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4,pp.69-77
Abstract
Thispaperdealswiththedilemmaofmanagingperformanceusingperformanceappraisal.Theauthorswillevaluatethehistoricaldevelopmentofappraisalsandarguethatthecriticalareaoflinemanagementdevelopmentthatwasbeenidentifiedasacriticalsuccessfactorinappraisalshasbeenignoredinthelaterliteratureevaluatingtheeffectivenessofperformancethroughappraisals.
Thispaperwillevaluatetheaimsandmethodsofappraisal,thedifficultiesencounteredintheappraisalprocess.Italsore-evaluatesthelackoftheoreticaldevelopmentinappraisalandmovefromhepsychologicalapproachesofanalysistoamorecriticalrealisationofapproachesbeforere-evaluatingthechallengetoremovesubjectivityandbiasinjudgementofappraisal.
13.1Introduction
Thispaperwilldefineandoutlineperformancemanagementandappraisal.Itwillstartbyevaluatingwhatformofperformanceisevaluated,thendeveloplinkstothedevelopmentofdifferentperformancetraditions(Psychologicaltradition,ManagementbyObjectives,MotivationandDevelopment).Itwilloutlinethehistoricaldevelopmentofperformancemanagementthenevaluatehighperformancestrategiesusingperformanceappraisal.Itwillevaluatethecontinuingissueofsubjectivityandethicaldilemmasregardingmeasurementandassessmentofperformance.Thepaperwillthenexaminehoworganisationsmeasureperformancebeforeevaluationofresearchonsomerecenttrendsinperformanceappraisal.
Thischapterwillevaluatethehistoricaldevelopmentofperformanceappraisalfrommanagementbyobjectives(MBO)literaturebeforeevaluatingthedebatesbetweenlinkagesbetweenperformancemanagementandappraisal.Itwilloutlinethedevelopmentofindividualperformancebeforelinkingtoperformancemanagementinorganizations.Theoutcomesoftechniquestoincreaseorganizationalcommitment,increasejobsatisfactionwillbecriticallyevaluated.ItwillfurtherexaminethetransatlanticdebatesbetweenliteratureonefficiencyandeffectivenessintheNorthAmericanandtheUnitedKingdom)evidencetoevaluatetheHRMdevelopmentandcontributionofperformanceappraisaltoindividualandorganizationalperformance.
13.2WhatisPerformanceManagement?
ThefirstissuetodiscussisthedifficultyofdefinitionofPerformanceManagement.ArmstrongandBarron(1998:
8)defineperformancemanagementas:
AstrategicandintegratedapproachtodeliveringsustainedsuccesstoorganisationsbyImprovingperformanceofpeoplewhoworkinthembydevelopingthecapabilitiesofteamsAndindividualperformance.
13.2.1PerformanceAppraisal
Appraisalpotentiallyisakeytoolinmakingthemostofanorganisation’shumanresources.Theuseofappraisaliswidespreadestimatedthat80–90%oforganizationsintheUSAandUKwereusingappraisalandanincreasefrom69to87%oforganisationsbetween1998and2004reportedaformalperformancemanagementsystem(ArmstrongandBaron,1998:
200).Therehasbeenlittleevidenceoftheevaluationoftheeffectivenessofappraisalbutmoreonthedevelopmentinitsuse.Between1998and2004asamplefromtheCharteredInstituteofPersonnelandDevelopment(CIPD,2007)of562firmsfound506wereusingperformanceappraisalinUK.
Whatisalsovitaltoemphasiseistherisinguseofperformanceappraisalfeedbackbeyondperformanceforprofessionalsandmanagerstonearly95%ofworkplacesinthe2004WERSsurvey(seeTable13.1).ClearlytheuseofAppraisalshasbeenthedevelopmentandextensionofappraisalstocoveralargeproportionoftheUKworkforceandthecoverageofnonmanagerialoccupationsandtheextendeduseinprivateandpublicsectors.
13.2.2ThePurposeofAppraisals
Thecriticalissueiswhatisthepurposeofappraisalsandhoweffectiveisit?
Researchedandusedinpracticethroughoutorganizations?
Thepurposeofappraisalsneedstobeclearlyidentified.Firstlytheirpurpose.Randell(1994)statestheyareasystematicevaluationofindividualperformancelinkedtoworkplacebehaviourand/orspecificcriteria.Appraisalsoftentaketheformofanappraisalinterview,usuallyannual,supportedbystandardisedforms/paperwork.Thekeyobjectiveofappraisalistoprovidefeedbackforperformanceisprovidedbythelinemanager.Thethreekeyquestionsforqualityoffeedback:
1.Whatandhowareobservationsonperformancemade?
2.Whyandhowaretheydiscussed?
3.Whatdeterminesthelevelofperformanceinthejob?
1Ithasbeenarguedbyoneschoolofthoughtthattheseprocesscannotbeperformedeffectivelyunlessthelinemanagerofpersonprovidingfeedbackhastheinterpersonalinterviewingskillstoprovidethatfeedbacktopeoplebeingappraised.Thishasbeendefinedasthe“BradfordApproach”whichplacesahighpriorityonappraisalskillsdevelopment(Randell,1994).ThisapproachisoutlinedinFig.13.1whichidentifiesthelinkagesbetweeninvolving,developing,rewardingandvaluingpeopleatwork..
