Chapter 7
Performance Appraisal
Human Resource Management
Chapter 7 OUTLINE
7-1 Introduction
7-1-1 Performance
7-1-2 Performance Management
7-1-3 Performance Appraisal
7-1-4 Performance Feedback
7-2 The Process of Performance Appraisal
7-2-1 Defining the Job
7-2-2 Appraising Performance
7-2-3 Providing Feedback
7-3 Appraisal Methods
7-3-1 Theparative Approach
7-3-2 The Attribute Approach
7-3-3 The Behioral Approach
7-3-4 The Results Approach
7-3-5 The Quality Approach
7-4 Attentive Points
7-4-1 Sources for Performance Information
7-4-2 Rater Errors in Performance Measurement
7-4-3 Legal Guidelines
Key words:
Performance Appraisal 绩效评价
Performance Management 绩效管理
Management by Objectives(MBO) 目标管理法
360-Degree Feedback 360度反馈
Essay Appraisal 文字叙述法
Graphic Rating Scale 图尺评估法
Alternation Ranking 交替排序法
Pairedparison 配对比较法
Forced Distribution Method 强制分布法
Critical Incident Method 关键事件法
Behiorally Anchored Rating Scales (BARS) 行为锚定法
Behior Observation Scale（BOS）行为观察量表
Appraisal Feedback Interview 评估结果反馈面谈
Opening Case：What Problem?
学毕业后应聘到一家中日合资企业任销售员。开始两年因为缺乏经
验，他的销售业绩很不理想。随着业务的熟练，以及与零售客户关系的
建立，他的销售额开始大幅上升，到第三年年底时通过与同事的接触，
他估计自己的销售业绩是公司最高的。但公司的政策是，不公布个人业
绩，不鼓励相互比较，所以不能确认自己的判断。
今年，他干得特别出色，9月底已经完成了全年的销售任务，但是
经理对此却没有任何反应。心里有些不平衡，公司从来不告诉大家干得
好坏，也无人关注销售业绩的变化某省市另外两家中美合资企业都实行
销售竞赛和奖励活动，并且通过评选销售明星让所有人都知道销售人员
的工作情况。
他决定与经理谈谈，主动向经理说明自己的感受和想法，但日方经
理却以保持公司既定政策和文化特色为由拒绝了他的建议。几天后，职
离去。
7-1 Introduction
7-1-1 Performance
(1) Definition
- The degree of aplishment of the tasks that make
up an employee’s job. It reflects how well an
employee is fulfilling the requirements of a job.
(员工在工作岗位上的工作行为表现与工作结果，体现员
工对于组织的贡献大小和价值大小。)
员工行为
工作行为
生活行为
有效行为
无效行为
绩效
工作成果
工作态度
工作能力
(2)Performance is measured by results
not by the effort or behior.
(3)Specialities of performance
◆Multiple representation forms (绩效表现的多维性)
Salesman 业绩（工作结果）
Soldier 行动（工作行为)
Skilled worker 技能（工作能力）
Attendant 态度（工作态度)
◆Determinants of performance (绩效的多因性)
Abilities and Skills
Effort (motivation)
Opportunities
Environment (Role perception)
Selection of performance appraisal method
◆ Development of performance(绩效发展的可变性)
7-1 Introduction
7-1-2 Performance Management
(1)Definition:
The process through which
managers ensure that
employee activities and
outputs are congruent with
the organization's goals.
(2)An Organizational Model of
Performance Management
Individual
Behiors
Situational
Constraints
-Culture
-economic
conditions
Individual
Attributes
(skills, abilities)
Organizational
Strategy
- Long and short
term goals
- values
Objective
Results
© 2006 The McGraw-Hillpanies, Inc. All rights -Hill/Irwin
(3)Purposes of Performance Management
Strategic
DevelopmentalAdministrative
© 2006 The McGraw-Hillpanies, Inc. All rights -Hill/Irwin
Finding gap: Speed
Quantity
Quality
Cause analyzing: Skill/ability
Motivation
Environment
Opportunity
Decision-making ：
Promotion or demotion
Salary raise or drop
Dismiss or development
(4)Performance Management Process
What
Why
how
7-1 Introduction
7-1-3 Performance Appraisal
(1) Definition:
The process through which
an organization gets
information on how well an
employee is doing his or her
job.
