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The popularity of American Idol rests on its ability to integrate and simplify six basic elements of a successful performance appraisal process: standards, auditions, critiques, developmental suggestions, advisors, and advertisements – which, in HR terms, are criteria, performance, ratings, feedback, mentors, and communication (respectively). This virtual session will focus on how to leverage the performance appraisal elements embodied by this smash hit to drive performance at individual, team, and organizational levels, including: 1) various criteria used to evaluate performance; 2) the importance of opportunities to display and observe performance; 3) how ratings can be used to propel performance; 4) linking evaluations to feedback and action planning; 5) the relationship between mentoring and performance; and 6) the significance of communication to program success.
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2012 APTMetrics, Inc.
What HR Can Learn From
to Improve Individual, Team, and Organizational Performance
Robert C. Satterwhite, Ph.D.
22 CONFIDENTIAL
What You Will Learn…
1. How to identify performance criteria in support of organizational goals
2. How to leverage the appraisal process to improve performance
3. How to design and integrate developmental resources and other tools with the performance appraisal process
4. How to promote program transparency through communication
5. How to examine your program to overcome typical challenges faced by organizations
33 CONFIDENTIAL
Performance Appraisal: Style
STANDARDS
44 CONFIDENTIAL
Performance Appraisal: In
American Idol The Real World
Standards Criteria
Auditions Performance
Critiques Ratings
Developmental Suggestions
Feedback/Action Planning
Advisors Mentors
Advertisements Communication
Real World Challenge
Not always job-related, too few/many, inconsistent
Difficult to observe, especially if virtual
Subjective, rater “errors” (e.g., recency, halo)
Irregular, inadequate resources, disconnected from ratings or criteria
Informal, inconsistently executed
Lacks timeliness and transparency
55 CONFIDENTIAL
Element #1: Criteria – Overview
• Use (implicit) set of relevant standards to evaluate each performer
• Standards are (generally) applied to all performers
• Identify critical, job-related criteria to evaluate performance
• Apply criteria consistently across employees
66 CONFIDENTIAL
Element #1: Criteria – The “What” & The “How”
Organizational
Functional
Leadership
Individual
Team
Department
COMPETENCIES
PERFORMANCE GOALS
77 CONFIDENTIAL
Element #1: Criteria – Dept. Manager Example
Organizational Judgment, Communication, etc.
Functional Dept. Inventory
Leadership Dept. Talent Planning
Complete On-time Dept. Evaluations Individual
Reduce Store-wide Shrinkage Team
Increase Sales by 5% Department
COMPETENCIES
PERFORMANCE GOALS
88 CONFIDENTIAL
Element #1: Criteria – Competency Example
99 CONFIDENTIAL
Element #1: Criteria – Data-driven Performance Goal Example
Shrinkage Reduction (Current vs. Last Year)Rating Definition
5 8% Reduction
4 4% Reduction
3 No Change from Last Year
2 4% Increase
1 8% Increase
1010 CONFIDENTIAL
Element #1: Criteria – SMART Performance Goal Example
Develop and deliver project management training by 3rd quarter.• Specific/Behavioral
• Measurable/Verifiable
• Achievable
• Realistic
• Time-bound
1111 CONFIDENTIAL
Element #1: Criteria – “Cascading” Down Drives Organizational Performance Up
• Represents aggregate of employee efforts to excel on competencies & reach performance goals
• Goals cascaded in support of mission, vision, strategy
• Identify what is to be accomplished
• Definitions & behaviors cascaded by level in support of mission, vision, strategy
• Identify how goals will be accomplished
Competencies
Performance Goals
Organizational Performance
Drive
1212 CONFIDENTIAL
Element #1: Criteria –Dept. Manager Example Revisited
Company Goals: Increase sales Increase quality of
talent Decrease theft
Regional Exec. District Mgr. Dept. Mgr.
GOALS
• Individual On-time Region Evals. On-time District Evals. On-time Dept. Evals.
• Team Region Shrinkage District Shrinkage Store Shrinkage
• Higher Region Sales District Sales Dept. Sales
COMPETENCIES
• Leadership Regional Talent Plan District Talent Plan Dept. Talent Plan
• Functional Region Inventory District Inventory Dept. Inventory
• Organizational Judgment, Comm. Judgment, Comm. Judgment, Comm.
