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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Bibliography Max, D, Bacal, R.  Perfect Phrases for Performance

Reviews (Hundreds of Ready-to-Use Phrases That Describe Your Employees Performance, McGraw-Hill Companies, 2003.

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Bibliography Seijts, GH, Latham, GP, Learning goals or performance

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Make the Most of Informal Coaching, Healthcare Executive, May-June 2004:38.