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7/31/2019 Modeling Dynamics of Real Time Appraisal .. Indian Army( Pinku)
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MODELING DYNAMICS OF REAL TIMEAPPRAISAL ; INDIAN ARMY
NAME : COL SANJEEV BHATTACHARJEECOURSE : INDUSTRIAL RELATIONS ANDPERSONNEL MANAGEMENTGROUP : M3 ( M)
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ROLL NO : 21
ACKNOWLEDGEMENTS
1. I would like to express my sincere gratitude to all mymentors in Bharatiya Vidya Bhawan who have provided mean opportunity to work on this project which has been a greatlearning experience.
2. I would also like to thank Mr Shubhinder Singh ,Managing Director Reebok , Mr Sajjad Shamim , DirectorMarketing Adidas India , Mr P Suri , Regional ManagerMarketing - Nike who spared their valuable time to discussand guide me on my project. I would also like to thank MsReeta Bhattacharjee , Director HR Reebok India who hasbeen an excellent guide and mentor for helping meappreciate and understand the importance of consumerbehaviour and its relevance in positioning strategy andadvertisements.
3. I would be failing in my duty , if do not mention mysincere gratitude to the branch mangers of branded sportsaccessories and apparel companies in Kolkata , for allowingme access to their facilities and their numerous sales andoutlet staff in helping me with my survey.
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heroism. The hero protects and cherishes all, and things depend
upon the hero".
INDEX
SER NO CHAPTER TOPIC PAGE NO
1. CHAPTER NO 1 : INTRODUCTION 7 - 9
2. CHAPTER NO 2: OBJECTIVES , HYPOTHESIS & SCOPE 10 - 14
3. CHAPTER NO 3 : LIMITATIONS 15 - 24
4. CHAPTER NO 4 : THEORETICAL PERSPECTIVE 25 - 48
5. CHAPTER NO 5 : METHODOLOGY & PROCEDURE
OF WORK 49 - 56
6. CHAPTER NO 6 : FINDING & INFERENCES 57 - 66
7. CHAPTER NO 7: RECOMMENDATIONS 67- 69
8. CHAPTER NO 8: CONCLUSION 70 - 81
9. CHAPTER NO 9 : SUMMARY OF THE PROJECT REPORT 82 - 86
10. ANNEXURES :
i) PROPOSAL 87 - 94
ii) REFERENCES 95 - 96
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CHAPTER NO 1 : INTRODUCTION
1. A significant development in the field of organization, in recent times, is the increasing
importance towards management of human resources. Performance appraisal has been one of the most
debated management practices for several decades. It has generated a wide variety of viewpoints. Much
attention is being paid to the motivational aspects of human personality, particularly the need for self-
esteem, group belonging and self-actualization. This new awakening of humanization all over the globe
has, in fact, enlarged the scope of applying various principles of human resource management in
organizations. The development of human resource elements, their competencies, and the process
development of the total organization are the main concerns of human resource management.
2. The history of appraisal is quite brief. Its roots originated the early 20th century. This can be
traced to Taylor's pioneering Time and Motion studies. But such a reference may not be that helpful,
for the same may be said about almost everything in the field of modern human resources management.
As a distinct and formal management procedure used in the evaluation of work performance, appraisal
dates from the time of the Second World War - not more than 70 years ago. Yet in a broader sense, the
practice of appraisal is a very ancient art, which in the scale of things might well lay claim to being the
world's second oldest profession!
3. There is a basic human tendency to make judgments about those one is working with, as well
as about oneself. Appraisal, it seems, is both inevitable as well as universal. In the absence of a
carefully structured system of appraisal, raters tend to judge the work-performance of others, including
subordinates, naturally, informally and arbitrarily. The human inclination to judge does create serious
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motivational, ethical and legal problems in the workplace. Without a structured appraisal system, there
is little chance of ensuring that the judgments made will be lawful, fair, defensible and accurate.
4. Appraisal system began informally as a simple method of income justification. That is, appraisal
was used to decide whether or not the salary or wage of an individual ratee was justified. The process
was firmly linked to material outcomes. If a ratees performance was found to be less than ideal it was
then decided that a cut in pay would follow. On the other hand, if their performance was better than
what the rater expected, a pay rise was in order. Little consideration, if any, was given to the
developmental possibilities of appraisal. If was felt that a cut in pay, or a rise, should provide the only
required impetus for an ratee to either improve or continue to perform well. Sometimes this basic
system succeeded in getting the results that were intended; but more often than not, it failed.
5. Uneasiness or resistance to adopting appraisal is linked to appraisal attitudes and
knowledge. Recent research, together with considerable anecdotal evidence, suggests that many
organisations and their senior raters still regard appraisal as a mechanistic annual ritual which is a
necessary evil. It is opined that it has little relevance to their bottom line. Overall, there has been
minimal recognition and understanding of the power of appraisal practice. This phenomenon is not
surprising given the findings of earlier studies indicating that raters, generally, neither have a fullappreciation of the role of human resource management in their organisation nor do these raters see
human resource management as particularly strategic in nature. The appraisal of ratee performance, as
well as the appraisal of its collective contribution to organisational effectiveness, has often been
perceived as a combination of informal and formal techniques. Nevertheless, there is an emerging
consensus that these techniques together have the potential to motivate individual ratees, their work
groups and to evaluate the efficacy of all human resource management functions. This would provide
organisations with a strategic advantage in their ongoing pursuit of competitive goals/objectives and
imperatives.
6. The functional principles of management, from the point of view of appraisal revolve around;
the nature of appraisal, managing appraisal, managing the ratee/ the rater and finally, the structure and
responsibilities of the organization. There is available today the knowledge and the experience required
for successful practice of appraisal. But, there is probably no field of human endeavour or
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organizational efforts where the tremendous gap between the knowledge and performance of the rater
vis--vis the knowledge and performance of the ratee is widening or becoming more intractable. There
is widespread agreement that success or failure in appraisal depends on at least four criteria;organizational philosophy, the attitudes and skills of those responsible for its implementation,
acceptance, commitment and ownership of appraisers/ appraisees and the endorsement of the notions of
procedural fairness and distributive justice. Procedural fairness refers to the ratees perception of the
programs overall process equity. Distributive justice is linked to perceptions of the fairness of
associated rewards and recognition out comes.
7. Advocates of real-time based appraisal systems argue that appraisal programs are the logical and
preferable means to appraise, to develop and to effectively utilise the ratees knowledge and
capabilities. Of course, all of these outcomes will only be possible when the end user, the rater, is
educated in the effective processes of real-time based appraisal and persuaded of the potential benefits
of getting it right. Another school of thought is less supportive as regards the perspective of the merits
of appraisal. For instance, studies suggest that appraisal and appraisal nourishes short-term
performance, annihilating long-term planning, building fear, demolishing teamwork and nourishing
rivalry and politics. Some have critiqued the practical difficulties of appraisal systems whilst
supporting the underlying principles. Comparative analyses of both the schools of thought reveal thatthere is a lack of universal agreement as regards the effectiveness of appraisal programs.
8. Despite the diversity of these views, appraisal programs, if effectively implemented, can benefit
both organisations and their ratees (this infact forms the hypothesis of the present research problem).
Arguably, the system has the potential to provide individual feedback and collated organisational data.
This can be used for the purposes of human resource management planning and program evaluation
purposes. Moreover, collated data can assist planning, human resource development programs and
remuneration schemes. Individual appraisal outputs include opportunities for remedial skills
development, retention, career development and training and up skilling programs.