7-1-3 Performance Appraisal
(2)Performance Measures Criteria :
Strategic Congruence(一致性
)
Validity
ReliabilityAcceptability
Specificity
(明确度)
Ability/skill
能力（技能）
Environment
环境（工作难度）
Effort
(Motivation)
努力（激励）
Luck /Opportunity
机会（运气）
stability
instability
Internal external
(3) Formula of Performance Appraisal
P ＝ f（ S. O. M. E）
P=Performance S=Skill O=Opportunity
M=Motivation E=Environment
7-1-3 Performance Appraisal
Environmental Factors
1. Conflicting demands 目标冲突
2. Inadequate work facilities 设备不足
3. Restrictive policies that affect the job 政策限制
4. Lack of cooperation from others 缺乏合作
5. Type of supervision 领导风格
6. Temperature
7. Lighting 照明
8. Noise 噪音
9. Machine pacing 设备性能
10. Shifts 轮班
Ability
skill
Performance
Internal environment
(motivation)
External environment
(opportunity)
Work
behior
7-1-3 Performance Appraisal
(4)The responsibilities of HR department：
- Design the formal performance appraisal system
and select the methods and forms to be used for
appraising employee.
- Train managers in conducting performance
appraisals.
- Maintain a reporting system to ensure that
appraisals are conducted on a timely basis.
- Maintain performance appraisal records for
individual employees.
7-1-3 Performance Appraisal
(5)The responsibilities of line manager：
- Evaluate the performance of employees.
-plete the forms used in appraising employees and
return them to the HR department.
- Review appraisals with employees.
7-1 Introduction
7-1-4 Performance Feedback
(1) Definition:
The process
of providing
employees
information
regarding their
performance
effectiveness.
7-1-4 Performance Feedback
(2)Improving Performance Feedback
- Feedback should be given every day, not once a year.
- Create the right context for discussion.
- Ask employees to rate their performance before the session.
- Encourage the subordinate to participate in the session.
- Recognize effective performance through praise.
- Focus on solving problems.
- Focus feedback on behior or results, not on the person.
- Minimize criticism.
- Agree to specific goals and set a date to review progress.
7-1-4 Performance Feedback
(3)Appraisal Feedback Interview
- Supervisor and subordinate review the appraisal and
make plans to remedy(弥补) deficiencies and reinforce
strengths.
- Interview’s main aim is to reinforce satisfactory
performance or to diagnose and improve
unsatisfactory performance.
- Get agreement before the subordinate
lees on how things will be improved
and by when.
7-2-1 Defining the Job
7-2 The Process of Performance Appraisal
Appraising
Performanc
e
Defining
the Job
Providing
Feedback
7-2-1 Defining the Job
. Setting work standards：
- Assign Specific Goals
- Assign Measurable Goals
- Assign Challenging but Doable Goals
- Encourage Participation
7-2 The Process of Performance Appraisal
7-2-2 Appraising Performance
- Assessing the employee’s actual performance
relative to these standards
7-2 The Process of Performance Appraisal
7-2-3 Providing Feedback
- Providing feedback to the employee with the aim of
motivating that person to eliminate performance
deficiencies or to continue to perform above par(在标
准以上).
7-2 The Process of Performance Appraisal
Defining the employee’s goals and work efforts
Employee’s efforts should be goal-directed
- Manager should appraise the employee based
on how that person did with respect to
achieving the specific standards by which he
expected to be measured.
- Manager should make sure that the
employee’s goals and performance standards
make sense in terms of thepany’s broader
goals.
