference.” - Clark-Epstein, TD

  26. “The most fundamental form of recognition is your attention.” - Wendy Leebov, 2005

  27. Forget Winging It • Given – performance appraisals are a fact of life in most organizations • Although the “APOP” approach would be welcome, winging it isn’t the answer “Before everything else, getting ready is the secret of success.” - Henry Ford

  28. Appraisals That Don’t Bite … Performance Feedback,A Five Step Approach 1. Establish the setting and prepare • Advanced meeting notice & proper materials • Ample time, undivided attention & privacy • Voluntary Employee Self-Appraisal form • Review prior to evaluation, use information as discussion points

  29. Appraisals That Don’t Bite … A Five Step Approach 2. Presenting positive feedback • Upbeat openings • How do you think things have been going? • What do you most enjoy about your job? • Do my ratings seem fair? Why or why not? • Would you have done anything differently this year?

  30. Appraisals That Don’t Bite … Five Step Approach 2. Presenting positive feedback (cont) • Build productive conversations • Use active listening techniques • Avoid temptation to “jump-in” • Show interest with short encouraging responses, paraphrasing, questions • Begin w/ recognizing strengths/achievements • No surprises or “bombshells” • Encourage employee to actively participate

  31. Appraisals That Don’t Bite … Five Step Approach 3.Encourage “self-appraisal” review and discussion • Maintain positive approach • use open, probing, clarifying questions • Stick to your agenda, keep discussion on track • Avoid rambling and accusations

  32. Appraisals That Don’t Bite … Five Step Approach 4.Present learning opportunities and development • Focus area of discussion • “I expect you to…”) • Empathy vs sympathy • Express in terms of “needs” or opportunities” • If you have to go beyond the comfort zone to comment on where performance fell short, be: • personal, sincere, and specific – allow for detail • Motivation

  33. Appraisals That Don’t Bite … Five Step Approach 5. Setting Goals • Agree on desired outcomes & competencies • Decide how to measure goal (metrics) • Build consensus, embrace other & gain support Questions • What would you like to do that you’re not doing now? • What would it take to do this? • How can I best help you in the coming year? • What is holding you back?

  34. Complete What Why Who How When Clear Be explicit Make no assumptions Use simple language Sending the Right MessageA Focus on Clarity Results = Clarity + Accountability

  35. Management “Malpractice” • Leader’s lacking competency in the following areas will contribute to “employee” poor performance: • Skill Levels • Attitudes • Behavior

  36. Skill Levels Not listening – cutting people off Negative and/or blunt feedback Standoffish and not relating to staff Resistance to fostering good employee/leader relationships Attitudes Indifference and disinterest Acting superior to staff Showing favoritism Staff are expendable Management “Malpractice”

  37. Behaviors Failure to provide expectations Not giving feedback Ineffective delegation Uninterested in staff development Changing priorities and work requirements Behaviors Being impatient Criticizing Lack of encouragement to be challenged Creating fear and intimidation Failing to recognize and reward achievement Management “Malpractice”

  38. Examples of Killer Phrases • That will never work. • This is the way we’ll do it. • I know what’s best. • Why would you ever suggest something like that? • More?

  39. “If you want to criticize someone, walk a mile in his shoes. That way, he’ll be a mile away, and barefoot.” - Unknown

  40. What is Coaching? Align, motivate, and increase capability in order to improve performance • How? • Providing and clarifying direction • Encouraging the development of performance goals • Giving feedback and listening • Provide a safe environment, dialogues that involve respect

  41. What is Coaching? • Serving as a source of expert guidance and advice • Making suggestions for improvement • Motivating and keeping up morale • Removing barriers and providing resources • Supporting people in personal development, “Start with Heart”

  42. Coaching Connections Employee Perspective Supervisor Perspective New Strategies Shared Assessment

  43. Coaching Connections • Key Objective • Together, resolve any discrepancies in perspectives and come to shared understanding of obstacles (a plan) • Helpful hint • Avoid giving orders and judging • Asking which way the ball curves when it crosses the net is more effective coaching technique then to tell someone to “Watch the ball!”

  44. “Write people’s accomplishments in stone, their faults in sand.” - Unknown

  45. “Strong relationships, careers, organizations, and communities all draw from the same source of power – the ability to talk openly about high-stakes, emotional, controversial topics.” - Patterson, KJ et al, Crucial Conversations, p. 9

  46. Coaching Connections • Key Objective • Together, resolve any discrepancies in perspectives and come to shared understanding of obstacles (a plan) • Helpful hint • Avoid giving orders and judging • Asking which way the ball curves when it crosses the net is more effective coaching technique then to tell someone to “Watch the ball!”