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CHAPTER NO 2 : OBJECTIVES , HYPOTHESIS AND SCOPE OF THE
STUDY
OBJECTIVES OF APPRAISAL
9. The principal objectives of carrying out an appraisal are, to bring about better
operational results, meet ratees developmental needs, provide information useful for (staffing)
planning by identifying ratees with potential for advancement and with abilities yet to be used,(i.e.
evaluating on-the-job relationships for future ratees),to provide a basis for compensation action, form
a basis for promotions, transfers, form a platform for efficient/effective human resources
development, provide an adequate feedback to each ratee on his / her performance, serve as a basis for
improving / changing behavior towards more efficient/effective working habits (to help each ratee
handle his current job better), assist the superiors in acquiring an increased understanding of theirratee work behavior, the work itself and their ratee strength / weaknesses thereby developing a team
work among the participants in an organizational setting (enhancing ratees efficiency/effectiveness),
remove work alienation and help ratees internalize the norms, values and ethics of the organization,
exercise control , develop interpersonal relationships and develop database about the ratees job /
career graph.
10. What Raters Need From Appraisals? Raters need comparative performance data for
making comparative decisions that affect both the ratees selected and the ones not selected. With
exception of a termination for cause, it is hard to imagine a personnel decision that is not
comparative. Some examples of decisions which are comparative are; Promotions, Downsizing,
Merit Rewards, Incentive Rewards Job Assignments and Training Programs .With comparative
decisions, if one is promoted others are not; if one receives a favorable job assignment, others do not.
In the case of decisions with negative consequences, such as downsizing, some are let go, others are
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retained.Whenever ratees believe the outcome of a decision has negatively affected their careers,
their opportunities, their chances for advancement, they claim unfair treatment. The organization can
only defend itself from such a claim if they can show that the ratee selected was not just qualified. Theindividual ratees, however, needs information about his or her performance that provides feedback
about how his or her performance is viewed by the organization and especially about areas of
marginal or substandard performance. In addition to being a review of performance, the data should
also stimulate a dialogue between rater and ratees that anticipates future performance, with an eye
towards growth and development.
11. Career development implies continued growth-learning additional skills and
overcoming new challenges. Raters no longer need to feel they are grooming ratees just for
promotion, either within or outside of their departments. Instead, ratees may find job satisfaction by
moving laterally or by enriching their present positions with different responsibilities. Helping ratees
develop their skills and increase their knowledge strengthens the whole team. Ratees feel valued and
are more efficient when they perform more job functions. Raters who do not encourage career
development may lose productive ratees when positions are eliminated or ratees become dissatisfied.
Thus, it is crucial for raters to assume a coaching role and accept a few additional
responsibilities. Because the old career paths are gone, ratees need to take some more responsibilityfor managing their careers. However, they need some assistance in that process. Successful
organisations give them the resources and it is up to raters to communicate that message by acting as
career coaches.
12. Key objectives of appraisals include: validating selection and other management or
cultural practices, helping ratees understand and take responsibility for their performance and making
decisions about rewards or promotions. Important steps to obtaining useful traditional appraisals
include determining the type of data to be collected as well as who must conduct the appraisal,
establishing a rating philosophy, overcoming typical rating deficiencies, creating a rating instrument,
and engaging the ratee in making decisions on future performance changes. An effective negotiated
appraisal helps the ratee take additional ownership for both continuing effective performance and
improving weak areas. Ratee goals set through appraisals should be difficult but achievable, as goals
that are overly ambitious are doomed for failure. Some ratees tend to boycott their own progress by
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setting impossible goals to achieve. Finally, ratee does want to know what you think of their work.
Letting ratee know that you have noticed their efforts goes a long way towards having a more
motivated workforce.
13. Appraisal is a vehicle to validate / refine organizational actions and provide feedback
to ratees with an eye on improving future performance. Ratee selection, training and just about any
cultural or management practice (such as the introduction of a new pruning method or an incentive
rewards program) may be evaluated in part by obtaining ratees performance data. The evaluation
may provide ideas for refining established practices or instituting new ones. Some options include,
paying more attention to interpersonal skills when selecting new raters, encouraging present raters to
attend communication / conflict and providing the rater one-on-one counselling. Data from appraisals
can also help ratees plan for long-term staffing and ratees development, give rewards raises or other
rewards, set up a ratee counselling session, institute discipline or discharge procedures.
14. Keeping all the above on a holistic platform, the principal aim of this study is to narrow the gap
between what can be done and what is being done by the rater and the ratee in the dynamics of
appraisal. An attempt has been initiated in examining real-time based appraisal, juxtaposed with
performance management, in organizations along with identification of the concepts and issues involved
in the process. The attempt aims at setting out the framework required to ensure accountability for
performance, emphasize the need for innovative mechanisms and highlight the key parameters for a
successful performance management system. The prime purpose would be to compare the findings of
earlier studies and to ascertain whether processes have evolved to provide a more effective strategic tool
in the human resource appraisal repertoire. The study would update data on the goals, purposes, types,
measures, and communication techniques of contemporary appraisal systems. With this as the backdrop,
the objective of this study is;
1. To assess the suitability of appraisal an instrument of individual and organizational
development,
2. To examine the mechanics of modeling appraisal,
3. To apply the model in the context of Indian Army, and
4. To offer constructive criticisms and recommend a set of functional package pertaining
to the dynamics of appraisal.
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HYPOTHESIS
15. Real-time based appraisal facilitates individual and organizational development.
SCOPE OF THE STUDY
16. The scope of the present study is to examine the various facets of real-time based appraisal and
their inter-relationships in a macro perspective. However, the scope the case study has been restricted to
the Officers cadre of the Indian Army. The organization harbors a vast pool of respondents who are
apprised and do the job of appraising at various levels on a different platform. This adds to the
diversifying nature of appraisal. The sole instrument for appraisal in the Army is the Annual
Confidential Report which is based on a rating scale system. There is a general resentment that the
appraisal system suffers from various lacunae and does neither meet the respondents needs nor the
organizational needs.
ISSUES UNDER CONSIDERATION
17. The issues under consideration are as under :
a) There is a need to review the extra-role contributions of appraisal correlates. This
would specify the appraisal referent that is tied to the extra-role contributions, a need for re-
formulation of the appraisal proposition and finally, establish the linkage between individual and
organizational development.
b) While analyzing the above issues there is a pressing need to examine the objectivity
and transparency of appraisal, the assessment of individual skills and individual worth, the
aspects of communication, motivation, performance satisfaction ,training ,superior - subordinate
relationship working environment ,significance in organizational setting and emphasis on thedate-process .
JUSTIFICATIONS FOR THE STUDY
18. Appraisal is attaining an increased order of importance from the point of view of achievement of
meaningful personal and system goals. There is a need to establish a frame-work wherein, the appraisal
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can target at improving skills, productivity, organization and excellence towards individual and
organizational development.
19. Appraisal programmes has not fared well in the eyes of the critics. It is often argued that suchinstruments have not contributed any new ideas. The argument put forth is that most or all of the
appraisals are not based on real-time dynamics. There is the inadequate status of present knowledge.
This necessitates adapting real-time based innovative mechanism with a survey of the conceptual and
empirical parameters.
20. Apparently the present arrangement in the Indian Army does not fully meet the organizational
requirements. Nor does it enjoy implicit faith of the Respondents reported upon. This needs to be
critically evaluated, examined and replaced with a more comprehensive and transparent system. This is
in order to ensure that the objectives of appraisal are recognized and respected in principle and practice.
21. There is the need to re-examine certain select principles and practices of the appraisal
programmes. This would have to be done by establishing and interpreting human statistics. There is a
need to envision a more research focused and multi- disciplinary engagement with complex
fundamental issues that face organizations today. There are specific questions that would benefit from
deeper intellectual engagement given the array of appraisal criterion and methodologies being adopted
and followed by various organizations.
