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  • 1.  Compensation tied to appraisals

    Posted 04-27-2000 14:17
    I'm working with a company who is changing their appraisal process.
    Previously, their appraisals were tied to compensation and they found that
    all employees were rated very high on their appraisals. They have recently
    gone to an objective review process. The question from their employees
    is..... how is this process tied to compensation. If you do well on the
    review, doesn't that count towards increased compensation. My question to
    the list is..What models have folks seen that work well to determine
    compensation while still rewarding high performers. What part should the
    review play in determining compensation? What other factors are
    organizations using?

    Thanks.

    Bonnie Jackson


  • 2.  Compensation tied to appraisals

    Posted 04-27-2000 15:19
    One method would be to tie compensation to organizational performance while
    allowing the appraisal process to guide development. Determine an amount to
    be given to employees based on some organizational performance indicator,
    e.g. ROI, etc. Then individual performance metrics can be used to determine
    some of the compensation but the majority is tied to org. outcomes, pay for
    performance in other words. Look at some of the writings Milkovich, he is
    sort of a guru in the field.

    Ken Rossi, Ed.D.
    Asst. Professor of Information Systems
    Hawaii Pacific University
    Honolulu, HI 95813
    (808) 544-1412
    kgrossi@hpu.edu
    rossik@hawaii.rr.com
    ----- Original Message -----
    From: "Jackson, Bonnie" <BJacks5@RESPARK.RTTONET.PSU.EDU>
    To: <MG-ED-DV@MAELSTROM.STJOHNS.EDU>
    Sent: Thursday, April 27, 2000 8:17 AM
    Subject: Compensation tied to appraisals


    > I'm working with a company who is changing their appraisal process.
    > Previously, their appraisals were tied to compensation and they found that
    > all employees were rated very high on their appraisals. They have
    recently
    > gone to an objective review process. The question from their employees
    > is..... how is this process tied to compensation. If you do well on the
    > review, doesn't that count towards increased compensation. My question to
    > the list is..What models have folks seen that work well to determine
    > compensation while still rewarding high performers. What part should the
    > review play in determining compensation? What other factors are
    > organizations using?
    >
    > Thanks.
    >
    > Bonnie Jackson


  • 3.  Compensation tied to appraisals

    Posted 04-27-2000 18:28
    Well, for what it's worth, here's my opinion. (A) There should be no
    performance appraisal process or system at all. Scrap the darn
    things! (B) If you have to have an appraisal system, don't connect it to
    compensation. Those linkages divert way too much time and energy into
    manipulating the system or playing the game, whichever you prefer.

    At 02:17 PM 04/27/2000 -0400, you wrote:
    >I'm working with a company who is changing their appraisal process.
    >Previously, their appraisals were tied to compensation and they found that
    >all employees were rated very high on their appraisals. They have recently
    >gone to an objective review process. The question from their employees
    >is..... how is this process tied to compensation. If you do well on the
    >review, doesn't that count towards increased compensation. My question to
    >the list is..What models have folks seen that work well to determine
    >compensation while still rewarding high performers. What part should the
    >review play in determining compensation? What other factors are
    >organizations using?
    >
    >Thanks.
    >
    >Bonnie Jackson

    Fred Nickols
    The Distance Consulting Company
    "Assistance at A Distance"
    http://home.att.net/~nickols/distance.htm
    nickols@worldnet.att.net
    (609) 490-0095


  • 4.  Compensation tied to appraisals

    Posted 04-27-2000 18:46
    On 27 Apr 00, at 18:28, Fred Nickols wrote:

    > Well, for what it's worth, here's my opinion. (A) There should be no
    > performance appraisal process or system at all. Scrap the darn things!
    > (B) If you have to have an appraisal system, don't connect it to
    > compensation. Those linkages divert way too much time and energy into
    > manipulating the system or playing the game, whichever you prefer.

    Fred, I share a concern about the flaws in performance appraisals,
    but there are a few realities here that one has to contend with --
    mostly to do with how to make certain decisions and protect
    against accusations of discrimination.

    One reality is that employees, whether we like it or not, expect to
    be compensated according to their contributions (even though it's
    pretty impossible to measure those properly). So within that
    context, if you want to scrap it, then you need to address that
    desire, and present an alternative and palatable way to make those
    decisions (denying the need is "cheating"). Equally so for the
    feedback functions, and an unfortunate reality that many managers
    won't give feedback throughout the year.

    Equally so with legal issues, and certainly documentation which
    provides some protection with respect to EEOC complaints and
    related issues.

