1. Job Analysis-Based Performance Appraisals
Dale J. Dwyer, Ph.D.

2. What factors affect work performance?
How do you measure those factors? How does Job Analysis help measure job performance?
The first question should get students talking about skills, attitudes, the job itself, co-workers, managers, etc. Ultimately, there are two aspects to performance--motivation and ability.
It is ability that we can measure most readily and objectively, and it usually is the aspect that we can help employees develop most effectively.
Remind students that they just studied job analysis. Ask them how they believe job analysis can help more accurately measure performance.

3. In This Session….
You will learn how to measure performance behavior, skills and competencies, and outcomes.
You will understand the design issues of performance appraisal instruments.

4. Linking Performance Planning and Strategy
Individual Unit’s Strategic Plan
Performance Behaviors and Results
Organization’s Strategic Plan
GOALS and STRATEGIES
Job and Task Requirements
JOB ANALYSIS
JOB DESCRIPTIONS
Performance Assessment
GOALS and STRATEGIES
Remind students of how jobs are created.
Tasks are made up of both functional and behavioral requirements.
Tasks are grouped into jobs, although sometimes a task behavior can be a part of more than one job (e.g., communicating with customers, entering data).
Understanding the tasks required to be performed (job and task requirements) and what is required to perform them (skills and competencies) is essential to being able to appraise (performance assessment) employees’ actual performance (performance behaviors and results).
Skills and Competencies
Required

5. Examples of Competencies
Leading and deciding. Takes control and exercises leadership. Initiates action, gives direction and takes responsibility.
Supporting and cooperating. Supports others and shows respect and positive regard for them in social situations. Puts people first, working effectively with individuals and teams, clients and staff. Behaves consistently with clear personal values that complement those of the organization.
Interacting and presenting. Communicates and networks effectively. Successfully persuades and influences others. Relates to others in a confident and relaxed manner.
Analyzing and interpreting. Shows evidence of clear analytical thinking. Gets to the heart of complex problems and issues. Applies own expertise effectively. Quickly learns new technology. Communicates well in writing.
The eight examples on these two slides show that competencies, unlike skills, are generally the underlying capabilities to apply or use a set of related knowledge, skills and abilities required to successfully perform essential work functions or tasks in a defined work setting. In essence, it is the ability for an employee to demonstrate these capabilities through behaviors.
Here are some behavioral examples for a “teamwork” competency:
Handles differences in work styles effectively when working with co-workers.
Capitalizes on strengths of others on the team to get work done.
Anticipates potential conflicts and addresses them directly and effectively.
Motivates others to contribute opinions and suggestions.
Demonstrates a personal commitment to group goals.

6. Examples of Competencies, cont’d.
Creating and conceptualizing. Open to new ideas and experiences. Seeks out learning opportunities. Handles situations and problems with innovation and creativity. Thinks broadly and strategically. Supports and drives organizational change.
Organizing and executing. Plans ahead and works in a systematic and organized way. Follows directions and procedures. Focuses on customer satisfaction and delivers a quality service or product to the agreed standards.
Adapting and coping. Adapts and responds well to change. Manages pressure effectively and copes with setbacks.
Performing and evaluating. Focuses on results and achieving personal work objectives. Works best when work is closely related to results and the effect of personal efforts is obvious. Shows an understanding of business, commerce and finance. Seeks opportunities for self-development and career advancement.
The key, once we understand what skills and competencies are required, is to translate them into measures that can be scored in appraising job incumbents’ performance.

7. Performance Standards
Key factors to check when establishing criteria
Is it fair?
Is it attainable?
Is it clear?
Is it challenging?
Is it relevant?
Is it flexible?
Performance standards are the criteria by which employees will be judged (for example, “Employees will be at their work station and ready to work by 8:00 a.m.”). Setting performance standards must be a joint discussion with (preferably) the job incumbent and his or her supervisor. These criteria are important because without them, performance improvement and the coaching that the manager provides will fall short of everyone’s expectations.

8. Designing the Appraisal

9. Components to Determine
What to appraise
Behaviors (what an employee does)
Results (the outcomes of behaviors)
Type of appraisal
Evaluative (negative, positive)
Summative (overall judgment)
Formative (tells what needs improvement)
Scoring of appraisal
Weighting of dimensions or equivalency of dimensions
Separate overall score or weighted total score
A general question in determining the type of measure(s) to use is whether job performance can be observed (behaviors) or whether only the outcomes can be assessed (results).
Another issue is whether the performance assessment will be used to determine rewards (evaluative and summative) or to coach and develop (formative).
There are four decisions to make concerning scoring:
Type of appraisal format.
Type of scoring.
Weighting of dimensions.
Whether to require a separate score to be given for overall performance or whether to total all weighted dimensions to arrive at a performance score.

10. Types of Job Behaviors
Content (Task) Behaviors: Those that entail some transformation of raw materials into goods and services produced by the organization.
Contextual (Organizational Citizenship) Behaviors: Those that provide a good work environment and encourage highly proficient task behaviors.
There are many different job-related behaviors that can be assessed.
Content or Task behaviors are those behaviors associated with actually performing the essential functions of the job.
Contextual or Citizenship behaviors are those behaviors associated with working with others and helping to make the work environment productive and positive.