13.2.3HistoricalDevelopmentofAppraisal
Thehistoricaldevelopmentofperformancefeedbackhasdevelopedfromarangeofapproaches.FormalobservationofindividualworkperformancewasreportedinRobertOwens’sScottishfactoryinNewLanarkintheearly1800s(Cole,1925).OwenhungovermachinesapieceofcolouredwoodovermachinestoindicatetheSuperintendent’sassessmentofthepreviousday’sconduct(whiteforexcellent,yellow,blueandthenblackforpoorperformance).ThetwentiethcenturyledtoF.W.Taylorandhismeasuredperformanceandthescientificmanagementmovement(Taylor,1964).The1930sTraitsApproachesidentifiedpersonalityandperformanceandusedfeedbackusinggraphicratingscales,amixedstandardofperformancescalesnotingbehaviourinlikertscaleratings.Thiswasusedtorecruitandidentifymanagementpotentialinthefieldofselection.Laterdevelopmentstopreventamiddlescalefrom5scalesthendevelopedintoaforced-choicescalewhichforcedthejudgementtoavoidcentralratings.Theevaluationalsoincludednarrativestatementsandcommentstosupporttheratings(Mair,1958).
Inthe1940sBehaviouralMethodsweredeveloped.TheseincludedBehaviouralAnchoredRatingScales(BARS);
BehaviouralObservationScales(BOS);
BehaviouralEvaluationScales(BES);
criticalincident;
jobsimulation.Allthesejudgementswereusedtodeterminethespecificlevelsofperformancecriteriatospecificissuessuchascustomerserviceandratedinfactorssuchasexcellent,averageorneedstoimproveorpoor.Theseratingsareassignednumericalvaluesandaddedtoastatementornarrativecommentbytheassessor.Itwouldalsoleadtoidentifyanypotentialneedfortrainingandmoreimportantlytoidentifytalentforcareersinlinemanagementsupervisionandfuturemanagerialpotential.
Post1945developedintotheResults-orientedapproachesandledtothedevelopmentofmanagementbyobjectives(MBO).Thisprovidedaimsandspecifictargetstobeachievedandwithintimeframessuchaspecificsales,profitability,anddeadlineswithfeedbackonpreviousperformance(Wherry,1957).
Thedeadlinesmayhaverequiredalterationandledtospecificperformancerankingsofstaff.Italsoprovidedaforceddistributionofrankingsofcomparativeperformanceandpairedcomparisonrankingofperformanceandsettingandachievingobjectives.
Inthe1960sthedevelopmentofSelf-appraisalbydiscussionledtospecifictimeandopportunityfortheappraiseetoreflectivelyevaluatetheirperformanceinthediscussionandtheinterviewdevelopedintoaconversationonarangeoftopicsthattheappraiseneededtodiscussintheinterview.Untilthisperiodthesuccessoftheappraisalwasdependentonskillofinterviewer.
Inthe1990sthedevelopmentof360-degreeappraisaldevelopedwhereinformationwassoughtfromawiderrangeofsourcesandthefeedbackwasnolongerdependentonthemanager-subordinatepowerrelationshipbutincludedgroupsappraisingtheperformanceoflinemanagersandpeerfeedbackfrompeergroupsonindividualperformance(RedmanandSnape,1992).Thefinaldevelopmentofappraisalinterviewsdevelopedinthe1990swiththeemphasisonthelinkingperformancewithfinancialrewardwhichwillbediscussedlaterinthepaper.ThedeadlinesmayInthe1960sthedevelopmentofSelf-appraisalbydiscussionledtospecifictime
13.2.4MeasuresofPerformance
Thedilemmaofappraisalhasalwaystodevelopperformancemeasuresandtheuseofappraisalisthekeypartofthisprocess.Quantitativemeasureofperformancecommunicatedasstandardsinthebusinessandindustrylevelstandardstranslatedtoindividualperformance.TheintroductionoftechniquessuchasthebalancedscorecarddevelopedbyKaplanandNorton(1992).
Performancemeasuresandevaluationincludedfinancial,customerevaluation,feedbackoninternalprocessesandLearningandGrowth.PerformancestandardsalsoincludedqualitativemeasuresWhicharguethatthereisanoveremphasisonmetricsofquantitativeapproachabovethedefinitionsofqualityservicesandtotalqualitymanagement.Intermsofperformancemeasurestherehasbeenatransformationinliteratureandamoveinthe1990stothefinancialrewardslinkedtothelevelofperformance.Thedebateswillbediscussedlaterinthepaper.
13.3CriticismofAppraisals
Critiquesofappraisalhavecontinuedasappraisalshaveincreasedinuseandscopeacrosssectorsandoccupations.Thedominantcritiqueisthemanagementframeworkusingappraisalasanorthodoxtechniquethatseekstoremedytheweaknessandproposeofappraisalsasasystemtodevelopperformance.
This“orthodox”approacharguesthereareconflictingpurposesofappraisal