    There are reasons why very flawed performance appraisals have
    continued to exist for so long. I think it's pointless to scrap it until
    we have some way of dealing with the perceived needs that have
    driven the process for so long. And if we can't find a completely
    better way, then we need to develop managers, HR folks and
    employees so they recognize the limits of PM and PA, and carry it
    out so they get VALUE from the process instead of going through
    the motions.


    Visit the work911.com supersite at http://www.work911.com
    for work related articles, or to find almost anything including
    book reviews and suggestions, discussion lists and more.


  • 5.  Compensation tied to appraisals

    Posted 04-27-2000 20:56
    Bonnie,

    What I've seen is that the appraisal is used only as a means for determining
    how and how well people are actually applying their skills and knowledge in
    the achievement of certain organisation, business and/or strategic goals and
    objectives. The dollar value is put on the achievement and the pro rata
    worth of the individual's contribution is determined.

    A simple example of this is the traditional Suggestion Box in which
    individuals place suggestions for improvements. If the improvements brings
    about dollar savings then the individual gets a share. But, this is
    dependent upon how much work the individual puts into coming up with the
    savings (ie, the suggestion covers all bases and no or little further work
    is required to make it a reality, or the suggestion is obviously not well
    thought through and further expense is needed to bring it about).

    The appraisal process then is all about negotiationg with the individual the
    tools and resources (such as time/more time, finances, physical resources,
    training, experience etc.) that he/she needs to fully apply the skills and
    knowledge needed to achieve these objectives.

    While this is probably recognised by everyone as a traditional MBO and
    profit sharing approach what is different is the way in which the skills and
    knowledge are defined and how they actually give people the competence and
    confidence to achieve the goals or objectives concerned. The appraisal
    process isn't used to determine whether or not an individual has the skills
    and knowledge (that is a separate approach), but whether or not he/she is
    actually applying them. This gets us away from subjective measurements of
    how good someone is (or isn't), but whether or not that person is applying
    the skills and knowledge he/she has.

    Phil Rutherford



    ----- Original Message -----
    From: Jackson, Bonnie <BJacks5@RESPARK.RTTONET.PSU.EDU>
    To: <MG-ED-DV@MAELSTROM.STJOHNS.EDU>
    Sent: Friday, April 28, 2000 4:17 AM
    Subject: [MG-ED-DV] Compensation tied to appraisals


    > I'm working with a company who is changing their appraisal process.
    > Previously, their appraisals were tied to compensation and they found that
    > all employees were rated very high on their appraisals. They have
    recently
    > gone to an objective review process. The question from their employees
    > is..... how is this process tied to compensation. If you do well on the
    > review, doesn't that count towards increased compensation. My question to
    > the list is..What models have folks seen that work well to determine
    > compensation while still rewarding high performers. What part should the
    > review play in determining compensation? What other factors are
    > organizations using?
    >
    > Thanks.
    >
    > Bonnie Jackson
    >


  • 6.  Compensation tied to appraisals

    Posted 04-28-2000 05:02
    There have been many arguments regarding whether pay appraisal should be
    linked to performance management. My feeling is that the two are very
    difficult to separate, therefore, trying to separate them may not be
    feasible. However, having said that, money should not be the only
    motivator in performance management systems. Factors such as
    recognition of a job well-done, interesting work, variety and challenge
    should also be considered. Pearce (see Young, C. 1994. Just rewards:
    Performance-related pay is the fashion. NZ Business July pp 14 - 21)
    quite aptly says "Getting a dollop of money in the hand only has a
    short motivational impact...if it is accompanied by good communication
    and people knowing and understanding the company's vision, it is more
    powerful. It is not what you pay them but how you pay them." In other
    words, yes, an objective review process should count towards
    compensation, as it provides a basis for negotiation of salary
    increase. However, the accuracy of how much to compensate really
    depends on how good the performance review process is.

    Here are some best practice pointers:

    1. Objective processes (although subjective judgement will always play
    a part) are better - I would recommend looking into 360 degree feedback
    as an excellent example of an "objective" model, as it relies on
    feedback from four quarters - self-appraisal, manager appraisal,
    peer-appraisal and customer appraisal.
    2. The review process should be linked to competencies of the job,
    which may be determined by a job analysis of task requirements and
    people-related requirements (ie personality factors). THese
    competencies are then translated into a set of behavioural objectives
    for the year or some determined time period.
    3. Time is set aside for a performance review which may involve a
    series of ratings (there are many different types of rating scales
    available, see Murphy & Davidshofer (1998) Psycholgical
    Testing:Principles and Applications 4th ed for a textbook explanation
    ch20) to assess the achievement of objectives, or an overall performance
    rating.
    3. It is important to ensure that an effective process for managing poor
    performance is incorporated into any performance system.

