W4D1 Wald

How to Be Good at

Performance Appraisals

Simple

Effective

Done Right

Dick Grote

Harvard Business Review Press

Boston, Massachusetts

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Copyright 2011 Dick Grote

All rights reserved

Printed in the United States of America

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No part of this publication may be reproduced, stored in, or introduced into a retrieval system or transmitted, in any form or by any means (electronic, mechanical, photocopying, recording, or otherwise), without the prior permission of the publisher. Requests for permission should be directed to [email protected] or mailed to Permissions, Harvard Business School Publishing, 60 Harvard Way, Boston, Massachusetts 02163.

Library of Congress Cataloging-in-Publication Data

Grote, Dick How to be good at performance appraisals : simple, effective,

done right / Dick Grote. p. cm.

Includes bibliographical references. ISBN 978-1-4221-6228-6 (alk. paper) 1. Employees—Rating of. 2. Performance standards. I. Title. HF5549.5.R3G6416 2011 658.3'125—dc22

2011001317

The paper used in this publication meets the requirements of the American National Standard for Permanence of Paper for Publications and Documents in Libraries and Archives Z39.48-1992.

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Contents

Introduction 1

1. Why Bother with Performance Appraisal? 9

2. Goal Setting 21

3. Determining Key Job Responsibilities 43

4. Identifying and Using Competencies 59

5. Providing Day-to-Day Coaching 71

6. Evaluating the Quality of an

Individual’s Performance 89

7. Using Your Appraisal Form 107

8. Preparing for the Appraisal Discussion 129

9. Conducting the Appraisal Discussion 145

10. Hot-Button Issues 179

Notes 193

Index 199

Acknowledgments 215

About the Author 217

v

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Chapter 5

Providing Day-to-Day

Coaching

I n the first few chapters I talked about the elements of per-

formance appraisal that take place at the beginning of every

appraisal cycle. At that time, you need to spend about an

hour with each of the people on your team setting goals, review-

ing their key job responsibilities (including any changes to

those responsibilities since they were reviewed the year be-

fore), and discussing the competencies or behaviors that you

expect your employees to demonstrate.

Once goals, responsibilities, and competencies are clear,

people can do their jobs with the peace of mind that comes from

having clear direction. Your primary performance appraisal

responsibility between the end of the performance planning

session and the end-of-year performance appraisal is to pro-

vide coaching for your team members to help them increase the

quality of their performance.

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Frequent coaching during the year is vital. It lowers the fear

factor people may experience during the annual appraisal discus-

sion if that’s the only time the boss talks about performance. Goals

and directions change more rapidly than a once-a-year appraisal

can accommodate, and coaching can redirect effort toward re-

vised priorities. People are more likely to ask for help if guidance

is offered in informal reviews. Particularly valuable is coaching

that is focused on reinforcing effective performance. Too often

managers’ coaching time is spent only on problem solving.

People notice poor-quality and nonexistent coaching. In a

survey of its member companies, some of America’s largest and

best managed firms, the Corporate Leadership Council re-

ported that only 34 percent of employees felt that the informal

feedback they received was fair and accurate, and more

than two-thirds disagreed with the statement, “The informal

feedback I receive helps me do my job better.”1

When to Coach

Knowing when to step in to coach someone on the team is one

of the real challenges managers face. Coaching can easily fall

into the realm of good intentions, something that happens only

“one of these days” unless we schedule it. The key is to conduct

routine coaching sessions in addition to those that arise

because of a specific problem or issue—to make coaching both

calendar- and event-driven.

Calendar-Driven Coaching Sessions

In the performance planning session at the start of the year, close

the meeting by setting a date for a status update. Three months

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is a reasonable time frame. Writing a specific date on each

person’s calendar increases the probability that the meeting will

happen. The date may later have to be moved because of sched-

ule conflicts. But it’s like a routine dentist appointment—you may

have to reschedule, but you’re not going to stop going to the den-

tist. After that first session, set a date for the next follow-up.