22. Appraisal criterion and methodologies are often inadequately described and not based on real-
time considerations. With some degrees of controlled exploration there is a possibility of prescribing a
standard bench-mark apparatus.
ASSUMPTIONS
23. The following are the assumptions to this study:
(a) That, the decision maker (rater) determines a solution to his routine or repetitive problem of
assessing his rates,
(b) That, the decision maker (rater) has the ability to examine a situation, for the multiple
variables, from various angles and simulating it.
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CHAPTER NO 3 : LIMITATIONS
COMPLEXITIES IN APPRAISAL
24. Recent trends and developments in the mechanism of appraisal have raised a package of
pertinent issues. The questions are; how to define a job, how to design an appraisal system ,how to
differentiate between performance and potential appraisal / development, whether appraisal should be
mixed / paired /absolute / 360-degree, how to assign weights to parameters , how to conduct a
performance audit , what are the significant errors , how to bring about statistical soundness, what
should be the nature and form of feed back, how to make the system of appraisal more pragmatic and
how to make the purpose of appraisal more development oriented rather than punitive , to list a few.
All these require serious introspection on an inter-disciplinary basis.
25. Appraisal has many facets. It is an exercise in observation and judgment; it is a feedback process
and is an organizational intervention. It is a measurement process as well as an intensely emotional
process. Above all, it is an inexact human process. While it is fairly easy to prescribe as to how the
system should work, descriptions of how it actually works in practice are rather discouraging. Most
ratees want feedback as long as it mirrors their self-perception. When it does, they tend to like it.
When it doesnt, they dont.
COMMON PITFALLS
26. Obstacles to the success of formal appraisal programs are familiar to most raters, either
from painful personal experience or from the growing body of critical literature. Presented in the
successive paragraphs are the most troublesome and frequently cited drawbacks:
27. Appraisal programs demand too much from raters. Formal appraisals obviously require
at least periodic rater observation of subordinates' performance. However, the typical first-line rater
can hardly know, in a very adequate way, just what each of his subordinates are doing. Standards and
ratings tend to vary widely and, often, unfairly. Some raters are tough, others are lenient. Some
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departments have highly competent ratees; others have less competent ratees. Consequently, ratees
subject to less competition or lenient ratings can receive higher appraisals than equally competent or
superior associates. Personal values and bias can replace organizational standards.
28. An appraiser may not lack standards, but the standards he uses may be sometimes the
wrong ones. For example, unfairly low ratings may be given to valued subordinates so they must not
be promoted out of the raters department. More often, however, outright bias dictates favored
treatment for some ratees. Because of lack of communication, ratees may not know how they are
rated. The standards by which ratees think they are being judged are sometimes different from those
their superiors actually use.
29. No appraisal system can be very effective for management decisions, organization
development, or any other purpose until the ratees being appraised know what is expected of them
and by what criteria they are being judged. Appraisal techniques tend to be used as performance
panaceas. If a ratees lacks the basic ability or has not been given the necessary training for his job, it
is neither reasonable to try to stimulate adequate performance through appraisals, nor fair to base
salary, dismissal, or other negative decisions on such an appraisal.
30. Poor performance represents someone else's failure. In many cases, the validity of
ratings is reduced by raters resistance to making the ratings. Rather than confront their less effective
subordinates with negative ratings, negative feedback in appraisal interviews, and below-average
salary increases, raters often take the more comfortable way out and give average or above-average
ratings to inferior performers. Appraisal ratings can boomerang when communicated to ratees.
Negative feedback (i.e., criticism) not only fails to motivate the typical ratee, but also can cause him
to perform worse .Only those ratees who have a high degree of self-esteem appear to be stimulated
by criticism to improve their performance. Appraisals interfere with the more constructive coachingrelationship that should exist between a superior and his subordinates. Appraisal interviews tend to
emphasize the superior position of the rater by placing him in the role of judge, thus countering his
equally important role of teacher and coach. This is particularly damaging in organizations that are
attempting to maintain a more participative organizational climate.
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31. The organization must not get trapped into the various pitfalls that come along with
administration of appraisal system. The question that arises here is how to avoid these pitfalls? A
necessary condition for the effective management of appraisal system in any organization is the needto clarify and communicate to all concerned, the objectives that the system intends to achieve.
Everyone in the organization especially the key decision makers should be fully aware of precisely
what objectives the system of appraisal is expected to achieve, and the priorities within these
objectives.
BARRIERS TO APPRAISAL
32. The widely recognized barriers to an efficient/effective appraisal are;
a) Faulty Assumptions (that, appraisers naturally wish to make fair and accurate
appraisal of ratee is untenable, that, appraisers take a particular appraisal system as perfect and
continue with that format for ever, that, personal opinion is better than formal appraisal and
that, ratees eagerness to know their position is not valid).
b) Psychological Blocks (appraisers feeling of insecurity, appraisal as an extra burden,
degree of being excessively modest or sceptical, disliking of resentment by ratee, treatment ofratee failure as deficiency of own and disliking of communication of poor performance to
ratee).
c) Technical Pitfalls (Criterion problem which is difficult to define, ambiguous, vague
and generalization, distortions that include halo effect, central tendency, constant errors and
appraisers degree of liking / disliking and shifting standards that include first impression,
latest behaviour, horn effect and spill-over effect ).
33. Many researchers are skeptical about the use of self-ratings. They believe that
problems associated with informant fallibility strongly contaminate the results from questionnaires
asking ratees to report on themselves and their performances. It has been observed that inaccurate
recall in retrospective reporting can result from inappropriate rationalizations, oversimplifications,
faulty attributions and simple lapses of memory. Besides, ratees are naturally motivated to present
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themselves in a favorable light; that is, self-assessment suffers from enhancement or inflation bias.
This tendency, referred as the leniency-effect, is related to notion that ratees are motivated by
drives of self-enhancement, which lead to the emphasizing of merits and de-emphasizing of faults.Nevertheless, despite doubts on the validity of self-ratings and its utilization in applied research
settings, there is reason to believe that individual ratees are in a good position to make a valid
assessment of their own professional knowledge and skills. They possess the greatest familiarity with
the job and provide ratings that are reliable and have fewer errors. Who else has a better
understanding of a job and ones functioning in it than the one who has access to wide samples of
behaviors under varying situations and periods of time.
34. Empirical studies by various agencies and authors during the last decade highlight
issues like, non-conducive work culture, lack of appreciation towards appraisal dynamics, lack
of interest by top brass for adoption, fear and apprehension about the outcome, lack of
confidentiality, interference by unions and associations, lack of proper system / procedure,
lack of accountability, lack of clarity, lack of proper skills in the rater towards performance
analysis, constraint of time availability, personal bias on the part of the rater and subjectivity,
non-uniformity in the criteria of appraisal, lack of trust and openness between ratee and rater,
heterogeneous interest, low motivation, target achievement oriented system and non-recognition of the effort in subordinate development as certain burning issues in the dynamics
of appraisal.