1313 CONFIDENTIAL
Element #1: Criteria – Additional Considerations
Identify and define 4 – 8 key competencies + performance behaviors• Use SMEs to document their importance to jobs• Cascade competencies across job levels as
appropriate• Revisit competencies every 3 – 5 years or when jobs
change Identify and define 3 – 5 performance goals
• Cascade goals down through the organization• Conduct 2nd level review or manager calibration to
ensure they are fair, objective, and consistent Apply criteria consistently across employees,
e.g., by:• Job Title (e.g., Sales Associate I)• Job Family (e.g., Sales)• Job Level (e.g., Manager)
1414 CONFIDENTIAL
Element #2: Performance – Overview
• Use live auditions and performances to directly observe each participant
• Use direct and indirect observations of performance
• Collect additional input from other parties as necessary
1515 CONFIDENTIAL
Element #2: Performance – Direct vs. Indirect Observation
• Direct observation:• Ride or listen alongs• Participation in team projects• Onsite job simulations
• Indirect observation:• Web-based job simulations• Review output (e.g., reports)• Obtain input from others who have viewed participant’s
performance• Informal (e.g., feedback from dotted-line supervisor) &
formal (e.g., 360 surveys)
• Feedback at an aggregate level• Customer surveys• Engagement surveys
1616 CONFIDENTIAL
Element #2: Performance – Additional Considerations
Work to ensure consistency in “observing” performance across employees within a given…• Role• Level
Regular and consistent indirect observation is especially critical for virtual team members; consider:• Recurring meetings• Frequent reviews
1717 CONFIDENTIAL
Element #3: Ratings – Overview
• Use critiques to make on-the-spot YES (“Going to Hollywood”) or NO (“Not this year”) judgments
• Use managerial ratings and objective evaluations as input to developmental feedback and administrative decisions
1818 CONFIDENTIAL
Element #3: Ratings – Excuses for Not Giving Ratings
• “I don’t have time.”• “It’s hard to rate someone’s
performance over the course of a whole year.”
• “I know in my gut how well they have performed.”
• “Each member of my team knows how I feel about their performance.”
• “I know how I feel about their performance – what about how they feel about their own performance?”
57% of businesses
struggle with
performance managemen
t
1919 CONFIDENTIAL
Element #3: Ratings – Options
Rating Option
1. Manager provides overall performance rating using criteria as input
Pros/Cons
Efficient× Lacks consistency× Fails to recognize strengths
& dev. opportunities
*Could be automatic if completely data-driven.
2. Manager evaluates each competency and performance goal* + provides overall rating
Relatively efficient Recognizes strengths & dev.
opportunities× Lacks consistency
3. Manager evaluates each competency and performance goal*; overall rating determined through weighted algorithm
Relatively efficient Promotes consistency,
standardization, & legal defensibility
Recognizes strengths & dev. opportunities
2020 CONFIDENTIAL
Element #3: Ratings – Additional Considerations
Require/recommend that employees provide self ratings• Helps identify “blind spots” & unrecognized potential
Conduct mandatory organization-wide training to…• Increase awareness of rater “errors” such as halo,
leniency, central tendency, similar-to-me, recency, etc.*• Encourage managers/employees to document projects,
products, key accomplishments throughout the year
Track ratings process to ensure 100% participation• Include as part of managers’ performance goals
Conduct review of ratings to ensure they are fair, objective, and consistent• Recommend 2nd level review or manager calibration• Review data for rater “errors”• Examine data for adverse impact against protected groups
*Rater “errors” may not always be errors!
2121 CONFIDENTIAL
Element #4: Feedback/Action Planning – Overview
• Provide on-the-spot encouraging and constructive comments
• Provide suggestions for improving performance
• Use regular, objective positive and developmental feedback related to performance
• Provide accessible resources and time-bound actions for developmental opportunities
2222 CONFIDENTIAL
Element #4: Feedback/Action Planning – Reasons Why We Don’t Give Feedback
• “I don’t have time.”
• “It’s embarrassing to tell people they’ve done
poorly.”