    Finally I would emphasise that any performance system and subsequent
    review process should reflect the values, vision, and goals of the
    organisation involved. The type of appraisal system used (eg
    skills-based vs performance-based) will depend on the type of
    organisation. Young (1994) claims that "A good system will ask what
    kind of behaviour it wants to encourage and will best serve the strategy
    of the organisation in terms of team and/or individual effort, what it
    wants employees to do in terms of objectives to achieve, and how
    employees know when that is going to happen in terms of some kind of
    accurate performance measure."


    Some useful references...

    Bowey, A.M (1997). Motivation at work: A key issue in remuneration
    http://www.gainshare.co.nz/Motivn.html

    Fisher, M. (1996) PErformance Appraisals. London: Kogan Page Ltd.

    Heneman, R.L. (1992). Pay for performance: A review of theory and
    research. Ch 2. Linking pay increases to performance ratings.
    Massachusetts: Addison-Wesley Publishing Co.

    Hume, D.A. (1995). Reward management: Employee Performance, Motivation,
    and Pay. Oxford: Blackwell Publishers Ltd.

    Hope this helps!


  • 7.  Compensation tied to appraisals

    Posted 04-28-2000 06:28
    Earlier, I posted...

    > > Well, for what it's worth, here's my opinion. (A) There should be no
    > > performance appraisal process or system at all. Scrap the darn things!
    > > (B) If you have to have an appraisal system, don't connect it to
    > > compensation. Those linkages divert way too much time and energy into
    > > manipulating the system or playing the game, whichever you prefer.

    To which Robert Bacal responded...

    >Fred, I share a concern about the flaws in performance appraisals,
    >but there are a few realities here that one has to contend with --
    >mostly to do with how to make certain decisions and protect
    >against accusations of discrimination.

    Those "realities" are addressable without a performance appraisal
    system. See the "Now What?" paper on my articles web site:
    http://home.att.net/~nickols/articles.htm. It deals with ways of
    addressing the many requirements commonly offered up in defense of the
    continuation of performance appraisal systems.

    >One reality is that employees, whether we like it or not, expect to
    >be compensated according to their contributions (even though it's
    >pretty impossible to measure those properly). So within that
    >context, if you want to scrap it, then you need to address that
    >desire, and present an alternative and palatable way to make those
    >decisions (denying the need is "cheating").

    That's not been my experience, Robert, and I know of no data to support
    it. (Surveys don't count, by the way, because people will say almost
    anything on surveys and they can be constructed to get almost any data you
    want.) What has been my experience and what is true of me is that I want
    to be paid what I'm worth. That is an amount that generally gets larger
    over time. (Although this is not always the case; I accepted a position
    once that paid $50K less than my previous position.) What am I worth? As
    you point out, it's partly a matter of my contributions (actual and
    potential) and it's also partly a matter of the compensation structure at
    the company in question. (That position paying $50K less that I accepted
    was in a larger, better-known company and it was near the top of the
    organization.) It's also partly a matter of what I see others getting paid
    and how I see myself comparing to them and what I make out about how others
    see me in comparison to them.

    Robert continues...

    >Equally so for the
    >feedback functions, and an unfortunate reality that many managers
    >won't give feedback throughout the year.

    I think you know my position on this point. "Feedback," as practiced in
    management, isn't feedback at all; at best, it's the manager's expression
    of expectations and at worst it's useless, opinionated, biased and
    irrelevant reporting of perceptions and beliefs. (See my article "Feedback
    about Feedback" at the URL above.) Most people know how they're doing and
    where they stand, unless they're being deceived (which happens). Most
    people who want the counsel of wiser, savvier folks tend to seek that
    out. So, I see no real connection between performance appraisal systems
    and "feedback."

    >Equally so with legal issues, and certainly documentation which
    >provides some protection with respect to EEOC complaints and
    >related issues.

    These can be addressed without a performance appraisal system. See the
    "Now What?" article cited earlier.

    >There are reasons why very flawed performance appraisals have
    >continued to exist for so long.

    On this point we are in agreement but I'll wager we disagree about the
    reasons themselves. I think performance appraisal continues because the HR
    folks are loath to give it up. I think it continues also because it is one
    of the few remaining coercive tools at management's disposal. Its coercive
    power, by the way, has nothing to do with the ability to award pay raises
    or even bonuses but ties instead to the fact that appraisals come into play
    in promotions and assignments. You need a string of good appraisals not to
    incrementally increase your pay over time but to be eligible for promotions
    and plum assignments.

    >I think it's pointless to scrap it until
    >we have some way of dealing with the perceived needs that have
    >driven the process for so long.