11. Behavioral Measures Critical Incidents Method
Manager prepares a record of the employee's highly favorable and unfavorable actions since the last rating time.
DOWNSIDE: Critical incidents may be perceived differently by managers and employees.
Behaviorally Anchored Rating Scale
Identify the types of behavior actually found on the job.
These behaviors are checked by the rater to arrive at an evaluation of the employee.
DOWNSIDE: Although time-consuming and costly to develop, they do give the rater benchmarks in the form of specific behaviors.
Although there are many different ways to measure an employee’s behavior, most common are those that focus on behaviors that exceed, meet or fall below expected standards. Establishing these standards early in an employee’s tenure will ensure an appraisal with no surprises.
Source: The information below is from
Example of a Behaviorally Anchored Rating Scale (BARS Scale)
CUSTOMER FOCUS: Making customers and their needs a primary focus of one’s actions; developing and sustaining productive customer relationships.
Falls Below Expectations
Inflexible or unwilling to take appropriate risks to meet the needs of the customer.
Shows insensitivity and abruptness toward customers. Responds negatively and defensively to complaints.
Provides incompetent answers or does not give any information at all.
Does not accept responsibility for actions and tasks. Makes excuses or blames others when problems are not solved.
Does not listen to input from others. Responds untimely to feedback or complaints, if at all. Tends to avoid the customers.
Uses existing rules or procedures to justify avoiding service to customer groups.
Regards customer feedback as negative.
Meets Expectations
Openly receives feedback on customer service. Listens to customer needs and does what is required to service customers.
Takes into consideration how actions or plans will affect the customers and accommodates as necessary. Offers alternatives to situations and changes direction to better meet customer needs.
Meets or exceeds customer expectations by providing accurate, complete information.
Accepts responsibility and takes action to address customer needs.
Seeks to understand the reason for customer’s needs. Adheres to time frames. Remains focused under pressure.
Seeks out new customers and provides education on services provided.
Openly accepts feedback.
Exceeds Expectations
Effectively prioritizes customer needs. Stays focused on customer’s needs and offers alternatives as appropriate. Responds to feedback in a timely manner.
Builds excellent rapport and cooperative relationship with the customer, general public, and/or client.
Cooperates/coordinates with other departments to satisfy customer needs.
“Goes the extra mile” to satisfy customer needs and frequently exceeds customer expectations.
Works to eliminate barriers that interfere with providing outstanding customer service.
Welcomes and solicits feedback and constructive criticism.

12. When to Measure Results
Do employees possess needed skills and knowledge (can they do the job)?
How closely are behaviors related to results?
Can you see consistent improvement in results as a consequence of performing the “right” behaviors?
Are there different ways to do the job?
Measuring results instead of behaviors is appropriate when work behaviors cannot routinely be observed, as mentioned before. However, it is also appropriate to focus on performance outcomes, rather than merely behaviors, when:
The employees have the skills and knowledge to do the job;
Work behaviors may not necessarily translate into results; and
There are many different ways to do the job effectively.

13. Results-Based Measures
Work Planning, Goal Setting, and Review:
General approach that is tailored to specific employee and job.
Can be done by manager with or without employee’s input.
DOWNSIDE: May not get goal commitment by employee.
Management by Objectives (MBO):
Goals set from the top of the organization.
Goals achieved from the bottom of the organization become input to next level up.
Established jointly with manager and employee.
DOWNSIDE: Lots of paperwork and interdependence with other units and employees.
Like its behavioral counterpart, there are many types of results-based measures. However, goal achievement approaches of all types should be jointly determined by the job incumbent and his or her manager to ensure goal acceptance and goal commitment by both parties.

14. Let’s Practice!
For the next class, you will work with a few other students to design a performance appraisal tool. The goal of this exercise is to:
Determine the type of appraisal (evaluative, summative or formative).
Determine dimensions of the job to be appraised (behaviors and/or results).
Design the scoring and format of an appraisal.
A job analysis for a recruiter will be given as the basis for this practice exercise. It should be done prior to assigning the graded group exercise on the receptionist position.
Instructors may choose to have the practice session as a graded group exercise or part of a participation grade.
STEPS
Distribute the receptionist job analysis questionnaire and the handout entitled, “Job Analysis-based Performance Appraisal Practice” at the end of the second class. Remind students to bring them back to the next class after reading and making notes on those dimensions and functions that should be appraised.
At the beginning of the third class session, put the students in groups of three to four to work on the exercise.
Conduct an in-class discussion around the following questions:
What was the most difficult part of determining the dimension(s) to be appraised? How did your group come to a consensus about this part?
If your group designed this as a formative appraisal, how did it differ from what might have been included in a more evaluative appraisal (and vice versa)?
What was the most helpful information in the job analysis for designing your appraisal tool? What was the least helpful? What could have been done in the job analysis questionnaire that would have made designing the appraisal easier for your group?