• “I know that my team needs to improve but I
don’t know how to help them.”
• “If she knows how well she’s doing she’ll
probably want to get promoted!”
• “My direct reports are reluctant to seek
feedback.”
2323 CONFIDENTIAL
Element #4: Feedback/Action Planning – The Seven B’s
1. Be Available – Investing time in your team demonstrates your commitment to their growth and success
2. Be Approachable – Make changes in your behavior and office to encourage interactions
3. Be a Listener – Start with their perspective4. Be Positive – Focus first on strengths, then
opportunities5. Be Supportive – Use “I” and “We” statements
to motivate and create a sense of team6. Be Objective – Keep feedback specific,
behavioral and focused on performance7. Be Timely – Don’t delay feedback but ensure
context is appropriate (praise in public, punish in private)
2424 CONFIDENTIAL
Element #4: Feedback/Action Planning – Tool #1: Gap Analysis/180-degree Survey
Includes: • Self-rating• Manager Rating• Current Job
Requirements• Next Level Job
Requirements• Unrecognized
Potential• Blind Spots/Gaps
Identify gaps for current and one- level-up positions
2525 CONFIDENTIAL
Element #4: Feedback/Action Planning – Tool #2: Developmental Resource Guide
2626 CONFIDENTIAL
• Final Evaluation Criteria
• FAQs
• “Walking Deck” to Review in Staff Meetings, Town Halls, etc.
• Developmental Resources Guide
Element #4: Feedback/Action Planning – Tool #3: Manager Toolkit
2727 CONFIDENTIAL
Element #5: Mentors – Overview
• Guide performer’s development through recommendations and regular formal interactions
• Guide mentee’s development through advice, introductions, motivation, emotional support, etc. as well as regular formal interactions
2828 CONFIDENTIAL
Element #5: Mentors – Setup and Implementation
• Conduct needs assessment through…• Surveys• Focus groups/sessions• Evaluation of strategic goals/organizational
initiatives• Use results from needs assessment to…
• Develop mentoring process• Identify and recruit participants• Match mentors and mentees
• Implement mentoring program…• Conduct orientation and training• Evaluate program effectiveness, including effect
on diversity and inclusion initiatives
2929 CONFIDENTIAL
Element #5: Mentors – Benefits
• For mentees…• Professional
development• Sponsorship• Career planning• Support
• For mentors…• Personal satisfaction• Insights into own work
processes• Renewed sense of
relevance and investment
• For organizations…• Improved retention,
knowledge transfer, and professional development
• A culture that values employee development
• Key component in the development and retention of diverse talent in leadership roles
3030 CONFIDENTIAL
From Frank Dobbin, Evidence-Based Diversity Management: What works in Corporations, Military Leadership Diversity Commission, June 2010
Element #5: Mentors – Program Effects on Management Diversity
3131 CONFIDENTIAL
Element #5: Mentors – Relationship Between Mentoring and Workforce Representation
3232 CONFIDENTIAL
Element #6: Communication – Overview
• Use host to explain the show’s format, structure, and process
• Broadcast advertisements to promote the show
• Use HR to describe the process’ content, tools, and procedures
• Publicize process through focus groups, webinars, announcements, training, etc.
3333 CONFIDENTIAL
Element #6: Communication – Introducing Process to Company
A well-planned and engaging rollout
ensures buy-in and adoption of processes
3434 CONFIDENTIAL
Element #6: Communication – Key to Transparency
• Communication begins early and parallels project development and implementation• Identify and leverage…
• Stakeholders who will champion the process and build support
• Diverse, long-tenured, high performing SMEs who will lead/support process development
• Develop and deliver training, webinars, town hall slides, emails, etc.
• How and why process was developed, timing, implementation, etc.
• Define and disseminate policies and procedures (e.g., for new managers and employees)
• Follow-up to obtain feedback from users
3535 CONFIDENTIAL
Closing Thoughts: First Things First!
Bring key stakeholders to the table at the planning
stage…and again at key points in the process
Identify your goals first, and then your supporting
process
Design your process first, and then your system to
support it
Create mechanisms that encourage and reward
participation
Conduct a pilot to work out the kinks and get feedback
3636 CONFIDENTIAL
Any Questions?