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Energizing Performance Appraisals
Barbara Caldwell,
MS, MT(ASCP)SH
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
Wow, it’s performance
appraisal time of year, yippee!!!
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
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
THE FUNCTIONS
OF APPRAISAL
Improvement
Coaching
Communication
Documentation
ProfessionalDevelopment
Compensation
Why Do Appraisals?
Traditional vs Modern
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
It’s Not Supposed to Be This Way…
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?
A Hallmark Card Could Read…
You’re wondering what your rating is
I haven’t told you all year longNow it’s time to tell youAll the things that you’ve done
wrong!
Self Assessments
Self-Assessment for Supervisors
Self-Assessment for Employees
Good Intentions That Are Difficult to Live Up To
Assumption• One appraisal process can accomplish
several functions.
Good Intentions – Time Out Exercise
Case Study• Sharon’s annual evaluation by Supervisor
Mary
Good Intentions That Are Difficult to Live Up To
Case Study Discussion questions1. How did the context of the formal
process of appraisal affect their conversation?
2. Did the tone of formal judgment and the linkage to other purposes (pay and promotion) impact the quality of communication and listening?
3. Is there a better way to deliver this information?
Good Intentions That Are Difficult to Live Up To
AssumptionOne appraisal process can accomplish
several functions.
More realistic assumptionThe many purposes of appraisal can be
more
effectively achieved by separate processes.
Good Intentions That Are Difficult to Live Up To
AssumptionPeople need to know how they rank compared to others, and appraisals tell them where they stand.
More realistic assumptionPeople need to clearly understand and have access to information about their pay, promotion, status, and future.
Good Intentions That Are Difficult to Live Up To
AssumptionThe organization and supervisor are
responsible for an employees’ performance,
behavior, morale, and development.
• More realistic assumptionPeople need to be responsible for their own
feedback, performance, and development, with
and without support from the organization
“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
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?
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
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
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
Rating errors
Time out - Small group discussion
Would you catch
these rating errors?
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
“When you don’t deliver critical feedback, you declare your indifference.”
- Clark-Epstein, TD
“The most fundamental form of recognition is your attention.”
- Wendy Leebov, 2005
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
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
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?
Appraisals That Don’t Bite … Five Step Approach
2. Presenting positive feedback (cont)Build productive conversationsUse active listening techniques
• Avoid temptation to “jump-in”• Show interest with short encouraging responses,
paraphrasing, questions
Begin w/ recognizing strengths/achievementsNo surprises or “bombshells”Encourage employee to actively participate
Appraisals That Don’t Bite … Five Step Approach
3. Encourage “self-appraisal” review and discussionMaintain positive approach
• use open, probing, clarifying questions
Stick to your agenda, keep discussion
on track
Avoid rambling and accusations
Appraisals That Don’t Bite … Five Step Approach
4. Present learning opportunities and development
Focus area of discussion“I expect you to…”)
Empathy vs sympathyExpress 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
Appraisals That Don’t Bite … Five Step Approach
5. Setting GoalsAgree on desired outcomes & competenciesDecide how to measure goal (metrics)Build consensus, embrace other & gain supportQuestions
• 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?
Sending the Right MessageA Focus on Clarity
Complete
• What
• Why
• Who
• How
• When
Clear• Be explicit• Make no
assumptions• Use simple language
Results = Clarity + Accountability
Management “Malpractice”
Leader’s lacking competency in the following areas will contribute to “employee” poor performance:
• Skill Levels
• Attitudes
• Behavior
Management “Malpractice”
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”
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
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?
“If you want to criticize someone, walk a mile in his shoes. That way, he’ll be a mile away, and barefoot.”
- Unknown
What is Coaching?
Align, motivate, and increase capability in order to improve performance
How?Providing and clarifying directionEncouraging the development of
performance goalsGiving feedback and listeningProvide a safe environment, dialogues
that involve respect
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”
Coaching Connections
Employee
Perspectiv
eSupervisor
Perspective
SharedAssessment
NewStrategies
Coaching Connections Key Objective
Together, resolve any discrepancies in
perspectives and come to shared
understanding of obstacles (a plan)
Helpful hintAvoid 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!”
“Write people’s accomplishments in stone, their faults in sand.”
- Unknown
“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
Coaching Connections Key Objective
Together, resolve any discrepancies in
perspectives and come to shared
understanding of obstacles (a plan)
Helpful hintAvoid 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!”
??????????
What keeps you at your job?
1.
2.
3.
4.
Recognition Matters
What People Want From Their Work
Employee Ranking Supv Ranking
1 Full appreciation of work done 8
2 Feeling of being involved in things 10
3 Sympathetic help on personal problems 9
4 Job security 2
5 Good wages 1
6 Interesting work 5
7 Promotion and growth in the organization 3
8 Personal loyalty to employees 6
9 Good working conditions 4
10 Tactful disciplining 7
The Paycheck Connection Assumption
People will withhold their best efforts if they are not monetarily rewarded.
• Alternative assumptionsPeople are intrinsically motivated to perform well when the work is meaningful.Pay is not a motivator but can be a powerful de-motivator when it is inequitableMotivation can be impaired by a work environment of distrust, fear, excessive control, or focus on extrinsic rewards
The Paycheck Connection Assumption
Pay is not fair unless it is linked to performance level.
• Alternative assumptionsThe vast majority of people see themselves as superior
performers.• Most people are not superior performers, but this is very
difficult for them to see.
Without education, people do not understand or appreciate:• the problems associated with measuring individual
performance, the general tendency to inflate the value of their own performance, the complexity of attempting to equitably connect pay to individual performance
Designing Better Options
Strive to control the system through informal feedback and effective communication (coaching)
Shift responsibility from supervisor to employee as much as possible
Eliminate ratings, or use a tri-level rating Tie pay increases directly to market
Laboratory Recognition Program (LRP)
Fosters the development and recognition of clinical laboratory competence and excellence
Promote professional growth, responsibility, and accountability
Encourages active involvement in project and committee work
Enhances confidence and self-worth Positive impact on overall laboratory morale Improves employee retention
LRP Achievement Summary Form
4 Categories• Professional Development
• Clinical Laboratory
• Leadership
• Community Service
MT/HT, Phlebotomist• 2 levels each, different elements
Criteria for Award – minimum scores in designated level (once/yr $$ award)
Time Out Exercise
With a partner, discuss one strategy that you have learned about in this session that might help you to reduce the stress in giving/receiving performance appraisal?
To Summarize
• Know your employee• Demonstrate respect, confidentiality, and heart• Give feedback without judgment• Keep messages clear and simple• Track performance year-round with informal
coaching sessions• Discuss compensation separate from
performance feedback• Link recognition to performance (get creative!)
“The foundation of healthcare is people. It always has been. It always will be. True success in health care is built on people taking care of people.”
- Excerpt from Quint Studer’s keynote,
What’s Right in Healthcare 2006
Reflection
“There’s no traffic jam on the extra mile.”
-Anonymous
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