Copyright © Grote Consulting Corporation 1990-2010
About Dick GroteA consultant for over 25 years specializing exclusively in performance management.
A regular commentator on NPR’s “MorningEdition” program.
Adjunct Professor of Management at the University of Dallas Graduate School.
Author of:
Discipline Without Punishment The Complete Guide to Performance Appraisal The Performance Appraisal Question and Answer Book Forced Ranking: Making Performance Management Work
Copyright © Grote Consulting Corporation 1990-2010
Messy Performance Reviews . . .
Performance reviews that we conduct as part of our organization's performance management system.
Performance discussions that we conduct independent of the formal performance appraisal system that are triggered by a concern we have about an employee’s performance.
Copyright © Grote Consulting Corporation 1990-2010
Why Performance Management So Often Goes Wrong . . .
1. PerformanceAssessment:
Fill out the form
1. PerformanceAssessment:
Fill out the form
2. PerformanceReview:
Tell Charlie how he did
2. PerformanceReview:
Tell Charlie how he did
Copyright © Grote Consulting Corporation 1990-2010
An Ideal Performance Management System
Phase I:Performance
Planning
Phase I:Performance
Planning
Phase II:Performance
Execution
Phase II:Performance
Execution
Phase III:PerformanceAssessment
Phase III:PerformanceAssessment
Phase IV:Performance
Review
Phase IV:Performance
Review
Copyright © Grote Consulting Corporation 1990-2010
Key Point:
We earn the right to hold people accountable for their performance at the end of the year by making our expectations clear at the start of the year.
Copyright © Grote Consulting Corporation 1990-2010
Big Question # 1
Why do we do performance appraisal?
Copyright © Grote Consulting Corporation 1990-2010
Answer: It’s an ethical obligation
Every person in every organization wants the answer to two questions:
1. What do you expect of me?
2. How am I doing at meeting your expectations?
Copyright © Grote Consulting Corporation 1990-2010
An Ideal Performance Management System
Phase III:PerformanceAssessment
Phase III:PerformanceAssessment
Copyright © Grote Consulting Corporation 1990-2010
Big Question # 2
What is a performance appraisal?
Copyright © Grote Consulting Corporation 1990-2010
Answer :
A performance appraisalis a formal record
of a supervisor’s opinion of the quality of an employee’s work.
Copyright © Grote Consulting Corporation 1990-2010
The operant word . . .
A performance appraisalis a formal record
of a supervisor’s opinionof the quality of an employee’s work.
Copyright © Grote Consulting Corporation 1990-2010
What does “objective” mean?
ob·jec·tive adjective Abbr. obj.
1. Of or having to do with a material object.
2. Having actual existence or reality.
3. a. Uninfluenced by emotions or personal prejudices: an objective
critic. See synonyms at fair1. b. Based on observable
phenomena; presented factually: an objective appraisal.
Excerpted from The American HeritageDictionary of the English Language, Third EditionCopyright © 2002 by Houghton Mifflin Company.
Copyright © Grote Consulting Corporation 1990-2010
What is “an objective appraiser?”
Has a clear model of excellence.
Is trained and experienced.
Acts with integrity.
Copyright © Grote Consulting Corporation 1990-2010
What about employee self-appraisal?
The Problem:
The infinite human capacity
for self-delusion.
Copyright © Grote Consulting Corporation 1990-2010
Self-DelusionAre you one of the top 10% of performers in your company?
Business Week, August 20, 2007Survey of 2,000 Americans in middle management and above, 25 years and older, conducted by Beta Research Corp.
of Syosset, N.Y., for BusinessWeek during June 28 to July 5, 2007, using an online panel. Margin of sampling error is plus or minus 2.2%.
Copyright © Grote Consulting Corporation 1990-2010
Avoiding problems with employee self-appraisal
1. Avoid asking for a self-rating.
2. Avoid using the appraisal form.
3. Refer to your document as the “official appraisal.”
4. Instead of a self-appraisal, request a “good stuff list.”
Copyright © Grote Consulting Corporation 1990-2010
Remember!
A performance appraisalis a formal record
of a supervisor’s opinionof the quality of an employee’s work.
Copyright © Grote Consulting Corporation 1990-2010
Keep in mind . . .
A performance appraisal rating represents a summing up of an individual’s performance for one 12-month period.
It is not a lifetime achievement award.
Copyright © Grote Consulting Corporation 1990-2010
An Ideal Performance Management System
Phase IV:Performance
Review
Phase IV:Performance
Review
Copyright © Grote Consulting Corporation 1990-2010
Big Question # 3
What is the objective of the performance
appraisal discussion?
Copyright © Grote Consulting Corporation 1990-2010
Answer :
The objective of the performance appraisal discussion
is not to gain agreement.
The objective of the discussion is to gain understanding.
Copyright © Grote Consulting Corporation 1990-2010
Pre - Meeting Checklist
Gather all your information and materials.
Choose a convenient time.
Pick an appropriate place.
Consider facilities and room arrangement.
Determine the agenda.
Arrange for work coverage.
Give the individual a copy of the appraisal to read in advance of the meeting.
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
B
EHA
VIO
RS
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at
BEH
AVI
OR
S Po
or
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at
Star
BEH
AVI
OR
S Po
or
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at
Star
Journeyman
BEH
AVI
OR
S Po
or
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at
Star
Journeyman
BEH
AVI
OR
S Po
or
Failure
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure Prima Donna
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure Prima Donna
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
ATT
ITU
DE
Poor
Failure Prima Donna
Poor Great
RESULTS
Goal:To thank the person for their contri-butions and motivate continued high performance.