35. To tackle barriers, attempts must be directed at,
a) Barrier Smashing (recognize the benefit of removing barriers in the systems and
processes of the everyday work flow, identify types of flowcharts that can be used to examine
work flow, determine if critical ratees and core resources are performing to the fullest extent
in a scenario and identify ways to eliminate waste that occurs in the work flow).
b) Performance Standards and Measurement ( recognize the value of utilizing
standards and measurement as a means of improving performance and removing barriers to
achievement , identify factors for consideration prior to measurement , identify the various
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categories of indicators that can be used to provide measurement data and determine if a rater
appropriately develops and implements performance standards in a scenario ).
c) Tracking Improvement ( recognize the benefits of challenging the traditional
appraisal approach to ratee evaluation , identify the truths behind most appraisals , determine
if a rater uses appropriate strategies for managing performance in a given scenario and use
appropriate methods for providing direction to ratees in a given scenario ).
d) Risk-taking and Experimentation (recognize the critical importance of taking risks
and experimenting when developing as a leader, identify reasons why risk-taking is important
and beneficial, encourage ratees to take risks in a given scenario and demonstratecommitment to risk-taking in a given situation ).
36. To overcome the above barriers, the standard prescriptions towards a rational appraisal
are, go for satisfactory level of reliability only, focus on objective analysis of performance, appraisal
system be so designed to minimize undesirable effects, ratee and rater organization to monitor the
appraisal system, ratings be reviewed with the ratee, appraisal system should be backed by a feedback
mechanism and organization should have a supportive management logic.
LEGAL ASPECTS
37. Legal aspects on performance accountability can provide a framework through which
ratees and organizations are required to set strategic goals, measure performance and report
periodically on the degree to which goals are met. Such legal aspects require the development of
multi-year strategic plans focused on long-term goals and annual performance plans with specific
indicators to measure performance. The legal aspects create a process to be used by the ratees and
organizations in measuring their annual performance by identifying four key distinct performance
indicators which are, output, outcome, efficiency and effectiveness. Ultimately, such objective
measurement means that decisions are based on programme effectiveness rather than supposition.
This ultimately provides policy makers with better information for allocating resources. A rational
performance model must include features
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like: performance accountability system, a comprehensive performance accountability system for all
organizations, two-fold accountability; internal accountability (accountability to internal processes)
and external accountability .
38. Organizations need to submit reports to the appropriate authority at periodical
intervals. Focus on consolidating and analysing performance of organizations and preparation of
reports. Reports should incorporate grading of performance according to the criteria prescribed and
followed by the organization. Periodic evaluation of performance of organizations and feedbacks on
their implementation should be assessed. Results of such evaluation should be reflected in the annual
performance report of the concerned organization.
39. SUGGESTIONS : (for Limiting Appraisals Unwanted Effects)
a) That, employment is understood to be at will;
b) That, the rater expressly reserves the right to discharge the ratee at any time for any
reason with or without cause and with or without notice;
c) That, nothing in the raters policies, practices, or procedures, including appraisals,
should be construed to confer any right upon the ratee to continued employment;
d) That, the rater expressly reserves the right to unilaterally alter the terms and conditions
of employment, including the manner in which performance is or is not appraised;
e) That, the rater is under no obligation to appraise performance;
f) That, neither the fact that appraisals are or are not conducted, nor the manner in which
they may be conducted, should be construed to give rise to a just cause requirement for
terminating the employment relationship.
g) That, appraisals and other evaluation procedures should in no way be considered in any
other manner in determining the existence or nature of any employment relationship that
may be found to exist between the parties.
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40. PROCEDURES (for Legally Sound Appraisals). Appraisal procedures:
a) Should be standardized and uniform for all ratees within a job group;
b) Should be formally communicated to ratees;
c) Should provide notice of performance deficiencies, and opportunities to correct them;
d) Should provide access for ratees to review appraisal results;
e) Should provide formal appeal mechanisms that allow for ratee input;
f) Should use multiple, diverse, and unbiased raters;
g) Should provide written instructions and training for raters;
h) Should require thorough and consistent documentation across raters that include specific
examples of performance based on personal knowledge;
i) Should establish a system to detect potentially discriminatory effects or abuses of the
system overall.
41. LEGAL GUIDELINES : Performance ratings must be job-related.
a) Ratees must be given a written copy of their job standards in advance of appraisals.
b) Raters who conduct the appraisal must be able to observe the behaviour they are
rating.
c) Raters must be trained to use the appraisal form correctly.
d) Appraisals should be discussed openly with ratees and counselling or corrective
guidance offered.
e) An appeal procedure should be established to enable ratees to express disagreement
with the appraisal.
ISSUES IN APPRAISAL
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42. Certain issues need to be tackled while dealing with the appraisal mechanism. These
are what to asses, which rater should assess performance, which appraisal technique needs to be used,
how to communicate appraisal output and how to train appraisers for efficient/effective appraisal?
43. Forms of change requirements that necessitate incorporation are, need to be more
realistic about limitations of human ability, need for development of a rational and scientific
foundation in the appraisal dynamics, need to recognize vital aspects of total human existence, need to
incorporate ethical aspects, exploring whether to go in for a run-of-the-mill system developed
elsewhere in response to certain unfortunate legal demands (given the fact that it is of little, if any,
utility value),information collected from a variety of sources should be balanced and a heterogeneous
blend of excellent-good-average-poor-hopeless, how does the rater propose to deal with it, what
quality of conclusions can an appraiser reasonably draw from such a clumsy feedback, what range of
personnel-related decisions does a rater intend to take through the instrumentality of cumbersome,
time-consuming, yet contextually useless documentation in the face of high mobility rates (this is the
result of a marked shift from the traditional long-term loyalty to job-hopping), what developmental
purpose must such a frustrating, multi-rater feedback possibly serve and finally, is there the need of
an alibi in the shape of a stack of junk forms for applying negative sanctions which that be necessary
or even indispensable in an organisation that has been characterized by a hire-and-fire-at-mustmindset.
44. Performance - based budgeting serves as a strategic planning tool towards improving
the clarity and consistency of scheme of appraisal designs. This facilitates a common understanding
and better communication between organization and ratees in the desired results of scheme of
appraisals. Performance - based budgeting allows organizations to attain a unified sense of purpose
and direction. Moreover, through the measurement of performance in achieving defined results,
performance - based budgeting provides feedback to scheme of appraisals on how well they are doing
and creates a strong incentive for adopting best practices and efficiencies in use of resources. This
improves the quality of services and other outputs.
45, Performance - based budgeting has also been proposed as a means to release raters
from overly restrictive input and/or central controls and to accord them more discretion in determining
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the right mix of human-technical-material - financial resources to meet expected results. In
performance - based budgeting, the increase of the accountability and responsibility of concerned
officials (a consequence of holding them responsible for achieving results) is designed to go hand inhand with an amplified authority for managing all resources , including human resources.
46. To overcome the demerits and subjectively further there are laid down ethics. If
followed religiously, it would not only give a true picture of the Rates but reveal the strength of their
time tested system. One issue that merits attention here is regarding the Ethical Dilemma in
reporting. Can, or should a rater go strictly by his convictions / ethical standards and grade an rateelow despite being aware of the general inflationary trends in reporting in the environment, when he is
certain that the ratee is better than another ratees, who is perhaps graded better that this ratees. There
is no answer for the riddle. There as initiating raters and future reviewing raters will have to resolve
this issue by themselves. It can summed up by making a statement here that perhaps it is a false sense
of regimentation, that has been a major contributor of the present inflationary trends the system.
ISSUES OF DIVERSITY
47. This section provides information regarding the issues of diversity in appraisal. For
purpose of this, ethnicity is considered part of the overall diversity issue.
a) Religion: Although religion should not be considered in the appraisal process, it would
be prudent to be sure that all raters or ratees to cognizant of the religious customs and
practices of ratees they supervise. This must make sure that ratees are not held liable for
actions inappropriately.
b) Gender Issues: Psychoanalysts and psychoanalytically-oriented organizational
practitioners have made considerable progress over the last four decades in the exploration and
interpretation of organizational behaviour. Their efforts have resulted in an in-depth
understanding of the complexities of contemporary organizations and the complications they
can create for employees. Theory, research, and application have been quite illuminating,
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particularly in the areas of management, leadership, personality characteristics, group
dynamics, stress, and executive emotional health. However, not surprisingly, most of what has
been learned about organizations has come from the study of men and their work in male-dominated institutions. Exploration of the experience and meaning of professional work for
women has only received serious consideration in the past fifteen years and has been
researched largely from social and organizational psychology and management theory
perspectives.
