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From Van Dijk, D., Schodl, M.M., 2015. Performance Appraisal and Evaluation. In: James D.
Wright (editor-in-chief), International Encyclopedia of the Social & Behavioral
Sciences, 2nd edition, Vol 17. Oxford: Elsevier. pp. 716–721.
ISBN: 9780080970868
Copyright © 2015 Elsevier Ltd. unless otherwise stated. All rights reserved.
Elsevier
Author's personal copy
Performance Appraisal and Evaluation
Dina Van Dijk and Michal M Schodl, The Guilford Glazer Faculty of Management, Ben-Gurion University of the Negev, Israel; and
Faculty of Health Sciences, Ben-Gurion University of the Negev, Israel
Ó2015 Elsevier Ltd. All rights reserved.
Abstract
Performance appraisal (PA) refers to the methods and processes used by organizations to assess the level of performance of
their employees and to provide them with a feedback. This process can be used for both developmental and administrative
purposes. The research on PA includes examination of the psychometric aspects of the appraisal tools, the cognitive process
and the biases involved, and the social context. Although PA is an important tool for managing employees, managers, and
workers are rarely satisfied with it. Therefore, clearly defining the purposes of the PA and addressing the employees’reactions
are essential to the success of the PA.
Definition of Performance Appraisal
Performance appraisal (PA) plays a central role in managing
human resources in organizations (e.g., Boswell and Boudreau,
2002;Cardy and Dobbins, 1994;Judge and Ferris, 1993). The
term performance appraisal (or performance evaluation) refers
to the methods and processes used by organizations to assess
the level of performance of their employees. This process
usually includes measuring employees’performance and
providing them with feedback regarding the level and quality
of their performance (DeNisi and Pritchard, 2006). The main
goal of the PA in organizations is to improve employee
performance (DeNisi and Pritchard, 2006;Murphy and
Cleveland, 1991). This goal could be achieved through three
possible mechanisms: (1) the information provided by the PA
can be used for administrative decisions linking the evaluated
performance to organizational rewards or punishments such as
a pay raise, promotion, or discharge (Cleveland et al., 1989;
Landy and Farr, 1980;Raynes, Gerhart, & Parks, 2005); (2) the
PA process involves providing performance feedback (i.e.,
information regarding the level of performance) to the
employees who were evaluated, allowing them to adjust their
performance strategies to match the desired performance (e.g.,
Erez, 1977;Kluger and DeNisi, 1996;Locke and Latham,
2002); and (3) the PA is a process that raises employee
awareness to the fact that they are being measured. As has been
shown since the Hawthtorne studies (Roethlisberger and
Dickson, 1939) and is expressed in the aphorism “what gets
measured gets done,”the mere fact of knowing that one is
being observed or measured increases performance and fosters
cooperative behavior (Bateson et al., 2006;Haley and Fessler,
2005;Keller and Pfattheicher, 2011). While the first and
second mechanisms of PA have been widely explored, the third
has received little attention in the PA literature.
Criteria for PA Effectiveness
Assuming that the main purpose of the PA process is to increase
performance, an effective PA would be one that achieves this
purpose. However, it is not as obvious as it seems to establish
the criteria for effective PA that lead to performance improve-
ment: Does effective PA mean that the scales in use are accurate
and free of rater biases? Or does it mean that the workers accept
the PA results and are willing to change their manners
accordingly? While early research focused primarily on the
accuracy of ratings as the only criterion for PA effectiveness,
recent studies have suggested focusing on motivational aspects
such as ratees’reactions to the PA (e.g., satisfaction, feedback
acceptance). In order for workers to improve their performance
following an appraisal, they must accept the appraisal rating
and be willing to change their performance accordingly.
Ensuring workers’reactions such as satisfaction, commitment,
acceptance of the appraisal, and trust in management could
help organizations achieve the primary PA purpose of
improving performance (Keeping and Levy, 2000;DeNisi and
Pritchard, 2006;Mayer and Davis, 1999). In order to yield
positive reactions among ratees, the PA process should be
perceived as reliable, accurate, and free of political interests on
the one hand, and allow the ratee to participate in the process
and express his or her voice on the other. The shift from
measuring the accuracy of the appraisals to measuring the
ratees’reactions and motivations reflects a significant change in
the research of PA (Levy and Williams, 2004). This shift will be
discussed in the following section.
