Developing the managerial appraisal process

The major objective of this appraisal process is to improve managerial performance. A basic assumption to this process is that performance improvement is most effective when specific efforts are made to achieve it.

Traditionally, appraisal has been thought of in terms of a rating process. It is my belief that appraisal should be much more than a rating process. Properly conceived and implemented, appraisal is a work planning and review process cooperatively carried out by the staff member or manager being appraised and the person responsible for making the appraisal. It is a Joint effort to achieve the best results and to evaluate the results in a fair and objective manner. The appraisal process cannot be viewed as an end in itself. It is a means for motivating self-improvement and increasing the effectiveness of managerial performance. Performance guidelines must be established and utilized for the purposes of self-evaluation and to aid the managers who serve as appraisers.

Appraisal records and actions must be open to the individual managers concerned and that all managers should feel free to question an appraiser's judgments. And, further, a system of review should be established to resolve any such disagreements. The appraisal process always must strive to facilitate the performance of managerial roles rather than hinder the carrying out of managerial responsibilities and duties.

An effective managerial appraisal process must:

1. Have clear objectives and criteria
2. Be purposeful and put to use
3. Not instill fear in the appraise
4. Be cooperatively planned with cooperation procedures
5. Be constructive
6. Be continuous
7. Serve as guidance for the managerial staff
8. Focus upon managerial behaviors and needs

9. Take into account Superior Subordinate relationships

10. Recognize individual factors in a manager's background

11. Judge managerial effectiveness in the light of the organization's objectives and the job expectancies of the various managerial personnel.

The appraisal process described below has attempted to incorporate the above philosophy and objectives.

The primary objective of the appraisal process is to improve managerial performance. Secondary objectives of the appraisal process are to identify personnel with the capacity and readiness for assuming greater responsibility and to establish compensation that is partially based upon performance.

As a result of these objectives, it is anticipated that the organization will have more efficient operations, greater manager-ship potential of the staff, more competent performance, better communications, and a better product.

This appraisal process will enable managers to see the requirements of their jobs more clearly, know the limits of their freedom of action, help them attain self-improvement, and let them know " where they stand " in the performance of their Jobs.

Established job expectancies shall be used as a basis for self appraisal and for appraisal by the appraise and appraiser. In addition, developmental objectives that are cooperatively and jointly defined by the appraise and the appraiser shall be generated in the appraisal process. All managers should be aware that appraisal will be related to job expectancies and the cooperatively defined developmental objectives. Appraisal can be most objective and impartial when job expectancies are clearly established and understood in advance.

The appraisal process entails four basic steps:

1. Self appraisal
2. Mutual establishment of developmental objectives
3. Interim progress meetings. Yearend appraisal.

An overview of the appraisal process is presented in Figure 4.

Much research has gone into the study of the characteristics of a good manager. What has been identified is the fact that successful managers are the result of developing their own unique style of management. There are certain activities in which all managers are involved, i.e., planning, directing, controlling, yet the method by which these are accomplished is the choice of the manager. Therefore, to bring about improvement in the performance of the manager, it is necessary for the manager to know and understand as much about himself as possible. In other words, the manager becomes his own consultant, and the beginning of the improvement cycle begins with the recognition of the need to know one's self better as well as the need for improvement in one's own performance of the management functions. Therefore, the improvement of performance will come about only when managers examine their own behavior

The difficulty in the self-appraisal process is the reluctance the appraise will have in exposing his perceived weaknesses to his superiors. To honestly assess one's strengths and weaknesses in relation to job expectancies, one needs to recognize that it is done in the spirit of advance planning of work, rather than merely submitting to taking a personal test.

The need for identifying improvement of performance and growth of the appraise as the primary objective of the appraisal process is critical to the self-appraisal technique. The appraise should recognize that self-appraisal is truly a part of helping him perform better and may lead to greater opportunity, commendation, compensation, and promotion.

As a guide to the appraise in the self-appraisal process, the following factors should be examined in relationship to the job expectancies.

1. Policies Procedures and Practices: Does the appraise display the skills and knowledge necessary to effectively recommend, establish, and administer policies, procedures, and practices in his areas of responsibility?