48. Evaluate the ratee on work related elements, which have been made clear and do
not evaluate on differences in communication style. Ensure that appraisal criteria focuses on the
objective results and targets achieved. If there is a low ratio of women to men then the ladies
should not be given any undue privileges. There is a need to discourage any disparity of
functioning and appraisal.
49. When conducting appraisals, raters should clearly convey work expectations and make sure that
ratees understand expectations. This can be accomplished by incorporating equal performance
standards for all ratees. Equally important is realizing that some raters expect some ratees to be
superstars and from others they must expect very little. Raters should re-examine judgments to make
sure that poor performance is not overlooked due to being uncomfortable about providing feedback to
those different than self. If raters provide feedback often and equally to all members then this issue
should not prevail. Failure to give legitimate feedback because of being feared labelled as sexist, racist
or discriminatory can demean the importance of the ratees career goals and expectations. An
attempt has been done towards modeling appraisal on a real-time basis. From the operational research
point of view modeling may not actually represent the core real universal problem in which decisions
are made.
50. Modeling efforts are complex and the results so obtained through real time efforts are difficult
to be explained to the Rater. This may fail to gain their support and confidence. Raters are required to
be quite explicit about their objectives, their assumptions and their way of visualizing their constraints.
There may be problems of quantifying in real terms.
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CHAPTER NO 4: THEORETICAL PERSPECTIVE
VIEWS OF PETER DRUCKER
51. Drucker (1946) proclaimed peak performance by the ratee as a goal. This was by asserting that
appraisal should go beyond human relations and inter-ratee aspects. Insistence on high goals and high
performance requires that an individuals ability to set high goals and attain them must be
systematically appraised. Appraisal is judgment and this always requires a definite standard that should
always be based on proven performance. To judge means to apply a set of standard values. Value
judgments without clear and sharp standard are irrational and arbitrary. An appraisal that focuses on
potential, on personality, on promise etc. on anything that is not proven is an abuse. The greatest
mistake is to build on weaknesses.
52. Any real-time based appraisal must involve and systematically evaluate comparison ofperformance parameters of ratees holding similar areas of work responsibilities, their performance on
the job and their potential for development. This would thereby determine their worth for the
accomplishment of organizational goals by reducing important discrepancies between the desired /
required conditions and the present / anticipated conditions.
REAL-TIME CONCEPTUALISATION
53. Focus on real-time based performance introspection has recently emerged as a criticalinstrument for improving the delivery of services and infrastructure to the ratee .To ensure
accountability for results, the organization and agencies at various levels must implement a performance
measurement and management system that would establish a link between development goals, policies,
priorities, plans, strategy, vision, mission, programmes, projects, action plans and performance towards
achieving the desired aims and objectives. Balances of quantitative and qualitative, financial and non-
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financial indicators are necessary to measure the effectiveness and efficiency of organization
programmes and functions.
TECHNIQUES OF APPRAISAL:
54. The various techniques of appraisal usually practiced by various organisations are,
written appraisal method, field review method, critical incident method, adjective type method, forced
choice method, graphic rating scale method, ranking method, grading method, paired comparison
method, forced distribution method, check list method, essay method, results or objectives method,
behaviourally anchored rating method and appraisal technique, to list a few.
55. Essay appraisal: In its simplest form, this technique asks the rater to write a paragraph
or more covering an individual's strengths, weaknesses, potential, and so on. In most selection
situations, essay appraisals from former employers or associates carry significant weight. The
assumption seems to be that an honest and informed statement, either by word of mouth or in writing,
from someone who knows the ratee well, is fully as valid as more formal and more complicated
methods. The biggest drawback to essay appraisals is their variability in length and content.
Moreover, since different essays touch on different aspects of a man's performance or personal
qualifications, essay ratings are difficult to combine or compare. For comparability, some type of
more formal method, like the graphic rating scale, is desirable.
56. Graphic Rating Scale: This technique may not yield the depth of an essay appraisal,
but it is more consistent and reliable. Typically, a graphic scale assesses a ratee on the quality andquantity of his work (is he outstanding, above average, average, or unsatisfactory?) and on a variety of
other factors that vary with the job but usually include personal traits like reliability and cooperation.
It may also include specific performance items like oral and written communication. The graphic
scale has come under frequent attack, but remains the most widely used rating method. In a classic
comparison between the old-fashioned graphic scale and the much more sophisticated forced, choice
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technique, the former proved to be fully as valid as the best of the forced, choice forms, and better
than most of them. It is also cheaper to develop and more acceptable to raters than the forced, choice
form. For many purposes there is no need to use anything more complicated than a graphic scalesupplemented by a few essay questions.
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57. Field Review: When there is reason to suspect rater bias, when some raters appear to
be using higher standards than others, or when comparability of ratings is essential, essay or graphic
ratings are often combined with a systematic review process. The field review is one of severaltechniques for doing this. A member of the personnel or central administrative staff meets with small
groups of raters from each ratery unit and goes over each employee's rating with them to , identify
areas of inter, rater disagreement, help the group arrive at a consensus and determine that each rater
conceives the standards similarly. This group, judgment technique tends to be fairer and more valid
than individual ratings and permits develop an awareness of the varying degrees of leniency or
severity, as well as bias, exhibited by raters in different departments. On the negative side, the process
is very time consuming.
58. Forced Choice Rating: Like the field review, this technique was developed to reduce
bias and establish objective standards of comparison between ratees, but it does not involve the
intervention of a third party. Although there are many variations of this method, the most common
one asks raters to choose from among groups of statements those which best fit the individual being
rated and those which least fit him. The statements are then weighted or scored, very much the way a
psychological test is scored. Ratees with high scores are, by definition, the better ratees; those with
low scores are the poorer ones. Since the rater does not know what the scoring weights for each
statement are, in theory at least, he cannot play favorites. The rationale behind this technique is
difficult to fault. It is the same rationale used in developing selection test batteries. In practice,
however, the forced, choice method tends to irritate raters, who feel they are not being trusted. They
want to say openly how they rate someone and not be second-guessed or tricked into making honest
appraisals. An additional drawback is the difficulty and cost of developing forms. Consequently, the
technique is usually limited to middle, and lower, management levels where the jobs are sufficiently
similar to make standard or common forms feasible. Finally, forced, choice forms tend to be of little
value, and probably have a negative effect, when used in appraisal interviews.
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59. Critical incident appraisal: The discussion of ratings with ratees has, in many
organizations, proved to be a traumatic experience for raters. Some have learned from bitter
experience who receive honest but negative feedback are typically not motivated to do better , andoften do worse , after the appraisal interview. Consequently, raters tend to avoid such interviews, or if
forced to hold them, avoid giving negative ratings when the ratings have to be shown to the rater. One
stumbling block has no doubt been the unsatisfactory rating form used. Typically, these are graphic
scales that often include rather vague traits like initiative, cooperativeness, reliability, and even
personality. Discussing these with a rater can be difficult. The critical incident technique looks like a
natural to some ratees for performance review interviews, because it gives a ratee actual, factual
incidents to discuss with an employee. Raters are asked to keep a record, a little black book, on each
ratee and to record actual incidents of positive or negative behavior. There are, however, several
drawbacks to this approach. It requires that raters jot down incidents on a daily or, at the very least, a
weekly basis. This can become a chore. Furthermore, the critical incident rating technique need not,
but may, cause a rater to delay feedback to raters. And it is hardly desirable to wait six months or a
year to confront an employee with a misdeed or mistake. Finally, the rater sets the standards. If they
seem unfair to a subordinate, might he not be more motivated if he at least has some say in setting, or
at least agreeing to, the standards against which he is judged?