Changes in the Focus of Performance Appraisal
Literature
Until the 1980s, the focus in the PA literature was on measure-
ment development and the psychometric characteristics of the
different tools used to evaluate performance (Arvey and Murfey,
1998;Landy and Farr, 1980). Specifically, most research was
concerned with improving these tools, constructing rating scales,
and examining the advantages and disadvantages of different
types of ratings. This psychometric tradition changed dramati-
cally in the early 1980s when the focus of research shifted to the
cognitive characteristics of the raters (e.g., Feldman, 1981;Landy
and Farr, 1980). Drawing on social cognition and cognitive
psychology, researchers began to explore how raters create
impressions and judgments of their subordinates (Arvey and
Murfey, 1998). The PA literature has become more concerned
with attribution errors, categorizations, stereotyping, and other
biases involved in information processing (e.g., DeNisi et al.,
1984;Dobbins et al., 1988;Feldman, 1981).
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Another historical change in the PA literature has occurred
since the 1990s. At the beginning of the decade, several keynote
reviews (e.g., Bretz et al., 1992;Ilgen et al., 1993;Murphy and
Cleveland, 1991) argued that cognitive process models had
failed to narrow the gap between research and practice, and
since PA is an applied subject, there should be increased effort
to make the research more applicative. The cognitive approach
assumed that the cognitive process is universal and, therefore,
the different content domains in which PAs practically occur
(Ilgen et al., 1993) were overlooked. Researchers at this time
suggested that in order to contribute to the practice of PA in
organizations, it is important to understand the specific context
in which an appraisal takes place, especially the social context
(Levy and Williams, 2004). As the appraisal process takes place
in a social context, it is, therefore, crucial to understand this
context for appraisal success. The PA process is doomed to fail if
the ratees perceive it as unfair or manipulative, even when the
psychometric aspects of the process are valid (Cawley et al.,
1998;Keeping and Levy, 2000;Levy and Williams, 2004).
Some prominent components of the social context that influ-
ence the PA process will be reviewed further in this article, but
first we introduce a key element in every PA system: feedback.
Performance Feedback
Providing employees with feedback regarding their perfor-
mance is a common reality in most organizations. This type of
feedback is defined as “actions taken by (an) external agent (s)
to provide information regarding some aspect(s) of one’s task
performance”(Kluger and DeNisi, 1996: p. 255). This defini-
tion reflects the idea that feedback is ‘information’or ‘knowl-
edge’delivered to an employee in order to make him or her
aware of the level of their work outcomes. Performance feed-
back could serve as an important motivational source for
workers if it is conducted effectively (Peiperl, 2001). Also,
workers are interested in performance feedback in order to
know how close they are to fulfilling their job assignments.
However, giving (and receiving) feedback seems to be a chal-
lenging task. In the mid-1990s, Kluger and DeNisi (1996)
published an extensive review and meta-analysis on the
impact of feedback interventions. Their meta-analysis of feed-
back literature includes 131 articles and 607 feedback effects
published between 1905 and 1996. Kluger and DeNisi found
that in contrast to the common view that governed the feed-
back literature for nearly a hundred years, feedback does not
always achieve its desired effect. Specifically, in more than
a third (38%) of the studies reviewed, feedback was actually
followed by a decrease in performance. Moreover, they found
that the level of positivity or negativity of the feedback (i.e.,
feedback sign) does not explain why some feedback interven-
tions were effective, while others were not. Lastly, the authors
suggested and demonstrated that the level of the feedback (i.e.,
task details, task performance, and meta-level –the self)
moderates the feedback–performance relationship. Specifi-
cally, effective feedback should help the receiver concentrate on
the level of task performance, namely, the specific ways to
improve his or her performance. Feedback often shifts the
attention of the receiver from this level to a higher or a lower
level; for example, the feedback could shift receiver attention to
a higher level of the self (e.g., what this feedback says about
me), or to a lower level of the task details (e.g., how I am
holding my hands while teaching). The authors argued that
feedback that either shifts attention to too high or too low
a level, may be ineffective. This is mainly because people’s
cognitive resources are limited and if too much attention is
invested on specific details or even worse, in one’s self, there
may not be enough resources available for performance
improvement.