7-3 Appraisal Methods
Quality
Approach
Results
Approach
Behavioral
Approach
Attribute
Approach
Comparative
Approach
Appraisal
Methods
7-3 Appraisal Methods
7-3-1 Theparative Approach
(1)Ranking(排序法，)
(2)Alternation ranking(交替排序法，)
Simple ranking ranks from highest to lowest performer.
crossing off best and worst employees.
7-3 Appraisal Methods
7-3-1 Theparative Approach
(3)Forced Distribution (强制分布法，)
Employees are ranked in groups.
|
Forced-Distribution Curve
Forced Distribution Method
- Manager places predetermined percentages of
subordinates in performance categories
7-3 Appraisal Methods
7-3-1 Theparative Approach
(4)Pairedparison (配对比较法，)
Managerspare every employee with every other
employee in the work group.
考查对象
比较对象
A
B
C
D
E
A ＋ ＋ － －
B － － － －
C － ＋ ＋ －
D ＋ ＋ － +
E ＋ ＋ － －
Pairedparison Method
- Every subordinate to be rated is paired with andpared
to every other subordinate on each trait
7-3 Appraisal Methods
7-3-1 Theparative Approach
(5) Forced-Choice Rating(迫选法)
- Evaluator ranks a set of statements
- Can be difficult tomunicate to employee
Forced-Choice Statements
Instructions: Rank the following statements
According to how they describe the manner in which
this employee carries out duties and responsibilities.
Rank 1 should be given to the most descriptive, and
Rank 5 to the least descriptive. No ties are allowed.
Rank Description
_____ Is easy to get acquainted with.
_____ Places great emphasis on people.
_____ Refuses to accept criticism.
_____ Thinks generally in terms of money.
_____ Makes decisions quickly.
7-3 Appraisal Methods
7-3-2 The Attribute Approach
(1) Graphic rating scales (图形等级量表法, )
- A list of traits is evaluated by a five-point
rating scale.
- Legally questionable.
考评点 评分标准 评分 考评结果
Ａ．衣着仪表 5＝优秀(你知道的最好的员工)
4＝良好(超出所有标准)
3＝中等(满足所有标准)
2＝需要改进(某些地方需要改
进)
1＝不令人满意(不可接受)
Ｂ．自信心
Ｃ．可靠程度
Ｄ．态度
Ｅ．合作
Ｆ．知识
Graphic Rating Scales
-Lists a number of traits and a range of performance for
each supervisor.
-Rates each subordinate by checking the score that best
describes the subordinate’s performance for each trait .
7-3 Appraisal Methods
7-3-2 The Attribute Approach
(2) Mixed-standard scales (混合标准量表法)()
- Define relevant performance dimensions and
then develop statements representing good,
erage, and poor performance along each
dimension.
7-3 Appraisal Methods
7-3-3 The Behioral Approach
(1) Critical incidents approach (关键事件法，)
- requires managers to keep
record of specific examples of
effective and ineffective
performance on the part of
each employee.
7-3 Appraisal Methods
7-3-3 The Behioral Approach
(1) Critical incidents approach (关键事件法，)
Advantage:
- Helps ensure that
the supervisor thinks
about the
subordinate’s
appraisal all during
the year.
Disadvantage:
- Does not just reflect
the employee’s most
recent performance.
7-3 Appraisal Methods
7-3-3 The Behioral Approach
(2) Behiorally anchored rating scales (BARS)
(行为锚定评价法，)
- (BARS) is an appraisal method thatbines the
benefits of narrative critical incidents and
quantitative ratings by anchoring a quantified scale
with specific narrative examples of good and poor
performance.