60. Management by objectives: To avoid, or to deal with, the feeling that they are being
judged by unfairly high standards, raters in some organizations are being asked to set, or help set, their
own performance goals. It should be noted, however, that when MBO is applied at lower
organizational levels, raters do not always want to be involved in their own goal setting. Many do not
want self, direction or autonomy. As a result, more coercive variations of MBO are becoming
increasingly common, and some critics see MBO drifting into a kind of manipulative form of
management in which pseudo, participation substitutes for the real thing. Raters are consulted, but
management ends up imposing its standards and its objectives. Some organizations are introducing a
work, standards approach to goal setting in which the goals are openly set by management. In fact,
there appears to be something of a vogue in the setting of such work standards in white-collar and
service areas.
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61. Work-Standards approach: Instead of asking raters to set their own performance
goals, many organizations set measured daily work standards. In short, the work standards technique
establishes work and staffing targets aimed at improving productivity. When realistically used, it canmake possible an objective and accurate appraisal of the work of raters and raters. To be effective, the
standards must be visible and fair. Hence a good deal of time is spent observing raters on the job,
simplifying and improving the job where possible, and attempting to arrive at realistic output
standards. It is not clear, in every case, that work standards have been integrated with an
organization's appraisal program. However, since the work, standards program provides each
employee with a more or less complete set of his job duties; it would seem only natural that raters will
eventually relate appraisal and interview comments to these duties. The use of work standards should
make performance interviews less threatening than the use of personal, more subjective standards
alone. The most serious drawback appears to be the problem of comparability. If ratees are evaluated
on different standards, how can the ratings be brmustgether for comparison purposes when decisions
have to be made on promotions or on salary increases? For these purposes some form of ranking is
necessary.
62. Ranking methods: For comparative purposes, particularly when it is necessary to
compare people who work for different raters, individual statements, ratings, or appraisal forms are
not particularly useful. Instead, it is necessary to recognize that comparisons involve an overall
subjective judgment to which a host of additional facts and impressions must somehow be added.
There is no single form or way to do this. Comparing ratees in different units for the purpose of, say,
choosing a service rater or determining the relative size of salary increases for different raters,
requires subjective judgment, not statistics. The best approach appears to be a ranking technique
involving pooled judgment. The two most effective methods are alternation ranking and paired
comparison ranking.
63. Alternation ranking: In this method, the names of raters are listed on the left-hand
side of a sheet of paper, preferably in random order. If the rankings are for salary purposes, a rater is
asked to choose the most valuable employee on the list, cross his name off, and put it at the top of
the column on the right-hand side of the sheet. Next, he selects the least valuable employee on the
list, crosses his name off, and puts it at the bottom of the right-hand column. The ranker then selects
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the most valuable person from the remaining list, crosses his name off and enters it below the top
name on the right-hand list, and so on.
64. Paired- comparison ranking: This technique is probably just as accurate as
alternation ranking and might be more so. But with large numbers of raters it becomes extremely time
consuming and cumbersome. Both ranking techniques, particularly when combined with multiple
rankings (i.e., when two or more ratees are asked to make independent rankings of the same work
group and their lists are averaged), are among the best available for generating valid order, of, merit
rankings for salary administration purposes.
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65. Assessment centers: What about the assessment of future performance or potential? In
any placement decision and more so in promotion decisions, some prediction of future performance is
necessary. How can this kind of prediction be made most validly and most fairly? One widely usedrule of thumb is that what a man has done is the best predictor of what he will do in the future. But
suppose you are picking a person to be a rater and this person has never held raters responsibility?
Suppose a person is selected for a job from among a group of candidates, none of whom has done the
job or one like it? In these situations, many organizations use assessment centre to predict future
performance more accurately. Typically, ratees from different departments are brmustgether to spend
two or three days working on individual and group assignments similar to the ones they will be
handling if they are promoted. The pooled judgment of observers, sometimes derived by paired
comparison or alternation ranking, leads to an order, of, merit ranking for each participant. Less
structured, subjective judgments are also made. There is a good deal of evidence that those ratees
chosen by assessment centre methods work out better than those not chosen by these methods. The
centre also makes it possible for ratees who are working for departments of low status or low
visibility in an organization to become visible and, in the competitive situation of an assessment
centre, show how they stack up against ratees from more well-known departments. This has the
effect of equalizing opportunity, improving morale, and enlarging the pool of possible promotion
candidates.
METHODOLOGY FOR RATERS
66. Strategic Plan: Each and every organizations need to submit a strategic plan for all its
activities, along with an annual performance plan, and performance budget to the appropriate
authority. The plan has to detail in specific terms the goals and objectives and how these goals and
objectives are programmed to be achieved. Who We Are Mission Statement are designed to guide
organizations/agencies into sharper focus, explain why and what for the organization exists, explain
what it is doing and describe how it is doing along with the constructive criticisms. Strategic goals are
an outgrowth/development/progress of clearly stated mission and aligning of activities to support
mission-related goals and making linkages between levels of funding and their anticipated results are
a welcome sign in the dynamics of real-time appraisal.
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67. Annual Performance Plans: Each organization/agency must submit a well-designed,
a well- defined and a concrete annual performance plan. Direct linkage to be programmed between the
strategic goals outlined in the strategic plan and what the organization appraisers and ratees areactually doing. Annual performance goals need to be identified so as to gauge the progress toward
accomplishing strategic goals and identifying performance measures. Ratings provided in
administrative purpose with severe consequences condition must be more lenient than those
provided in training purpose (and administrative purpose with less severe consequences) condition.
Decisions in administrative purpose with severe consequences condition must be more lenient than
decisions in training purpose (and administrative purpose with less severe consequences)
condition. Purpose and self-monitoring must interact to affect leniency. Ratings provided by high self-
monitors be most lenient in the administrative purpose with severe consequences condition.
68. Performance Management Indicators: Performance management system has to be
introduced in all organizations. This is by taking into account the availability of resources and the
inherent constraints. Promotion of culture with respect to performance management and focus on
results among its political structures, political office bearers and in its administration has to be
ensured.
69. Appropriate performance indicators needs to be introduced in each organization as a
yardstick for measuring performance. Measurable performance targets must be introduced. Monitor
measure and review performance against the performance indicators and targets set in. Initiate steps to
improve performance with regard to those development priorities and objectives where performance
targets are not met. Establish a process for regular reporting of performance-related information to the
appropriate authority.
70. Be honest and fair in evaluating all ratees. Be certain that the rater has reviewedall ratees in an objective and consistent manner as ratees and relative to other ratees in the group.
The purpose of performance evaluations is to take a realistic snapshot of the ratee's performance. Do
not endorse that the ratee is improving if (s) he is not performing well.
71. Be consistent in approach. Do not subscribe to a situation where it appears that the
rater can create excuses for one ratee while holding another ratee accountable. Define your criteria for
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each level of ranking and use the same criteria for every ratee. Don't set separate criteria for certain
ratees.