2. Supervision: Does the appraise effectively demonstrate and apply the necessary skills and knowledge of supervision to the units and personnel assigned to him?

3. Planning: Does the appraise effectively design, implement, and evaluate the objectives of his units?

4. Decision Making: Does the appraise display the knowledge and skills required to effectively make decisions in terms of degree of independent action and effect on others.

5. Interpersonal Relations: Does the appraise display positive attitudes in meeting with and influencing staff?

6. Physical. Personnel. and Financial Resources: Does the appraise demonstrate effective use of skills and knowledge in cost/effectiveness in the utilization of physical property, personnel, and financial resources?

7. Creativity: Does the appraise show imagination and/or creative ability in the identification of problems and the application of solutions to administrative and/or academic problems.

In addition, it is suggested that the appraise examine the preceding seven factors with respect to the following considerations:

What is my general attitude towards these factors?

Do I work with and through others in accomplishing these factors?
Do I establish objectives for myself in each of these factors?
Do I follow through on plans and actions?
Do I evaluate the results of my plans and actions?
Do I get along with subordinates?
Am I amenable to constructive criticism?
Do I generate confidence among my subordinates?
Do I attempt to develop those under my direction?
Do I delegate responsibility and work?
Do I accomplish my own objectives?
Am I a good organizer?

Emphasis in self-appraisal always should be in terms of job expectancies and actual performance. The primary purpose of the appraisal process is improvement of performance through the strengthening of personal competencies.

At the beginning of the fiscal year a conference should be held between the appraise and the appraiser. The objective of the Conference is to establish consensus between the appraise and the appraiser in regard to the understanding of job expectancies and to establish developmental objectives.

To accomplish this objective, the appraiser should be familiar with the subordinate's job in order to help in the establishment of the developmental objectives. Develop-mental objectives should contribute to the improvement of prime responsibilities that have been delineated as job expectancies.

Once consensus has been reached concerning job expectancies and the develop-mental objectives have been established, discussion should center upon a plan for achieving the developmental objectives. The accomplishment of the objectives should not be viewed as the sole responsibility of the appraise. The appraiser should establish with the appraise a commitment to work cooperatively in order to achieve the developmental objectives.

It should be clearly understood that the appraiser is committing himself and the resources at his disposal to help the appraise achieve the year's developmental objectives. Thus, the appraisal process is truly a cooperative performance developmental unit.

Once the appraiser and appraise have reviewed the job expectancies, established developmental objectives for the year, and agreed upon a plan of action to accomplish the objectives, it is time to set the plan into operation. It is recommended that the plan incorporate a time table that will enable the appraise and appraiser to establish some degree of progress and accomplishment by a specified date.

During step three, the appraisal and supervisory functions become closely tied together. The appraiser and appraise work together toward the achievement of the develop-mental objectives and job expectancies. It is in step two that the mutually defined action plan, in which roles and responsibilities of the appraiser and appraise are specified, is implemented. The appraise will know the extent and type of supervisory help the appraiser will be providing, and the appraiser will have a clear understanding of his commitment toward the needs of the appraise.

It is expected that the appraise and appraiser will be periodically evaluating the progress of the appraise toward his job expectancies and developmental objectives. In fact, agreement should have been reached in step two as to how often the appraise and appraiser will meet to assess progress and discuss problems which may arise.

The primary objectives of step three are to:

1. Review how well the appraise is progressing along the pre-established plan.

2. Identify any areas in which the appraise may be having problems and cooperatively work out plans to overcome these problems.

3. Adjust the plans as conditions change and warrant adjustment.

The periodic progress review meetings are an essential part of the overall appraisal process. It is during these meetings that the appraiser demonstrates his role of support and commitment in helping the appraise attain the developmental objectives. It is therefore critical that the supportive role be consciously followed. Every effort must be made to help the appraise accomplish the agreed upon developmental objectives.

As the appraise and appraiser continue from one progress meeting to another, they are working toward the annual appraisal meeting, which is the next step.

