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Performance Appraisal
59. CASE: THE SELF-APPRAISAL PROBLEM
I. OVERVIEW
Traditionally, performance appraisal systems consisted of having a supervisor evaluate
subordinates. More recently, firm have expanded their systems to include self- appraisals and even
360-degree appraisals. This case focuses on the problems associated with asking employees to complete
a self-appraisal. Most HR texts will spell out the benefit of self-appraisals, but one of the problems
associated with them is demonstrated in this case: employees may resist completing them, particularly if
they are complex and/or the employee recognizes that he/she if not performing well. A6er all, what do
employees gain by stating that they are not meeting company objectives? Perhaps their supervisor does
not believe this or is not aware of some particular shortcoming. So why raise the issue?
II. OBJECTIVES
1. To familiarize students with the self-appraisal process in general and one firm’s
process specifically.
2. To make students aware of some of the problems associated with self-
appraisals.
III. ANSWERS TO CASE QUESTIONS:
1. What action should Leroy Washington take in response to Carol McCalmont’s and
Janet Weber’s actions? Should McCalmonts be granted a raise even though she
hadn’t completed her self-evaluation?
Carol and Janet have both made mistakes in this case that need to be addressed. Carol needs to
complete her self-appraisal on time. This is not an option. Likewise, Janet must demand that Carol do
Carol’s raise should be withheld until the appraisal process is completed. In the absence of a
2. Evaluate the Engel Product’s self-appraisal system. Should it be changed to make it
more eBective? Is it too time consuming?
The self-appraisal system shown in this case is based on one used by a large firm. They have had
a good experience with it; otherwise it would have been changed. The self-evaluation itself is quite
The firm’s self-appraisal system focuses on two aspects of performance: past goal
accomplishments and self-development. It is hard to -nd fault with the overall approach since it
incorporates both an evaluation and a developmental component. However, even though the overall
Is the process too time consuming? The fact that one employee may
think the process is too time consuming is not suGcient evidence to judge the issue. This may just be an
excuse for not wanting to complete the self-appraisal or not wanting to be evaluated by a superior. The
It is important to point out to students that one of the potential problems with
any self-evaluation system is that a conJict may develop between the employee’s own evaluation and
that of his/her supervisor. To illustrate, an employee may rate herself “outstanding” on “work quality”
3. Should the firm eliminate the self-appraisal portion of its appraisal system?
The issue of whether the self-appraisal system should be eliminated cannot be determined
based on just one incident such as the one depicted in this case. No appraisal system is perfect; each
can create problems for a firm. So, the firm needs to make this decision based on their overall
60. CASE: MILLS PAPER COMPANY: PERFORMANCE MANAGEMENT OR AGE
DISCRIMINATION
I. OVERVIEW:
This case provides students with the opportunity to discuss the legal aspects of performance
appraisal. Performance appraisals continue to figure in cases involving personnel actions like promotion,
termination, and layoBs. As more and more organizations make use of performance management
systems, it is imperative that such systems can withstand legal challenges. A review of performance
appraisal legal cases (see Martin, Bartol and Kehoe (2000) indicate that most cases focus on
discrimination issues related to Title VII, the Age Discrimination in Employment Act, The Equal Pay Act
and other related laws. The present case is based on an actual case (Collins v. James River Paper
Company, 1993). The case illustrates the importance of seMng clear performance standards, feedback to
employees, documentation of an employee’s performance (especially when it is deteriorating) and clear
plans for performance improvement.
II. OBJECTIVES:
1. To familiarize students with the requirements of a defensible performance
management system.
2. To illustrate management responsibilities for performance management.
III. DISCUSSION:
Performance management continues to be one of the major challenges faced by
organizations. Some have described it as the Achilles’ heel of modern human resource management.
While there are a variety of methods that can be utilized, it is important that each organization develop a
system that would be defensible in the face of discrimination allegations. If such a system is designed
and managers are appropriately trained in using the system, legal challenges will not prevail. But the
protection against discrimination charges should not be the end goal of performance management. The
goal of such systems must is to link individual employee performance to organizational goals and
strategies. This is often easier said than done. Managers are often reluctant to provide candid feedback
to employees and there is not always a clear relationship between annual merit increases and
performance ratings. The present case illustrates the legal issues as well as the process challenges of
geMng performance management correct.
IV. QUESTIONS:
1. Evaluate Mills management of Carpenter’s performance. What are the strengths
and weaknesses of their approach to performance appraisal (i.e. management by
objectives)?
It would seem that Mills had followed a textbook approach to managing Carpenter’s
performance. Objectives were set for his performance upon his employment with the company. He
received feedback on his performance on those objectives and also an improvement plan was developed
Management by Objectives is an appropriate approach for the performance management of
managers. Its major strength is its results-oriented approach. MBO does not rate behaviour but
2. Do you agree or disagree with Amato’s observation that Carpenter should have been
terminated earlier?
3. Will Carpenter prevail in his charges against Mills? Why or why not? What are the
elements of a legally defensible performance appraisal system?