Recently, it was suggested (Van Dijk and Kluger, 2004,
2011) that the distinction between promotion and preven-
tion goals or tasks (Higgins, 1997, 1998) could help defining
the situations under which feedback will be effective. Specifi-
cally, tasks that are performed to satisfy one’s wishes and
aspirations (promotion tasks) benefit from positive feedback,
while tasks performed to meet duties and obligations benefit
from negative feedback. Practically, it suggests that one size
does not fit all; thus, managers should tailor the feedback
according to worker and task characteristics.
In light of the complexity of executing effective feedback
processes, some researchers have suggested alternative inter-
ventions to feedback that focus on identifying conditions for
success (e.g., Bouskila-Yam and Kluger, 2011;Kluger and Van
Dijk, 2010). However, research on alternative interventions to
feedback is only in its beginning stages, and the findings are not
yet conclusive. Finding effective interventions to improve the
feedback process remains one of the challenges for develop-
ment in this field.
Multisource (360-Degree) Appraisal Technique
Multisource appraisal is one of the most widely used PA tech-
niques in today’s organizations (Antonioni, 1996). With this
technique, the appraisal of an employee does not rely solely on
one source (e.g., manager) but on multiple sources such as
managers, peers, subordinates, and clients. Using the multi-
source technique helps evaluators collect a range of views
regarding an employee’s performance, with each source adding
a unique perspective. For example, a manager can evaluate
a nurse on professionalism and compliance to rules, a peer
could evaluate how well he or she gets along with colleagues,
and a patient could add information on how this nurse treats
patients. With multisource feedback, the ratee usually receives
the results along with normative data and self-ratings, providing
the employee with comparative information (London and
Smither, 1995). The purpose of the multisource appraisal is
developmental (Brett and Atwater, 2001;DeNisi and Kluger,
2000), namely, to develop and nurture employees and to help
them achieve their goals and aspirations, which eventually
leads to a promotion focus. As such, use of multisource
appraisals assumes to improve employee performance.
Some studies have reported improvements in overall
performance following multisource appraisals or upward feed-
back (e.g., Atwater et al., 1995;Reilly et al., 1996). However,
other studies (e.g., Brett and Atwater, 2001;Smither et al., 2005)
questioned the effectiveness of this type of appraisal. Specifically,
in a meta-analysis, Smither and colleagues (2005) found overall
multisource feedback had a small effect on performance
improvement. Furthermore, in a longitudinal study on
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multisource feedback, Brett and Atwater (2001) found that when
ratings were low, employees reacted negatively, expressed anger,
and rejected the feedback results. Even when ratings were high,
employees did not show positive reactions, as would be ex-
pected, but rather, an absence of negative reactions. These find-
ings are especially disappointing because the specific360-degree
feedback that was used in this study was developmental –it
was designed to give useful information to the employees
without any intention (or capacity) to use the data for other
administrative purposes. Thus, despite some positive reported
outcomes of the multisource appraisals, “the available data on
the effectiveness of these programs is extremely limited, and
the conclusions that we can draw from these studies are rather
limited”(DeNisi and Kluger, 2000:p.135).
The most difficult issue in PA is delivering negative feedback
to an employee (Ilgen and Davis, 2000). Managers are not
enthusiastic to give negative feedback, and employees find it
very difficult to accept such feedback (especially if it contradicts
their expectations). As a result, workers may become less
cooperative and their work performance may suffer, preventing
further work improvement and behavioral change. Reactions
to negative feedback are influenced by individual differences
in self-esteem, regulatory focus, goal orientation, and
performance history (e.g., Brett and Atwater, 2001;Ilgen and
Davis, 2000); therefore, these factors should be taken into
account when negative feedback is given. In addition, the
appraisal data should be used only for developmental
purposes, and if other uses are considered, this fact should
not be hidden from the employees because no PA system can
work without mutual trust (DeNisi and Kluger, 2000;Mayer
and Davis, 1999).