In conducting a calendar-driven coaching session, start by

asking, “What major events have taken place since the last time

we got together?” Then spend the next forty-five minutes or so

reviewing the major activities that occurred, successes, prob-

lems, and lessons learned.

Midyear reviews. Many companies request or require

managers to hold a midyear review meeting with each person

on the team. It’s a good idea to use the performance appraisal

form to structure the agenda for the meeting, highlighting areas

of particular success and areas where performance needs to be

improved. But don’t send the midyear appraisal form to the

individual’s official personnel file, unless that’s mandated. By

using the form but keeping it just between yourself and the

employee, it’s easier to underscore serious performance defi-

ciencies while at the same time allowing the opportunity

for correction before a permanent “black mark” appears on the

official year-end appraisal. Keep the completed midyear review

form with other departmental personnel information, and use

it as one of your data sources when the time comes for complet-

ing the final performance appraisal.

Another major benefit of conducting a planned midyear re-

view is that it allows for updating goals that have been achieved

or abandoned and for adding new projects that have been

undertaken. It’s also a good time to adjust the list of key job

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responsibilities if a significant amount of the individual’s work

time is being spent in areas not included in the original list.

Event-Driven Reviews

Any of these events should trigger a leader-initiated coaching

session:

• After the completion of a major project, regardless of

the outcome. Coaching is particularly valuable—and

appreciated—when it follows a significant success.

• When one of your employees is experiencing difficulties

in getting a job done.

• When an individual is expressing frustration or dissatis-

faction with the job.

• When an individual’s mood or temperament on the job

varies from the norm for that person, and the mood

swing or temperament change lasts more than a couple

of days.

What Is Coaching?

Coaching involves learning from experience. Experience may

be a good teacher, but unless we reflect on that experience it

won’t be a very effective one. It will just be an event. What the

manager needs to do through coaching is put the experience in

context.

Before employees can benefit from coaching, however, they

must have the appropriate training and skills. Training comes

first, coaching comes second. Employees must also know what’s

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expected of them and how their performance will be measured.

Employee coaching is designed to help people overcome per-

formance barriers. If the people who work for you don’t know

what performance is expected of them, they won’t know how to

get there.

In more specific terms, coaching involves the following

functions:2

• Giving advice to help employees improve their perfor-

mance. The manager typically brings more experience to

the situation that the employee needs help with. Giving

advice doesn’t mean telling the person how to do the job,

but offering suggestions based on your experience.

• Providing employees with guidance so that they can

develop their skills and knowledge appropriately.

Coaching involves providing help with both the knowl-

edge and the skills needed to do the job, and informa-

tion about how the employee can acquire these skills

and knowledge.

• Providing employees support ( but being there only

when your presence is needed). Coaching involves being

available when the individual needs help, but not moni-

toring and controlling the employee’s every move. The

responsibility for performance, and improving that

performance to meet the requirements of the job, is the

employee’s.

• Giving employees confidence that will enable them to

enhance their performance continuously and increase

their ability to manage their own performance. Coach-

ing involves giving positive feedback that allows people

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to feel confident about what they’re doing and how

they’re doing it, as well as letting them know about areas

where they need to improve.

• Helping employees gain greater competence by guiding

them toward acquiring more knowledge and sharpening

their skills so that they are better prepared for more

complex tasks and higher-level positions.

What Coaching Isn’t

Coaching isn’t training. Coaching happens after training is

completed. Training ’s job is to make people competent; coach-

ing ’s job is to make them masters.

Coaching isn’t telling people how to do their jobs or explain-

ing precisely the way you want something done. That’s called

micromanaging.

Coaching isn’t counseling. Coaching focuses on work issues;

counseling focuses on personal issues. But a coaching session

can inadvertently turn into a counseling session if the employee

starts talking about a non-work-related issue that impacts job

performance—such as financial troubles, family relationships,

health problems, or drug or alcohol issues. When this happens,

the manager needs to immediately redirect the discussion:

“Jim, we’re getting into an area that, while it is important, is

none of my business. I’m not qualified to give you any help or

suggestions.”

