绩效考核外文文献及其译文.docx

绩效考核外文文献及其译文.docx

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绩效考核外文文献及其译文

TheDilemmaofPerformanceAppraisal

PeterProwseandJulieProwse

MeasuringBusinessExcellence，Vol。

13Iss：

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