BARS例子：销售代表处理客户关系
行 为 打分（1－6）
经常替客户打电话，给他做额外的查询 6分
经常耐心帮助客户解决很复杂的问题 5分
当遇到情绪激动的客户会保持冷静 ４分
如果没有查到客户相关的信息则会告诉客户，
并说“对不起”
3分
忙于工作的时候，经常忽略等待中的客户，
时间达数分钟
2分
一遇到事就说这件事儿跟自己没什么关系 1分
优秀 7
6
5
中等 4
3
2
极差 1
能清楚、简明、正确的回答学生的问题
能使用恰当的例子说明重要问题
能用清晰、流利的语言讲授知识
授课时表现出不好的习惯
给学生不合理的批评
对学生态度不耐烦
Behiorally Anchored Rating Scales (BARS)
Source: C. E. Schneier and R. W. Beatty, “Developing Behiorally Anchored Rating Scales (BARS),” Personnel Administrator, August 1979, p. Values Anchors
[7] Excellent：Develops aprehensive project plan, documents it well, obtains required approval,
and distributes the plan to all concerned.
[6] Very good：Plans,municates, and observes milestones; states week by week where the
project stands relative to plans. Maintains up-to-date charts of project aplishments and
backlogs and uses these to optimize any schedule modifications required.
Experiences occasional minor operational problems butmunicates effectively.
[5] Good：Lays out all the parts of a job and schedules each part; seeks to beat schedule and will
allow for slack. Satisfies customers’ time constraints; time and cost overruns occur
infrequently.
[4] erage：Makes a list of due dates and revises them as the project progresses, usually adding
unforeseen events; investigates frequent customerplaints. May he a sound plan, but does not
keep track of milestones; does not report slippages in schedule or other problems as they
occur.
[3] Below：Plans are poorly defined, unrealistic time schedules aremon.
erageCannot plan more than a day or two ahead, has no concept of a realistic project due
date.
[2] Very poor：Has no plan or schedule of work segments to be performed.
Does little or no planning for project assignments.
[1 ]Unacceptable：Seldom, if ever,pletes project, because of lack of planning, and does not seem
to care.
Fails consistently due to lack of planning and does not inquire about how to improve.
Example of a Behiorally Anchored Rating Scale
7-3 Appraisal Methods
7-3-3 The Behioral Approach
(3) Behioral observation scales (BOS)
(行为观察评价法, )
BOS 例子：管理技能
行 为 打 分
为员工提供培训与辅导，以提供高绩效
向员工清晰说明工作要求
适度检查员工的表现
认可员工重要表现
告知员工重要信息
征求员工意见，让自己工作更好
7-3 Appraisal Methods
7-3-3 The Behioral Approach
(4) Organizational behior modification
- a formal system of behioral feedback and
reinforcement.
(5) Assessment centers
- multiple raters evaluate employees’ performance on
a number of exercises.
7-3 Appraisal Methods
7-3-3 The Behioral Approach
(4) Organizational behior modification (OBM)
(组织行为修正法, )
- a formal system of behioral feedback and
reinforcement.
(5) Assessment centers(评价中心法, )
- multiple raters evaluate employees’ performance on
a number of exercises.
7-3 Appraisal Methods
7-3-4 The Results Approach
(1) Management by
Objectives (MBO)
Top management
passes downpany’s
strategic goals to
next layer of
management, and
these managers
define the goals they
must achieve.
- Establish a goal
- Develop an action plan
- Allow the employee to
implement an action plan
- Define expected results
- Conduct performance
reviews and measure
objective achievement
- Provide feedback
- Take corrective action
7-3 Appraisal Methods
7-3-4 The Results Approach
(2) Productivity Measurement
and Evaluation System (Pro MES)
(生产率衡量与评价系统, )
-Goal is to motivate employees
to higher
levels of productivity.
7-3 Appraisal Methods
7-3-5 The Quality Approach
(1) A performance management system designed with
a strong quality orientation can be expected to:
- Emphasize an assessment of both person and
system factors in the measurement system.
- Emphasize that managers and employees work
together to solve performance problems.
- Involve both internal and external customers in
setting standards and measuring performance.
- Use multiple sources to evaluate person and
system factors.