If your company has an employee assistance program (EAP),

make the employee aware of it, without directly telling the per-

son that he or she needs to contact the EAP provider (it’s the

employee’s responsibility to make the decision to get help and

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to make the contact). If your company doesn’t have an EAP, say

something like this: “Les, I’ve got a responsibility to make sure

that everyone is performing at full capacity while they’re on the

job, and it sounds like you’ve got a situation off the job that’s

getting in the way. I probably can’t be helpful to you with that.

What do you think you might do to get this situation resolved?”

Then listen. If the response seems at all reasonable, say, “I

hope that works for you. In the meantime, let’s focus on what

you need to do to meet all your job responsibilities, so concerns

about your job won’t distract from your being able to get this

other situation taken care of.” Again, coaching isn’t counseling.

As a manager you’re unqualified to offer counseling. Don’t get in

over your head.

Mandatory Coaching Situations

We need to let people make their own mistakes so they can learn

from them. We can train and advise them, which will help some

of the time, but actual experience is often the best teacher. The

wise manager, therefore, will generally hang back and resist the

impulse to jump in every time an employee encounters diffi-

culty. A good manager, however, will always monitor what her

employees are doing and will directly intervene to coach an

employee whenever the following circumstances occur:

• Their current behavior poses a threat to themselves or

someone else. When an employee is doing something

that could cause harm to themselves or someone else,

you have to step in. This is one instance where you can’t

let someone learn from their mistakes. You need to

provide coaching. If possible, rather than telling the

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person the solution, suggest a couple of alternatives and

let the individual figure out which is best. Make sure

that the employee understands why the behavior he or

she is planning is inappropriate.

• There are ethical or legal ramifications of their actions.

You can’t allow employees to do things that are illegal or

unethical, regardless of whether they are acting with in-

tent or out of ignorance. As with dangerous behaviors,

provide alternatives, let them decide, and explain why

the planned behavior is a poor choice.

• They are hurting their team membership. You need

your employees to work together as a team. If one mem-

ber is doing something that will cause the others to ex-

clude him from the team, you have to step in. If an

employee always takes credit for the team’s work, you

need to tell her to stop. If an employee in a cubicle often

yells into the phone and disturbs those around him, you

have to step in and insist on change.

• They are repeating failed behaviors. When someone has

repeatedly tried to solve a problem and his solution still

isn’t working, you need to get involved. Often we try

something and it fails. We may try it again to make sure

we did it the way we intended. It still fails. If a person,

however, keeps trying after a second failure, he isn’t

learning. The manager needs to step in and provide

coaching.

• The financial impact on the company is severe. Almost

any mistake is going to cost the company money, either

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directly or in lost time or other ways. You can’t step in

every time an employee might make a mistake just to

save money—consider it an investment in the em-

ployee’s learning and development. However, if the

planned action will have a significant negative financial

effect, you have to get involved. You have a responsibil-

ity to the company to protect its fiscal assets that’s just

as great as your responsibility to develop its human as-

sets. Provide the employee with alternative behaviors,

let her figure out the appropriate choice, and explain

why you had to step in.3

• Their current performance varies significantly from

what past performance appraisals have described. It

may well be that all the individual’s past reviews have

(inaccurately) described her as a star performer. In this

case, when you talk with the individual, it’s appropriate

to say something like, “Elaine, I noticed that all of your

past performance appraisals have described you as an

excellent performer. But I haven’t seen that level of per-

formance in this job. Let me tell you about what I’ve

observed . . . ” Past performance appraisals can be a

useful source of data and insights whenever you initiate

a coaching session based on a concern about the individ-

ual’s performance. Check the person’s past reviews

to see whether previous supervisors have commented

on the same concern you find the need to address now.

If that’s the case, make reference to those earlier per-

formance appraisals in discussing the issue with the

individual.