72. Give comments. A ranking or number used to rank a ratee's performance is useless
without a written comment. Comments are required for any ranking that is less than 4 or meets
expectations and also for the highest ranking of 9 or exceed expectations. Comments may confirm
achievements or be constructive depending on the nature of the ranking. Make the comments
consistent with rankings. Don't give ratees a meets expectations ranking if comment describes a
substandard performance. There is a need to be realistic. Don't inflate ratings. Inflation of ratings only
inflates a ratee's expectations.
73. Rate the ratee's performance, not the ratee's attitude. Keep comments job related
and based on the ratee's ability to perform his job. Avoid phrases like bad attitude, he's not a team
player, and other subjective type comments. Explain the behavior that is a result of the attitude.
74. Set goals with the ratee. Don't just criticize a deficient performer; set goals for follow
up and for improvement or development. Work together to create a plan of action to help the ratee in
deficient areas and to establish goals for the coming year. Set a follow up period and be sure to
reevaluate the ratee at the appropriate time.
75. Performance evaluation should motivate a ratee to improve. The ratee should feel
excited about the challenges and his ability to meet them. If ratees hear only about their failures and
weaknesses, they'll start to believe they can't succeed. If ratees get support and encouragement from
their rater, they'll gain the desire and confidence to keep trying. When the raters suggestions for
improvement bring results - and recognition - ratees are even more likely to listen to future
suggestions.
76. No surprises. The evaluation should be a review of the past year's performance.
Through previous counseling and other communications, the ratee should be aware of any concerns
you might have about their job performance. The annual evaluation should not be the first time the
ratee learns of your concerns.
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77. One tool that may be used is to ask the ratee to review his or her own performance and
expectations for the future by preparing a self-appraisal. They can complete the evaluation form that
the rater uses, draft a memo or list reviewing performance strengths, weaknesses and future goals.Having the ratee undergo the same exercise may make it easier for him / her to understand the value
of evaluation. The limited usefulness of self-appraisals as an evaluation tool has elicited doubts about
the use of self-ratings in the appraisal process.
JOB PERFORMANCE SUMMARY
78. An essential part of the Appraisal Program is the Job Performance Summary, which is
completed by the rater for each ratee at the end of the work planning/appraisal cycle. This summaryincludes the following, overall rating and summary statement, comments by rater and ratee and next
level rater review.
a) Overall Performance Rating :The overall rating for each ratee is determined at the end
of the work cycle. The rater reviews performance information (examples: notes, records and
reports) collected during the work cycle against the expectations for each key
responsibility/result and dimension. These are then rated expectations in order to record the
actual performance on the work plan form. The rater combines actual performance of the
individual key responsibilities/results and dimensions into a single overall rating and records it
on the overall summary page of the work plan form. If 50 percent or more of the individual
performance ratings are at the same level of performance, the overall rating is most likely to
be at that level of performance. In determining the overall rating consideration must be given
to, the priority order of the key responsibilities/results and dimensions, the impact of not
performing the primary job factors and relationship of the key responsibilities/results plus
dimensions to accomplishment of the entire job. The statement supporting the overall ratingmust be entered in the raters comments section of the work plan form. The rater signs the job
performance summary page and obtains the signatures of the ratee and the next level rater.
b) Summary Statement and Comments :The summary statement explaining the raters
Overall Performance Rating should indicate how the actual performance was compared to the
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performance expectations described. In the comments section, ratees and raters may make
statements regarding the appraisal and the appraisal process.
c) Next Level Rater Review : The next level rater is required to review and sign the
performance rating completed by subordinate raters for ratees in their areas of responsibility
before the performance rating is discussed with the ratee. Comments are optional.
COMPETENCY OF APPRAISER
79. Performance rater uses a specific set of competencies to help ratees identify and
resolve human performance problems. These competencies are embedded in the human performancetechnology process and include the skills of problem analysis, solution design, development, change
management, impact evaluation and remediation. Analysis skills are fundamental, covering both
organizational and cause analysis, and are supported by strong relationship-building ability. Design
skills demand strength in intervention selection, solution development and coordination.
Implementation skills are rooted in organizational management and change resistance abilities.
Evaluation skills are rooted in reliable measurement of intermediate plus final results across the entire
performance analysis and improvement process. Acquiring core competencies of the performance
professional is a question of formal and informal skill acquisition. Observation and practice in real-
time performance improvement scenarios and close attention to and improvement of ones emotional
skill set is of prime importance. If such a factor is necessary for an appraiser to develop credible
assignment results, the appraiser is responsible for having the appraisal to address that factor or for
following the steps outlined above to satisfy this appraisal rule.
80. The background and experience of appraisers varies wide. Lack of knowledge or
experience can lead to inaccurate or inappropriate appraisal practice. The appraisal rule requires an
appraiser to have both the knowledge and the experience required to perform a specific appraisal
service competently. Trying to find real quantitative data to appraise your knowledge ratee and avoid
subjective ratings? If quantitative data about performance is available that are neither trivial nor
contaminated, it makes perfect sense to use them for evaluating performance. But our most important
and valuable ratee our executives, raters, and knowledge ratee generally perform jobs that
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require subjective skills such as analysis, problem solving, creativity, and judgment. Even when there
appear to be bottom line results such as profits or sales, the performance picture will always be
incomplete without subjective evaluations.
81. If an appraiser is offered the opportunity to perform an appraisal, but lacks the
necessary knowledge or experience to complete it competently, the appraiser must disclose his or her
lack of knowledge or experience to the ratee before accepting the assignment. Then necessary or
appropriate steps to complete the appraisal service competently can be undertaken. This may be
accomplished in various ways, including but not limited to, personal study by the appraiser,
association with an appraiser reasonably believed to have the necessary knowledge or experience, or
retention of others who possess the required knowledge or experience. In an assignment where
appraisal is necessary, an appraiser preparing an appraisal in an unfamiliar setting must spend
sufficient time to understand the nuances involved. Such understanding should not be imparted solely
from a consideration of specific data. Although this requires an appraiser to identify the problem and
disclose deficiency in competence prior to accepting an assignment, facts or conditions uncovered
during the course could cause an appraiser to discover that he or she lacks the required knowledge or
experience to complete the assignment competently.
82. Applying templates from the performance criterion literature, there is a need to
implement a construct-based approach to the investigation of errors in appraisal ratings. Context
effects in appraisals have been operationalized at a personal level phenomenon. The need is to
investigate context effects at the instrument level by examining: the influence of rating contextual
items on subsequent ratings of task items and influence of rating task items on subsequent ratings of
contextual items.
83. Item response theoretical methods of differential item functioning detection can beapplied to investigate the influence of context on item ratings of task and contextual performance.
The order in which task and contextual items can be presented would to some extent influence rating
responses. Specifically, when task items are preceded by contextual items, the relatedness between
task items and their underlying construct can be reduced. These observed slope effects, as
conceptualized within the item response theory framework, does demonstrate an advantage of item
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response theory methods over traditional approaches for detecting the influence of context on
responses to appraisal questions.
84. The rater personality study needs to examine the relationship between levels of rater
agreeableness, conscientiousness and ratings of task and contextual performance. Use of a
more precise operationalization of performance would be capable of detecting complex
relationships between personality and ratings on task and contextual performance. While rater
agreeableness and conscientiousness are both related to task performance ratings,
conscientiousness does moderate the relationship between rater agreeableness and contextual
performance ratings. Overall, high agreeable raters tend to give higher ratings than low
agreeable raters. However, these difference a researched to be greatest among low
conscientious raters but minimized among high conscientious raters.