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure Prima Donna
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure Prima Donna
Poor Great
RESULTS
Goal:• Let the individual
know that he or she must make immediateperformance improvements
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure Prima Donna
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
How to conduct appraisal discussions
Gre
at Lovable
Loser Star
Journeyman
BEH
AVI
OR
S Po
or
Failure Prima Donna
Poor Great
RESULTS
Copyright © Grote Consulting Corporation 1990-2010
Reviewing Low Performers
Don’t provide a copy of the appraisal in advance.
Get right to the point.“Come in, George, sit down. I’ve got some bad news for you. I’ve got your performance appraisal here, and quite frankly, it isn't very good.
“I need you to read it, and then we’ll talk about what you need to do.”
Let the individual read and respond.
Copyright © Grote Consulting Corporation 1990-2010
How to Deal with Messy Issues
What is a “messy issue?”An issue / problem / failing that is of sufficient importance that the individual's overall job performance is compromised.
An issue / problem / failing that is grounded in the manager’s perceptions and may not be provable with quantitative data.
An issue / problem / failing that will result in adverse action being taken if there is not an immediate improvement or correction.
Copyright © Grote Consulting Corporation 1990-2010
How to Deal with Messy Issues
Key points on confronting messy issues:The manager’s perception is the crucial factor in determining whether the issue is important.
The individual is responsible for managing the manager’s perceptions.
The individual is responsible for finding and implementing a solution. The manager’s role is to be an advisor and a coach, not a problem-solver.
Copyright © Grote Consulting Corporation 1990-2010
Examples of “Messy Issues”Annoying / offensive behaviors Insubordinate
Careless / frivolous Lazy /Goofing off
Complaining / Whining / Crabby Malicious obedience
Defensiveness / Excuses Negative / Cynical
Disruptive/ Explosive Pouting / Sulking
Egotistical / Credit-grabbing Rude / Surly / Inconsiderate
Inattentive to Work Quarrelsome
Insensitive to others Poor time management
Insufficient technical skills Excessive socializing
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Preparation
1. Write down all of the examples you have seen (or have had reported to you) that confirm that your perception is accurate.
2. Identify the Impact: the good business reasons why this issue creates a problem for you / your organization / your boss / customers / co-workers, etc.
3. Consider the consequences that will logically follow if the person is unable or unwilling to resolve the situation to your satisfaction.
4. Don't attempt to diagnose the cause of the problem or the reasonwhy the person is acting the way he/she is.
5. Consider some suggestions for how the individual might solve theproblem and change your perception – but remember that the responsibility for solving the problem rests with the individual.
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
1. Bring up your concern using an “I-message.” For example:
“Betty, I have a concern about the way you interact with others that worries me.”
“George, I have a problem relating to the way you handle repair requests that I need to bring to your attention.”
“Harry, I’m concerned that you often don’t share important information with me.”
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
2. Provide the two or three of the most significant examples that support your concern.
“At our team meetings, you often seem to be distracted when other people are talking. I’ve noticed that you often fold your arms across your chest and shake your head in a negative way when others make suggestions. I’ve noticed that you work on your Blackberry when others are making presentations. And people have told me that you often don’t attend team meetings.”
“You seem to set your priorities by tackling the easy problems first and leaving the more difficult ones for others to pick up. It seems to me that you don't have all the technical capabilities we expect of someone in this position. When technical training opportunities come up, you haven’t signed up for them.”
“My boss made a reference last week to a new development in the Thompkins project that you’re in charge of that I wasn’t aware of. I felt caught off guard and ill-informed. You don’t come to me to share information – if I need to know anything, I have to go to you and ask questions. You seem to be very territorial and overly protective about what you’re doing.”
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
3. Make a brief statement about the impact of the problem.
“It’s important to me that we all function as a model team and demonstrate real teamwork. But you seem to be avoiding meeting both your team responsibilities as well as your individual responsibilities, and that has a negative effect on everyone.”
“I’ve heard rumblings among the other technicians that you cherry-pick the repairs and leave the tough ones for them. If they feel that way, our service scores are going to go way down and reflect a lot of user discontent with our group.”
“This causes me to look like I don’t know what’s going on in my own department.”
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
4. Turn the conversational ball over to the person by asking a question.
What I've shared with you is very serious. How would you respond to my observations?
Can you shed any light on why it is that I see the situation in the way that I do?
What would you do if you were me and had these concerns?
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
5. Listen to make sure that there isn't any information that would cause you to change your mind about the nature or seriousness of the problem.
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
6. Assign the individual the responsibility of solving the problem and changing your perception.
“What steps do you think you can take to make everyone see you as having the same commitment to the team that they do?”
“Do you think it’s possible for you to handle the same kind of complicated technical problems that the other technicians handle? How will you go about doing that?”
What suggestions do you have about how you can solve this problem and put this concern of mine to rest?”
Copyright © Grote Consulting Corporation 1990-2010
Messy Issues – Discussion
7. If the problem involves interpersonal relations or inappropriate behavior, tell the individual what behavior is required: courteous, cooperative, and helpful.
Copyright © Grote Consulting Corporation 1990-2010
How to Deal With Defensiveness
Allow it. It’s normal.
Restate the individual’s position.
Acknowledge their feelings.
Pause to allow your acceptance to sink in.
Ask for more information on their point of view.
Copyright © Grote Consulting Corporation 1990-2010
Question period (and then . . .The Magic Ingredient!)
Want more info? [email protected]
Dick GroteGrote Consulting Corporation 2591 Dallas Parkway, Suite 300Frisco, TX 75034
972 335 6644