The primary objective of the appraisal meeting is to determine as objectively and fairly as possible the work competence of the appraise. It is not a negative, faultfinding experience which dwells upon identifying areas of performance which were not satisfactory. The appraisal meeting is an informal discussion between the appraise and appraiser centering upon results and potential improvement.

The appraise enters the meeting capable of evaluating his own performance and is fully aware of how he did during the year in relation to his job expectancies and agreed upon developmental objectives. The appraiser is interested in the areas where the appraise had difficulties, in terms of providing assistance and support in helping the appraise achieve his job expectancies and agreed upon developmental objectives rather than in finding fault with the individual and his performance.

The appraise should self-appraise his own performance prior to the appraisal meeting. The appraise should make an honest effort to assess his accomplishment of the job expectancies and developmental objectives Likewise, the appraiser must be prepared for the appraisal meeting. It is important to recognize that not all appraisal meetings will go smoothly.

Some appraises will be uncomfortable others will not. The nature of the appraisal meeting is to review the year's accomplishments and to share common viewpoints and, if necessary, to communicate disagreement. If the appraise and appraiser have worked closely and cooperatively during the year, there is less likelihood of conflicting opinion arising during the appraisal meeting. The appraiser should objectively seek to find out if the job expectancies were lived up to and if the developmental objectives were accomplishes. Basically, the appraiser seeks to find out if behavioral change occurred in terms of the appraises managerial performance and what measures are available to show these accomplishments or lack of accomplishment.

The objective of the appraiser is to complete a thoughtful review of the appraises job expectancy performance and achievement towards developmental objectives, keeping in mind what help and support were given to the appraise. The appraiser may have discovered as a result of the appraisal review that he has given less help and supervision to the appraise than he should have. This may account for some of the deficiency in the subordinate's work. For the appraiser to admit that he may have been at fault will usually increase the rapport between the appraise and the appraiser.

The appraiser and appraise will utilize a form established to record the results of the appraisal meeting. The form permits the appraiser and appraise to evaluate by established performance factors on a 6 point scale relating to job expectancies and provides for additional information concerning achievement of developmental objectives. (See form in Appendix B.)

In addition to the appraisal of performance, consideration shall be given to the individual's potential for promotion to greater responsibilities. The appraiser will indicate on the appraisal form, based upon his judgment and careful examination of the appraises performance, if the appraise has the potential for immediate promotion, eventual promotion, or is not profitable

The appraisal form also provides for an indication of any action that should be taken. One action is that the appraise should maintain his position. However, he may need help or his work may be unsatisfactory an require probationary status. This would be indicated on the form. Secondly, he may be transferred to another position. This can be prompted by the need for a less demanding job or to utilize his skills and talents in a more effective manner. The third possible action would be to replace the individual either by terminating his employment, demoting him to a lesser position, or promoting him.

The appraiser will make a recommendation as to which action should be followed. The appraise signs the appraisal form indicating that he has seen and discussed it with the appraiser. His signature in no way constitutes agreement. Should the appraise and appraiser reach a stage of disagreement concerning the appraisal recommendations, the appraise shall request a conference with the appraiser's immediate supervisor. If the immediate supervisor cannot resolve the disagreement, he shall refer the problem to the CEO for further action. At this time the manager will form a work groups composed of himself, a representative chosen by the appraiser and a representative chosen by the appraise which will settle the disagreement.

Generally, the appraise and appraiser will discuss the areas in which improvement can and should be made. They will reach some general conclusions and identify possible developmental objective areas. It is a opportunity for the appraiser to encourage the appraise to begin thinking about his self appraisal for the upcoming year. Thus, the appraisal process is a cycle which finds the manager constantly striving to maintain managerial performance at a high level.

The operational procedure for staff appraisal as discussed her will have several benefits for the organization. Assuming that the appraisal process is carefully implemented and consistently applied to all managerial personnel, the following benefits can be expected.

1. More effective management will identify areas of meet for more effective management. It shows where management is being highly effective and it makes possible further progress.

2. Better management information will enable all managers to be better informed about the current status of managerial performance in the school system. It provides insight into conditions which need improvement. It can provide information regarding manager-ship for long-range planning and results.

