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BRITISH COLUMBIA INSTITUTE OF TECHNOLOGY

SCHOOL OF BUSINESS

BUSA1305
SUPERVISORY SKILLS
MODULE 6
The Appraisal Process and Discipline

PREPARED BY:

Leila Rahemtulla

DATE:

August, 2000

The Appraisal Process and Discipline

2000
British Columbia Institute of Technology
Burnaby, British Columbia
All rights reserved. No part of this module may be
reproduced in any form, without permission in writing
from BCIT.

The Appraisal Process and Discipline

Table of Contents

Introduction
Learning Objectives
Required Readings
Module Content
The Purpose of Appraisals
The Supervisors Role
Appraisal Methods
Hurdles to Effective Appraisals
Overcoming the Hurdles
Dealing with Performance Issues
What is Discipline?
Basic Tenets of Discipline
Legal Issues of Discipline

The Appraisal Process and Discipline

Introduction

Another role that the supervisor will need to fulfill


is to evaluate employee performance. This may be
done in both formal and informal ways, and result
in the employee receiving feedback on his/her work.
Furthermore, if performance is inadequate, a
supervisor may be required to deal with
performance issues and administer discipline if the
situation warrants. This module clarifies these types
of activities.

Learning
Objectives

After completing this module, you should be able to:

Explain three purposes of performance


appraisals.

Describe the supervisors role in making


appraisals.

Identify common appraisal methods.

List problems in appraising.

Describe ways in which hurdles to appraising


can be overcome.

Define the term discipline.

List the four most common discipline problems.

Explain the steps of progressive discipline.

Describe how the collective agreement may


affect the disciplining of unionized employees.

The Appraisal Process and Discipline

Required
Readings

Read Chapters 7 & 14 in course text.


Module Content

The Purpose of Appraisals


A performance appraisal is an evaluation and
development tool. It allows a supervisor to evaluate
an employees past performance, to identify
accomplishments and deficiencies and from that
develop a plan for future goals and performance.
The appraisal also provides a written document or
record of an employees performance so that in the
case of action, such as discipline, a written record
exists for reference purposes.

The Supervisors Role


A supervisor may evaluate on a formal basis, such
as during annual reviews, or informally, such as
during weekly or monthly staff meetings.
A supervisor may be required to assume the role of
appraiser, although some organizations also allow
for staff to self-evaluate or for coworkers and
customers to participate in some way. Regardless of
the sources, the supervisor is ultimately responsible
for ensuring the appraisal is done.

The Appraisal Process and Discipline

The appraisal process usually starts by determining


the employees objectives (refer to MBO in module
2, or chapter 2 of the course text). Throughout the
evaluation period, the supervisor provides or
ensures for feedback and the process usually ends in
a formal meeting where new goals are developed
and the review cycle begins again.

How does your study supervisor handle appraisals?

Appraisal Methods

Exercise: Describe the following methods.


Written Essays

Critical Incidents

Checklists

Graphic Rating Scales

Behaviourally-Anchored Scales

The Appraisal Process and Discipline

Group Order Ranking

Individual Ranking

Objectives

Which do you prefer? Why?

Hurdles to Effective Appraisals


Most supervisors hope to evaluate employees in an
honest and bias-free way. There are a few errors
that seem to haunt the performance appraisal
process.
Leniency error is the tendency to appraise a set of
employees too high or too low. This can be a
problem when several supervisors are evaluating, as
two employees with similar performance may be
evaluated differently.
Halo error refers to the tendency to rate an
individual higher or lower due to the positive or

The Appraisal Process and Discipline

negative impact of a specific factor. For example,


an employee may have excellent customer service
skills, and a supervisor may let this aspect spill over
to a higher rating in other unrelated areas.
Similarity Error is giving special consideration to
those qualities that the evaluator perceives in
her/himself. This may be a subconscious ego
defense mechanism in the evaluator.
Recency error refers to the tendency to recall the
most recent performance and weigh it more heavily.
December ScrambleIs it Recency Error?
Have you ever felt the rush of employees to meet
objectives and look good in the last few weeks
before appraisal time? They may be counting on
their appraisals lack of long-term memory!