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A Complete Coaching Session Example

Here’s an example of a successful coaching session. In this ex-

ample, you’ll meet Tom and Anne. Anne is a fairly new em-

ployee who was highly recruited and has a hard-to-find skill set.

Tom, Anne’s boss, worked hard to recruit her and feels that she

has a lot of potential. Tom truly wants Anne to be successful,

but he’s aware that she’s struggling. They are together for

Anne’s midyear review.

As you read the exchange between Tom and Anne, pay atten-

tion to what he’s doing as he coaches her. While the script may

seem long on paper, the actual conversation between the two

probably takes less than five minutes.

Tom: It’s been about six months since we had the review and

talked about what you’ll be doing in the upcoming year.

I know we’ve talked briefly about how you’ve been coming

along, but now that we’re about halfway through the year

I wanted to spend some time really talking about how

things are going for you. Tell me—how are things going?

Anne: They’re fine. The quality project is coming along

well. And it should, with the hours I’ve put in on it.

Tom: Bring me up to date.

Anne: Well, not a lot to tell. We ran into a problem with the

first milestone when we didn’t get the support we were

counting on from Simpson, but since then things have

been pretty good.

Tom: What happened?

Anne: He quit, remember? We knew he was going to be

leaving, but I didn’t anticipate how much his not being

here would slow us down.

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Tom: We missed two milestones.

Anne: Well, yeah. One thing spiraled into another. You

know how it is. But I think I’ve gotten it back on track

now.

Tom: I’m concerned, Anne. It’s an important project, and

we’ve missed two key dates. That doesn’t sound like

“coming along well.”

Anne: I think things are going to be OK. I don’t think you

have to be concerned.

Tom: Well, perhaps you’re right. But two missed mile-

stones is serious. I’m concerned that you knew Simpson

was going to be leaving but waited until he was gone to

look for someone to fill in for him. And on the second

one, I didn’t know that you weren’t going to make the

deadline until a day before.

Anne: I was hoping that we’d make it. I didn’t bring it to

your attention because I really didn’t think we were

going to miss. I let you know as soon as I realized that it

just wasn’t going to happen, no matter how much time I

put in. And I did put in time, lots of it. Do you know how

much time I put in?

Tom: No, I don’t. But putting in time isn’t the problem. Ac-

tually, maybe it is the problem. You’re putting in time

when you should be managing a project. You didn’t plan

for the impact of Simpson’s departure until he’d actually

left, and then you tried to make up for it by putting in

lots of your own time. And you didn’t let me know until

just before it happened that the last deadline was going

to be missed. (Pause.) I’m worried, Anne. Should I be?

Anne: What are you saying, Tom? What’s the real message?

Am I in trouble?

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Tom: No, not “in trouble,” but I’m concerned. I put you in

charge of the quality project because I thought you were

ready for taking on something bigger. But it doesn’t

seem to be working out.

Anne: Look, I am doing my best. Simpson was no help to

me once he told us he was leaving. The people on my

team, I don’t know, it’s like they think the assignments

that I give them aren’t as important as the things they

do for other people. So they leave my stuff till the last

minute. And I’m not their boss . . . I can’t say “I’m gonna

fire you unless you get this done by Tuesday.” I don’t feel

like I’m getting their respect as project leader.

Tom: What do you mean?

Anne: They’ve all got a couple of projects they’re working

on. But nobody sees this quality project as the most im-

portant one they’ve got. I do, but I’m the only one. I

think they work on my project only when their other

stuff is done.

Tom: Why do you think that is?

Anne: I don’t know. Maybe I don’t crack the whip hard

enough. But I’m not their boss, so I can’t say, “Do it or

else!” So I guess I find that it’s easier, when schedules

start slipping, to just get in there and do things myself.

Tom: And what’s the result of doing that?

Anne: Well, one result is that I’m overwhelmed with my

current workload.

