员工激励机制外文翻译文献.docx

员工激励机制外文翻译文献.docx

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员工激励机制外文翻译文献

员工激励机制外文翻译文献

（文档含中英文对照即英文原文和中文翻译）

原文：

PerformanceAppraisalasaGuideforTrainingandDevelopment:

AResearchNoteontheIowaPerformanceEvaluationSystem

ByDennisDaleyowaStateUniversity

Thispaperexaminesonefacetofperformanceappraisal-itsuseasaguideforthedraftingofemployeetraininganddevelopmentplans.Thescopeislimitedinthatitexcludesanyconsiderationastowhethertheseplansareactuallyimplemented.Ourinterestfocusesonlyontheextenttowhichsupervisorsendeavortoassistemployeesincorrectingorovercomingweaknessesandinenhancingordevelopingperceivedstrengths.Thefindingsreportedherearebasedona1981monitoringoftheperformanceappraisalsystemusedbytheStateofIowa.

Ascivilservicereformhasbeeninstitutedinonejurisdictionafteranotherinordertofurtherassureobjective,performancebasedpersonnelpractices,performanceappraisalhasemergedasoneofthekeyissuesinthepersonnelmanagementofthe1980s.Thisheightenedsenseofimportanceandseriousnesshas,inturn,ledtoarenewedinterestinthestudyoftheactualworkingsofperformanceappraisalsystems.

Theusestowhichperformanceappraisalcanbeputaremyriad.TherecentCivilServiceReformActof1978servesasamodelinthisrespect.Herewefindenunciatedwhatmaybetakenasthetypicalorientationtowardtheusesofperformanceappraisal,recommendingthatpersonnelmanagersandsupervisors"usetheresultsofperformanceappraisalas.abasisfortraining,rewarding,reassigning,promoting,reducingingrade,retaining,andremovingemployees."Performanceappraisalsystemscanalsoservetovalidatepersonneltestingandselectionprocedures,althoughsuchsystemsarethemselvesalsosubjecttoaffirmativeactionvalidationrequirements.

Theeconomicrecessionsofthe1970sand1980shaveplacedsignificantrestraintsontheseuses,however.Theimpositionofhiringfreezes,thediminishmentofpromotionalopportunities,theadventofreductions-in-force,andthenearabandonmentofmeritpayprovisionsbyfinanciallystrappedgovernmentalentitieshavecontributedtothelossofenthusiasmforperformanceappraisalinmanyquarters.Undersuchcircumstances,performanceappraisal一limitedinitsusetothemorenegativefunctionsofemployeeevaluation-takesonthedreadedimageascribedtothembyDouglasMcGregor（1957）.

Intheirsearchtosalvagesomethingpositivefromamidstthesecircumstancespersonnelspecialistshavealightedupontheuseofperformanceappraisalasaguideforemployeetraininganddevelopment.Thisoffersthemtheopportunityofprovidingpublicemployeeswithaservicethatemployeesviewasbeneficial.Althoughpublicemployeeshaveshownlittleconfidenceinspecificperformanceappraisalsystemsorinthemanagerialabilitiesofthoseresponsiblefortheirimplementation（McGregor,1957;Levinson,1976;Nalbandian,1981）,theyhavetendedtodemonstrateamorefavorableattitudewhenthepurposeofperformanceappraisalhasbeenperceivedtobeemployeedevelopment（DecotiisandPetit,1978;Cascio,1982）.

This,ofcourse,stillposesasignificantproblemtoamultipurposesystemsuchasthatfoundintheStateofIowa.Disenchantmentordistrustwithoneaspectoftheperformanceappraisalsystemmaysignificantlycontributetotheweakeningoftheentireevaluationsystem.

THEIOWAPERFORMANCEEVALUATIONSYSTEM

Inallpublicservicesystemsemployeesareevaluatedperiodically;mostoftenthisisdoneinformally.Theintroductionofformalsystemsofperformanceappraisal,usuallyinadditiontocontinuedinformalassessment,isarelativelyrecentevent.Formalsystemsofperformanceappraisalaredesignedtoprovideasystematicandobjectivemeasureofindividualjobperformanceand/orpotentialfordevelopment.

AlthoughtheuseofformalperformanceappraisalinIowacanbetracedbackatleasttotheearly1950s（limited,forthemostpart,tosuchrudimentarymethodsastheessayorgraphicratingscale）,theseoccurredwithinafragmentedsetting.Individualdepartmentsandagenciesretaineddescretionoverthechoiceofsuchpersonnelpracticesuntilwellintothe1960s.

UnderGovernorHaroldHughes（1963一1969）anumberofeffortswereundertakento

strengthentheexecutive.AmongthesereformswasthecreationoftheStateMeritSystemofPersonnelAdministration,administeredbytheIowaMeritEmploymentDepartment,in1967.Evenso,therewerenumerousexemptionslimitingtheextentofitscoverage,bothintermsofseparatemeritsystemsoutsideitsjurisdictionandofpatronageappointments.