RATING SCALE
85. Outstanding Performance: Performance is far above the defined job expectations. The ratee
consistently performs outstanding work, regularly above and beyond what is expected of ratees in this
job. Performance that exceeds expectations is due to the effort and skills of the ratee. Any
performance not consistently exceeding expectations is minor or due to events not under the control of
the ratee.
a) Very Good Performance: Performance meets the defined job expectations and in many
instances, exceeds job expectations. The ratee generally is doing a very good job. Performance
that exceeds expectations is due to the effort and skills of the ratee.
b) Good Performance (Meets Expectations) : Performance meets the defined job
expectations. The ratee is performing the job at the level expected for ratees in this position.
The good performance is due to the ratees own effort and skills.
c) Below Good Performance: Performance may meet some of the job expectations but
does not fully meet the remainder. The ratee generally is performing the job at a minimal
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level, and improvement is needed to fully meet expectations. Performance is less than good.
Lapses in performance are due to the ratees lack of effort or skills. Requires guidance and
supervision.
d) Unsatisfactory Performance: Performance generally fails to meet the defined
performance expectations or requires frequent, close supervision and/or the redoing of work.
The ratee is not performing the job at the level expected for ratees in this position.
Unsuccessful job performance is due to the ratees own lack of effort or skills.
CONSTRUCTING AN APPRAISAL MODEL
86. The appraisal summary rating for each ratee is used to support other personnel
decisions such as promotions, demotions, disciplinary actions, reductions-in-force, etc. Each
ratee must have a current appraisal on file and the appraisal must be consistent with the action
to be taken. There is a need to monitor recommended actions and require justification by
raters for any actions requested which are inconsistent with the rating. This may be
accomplished through meetings and/or written information
87. Studies on designing configurations for appraisal reflect upon the following key
parameters for a successful appraisal;
a) Leadership is critical in designing and deploying efficient/effective performance
measurement and management systems. Clear, consistent, and visible involvement by senior
organization officials and appraisers is a necessary part of the successful performance
measurement and management systems. Senior leadership should be actively involved in both
the creation and implementation of the organizational systems.
b) A conceptual framework is needed for the performance measurement and management
system. Every organization/agency needs a clear and cohesive performance measurement
framework that is understood by all levels of the organization. This framework should support
its objectives and reflection of results.
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c) Efficient/effective internal and external communications are the keys to successful
performance measurement. Such communication with ratees, appraisers, process owners and
participants is vital to the successful development / deployment of performance measurementand management systems. It is the ratees and appraisers who ultimately judge how well it has
achieved its goals and objectives. Those within the organization entrusted with / expected to
achieve performance goals and targets should be clear as to how success is defined. They must
be aware as to what their role in achieving that success is. Both outsiders and insiders need to
be part of the development / deployment of performance measurement systems.
d) Accountability for results must be clearly assigned and well-understood. High-
performance organizations clearly identify on what it takes to determine success. It must make
sure that all appraisers and ratees understand what they were responsible for in achieving
organizational goals. Accountability is typically a key success factor, but one with multiple
dimensions and multiple applications.
e) Compensation rewards and recognition should be linked to performance
measurements. Linking performance evaluations and rewards to specific measures of success
and tying incentives directly to performance, sends a clear and unambiguous message to the
organization as to what is important, relevant and significant.
f) Performance measurement systems should be positive and not punitive. Most
successful performance measurement systems are not punitive systems but learning systems.
This helps organizations identify as to what works and what does not so as to continue with
and improve those. Performance measurement is a tool that lets the organization track its
progress and direction towards the strategic goals and objectives. It should not lead to perverse
incentives with a clandestine view to fudge figures or manipulate performance achievements.Results and progress toward programme commitments should be openly shared with ratees.
While sensitive information generally must be protected, performance measurement system
information should be openly and widely shared.
g) A progressive transformation from good performance monitoring and measurement
system towards good appraisal is called for. Performance management is a tool as well as a
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means for real-time appraisal. The biggest challenge of an organization is to create a system of
good, equitable, rational, just optimal appraisal which promotes supports and sustains human
development. Good appraisal is among other things participatory, transparent, accountable,efficient/effective and equitable. It promotes the role of human resource development
(management) and ensures that political, social-economic and cultural priorities are based on a
broad consensus. There is a requirement to design an optimal and comprehensive agenda,
keeping in view the individual and organisational objectives in which appraisal
architecture/monitoring/regulation/ administration form key components.
88. While building the above architecture, the following aspects need to be looked into:
indicator-wise base data (to learn about recent levels and patterns of performance in order to gauge
subsequent policy/programme/scheme of appraisal impact), clarity (as to data sources: primary and
secondary, data collection method :review, interview, field visit, survey, census, field
experiment),how and who must collect data(frequency and cost of data collection), practical
difficulties (in collecting data, setting indicator targets, clear understanding of baseline starting point,
funding and level of personnel resources expected throughout the target period), quantum of outside
resources (expected to supplement efforts) and only one target (for each indicator).
DIFFICULTIES WITH TRADITIONAL APPRAISAL SYSTEMS
89. For many, the term 'appraisal system' embodies the major difficulties with these
traditional approaches. The appraisal itself suggests assessment of the past rather than improvement in
the future. An appraisal system suggests a tightly controlled, formal, procedure which limits the scope
of the discussion and activities of the rater and ratee. Consequently both parties tended to view the
appraisal interview with apprehension (at best) or at worst judge the process a waste of valuable time.
90. A focus on the past: Most appraisal systems are based upon assessment of the past.
Whilst it is much easier to assess the past than the future, viewing the appraisal as a control and
maintenance system does little to realise future performance improvement. A consideration of future
potential, opportunities and development needs is an essential aid for both organisations and ratees.
Future performance improvement needs organisational investment in development but this, together
with succession planning, is often very poorly managed if at all. Learning objectives, learning
potential, opportunity to apply learning and the means by which learning can be acquired all need
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identification, and all need close support of line raters. Hence, the evolvement of performance review
and development systems.
91. Use of quantifiable measures: Rating scales and quantifiable measures do not always
reflect the true value of a ratee. Depending on the role, non-quantifiable behaviours (such as
motivation, ability to learn and quality of work) should represent important factors within the
appraisal process. Once a list of quantifiable factors becomes established, ratees must often modify
their behaviour to maximise their performance in those areas.
92. Traits are inputs to work, not outputs: Traits describe a person's characteristics and
approaches to work. They represent what somebody puts into the job. They do not necessarily predict
or reflect the outcome or results of a person's work. The problem is similar to the difference between
effort and achievement. Organisations which put a premium on effort in the appraisal may not
necessarily yield high performance improvement. Those which put all appraisal emphasis on results
may appear to be insensitive towards ratees' personal contributions. But where appraisal systems
value achievement, the degree of change, self determination and then the consequential developmental
cultural must produce high value results for both the individual and organisation. Trait based
measurements are inherently subjective and require judgment on the part of appraiser. The difficulty
here is that any appraisal system utilising judgment criteria must generate markedly different results
between different appraisers. The outcome of an appraisal may therefore depend more upon who is
the appraiser than upon actual performance. A particular problem identified in this area is the 'Halo'
and 'Horns' effects.
93. Conservative use of scales : It has been researched that with all appraisal rating scales
there is a very high tendency to only give middle range scores .The consequence is that both high and
low performers are not recognised and managed (rewarded or punished) accordingly and therefore the
appraisal system is ineffective. Appraisees have an awareness of how well they are performing
compared with their colleagues, they do talk to each other about their appraisal results and unless the
appraisal process fairly utilises the full rating range the appraisal system itself must rapidly become
discredited. Performance review and development systems focus on self realisation of individual
potential and not some arbitrary comparison with colleagues that often results in conflict.
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94. Rewards/ awards 'unrelated' to appraisal : In systems where there is a time lapse
between the appraisal interview and the rewards award itself, there can grow a concern