Tom: You’re overwhelmed, and the results on the quality

project—at least at this point—aren’t satisfactory. (Anne

looks at him, startled.) The results you’ve produced

on the quality project so far—not making plans for

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Simpson’s departure, missing two deadlines, not letting

me know about problems until the last minute, as well

as not managing to get the support of the people on your

team . . . You and I both know that this isn’t satisfactory.

Anne: Tom, my work has never been unsatisfactory.

Tom: That’s true. And it’s also true that you’ve never had a

challenge like this before. You may have always relied

completely on yourself in the past, and that seems to

have worked for you. Now I am looking to you to be suc-

cessful as a leader of a very important project that has a

big impact on our business.

Anne: Yeah, I know. Are you going to hand my quality proj-

ect off to somebody else?

Tom: No. It’s you. And I haven’t changed my mind that you

can do this. But not the way you’ve been doing it so far.

Anne: So what do I do?

Tom: Well, a couple things are obvious, and you’ve proba-

bly already noticed them yourself. When you find out

about something that’s going to cause delays in your

schedule, like Simpson’s departure, get to work on

backup plans so that you don’t end up doing everything

yourself. And don’t let me get caught by surprise when a

deadline’s going to be missed or something else hap-

pens. But the big thing is getting people on your team to

see you as a leader, whether or not you’re their boss.

Anne: Yeah, well, OK. But I don’t know exactly what I

should do. Should I go to a training program or some-

thing on project management?

Tom: Well, maybe, if the right program comes along. But we

can’t wait for a training program. This is something that

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we need to work on right now. But I believe you already

have the talent and skills to make this project successful.

Anne: Yes . . .

Tom: Look, you’re an engineer. A good one. You know how

to figure things out. Let’s try to figure this out. You’ve got

to get the people on the team working together, and giv-

ing you what you need, without being able to say, “Do it

because I said so.” So how can you do it?

Anne: I don’t know. Other people seem to be able to do

this. But it’s something new to me.

Tom: OK. Let’s think about the people you’ve known who

have been really good team leaders. What did they do

that you’re not doing?

Anne: Oh. I’m not sure. I hadn’t thought about it like that.

Maybe I can pay attention to what you do in working with

us and, I don’t know, maybe make up a list or something.

Tom: Well, perhaps. But I may not be the best person to

work with you on this. (Pause.) Look, I’m here to help. I

want you to be successful and I’m sure that you can. And

I’m happy to look over anything you want me to. But the

more I do to help you be successful, the more it’s me

that’s succeeding and not you. I’d suggest that you think

about other people who are facing the same kind of situ-

ation you are. You’ve worked on lots of teams; you know

who’s able to get everybody pulling together.

Anne: Yeah, Gwen Morrissey. Everybody respects her. And

she gets great results.

Tom: So why don’t you think about what she does and

come up with some ideas. See what she does and how

you might do the same kinds of things, but in your own

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way. Talk your ideas over with her. I’ll be happy to give

you my own feedback, too, but I really expect you to take

ownership of the project.

Anne: So where do we go from here?

Tom: Well, I’ve got some other things we should go over,

but we’ve covered the one that was really on my mind.

Project management’s tough, and it’s particularly tough

when everybody on the project team is getting pulled in

a bunch of different directions. I know you can handle it.

But you need to get right to work . . .

Analyzing Tom’s Coaching Session with Anne

The dialogue between Tom and Anne illustrates several key

coaching points:

Listening: Throughout the conversation Tom listened

closely to what Anne was saying. He was able several times

to reflect accurately what she had said to him.

Using a straightforward approach: Tom was frank—almost

blunt—in letting Anne know that he was not happy with

the way things were going. [“ . . . the results on the quality

project—at least at this point—aren’t satisfactory.” “I

thought you were ready for taking on something bigger.

But it doesn’t seem to be working out.”]

Being supportive: While he was candid in expressing his

concerns about Anne’s performance, he also continued to

communicate his belief that she was capable and would be

able to turn things around. [“ . . . I haven’t changed my

mind that you can do this.” “I believe you already have the

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86 How to Be Good at Performance Appraisals

talent and skills to make this project successful.” “I want

you to be successful and I’m sure that you can.”]