Central tendency error is the tendency to score


down the middle. It is the reluctance of an
evaluator to use the extremes of an appraisal scale.
Inflationary pressures minimize the difference
between employee appraisals and push all
evaluations into the upper end of the scale. They
can deflate the meaningfulness of the scale and the
process.

The Appraisal Process and Discipline

Overcoming the Hurdles


Given the hurdles listed above, there are several
guidelines that can improve the accuracy of
performance appraisals.
Exercise: Consider each guideline and explain

why it improves appraisal effectiveness.


Continually Document Employee Performance

Use Behaviourally-Based Measures

Combine Absolute and Relative Standards

Use Multiple Raters

Rate Selectively

Participate in Appraisal Training

Dealing with Performance Issues


If part of the appraisal identifies a performance
deficiency, a supervisor needs to help an employee
deal with the issue. If it is a skill or ability problem,

The Appraisal Process and Discipline

it may be handled with coaching or training. If it is


a desire or motivation problem, it may be necessary
for the supervisor to counsel the employee.
The fundamental steps to counseling are as follows:

1. Listen to what the employee has to say.


Do not turn it into a blame storming
session. Try to hear the employees side.
This can be done without having to take the
employees side of the issue.

2. Identify the problem. After listening to the


employee, focus on the behaviour that is
lacking and thus identify the problem.
Remember to identify the behaviour and not
make it a personal attack on the employee.
This leaves the employees self esteem
intact.

3. Clarify alternatives. Develop options that


may resolve the problem.
4. Come to a resolution. Decide what is the
best option with the employee.
5. Agree on an action plan. Develop a
concrete action plan. This is a positive way
to end a difficult conversation. It provides
the employee with specific areas to work on
in order to improve performance.

What is Discipline?
In some cases, repeated lack of performance
requires more attention. Discipline is any action

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The Appraisal Process and Discipline

taken by a supervisor to enforce an organizations


standards or regulations.
Discipline tends to start out with mild forms and
progresses in severity with the number of
recurrences or with the severity of the infraction
(progressive discipline). Examples may be going
from verbal warnings to written warnings to
suspensions and ultimately dismissal.

Exercise: Provide examples of behaviours


worthy of discipline in the following categories.
Attendance

On-the-Job Behaviours

Dishonesty

Outside Activities

Basic Tenets of Discipline


Discipline is not always the answer and in many
cases there are more positive ways to deal with
performance issues before they become discipline
problems. For example, an employee should not be

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The Appraisal Process and Discipline

disciplined for not having ability or for situations


that were beyond his/her control. The objective is to
correct behaviour and in the two scenarios above,
applying discipline may not help the employee with
better future performance (and in some cases this
could be quite detrimental).
Discipline should be seen as fair and reasonable and
there should be no surprises, that is, employees
should be aware of what constitutes inappropriate
behaviour. Discipline should be preceded by proper
investigation so that there is credibility in the
process and the supervisor.
A supervisor should consider the hot stove rule.

Exercise: Explain the components of the hot


stove rule.
Immediacy

Advance Warning

Impartiality

Consistency

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The Appraisal Process and Discipline

Furthermore, a supervisor should consider the


following factors when determining the severity of
the penalties.

Seriousness of the problem


Duration of the problem
Frequency and nature of the problem
Employees work history
Extenuating circumstances
Degree of warning
Organizations history of discipline
Implication to other employees
Upper management support
Legal Issues of Discipline
There can be legal implications to disciplining an
employee inappropriately. This is why most
organizations set out clear guidelines for the
discipline process.
In Canada, there are three basic ways to dismiss an
employee:
1. Dismissal with cause
2. Dismissal with reasonable notice
3. Dismissal with reasonable compensation
In a unionized setting, the disciplinary process is
usually outlined in the collective bargaining
agreement. It is important for a supervisor to
understand the procedure as it has been laid out, as

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The Appraisal Process and Discipline

not adhering to it can have detrimental


repercussions to the entire workplace.

What might these repercussions be?

Refer to the review questions related to this


module.
Please remember Assignment # 2 is due.

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