In the case upon which this is based, the U. S. District Court found in favor of James River Paper
Company. The court found no evidence of age discrimination and pointed to how far the company had
A summary of court cases indicate performance appraisals should meet the following legal
guidelines:
Employees must be given a copy of their performance expectations standards in advance of
appraisals.
Supervisors should be trained to use the appraisal form correctly.
Corrective or counselling guidance must be oBered to help poor performers to improve
performance.
Suggested Reading
Martin, D. C., Bartol, K. M. and Kehoe, P. E. (2000). The legal rami-cations of performance
appraisal: The Growing signiticance. Public Personnel Management, Vol. 29 (3): 381-409.
61. EXERCISE: EVALSIM—A PERFORMANCE EVALUATION EXERCISE
I. OBJECTIVES:
1. To familiarize students with some of the problems related to the use of performance
appraisals and to provide students with alternative approaches for solving these
problems.
2. To give students practice in making decisions and writing responses to employees
regarding performance appraisal issues.
II. OUT-OF-CLASS PREPARATION TIME: 20 minutes for students to read exercise plus one hour to
complete E-Mail items either individually or in groups and write memos.
III. IN-CLASS TIME SUGGESTED: 45 minutes to discuss all E-Mail items.
IV. PROCEDURES: See text
V. ANSWERS TO E-MAIL ITEMS:
This exercise is designed to familiarize students with typical performance appraisal problems and
possible solutions to these problems. The exercise also serves as a basis for critiquing graphic rating
Item 1
In this situation an employee is complaining that it is unfair that he be compared to older more
experienced workers rather than new hires like himself. The employee seems to assume that his
One issue that can be discussed here is the pros and cons of comparing new employees with
Item 2
This incident focuses on problems faced by many firm, namely, a lack of consistency between
The two supervisors concerned may want to be consulted to determine the cause of the
diBerences in the scores of the two "equal" job performers. One supervisor may be more lenient than
Item 3
This E-mail asks what is meant by the terms, “aMtude” and “conduct” on the appraisal form.
This question points out one of the problems with a trait appraisal system. Unless the firm has specific
Item 4
Since it would be extremely diGcult for Sue to conduct any meaningful evaluations at this point,
Item 5
As this item demonstrates, employee evaluations can result in friction between supervisors and
subordinates. While some of the friction is avoidable, some is not. Faculty members may want to begin
A second approach is to give employees job performance feedback on a regular basis. If
employees are told regularly how well they are performing, their performance evaluations will not come
as a shock. Friction can also be reduced by training supervisors how to conduct evaluation interviews
In spite of everything a manager tries, some employees are prone to argue with their
evaluations. Instructors may want to point out that some employees do this to intimidate their boss into
Item 6
Employees refuse to sign evaluations for various reasons. One reason often overlooked by
students is the possibility of illiteracy. Some employees, admiOedly few, may not be able to sign their
In the case of an employee refusing to sign an evaluation, the supervisor should have a witness
aOest to the employee's refusal. The witness is often another supervisor but it need not be. Another
Some students may feel that the employee is being insubordinate and should be disciplined in
Item 7
It must be impressed upon Ms. Windell that appraisals are used for many developmental and
administrative purposes, some of which may aBect her. Someone needs to explain to her what these
purposes are. For example, appraisals can be used to determine training needs, to evaluate training
programs, to assess the overall competency of the workforce, to determine which employees should be
One aspect of Margaret's E-mail that should not be overlooked is that it could be construed as a
Item 8
The process of X-ing out all blank spaces could reduce the likelihood of this problem happening
again, as would having the ratee initial any changes on the evaluation form. Alternately, the employee
Item 9
This item points out one of the problems with using an appraisal form designed for the masses.
The important point here is that just because the form asks that an employee be evaluated on a
If the supervisor is worried that leaving the one criterion blank will aBect the employee's
Item 10
Employee evaluations are con-dential and should remain that way. It would appear that Helen
Jackson should be counseled and informed of company HR policies regarding appraisal con-dentiality.
62. EXERCISE: PERFORMANCE APPRAISAL INTERVIEW ROLE PLAY
I. OBJECTIVES
1. To allow students practice in conducting a performance appraisal interview.
2. To compare and contrast diBerent approaches to the performance appraisal
interview.
3. To develop sensitivity toward communication problems in performance appraisal
interviews.
II. OUT-OF-CLASS PREPARATION TIME: 20-30 minutes
III. IN-CLASS TIME SUGGESTED: 45 minutes
IV. PROCEDURES: See text
V. POSSIBLE SOLUTION/DISCUSSION
This exercise requires students to observe two diBerent approaches to the performance
appraisal interview. One interview uses the "tell and sell" approach and the other interview uses a
"problem-solving" approach. This exercise has worked quite well in the past in helping students to
The major diGculty facing the supervisor in the situation described is that the employee is
probably expecting an excellent appraisal and seems unaware of the supervisor's concern with her
tardiness (see role sheets on next page). To enhance the eBectiveness of this exercise, it is helpful to