3. Change of attitude will give individuals a positive outlook on appraisal and see it as a means of help as support.

4. Morale builder lets the manager know how he is doing, recognize his accomplishments, and possess a sense of well being in that the manager knows his superiors are interested in his work and his future.

5. Clearly defined responsibilities it explains to the managers the job expectancies, so that through the conferences between appraise and the appraiser, a clearer understanding of job responsibilities results.

This process attempts to build upon the good points of these many processes. As with all appraisal techniques, this one must undergo a period of adjustment. It is expected that refinements can and will be made. It is assumed, however, that if the basic steps outlined in this process are followed, it is reasonable to expect that the participating managers will improve their managerial performance and consequently raise the overall effectiveness of to organization.

Readiness of the receive:Give the feedback only when there are clear indications the receive is ready to be aware of it. If not ready, the receiver will be apt not to hear it or to misinterpret it.

Descriptive not interpretive: Giving feedback should be like acting as a "candid camera." It is a clear report of the facts, rather than your ideas about why things happened or what was meant by them. It is up to the receiver to consider the why or the meanings or to invite the feedback giver to do this considering with him.

Recent happening: The closer the feedback is given to the time the event took place the better. When feedback is given immediately, the receiver is most apt to be clear on exactly what is meant. m e feelings associate with the event still exist so that this, too, can be part of under-standing what the feedback means.

Appropriate times:Feedback should be given when there is a good chance it can be used helpfully. It may not be helpful if the receiver feels there is currently other work that demands more attention. Or, critical feedback in front of others may be seen as damaging rather than helpful.

New things: There is a tendency in giving feedback to say only the obvious. Consider whether the thing you are reacting to really may be new information for the receiver. Many times, the thing which may be helpful new information is not simply a report of what you saw the receiver doing, but rather the way it caused you to feel or the situation you felt it put you in.

Changeable thing:Feedback can lead to improvements only when it is about things which can be changed.

Not demand a change: The concept of feedback should not be confused with the concept of requesting a person to change. It is up to the receiver to consider whether he wishes to attempt a change on the basis of new information. If you wish to include your reaction that you would like to see him change in certain ways, this might be helpful. What is not apt to be helpful is to say, in effect, " I have told you what's wrong with you, now change. "

Not an overload: When learning how to give feedback, we sometimes tend to overdo it. It's as though we were telling the receiver, " I just happen to have a list of reactions here and if you'll settle back for a few hours I'll read them off to you." The receiver replies, " Wait a minute. I'd prefer you gave them to me one at a time at moments when I can really work on them. I can't handle a long list all at once."

Given to be helpful: You should always consider your own reasons for giving your reactions. Are you trying to be helpful to the receiver? Or, are you really just getting rid of some of your own feelings or using the occasion to try to get the receiver to do something that would be helpful for you? If you are doing more than trying to help the receiver with feedback you should share your additional reasons so he will know better how to understand what you are saying.

Giver shares something: Giving feedback can sometimes take on the feeling of a " one-ups-manship " situation. The receiver goes away feeling as though he's "not as good as the giver, because it was his potential for improvement that was focused upon. The giver may feel in the position of having give a lecture from the lofty pinnacle of some imaginary state of perfection. The exchange often can be kept in better balance by the giver including some of his own feelings and concerns.

State what you want feedback about: Let the giver know specific things about which you would like his reactions.

Check what you have heard: Check to be sure you understand what the giver is trying to say. Because the topic is your own behavior, you may tend to move toward thinking about the meanings of the feedback before you are sure you are hearing it as it was intended.

Share your reactions to the feedback: Your own feelings may become so involved that you forget to share your reactions to his feedback with the giver. If he goes off not knowing whether or not he has been helpful and how you now feel toward him, he may be less apt to give you feedback in the future. The giver needs your reactions about what was helpful and what was not so as to know he is improving his ability to give you useful feedback.

