Home >> Motivation Initiatives >> Performance Management >> Reinventing

When Checklists Are a Good Alternative

The ideal situation for a checklist approach to performance management is when a classification includes many positions and is highly standardized. In other words, when you have a lot of employees performing basically the same job, you probably have an opportunity to simplify the performance management process for both supervisors and employees by developing a performance checklist.

In the checklist approach, instead of the supervisor and the employee negotiating or working out results expectations anew each year, the standards for job performance are defined and put into the format of a checklist. The checklist then becomes the basis for conducting the annual planning discussion, periodic reviews of performance throughout the year and the annual appraisal at year's end.

Even when jobs are highly standardized, a supervisor might assign special tasks to one employee or have slightly different expectations of different employees based on their location or the customer group they serve. The supervisor can modify the individual employees' checklists to accommodate these variations.

A checklist approach is not appropriate for positions that are one-of-a-kind, involve primarily projects and are non-routine.

How to Develop a Performance Checklist

• Identify the drop-dead bottom-line requirements of the job

What is it absolutely necessary for employees in this job to do? These expectations may include results and behaviors, and even tasks. Checklists are often a mélange of different types of measures, from production standards (number of widgets, quality specifications) to customer service (minimal number of complaints, customer feedback data) to showing up for work on time consistently (attendance, promptness) to following a certain set of procedures.

• Restate each requirement as a result expectation.

This is the challenging part, translating each requirement generated in step one into something that is in some way measurable. It is not necessary that each requirement be quantitatively measurable — many important job requirements do not lend themselves to counting. However, the requirements do need to be converted into measures that are at least verifiable.

• Rank the result expectations in their order of importance.

What is the relative importance of each expectation? List them in order. To get an initial estimate of priority, enlist the aid of two or three employees or supervisors or other staff who know the job and the context in which it is performed. Having a prioritized list of requirements will make it easier to trim the list to a manageable number — ten requirements would probably be pushing the outer limits.

• For each result expectation, define what constitutes "meets expectations."

Another hard part is establishing a target for each expectation. Input from job experts will be helpful. Targets are often compromises between what customers require and what employees are capable of delivering. Factors such as staffing levels and other resource limitations may need to be weighed. Wherever appropriate, gather baseline data to help set the targets. In addition, you will need to set up a scoring scheme — a set of rules to follow to convert ratings on each requirement to an overall score that is compatible with the performance rating system your agency uses.

• Enter information into the checklist format.

Create a mock-up of the actual work plan and appraisal. This will be a draft that can be tested out in the next step.

• Have two or three supervisors test the checklist.

Ask a small sample of supervisors to try it out. The checklist should be tested in parallel with whatever performance management process is currently in place. Ask the supervisors to introduce it to their employees and try it out for a few weeks. Be sure to have the supervisors conduct planning discussions and periodic feedback discussions using the checklist. At the end of the test period, ask them to appraise their employees' performance results using the checklist. Then, review their experiences with them, discussing each expectation on the checklist and itemizing what they liked, what they didn't like, what was easier than the regular system and what was more difficult.

• Refine the checklist based on feedback from supervisors and their employees.

Summarize the findings from the field test and then make any revisions necessary to address issues that surfaced in the test.

• Validate checklist on a larger sample.

True validation entails more than asking a larger number of supervisors to try out the form. There are different strategies that can be employed to collect validity evidence. It is advisable to seek outside assistance in selecting the right strategy and carrying out the validation. One such strategy might be to ask supervisors to use the checklist for one quarter. At the end of the quarter, have them complete their appraisals, using the checklist, and also rank order their employees in terms of their value in helping their work unit meet its goals. A high correlation between the checklist scores and the employee rankings would be supportive of the checklist's validity.

• Revise the checklist based on validation results.

If validation results are disappointing, significant rework may be necessary — back to the drawing board. Even if the results support the checklist's validity, feedback from supervisors and employees may suggest minor modifications that could further improve the checklist. Go ahead and make those tweaks before moving on to the next step.

• Rollout the checklist.

Introduce the checklist to all supervisors and employees to whom it applies. Provide training so that everyone knows how to use the checklist properly. Replace the old performance management process with the new checklist.