    And I think scrapping it will force us to do that. I think that not
    scrapping it will enable it to continue pretty much as is.

    >And if we can't find a completely
    >better way, then we need to develop managers, HR folks and
    >employees so they recognize the limits of PM and PA, and carry it
    >out so they get VALUE from the process instead of going through
    >the motions.

    I'll remind you here of your remark over on the TRDEV-L list. What if
    performance appraisal systems are so fundamentally flawed that they can't
    deliver value? Then what?
    --

    Fred Nickols
    The Distance Consulting Company
    "Assistance at A Distance"
    http://home.att.net/~nickols/distance.htm
    nickols@worldnet.att.net
    (609) 490-0095


  • 8.  Compensation tied to appraisals

    Posted 04-28-2000 12:30
    Another 2 cents for what it is worth.

    We have no problem designing performance systems linked to
    compensation. American corporations have been doing it for years. The
    problem is not in the DESIGN phase, but in the implementation phase.
    That's why we have been at it so long. We haven't come up with a
    successful system yet.

    So I support what Fred says. "Scrap the darn things!"

    In principle, I support the concept (and for many years worked on
    designing and implementing such systems). If we are not paying for
    performance, what are we paying for? In reality, we are probably paying
    more for a person's presence than their performance. The difference in
    reward for working hard and working hardly is minute in most
    performance/compensation systems.

    As Robert mentioned, most of the times, the main purpose served by these
    systems is a legal one, documenting and avoiding discrimination
    charges. Basically this is known as CYA activity--(covering your
    backside). Further evidence that we really don't use the system to
    reward good performance.

    I believe performance appraisals would work well if they focused on
    developmental evaluation and were not linked directly to compensation.
    However, neither our managers nor our systems would allow such.

    BTW, I make a real distinction between performance management and
    performance evaluation. The latter is just a late phase of the former
    process. Yet, most of our systems focus on the evaluation aspect and
    neglect the bigger picture. Evaluation comes after the fact, and it
    doesn't do much good to "close the barn door after the horse has
    escaped."

    If specific criteria is established up front, and used to evaluate
    actual performance against, then there is a note of objectivity to the
    process. Performance can thus be managed through coaching,
    encouragement, discipline, etc. If you base compensation ("merit") on
    actual performance as measured against established criteria, you can
    distinguish and reward accordingly, and legally document and justify the
    distribution. Most of the time, we fail on that front end, and focus
    entirely on the post evaluation of results. It's like saying "shoot
    first, and call whatever you hit the target."

    "Merit" systems also fail because they are fundamentally lies.
    Typically, the merit system says we are rewarding you for what you have
    done the previous year. Sounds good. But if you left the company the
    day after you got that promise, you wouldn't have collected a dime. The
    "merit" is built into your compensation for the next year, and you, in
    reality, collect not for what you did last year, but for what we expect
    you to do the coming year. Even if you don't produce, you still
    collect. So again, it really isn't a reward for performance.

    I suggest that merit be presented as an incentive, not a reward. Let's
    say a person has agreed to work for $50,000 a year. At the end of the
    year, his pay stub will indicate that he received $50,000. The company
    has kept its promise, it's part of the contract. If the employee has
    done all that was promised/expected, then the contract has been met on
    both sides. If the employee hasn't, then I suspect that his manager
    failed to properly supervise him. Rather than "rewarding" him for good
    performance (more rewards for better and best) his level of achievement
    should be seen as a baseline. The company should then say, "If you
    promise to perform at the same level we will offer you the same
    $50,000. If you promise to do more, we will offer you $50,000 plus
    (whatever $ factor can be agreed upon). This is essentially the same
    process we enter upon when we first hire the person.

    So, let me say I believe in pay for performance. But we need to totally
    revamp our current systems to allow for it.

    Bob Carr

    Fred Nickols wrote:
    >
    > Earlier, I posted...
    >
    > > > Well, for what it's worth, here's my opinion. (A) There should be no
    > > > performance appraisal process or system at all. Scrap the darn things!
    > > > (B) If you have to have an appraisal system, don't connect it to
    > > > compensation. Those linkages divert way too much time and energy into
    > > > manipulating the system or playing the game, whichever you prefer.
    >
    > To which Robert Bacal responded...
    >
    > >Fred, I share a concern about the flaws in performance appraisals,
    > >but there are a few realities here that one has to contend with --
    > >mostly to do with how to make certain decisions and protect
    > >against accusations of discrimination.