In view of the challenges and difficulties involved in the
feedback process, it is clear that giving feedback demands
a high degree of skill and knowledge. However, mastering
interpersonal or communication skills is only one part in
constituting an effective evaluation system. As mentioned
earlier, the social context also is of great importance. This will
be addressed next.
The Social Context of the PA Process
The social context in which the PA takes place is crucial to its
success. The social context of the PA process consists of issues
related to the rater, the ratee, and the relationship between
them, as well as to global factors that indirectly affect the PA
process such as the organizational culture, legal climate,
human resource strategies, and organizational goals (Levy and
Williams, 2004). In the following sections, we will review two
of the social context factors that are essential to the success of
the PA process: procedural justice and leadership.
Perceived Justice of Ratees
Perceived justice appears to be an essential mechanism through
which appraisals affect employees’reactions (e.g., Erdogan,
2002;Greenberg, 1986); thus, this has received considerable
attention in the PA literature. So how can appraisals be con-
ducted in a fair manner? To answer this question, we need to
examine two types of justice described in the literature of justice
and fairness that are involved in the PA process: distributive
justice and procedural justice. Distributive justice relates to the
fairness of the appraisal relative to the exerted effort. Procedural
justice relates to the fairness of the procedures that were used to
determine the appraisal ratings (Greenberg, 1986). Levels of
perceived procedural justice are positively related to important
organizational outcomes such as organizational citizenship
behavior (Ball et al., 1994;Moorman et al., 1998;Organ et al.,
2006;Skarlicki and Latham, 1996,1997;Whiting et al., 2008),
trust in leadership (Barling and Philips, 1993;Folger and
Konovsky, 1989;Whiting et al., 2008), organizational
commitment, job satisfaction, and performance (Colquitt
et al., 2001;Korsgaard et al., 1995).
Folger et al. (1992) have offered a comprehensive model
that presents the key variables for designing a procedurally just
PA system –the due process model. This model consists of
three elements: adequate notice, fair hearing, and judgment
based on evidence. Accordingly, the standards for evaluation
should be evidence-based, employees should receive early
notice about the evaluation standards, and consistent
periodical feedback should be given to employees regarding
their performance. In addition, employees should be given
an opportunity to influence the process during evaluation
meetings and to present their opinions (voice).
Several studies have found support for the due process
model. Specifically, Taylor and colleagues (Taylor et al., 1998)
examined employee–manager pairs that were randomly
assigned to two types of evaluations: the customary existing
appraisal process versus the due process appraisal. Employees
involved in the due process appraisals displayed more positive
reactions (e.g., perceived fairness, evaluation of the manager,
intention to remain in the organization) than employees in
the customary appraisals, even though the evaluations in the
due process procedure were actually lower. Further support for
the due process model has been found in other studies (e.g.,
Erdogan et al., 2001;Poon, 2004). Erdogan and colleagues
found that characteristics of the due process appraisal
(evidence-based criteria and fair hearing) were associated with
perceived procedural justice. In addition, Poon (2004) found
that when employees perceived the PA process as
manipulative and skewed by the political interests of the
raters (as opposed to the due process), they demonstrated less
satisfaction and higher intention to quit their jobs.
Though the due process guidelines are clear, building a PA
system accordingly is a significant challenge, as the perfor-
mances of different workers are not always comparable and
cannot be tested in a similar manner. Unlike student evalua-
tions in which all students receive one standard test at the same
time under the same conditions, managers attempting to
evaluate their workers face a completely different situation.
They do not always have the opportunity to observe all their
workers for the same amount of time, and workers are not
always performing comparable tasks in terms of difficulty and
complexity. Moreover, with today’s globalization, managers
often supervise their workers from a distance without sufficient
opportunity to observe their work, which makes this process
even more challenging. Moreover, biases and impression
management tactics seem to impact the ratings (e.g., Dulebohn
and Ferris, 1999).
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Therefore, research in recent years has striven to understand
the factors affecting the perceived procedural fairness of PA
systems (Erdogan, 2002;Erdogan et al., 2001;Folger et al.,
1992) including factors concerning the rater’s personality and
perceptions (Heslin and VandeWalle, 2011;Mayer et al.,
2007), which affect perceived procedural justice. Specifically,
managers who exhibit high levels of conscientiousness and
agreeableness, in combination with low levels of neuroticism
(Mayer et al., 2007), and believe that workers are capable of
change (Heslin and VandeWalle, 2011) are perceived as more
procedurally just.