TheexecutivereformmovementwascontinuedthroughoutthelengthyserviceofGovernorRobertRay（1969-1983）.Strongexecutivesupportwasplacedbehindthedevelopmentofthepersonnelsystem.GovernorRayunsuccessfullyadvocatedexpandingtheIMEDjurisdictionthroughtheeliminationoftheexistingcoverageexemptionsandbyintegratingtheseparatemeritsystemsintoanexecutivepersonneldepartment.Notwithstandingthesomewhat1imitedsuccessofrecentIowagovernors,thebasisforaprofessionalizedpublicservicewasestablishedduringthoseyears.

Onereflectionofthisbasisisthefactthattheuseofastatewideappraisal-by-objectivessystemwasinauguratedin1977.Theimplementationofthissystemfollowedtheintroductionofthemanagement-by-objectivesconceptamonganumberofthelargerstateagencies.Sinceappraisal-by-objectivesisaspecificapplicationorextensionoftheMBOapproach,itwasfeltthatbythismeansexecutivesupportforperformanceappraisalcouldbemorereadilyobtained.Itisknown,ofcourse,thatthelackofmanagerialsupportisasignificantcontributingfactorinthefailureofmanyperformanceappraisalsystems.

TheIowaperformanceevaluationsystemisanideal-typicaldescriptiveexampleoftheappraisal-by-objectivestechnique.Theintroductionofthisapproachin1977wasaccompainedbyaseriesoftrainingsessions（Burke,1977）andsupportedwithsupervisoryandemployeehandbooks.However,trainingfornewsupervisorsandperiodic"refreshercourses"appeartohavebeengivenalowpriorityinIowa,asisgenerallythecaseinpublicsectorpersonnelsystems.Iowa'suseofappraisal-by-objectivesisdesignedasaparticipatorysystem.Employeeparticipationisahallmarkfoundamongmostmodernmanagementapproachesandhasbeenlinkedtosuccessfulpublicsectorperformanceappraisalsystems（Lovrich,etal，1981）.

TheIowaperformanceevaluationprocessisinitiatedwithjointcompletionof"SectionA:

ResponsibilitiesandStandards/ResultsExpected"（alsoreferredtoasthe"jobdescription"）bythesupervisorandemployee.Thisisthefirstofthreesectionsincludedintheperformanteappraisalform/process.SectionAiscompletedatthebeginningoftheannualappraisalperiodwhilesectionsBandCarewrittenupatitsconclusion.Theemployeeistobegivenpriornoticeoftheconferenceandsuppliedcopiesofpreviousevaluationforuseasguides.

Eighttotenmajorresponsibilities（fourtofiveisthenorm）aretobeselectedand，writtendowninaresults-orientedformatwithspecificstandardsbywhichtheachievementoftheseresultsaretobemeasured.Theseindividualresponsibilitiesareweightedthroughtheuseofanadditiveformulawhichfactorsinthetimespentoneachtaskandtheevaluationofitsimportanceortheconsequenceoferror（afivepointLikert-typescaleisusedforboth）.Theoverallemployeeratingistheweightedaverageoftheseindividualresponsibilityratings（alsobasedonafivepointscale）.

Intheeventthattheseresponsibilitiesneedtobesubjecttomodificationduetochangingcircumstances,anewSectionAwouldbepreparedbythesupervisorandemployee.Duringthecourseoftheevaluationperiodthesupervisorisalsoencouragedtousea"criticalincident"approach.Bothformal（withwrittencopyinsertedintotheemployee'sfile）andinformalcommunicationsbetweenemployeesandsupervisorsareencouraged.Fornegativeincidentsitisimportantthatarecordofcorrectiveactionbedocumented;employeesmustbenotifiediftheyaredoingsomethingwrongandthesupervisionmustindicatehowtheycancorrecttheirbehavior.

Attheendoftheevaluationperiod,againfollowingadvancednotice,theemployeeandsupervisormeettodiscusstheemployee'sjobperformanceinlightoftheresponsibilitiesoutlinedintheemployee'sSectionA.Worksheetsareusedatthismeetingwithaformalevaluationpreparedonlyafterward.Atthisappraisalinterviewthesupervisordiscusses"SectionB:

PerformanceReview/Rating"withtheemployee.Employeesarealsogiventheopportunitytoformallycommentonthefinalevaluationform.Historicallyonlyfivepercentdoso,ofwhichundertwopercentcanbeclassifiedasnegativecomments.

"SectionC:

SummaryofTotalJobPerformanceandFuturePerformancePlans"isalsocompletedatthistime.Basically,thisisanessayevaluation.Thesupervisorisprovidedtheopportunitytolisttheemployee's"areasofstrengthandthose"areasneedingimprovement."Inthelatterinstances"traininganddevelopmentalplans"forcorrectingthesearesupposedtobefiled.

DATACOLLECTION

InconjunctionwithitsimplementationeffortstheIowaMeritEmploymentDepartmentengagedinatwo-yearmonitoringofitsappraisal-by-objectivesevaluationsystem.Theresultsofthismonitoringproject,involvingthesamplingofperformanceappraisalssubmittedinbetweenJuly1978andDecember1979,werereportedtostateofficialsinJanuary1980.Thefirstmonitoringprojectledtoanumberofminorchangesintheperformanceevaluationsystem.Formostpartthesemodificationsrepresented"wordchanges;"e.g.,insteadoflisting"employee