    <snip>


  • 9.  Compensation tied to appraisals

    Posted 04-28-2000 12:57
    On 28 Apr 00, at 6:28, Fred Nickols wrote:

    >
    > Those "realities" are addressable without a performance appraisal
    > system. See the "Now What?" paper on my articles web site:
    > http://home.att.net/~nickols/articles.htm. It deals with ways of
    > addressing the many requirements commonly offered up in defense of the
    > continuation of performance appraisal systems.

    I'm sure it would be helpful if you would map out some of those
    ways here, so we could talk about them.
    >
    > >One reality is that employees, whether we like it or not, expect to
    > >be compensated according to their contributions (even though it's
    > >pretty impossible to measure those properly). So within that
    > >context, if you want to scrap it, then you need to address that
    > >desire, and present an alternative and palatable way to make those
    > >decisions (denying the need is "cheating").
    >
    > That's not been my experience, Robert, and I know of no data to support
    > it. (Surveys don't count, by the way, because people will say almost
    > anything on surveys and they can be constructed to get almost any data you
    > want.)

    I agree about the surveys; in fact it amazes me that the ones on
    motivation are taken so seriously. As for data, I'm not sure how one
    could structure collecting it so it would be useful data.


    What has been my experience and what is true of me is that I want
    > to be paid what I'm worth. That is an amount that generally gets larger
    > over time. (Although this is not always the case; I accepted a position
    > once that paid $50K less than my previous position.) What am I worth? As
    > you point out, it's partly a matter of my contributions (actual and
    > potential) and it's also partly a matter of the compensation structure at
    > the company in question. (That position paying $50K less that I accepted
    > was in a larger, better-known company and it was near the top of the
    > organization.) It's also partly a matter of what I see others getting
    > paid and how I see myself comparing to them and what I make out about how
    > others see me in comparison to them.

    I don't know. I look at a couple of indicators. First, I've never heard
    of anyone say: Hey, boss, I had a bad year and I'm not worth as
    much, so since I want to get paid what I'm worth, let's just cut my
    salary by 20%.

    Second, Take a look at collective bargaining agreements as an
    indicator. It is very rare that collective bargaining agreements do
    NOT include a raise regardless of performance and regardless of
    company health. The "value" of the work is usually irrelevant.

    I think both are telling.

    >
    > Robert continues...
    >
    > >Equally so for the
    > >feedback functions, and an unfortunate reality that many managers
    > >won't give feedback throughout the year.
    >
    > I think you know my position on this point. "Feedback," as practiced in
    > management, isn't feedback at all; at best, it's the manager's expression
    > of expectations and at worst it's useless, opinionated, biased and
    > irrelevant reporting of perceptions and beliefs.

    Yes, that is often the case, but that's not a function of performance
    management.

    (See my article
    > "Feedback about Feedback" at the URL above.) Most people know how they're
    > doing and where they stand, unless they're being deceived (which happens).
    > Most people who want the counsel of wiser, savvier folks tend to seek
    > that out. So, I see no real connection between performance appraisal
    > systems and "feedback."

    I diagree. There are far too many professions where it's very hard to
    know where they stand. And believe it or not whether the feedback
    is opinionated or not, if you want to succeed in a corporate career,
    generally you damn well better a) know what your boss wants and
    b) know how your boss perceives you. The fact that the opinions
    may not completely match reality is in some ways irrelevant to the
    employee.


    >
    > >Equally so with legal issues, and certainly documentation which
    > >provides some protection with respect to EEOC complaints and
    > >related issues.
    >
    > These can be addressed without a performance appraisal system. See the
    > "Now What?" article cited earlier.

    Again, since we are discussing this on the list, how about putting
    the information forth here so we can discuss it here.

    I'm sure many don't have time to read my articles and books, so I
    won't cite them here.


    Visit the work911.com supersite at http://www.work911.com
    for work related articles, or to find almost anything including
    book reviews and suggestions, discussion lists and more.


  • 10.  Compensation tied to appraisals

    Posted 04-28-2000 18:17
    I wrote:

    > > Those "realities" are addressable without a performance appraisal
    > > system. See the "Now What?" paper on my articles web site:
    > > http://home.att.net/~nickols/articles.htm. It deals with ways of
    > > addressing the many requirements commonly offered up in defense of the
    > > continuation of performance appraisal systems.

    Robert Bacal responded:

    >I'm sure it would be helpful if you would map out some of those
    >ways here, so we could talk about them.

    Fair enough. I'll prepare a synopsis of the longer paper over the weekend
    and post it later.
    --

    Fred Nickols
    The Distance Consulting Company
    "Assistance at A Distance"
    http://home.att.net/~nickols/distance.htm
    nickols@worldnet.att.net
    (609) 490-0095