Experience with managers at various levels in diverse organizations has led to a clear picture of time wasters which afflict managers universally. There are, of course exceptions. Yet five time wasters nearly always rank at or near the top of every group's list:

1. Telephone Interruptions
2 . Drop in Visitors
3. Meetings ( both scheduled and unscheduled)
4. Crises
5. Lack of Objectives, Priorities and Deadlines

These are close followed by another group of five time thieves:

6. Cluttered Desk and Personal Disorganization

7. Ineffective Delegation and Involvement in Routine and Detail

8. Attempting too Much at Once and Unrealistic Time Estimates

9. Confused responsibility and Authority
10. Inadequate, Inaccurate and Delayed Information

Depending upon the group, particular manager-ship styles an organization characteristics, other time wasters often include:

11. Indecision and Procrastination
12. Lack of or Unclear Communication and Instructions
13. Inability to say "No"
14. Lack of Controls, Standards and Progress Reports
15. Fatigue and Lack of Self-Discipline

The factors that managers themselves say are preventing them from being as effective as they would like. It therefore seems logical to develop criteria with which to measure the degree to which these factors are operating in the daily lives of managers. On the following page are listed some of the criteria by which the operative impact of these time wasters can be measured.

Some of the criteria may be identified simply by their existence (written goals, objectives and deadlines). Others will be identifiable by their incidence as recorded in a weekly time log (interruptions by telephone and drop in visitors, doing a task which could have been delegated, agreeing to a request to which you should have said "No"). Either by
simple conversion to weights or by arbitrary decision, percentage rates of effectiveness called "quotients') can be determined from which relative progress in improving managerial effectiveness can be measured.

1. Telephone Interruptions

Number of calls taken unnecessarily.
Number of minutes spent beyond reasonable requirements.
Number of calls placed unnecessarily.
Extent to which objectives were achieved.

2. Drop in Visitors

Number of visitors which should not have been received.
Number of minutes spent beyond reasonable expectations. Extent to which objectives were achieved.

3. Meetings

Ratio of optimum to actual time spent in meetings.
Extent to which predetermined objectives were achieved.
Participants' views on both of above criteria.

4. Crises

Existence of written strategy for crisis management by Categorizing types of crises anticipated and having a written plan for handling each.

Percentage of potential crises anticipated and prevented or effectively minimized.

Number of cases of " over reaction " (treating problems unnecessarily as crises)

5. Each of objectives priorities and deadline (daily plan) cluttered desk an personal disorganization

Ineffective Delegation and Involvement in Routine and Detail
Percentage of progress toward objectives in measured period.
Existence of priorities and deadlines for all objectives.
Percentage of deadlines met in measured period.
Number of priorities achieved daily.

6. Cluttered desk and personal organization

Responsibility assigned in secretary's job description for orderliness of manager's desk, papers, files, appointments calendar, meetings etc.
Effective daily plan in writing and monitoring process.

Amount of time lost due to searching for misplaced documents, mistakes made or deadlines missed due to dis-organized desk and/or person.

7. Ineffective delegation and involvement in routine and details

Ratio of actual to potential delegations during logged period.

Amount of time spent on routine matters which could have been delegated.

Amount of time spent unnecessarily involved in detail.

Ratio of refusals of inappropriate requests for information, opinions, suggestions or decisions, to the total number of such requests from subordinates (upward delegation) or from associates.

Effect of past record
Compatibility
Effect of regency
The one asset man
The blind spot effect
The high potential effect
The noncompliance bias

The boss is a perfectionist
The contrary person
The oddball effect
Membership in a weak team
Guilt by association effect
Dramatic incident effect
Rating performance on basis of traits
The self comparison effect

1. Subordinate knows in advance the basis on which he will be judged.

2. Superior and subordinate agree on what the subordinate's job really is.

3. Strengthens the superior subordinate relationship.

4. A self-correcting characteristic which tends to help people set targets that are both challenging and reachable.

5. The unit provides a method of spotting training needs.

6. This appraisal approach treats as a total process a person's ability to see an organizational problem, devise ways of attacking it, translate his ideas into action, incorporate new information as it arises, and carry his plan through to results.

Original file name: map - converted on Monday, 16 June 1997, 16:15