Leadership Effect on PA Effectiveness
Another contextual factor influencing the effectiveness of a PA
is the manager’s leadership behavior (Elicker et al., 2006;
Gabris and Ihrke, 2001;Purcell and Hutchinson, 2007;
Waldman et al., 1987). More specifically, the exchange rela-
tionship between the managers (who perform the evaluation)
and their employees (those being evaluated) strongly affects
the reactions of the employees to the PA process. The PA
session is a ‘contact point’(Holbrook, 2002) that is influenced
by the existing exchange relationship (Elicker et al., 2006) and
by leadership credibility (Gabris and Ihrke, 2001).
The literature on leader–member exchange (LMX) has
contributed to our understanding of supervisor–subordinate
relationships (Gerstner and Day, 1997;Graen et al., 2006)
and their impact on various organizational outcomes (e.g.,
Fairhurst, 1993;Kacmar et al., 2003;Kark and Van Dijk,
2008). Specifically, the LMX model identifies the supervisor–
subordinate relationship as a dyadic social exchange process
that is unique to each supervisor–subordinate pair (Graen
and Uhl-Bien, 1995). When LMX is high (in-group), the
worker receives more attention and support from his or her
leader, their relationship is close and warm, and they trust
each other. As a result, the worker demonstrates a higher
level of performance and has a positive attitude compared
with a worker with low LMX (out-group). Given the initial
warm and supportive relationship between managers and
their in-group workers, it is obvious that during PA sessions,
the workers with high LMX will be more confident in their
ability to communicate with their managers and, therefore,
will achieve more positive outcomes than the out-group
workers.
Elicker and colleagues (Elicker et al., 2006) have found that
the opportunity for an employee’s voice and his or her
perception of justice are important mechanisms for the effect of
LMX on his or her reaction to a PA. Specifically, they found that
the quality of the exchange relationship between leaders and
workers affects the opportunity of the workers to voice opin-
ions during a PA session, and as a result, increases the
perception of justice, and this perception, in turn, influences
workers’attitudes toward the PA process (i.e., motivation,
satisfaction, perceived accuracy, and perceived utility). Besides
LMX, other leadership behaviors are also found to influence the
effectiveness of the PA process. Specifically, transformational
leadership has been related to satisfaction with the PA process,
whereas transactional leadership has been related to lower
satisfaction (Waldman et al., 1987).
Both leadership and procedural justice are important
contextual factors influencing the PA success; therefore, atten-
tion should be given to these issues while conducting PAs in an
organization.
Summary
In this article, we have pointed out some landmarks in the PA
literature and discussed the factors threatening the PA process
success. Raters’judgment biases and lack of accuracy of the
ratings threaten the PA validity. The organizational condi-
tions, which often limit opportunities to observe all workers
sufficiently, threaten the procedural justice. Also, the rater
does not always master the delicate skills needed for
providing effective feedback, and lastly, leadership biases,
such as preferring in-group members, are also a possible
threat to this process.
PA processes present numerous difficulties and obstacles
(e.g., DeNisi et al., 1984;DeNisi and Peters, 1996;Feldman,
1981;Kluger and DeNisi, 1996), and it is safe to say that
managers and workers are generally not very satisfied with it
(e.g., Bouskila-Yam and Kluger, 2011;Coens and Jenkins, 2002;
Peiperl, 2001;Smither et al., 2005). Yet, organizations do not
seem to be in a hurry to cancel these evaluations, and existing
alternatives are not being adopted. Is this an unfortunate
mistake? Possibly, but it is also likely that one of the reasons why
the PA process persists is that during it, workers are told who has
been successful and who has not, who has reached the top and
who is left behind, who has excelled, who is appreciated, and
who has achieved something meaningful. By doing this, the PA
process relates to the most basic motivational processes that
drive people to work in the first place.
See also: Human Resource Management, Psychology of;
Industrial–Organizational Psychology: Science and Practice;
Job Design and Evaluation: Organizational Aspects;
Organizational Behavior, Psychology of; Personnel Selection,
Psychology of.
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