Assigning responsibility: Tom made it clear that the

project was not going well and that she was responsible.

But instead of telling her what to do or how she should

change, he asked her to come up with her own suggestions.

[“Look, you’re an engineer. A good one. You know how to

figure things out.” “I’ll be happy to give you my own feed-

back, too, but I really expect you to take ownership of

the project.”]

Providing guidance: Tom heard Anne’s suggestion about

going to a project management training program and

helped her see that attending a training program wasn’t a

viable solution to the problem. He coached her into coming

up with better ideas. [“Let’s think about the people you’ve

known who have been really good team leaders. What did

they do that you’re not doing?”]

Earlier in the chapter I described the manager’s role in

coaching employees as giving advice, providing employees with

guidance, providing employees with support, giving employees

confidence, and helping employees gain greater competence.

Each one of those coaching responsibilities was demonstrated

in the conversation between Tom and Anne.

Finally, recognize that while it’s possible that your feedback

may not be 100 percent accurate, that’s no excuse for not let-

ting your people know how you feel they’re doing.

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Providing Day-to-Day Coaching 87

Principles to Remember

DO

✓ Set a schedule for holding coaching sessions the same

way you’d schedule a dentist’s appointment.

✓ Allow people to make mistakes and learn from them.

✓ Conduct a formal midyear review in addition to informal

coaching sessions.

DON’T

✓ Wait for a problem to arise to initiate a coaching session.

✓ Try to be a counselor when an individual is facing a per-

sonal problem.

✓ Confuse coaching with either training or disciplinary

action.

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215

Acknowledgments

My thanks go to the many people from whom I have learned so

much during the thirty years that I have spent concentrating

on performance appraisal. Bloggers like Kris Dunn and Ann

Bares amaze me with their ability to come up with fresh in-

sights and new ideas every few days. I am indebted to academ-

ics like Peter Cappelli and Steven Scullen, and particularly Ed

Lawler, whose research and experience have made huge con-

tributions to the field of performance management and my own

understanding. Consultants and practitioners like Steve Suss-

man, Paul Falcone, and Jack Zigon have taught me a great deal.

This book would not have been possible without the support

and guidance of Courtney Cashman and Melinda Merino, my

editors at the Harvard Business Review Press. Their intelli-

gence, good humor, and editorial skills not only helped make

the book better, but made the process of writing it a wonderful

experience. Also at Harvard, I owe a debt of thanks to Stephani

Finks for designing an attractive and clever book jacket, and to

Audra Longert for arranging for translated editions.

Finally, I am indebted to my wife and business partner,

Jacqueline, who provided wonderful support, good ideas, and

careful editing.

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About the Author

Dick Grote is president of Grote Consulting Corporation in

Dallas, Texas. He is a frequent speaker at corporate conferences

and meetings. He also regularly presents executive overviews

of best practices in performance management to senior execu-

tives and HR leadership teams.

Dick is the author of the books Discipline Without Punish-

ment and The Complete Guide to Performance Appraisal.

Discipline Without Punishment, now in its second edition, has

become a management classic. Paramount Pictures bought the

movie rights to Discipline Without Punishment and produced

the video series “Respect and Responsibility” with Dick as

host.

His highly popular book, The Performance Appraisal Ques-

tion and Answer Book, was published by the American Manage-

ment Association in 2002. His most recent book, Forced

Ranking: Making Performance Management Work, was pub-

lished by the Harvard Business School Press in November

2005. His books have been translated into more than a do-

zen languages, including Russian, Vietnamese, Arabic, and

Serbian.

For five years, Dick was a regular commentator on

National Public Radio’s Morning Edition. For twenty years he

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was adjunct professor of management at the University of

Dallas Graduate School of Management. His articles have

appeared in Harvard Business Review and the Wall Street

Journal. His biography appears in Who’s Who in America and

Wikipedia.

218 About the Author

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