7-3 Appraisal Methods
7-3-5 The Quality Approach
(2) Statistical process quality control techniques
used:
- Process-flow analysis
- Cause-and-effect diagrams
- Pareto chart
- Control chart
- Histogram
- Scattergram
7-4 Attentive Points
7-4-1 Sources for Performance Information
Ratingmittee Peers
Customers Subordinates
Supervisors
Self
7-2 Performance Appraisal
7-2-3 Performance appraiser
(3)The appraiser involves:
- The Immediate Supervisor 直接主管
- Peer Appraisals 同事评估
- Appraisal by Subordinates 下级评估
- Self-Rating 自我评估
- 360-Degree Feedback 360度反馈
- Ratingmittee 评定委员会
Advantage
The supervisor is
usually in the best
position to observe
and evaluate
subordinate’s
performance and is
also responsible
for that person’s
performance.
Disadvantage
Sole reliance on
supervisors’ ratings
is not always
advisable. An
immediate
supervisor may be
biased for or
against the employee.
(1) The supervisor (主管评估
)
Advantage:
Peer Appraisals has a positive impact on improving
perception of:
- openmunication 公开沟通
- task motivation 任务激励
- group viability 群体效能
- Cohesion 凝聚力
- Satisfaction 满意感
(2) Peer Appraisals(同事评估
)
Disadvantage:
Problem with self-ratings is that employees usually
rate themselves higher than their supervisors or
peers would rate them.
(3) Self-Ratings(自我评估)
Advantage:
Upward feedback can help top managers diagnose
(诊断) management styles, identify potential people
problems, and take corrective action with individual
managers.
(4) Appraisal by Subordinates
(下属评估)
Advantages:
- Usuallyposed of the employee’s immediate
supervisor and three or four other supervisors. It can
help cancel out(抵偿) problems such as bias on the
part of individual raters.
- It can also provide a way to include the different
facets(方面) of an employee’s performance observed
by different appraisers
(5) Ratingmittee
(委员会评估)
Performance information is collected
from supervisors, subordinates,
peers, and internal/external customers
Disadvantage:
With multiple raters and multiple
rates, it can be paperwork nightmares
(文书工作的噩梦) .
(6) 360-Degree Feedback
(360度反馈)
7-4 Attentive Points
7-4-2 Rater Errors in Performance Measurement
(1) Similar to me
(同类人误差)
(2) Contrast
(对比误差)
(3) Distributional errors
(分布误差)
(4) Halo and horns
(晕轮误差与角误差)
7-4-2 Rater Errors in
Performance Measurement
(1) Two Approaches to reducing rater error:
- Rater error training
- Rater accuracy training
(2) Appraisal politics
- a situation in which evaluators purposefully distort
ratings to achieve personal orpany goals.
7-4 Attentive Points
7-4-3 Following Legal Guidelines
- Conduct a valid job analysis related to performance.
- Base system on specific behiors or results.
- Train raters to use system correctly.
- Review performance ratings and allow for employee
appeal.
- Provide guidance/support for poor performers.
- Use multiple raters.
案例分析: 如何考核销售经理？
对销售经理的管理和考核，最通常的弊病是重结果不重过程。很多
公司对地区经理的管理方法就是那种年底我就问你要结果，至于你要怎
么干，我不管。这种只重结果不重过程的管理方法会造成很多失控的现
象，有很多企业出现过这样的情况：业务员黑天摸地、销售经理花天酒
地、广告铺天盖地……
第二个常见的弊病，是对销售经理的指标体系设计不合理。很多公
司的考核体系中，过多的偏重于销售计划完成率，而对其他的指标，不
够重视。 比如说，对营销经理手下的业务员的能力不考核的话，最后
导致的结果就会很严重:
好多销售经理都认为，这个客户是我的，不愿意让营销员来接，他
亲自接，经理变成了一个大业务员。渐渐地，营销人员就没有营销感觉
了，成为内勤人员的角色，经理做业务，营销员只管开开单，送送货，
最后造成营销整体队伍的瘫痪。造成人员的巨大浪费。经理变成了一个
大业务员，下面的人呢，肯定都没有发挥应该发挥的能力，所以下面人
员的工资全都浪费掉了。
案例分析: 如何考核销售经理(续)？
营销队伍没带起来，经理一旦跳槽某省市场就出现了空白点，所有
的客户全被带走了。
如果仅从销售收入来考核，对某省市场占有率很有帮助，但很容只
冲销量不计成本的负面效应，三株公司就吃过这个亏。
如果要求销售经理对利润负责任，当然总部的成本压力会减小，但
销售经理的独立性太强，很有可能某省市场做大，总部会逐渐失去对他
的控制，营销体系随时都有分崩离析的危险。
怎么样建立一套机制，既对经理们的业绩进行考核，同时又将这种
考核与公司的整体发展和经理们的职业发展紧密相联？
对销售的考核，首先要有准确的定位，即考核对象是谁。
第一个方面，设计一套考核的指标体系。
仅从业绩去考核营销经理显然有失偏颇。这里设计的指标
体系主要包括以下五个指标，五项相加合计100分。
第一项指标，销售计划完成率（40%）。
第二项指标，营销经理管理的营销人员的达标率(20%)。
第三个指标，销售费用使用率（20%）。
第四个指标，管理信息系统（15%）。
第五个指标，工作态度（5%）。
案例分析: 如何考核销售经理(续)？
业绩项目 考核指标 权 重 指标性质
财 务 销售收入/销量/费用 40% 任务指标
客 户
优客质户数量/新客户增长
率/客户投诉率
20% 任务指标
经营与管理
市场反应速度
渠道建设
20% 任务和行为指标
学习与成长 培训/团队建设下级培养 10% 行为指标
信息系统
日报表/客户档案管理
/市场信息服务信息反馈
5% 任务指标
工作态度 团队精神/人际关系 5% 态度指标
例：营销经理考核指标
第二个方面，销售管理要对结果和过程并重。
所谓结果，就是上面说的指标体系。那么销售过程呢，主
要是每销售总结，也就是我们说的销售。由于销售经理是分布
在各地的，所以可以开展多种方式：实体会议、电话会议、电
子邮件。
第三个方面，把考核和经理的个人生涯规划结合起来。
这种思路的设计思想是促进个人和公司共同成长。比如说
由每一个销售经理的上级同他做面谈沟通，设计他的生涯规划，
然后按照他的生涯计划和他目前的业务计划进行对照，看看哪
方面实现了，哪方面没有实现？没有实现的原因是什么？哪些
是素质问题，哪些是态度问题？对素质问题采用什么培训方法，
对态度问题又如何进行培训？
1. Production or output:
Usually expressed as number of units per time period.
. to erage 20 units per hour over the next year.
2. Quality:
Usually expressed as number of rejects, number of customerplaints,
amount of scrap.
. to produce fewer than 10 rejects per week for the next six months.
3. Cost:
Usually expressed as dollars per unit produced or dollars per unit of
service offered.
. the cost of each widget(小器具) produced to erage less than $5 over
the next three months.
4. Personnel:
Usually expressed in terms of turnover, absenteeism, tardiness(缓慢).
. to erage fewer than three days of absenteeism per employee per
year.
5. Safety:
Usually expressed in terms of days lost due to injury.
. to reduce the number of days lost due to injury this year by 10%.
Typical Areas of Supervisory Objectives
课堂讨论
某公司是一家成立不久的装饰设计公司，主要业务是面向商场、
酒店以及房地产开发商，以大项目为主，定位较高，目标是在10年内
做到全国同行业排行前5名。2003年，公司的业务非常饱和，但到年
底却发现全年利润只有11%，而且年初公司承诺员工的提成及奖金还
尚未扣除。
老板非常震惊，认为是目前的薪酬制度没有起到很好的激励作用，
养懒了员工。于是提出2004年度要改革薪酬制度。对行低底薪、高提
成的薪酬管理办法，同时与回款率挂钩。要求每个至少要完成15万元
的项目，底薪一律为1500元(目前为3000-6000元)，不能完成者降职
为设计助理，底薪为800元；同时实行自动淘汰机制。
--请问这样做的后果可能是什么？
