Meaning of Controlling

Controlling is one of the important functions of a manager. In order to seek planned results from the
subordinates, a manager needs to exercise effective control over the activities of the subordinates. In
other words, the meaning of controlling function can be defined as ensuring that activities in an
organization are performed as per the plans. Controlling also ensures that an organization’s
resources are being used effectively & efficiently for the achievement of predetermined goals.

 Controlling is a goal-oriented function.

 It is a primary function of every manager.

 Controlling the function of a manager is a pervasive function.

How Controlling Function Helps Managers

Managers at all levels of management Top, Middle & Lower – need to perform controlling function
to keep control over activities in their areas. Therefore, controlling is very much important in
an educational institution, military, hospital, & a club as in any business organization.

Therefore, controlling function should not be misunderstood as the last function of management. It

is a function that brings back the management cycle back to the planning function. Thus, the
controlling function act as a tool that helps in finding out that how actual performance deviates from
standards and also finds the cause of deviations & attempts which are necessary to take corrective
actions based upon the same.

This process helps in the formulation of future plans in light of the problems that were identified &,
thus, helps in better planning in the future periods.  So from the meaning of controlling we
understand it not only completes the management process but also improves planning in the next
cycle.

Importance of Controlling

After the meaning of control, let us see its importance. Control is an indispensable function of
management without which the controlling function in an organization cannot be accomplished and
the best of plans which can be executed can go away. A good control system helps an organization
in the following ways:

1. Accomplishing Organizational Goals

The controlling function is an accomplishment of measures that further makes progress towards the
organizational goals & brings to light the deviations, & indicates corrective action. Therefore it
helps in guiding the organizational goals which can be achieved by performing a controlling
function.

2. Judging Accuracy of Standards

A good control system enables management to verify whether the standards set are accurate &
objective. The efficient control system also helps in keeping careful and progress check on the
changes which help in taking the major place in the organization & in the environment and also
helps to review & revise the standards in light of such changes.

3. Making Efficient use of Resources

Another important function of controlling is that in this, each activity is performed in such manner
so an in accordance with predetermined standards & norms so as to ensure that the resources are
used in the most effective & efficient manner for the further availability of resources.

4. Improving Employee Motivation

Another important function is that controlling help in accommodating a good control system which
ensures that each employee knows well in advance what they expect & what are the standards of
performance on the basis of which they will be appraised. Therefore, it helps in motivating and
increasing their potential so to make them & helps them to give better performance.

5. Ensuring Order & Discipline

Controlling creates an atmosphere of order & discipline in the organization which helps to minimize
dishonest behavior on the part of the employees. It keeps a close check on the activities of
employees and the company can be able to track and find out the dishonest employees by
using computer monitoring as a part of their control system.

6. Facilitating Coordination in Action

The last important function of controlling is that each department & employee is governed by such
pre-determined standards and goals which are well versed and coordinated with one another. This
ensures that overall organizational objectives are accomplished in an overall manner.
PERFORMANCE APPRAISAL

The most effective organizations work to establish a culture of development, where

people at all levels are encouraged to help others develop their skills. Providing
positive and constructive feedback is a critical component.

It is the manager’s role and responsibility to give feedback to others. They are
responsible for managing employees’ job performance, holding them accountable for
completing their assigned tasks, and coaching or counseling them to overcome
barriers or improve performance.  Feedback should be given with the intention of
praising positive behavior and performance, ensuring that the employee understands
the expectations, or identifying areas of development.

Leaders must be willing to provide both praise and constructive feedback to others,
regardless of reporting lines.  All employees should be willing and able to do the
same. If a peer, another employee, or even a senior leader is engaging in behaviors
which are detrimental to patrons/customers, other employees, or the organization, we
need to let them know the impact of their behavior.

Performance Appraisal
Explained
Performance appraisal is a process and a means of setting goals, measuring and
enhancing individual and organizational performance. It also fosters professional and
career development on behalf of ordinary staff members.

An effective performance appraisal process has the following characteristics:

  A connection to organizational and departmental mission and goals.
 Clearly defined expectations of performance
 A focus on performance as well as professional development
 Ongoing process versus an annual event
 Consistent and timely usage and completion
 A focus more on future direction than past performance
 Involves staff member in the process
Performance Appraisal Benefits of Giving Positive and Constructive Feedback

 Clarify expectations; assure the individual is on the right track

 Assess and discuss the relevance of goals and their measures
 Improve communication between individuals, particularly supervisor and
employee
 Opportunity to learn about ourselves and how we interact with others
 Opportunity to develop ourselves and be the best we can be
 Assist in making “early corrections”
 No surprises later
The Performance Appraisal Process is a comprehensive approach to staff
supervision/coaching. Performance appraisal process is a collective reflection leading
toward improved delivery of performance and services through increased professional
competency. This process applies to both teams (a group of staff members assigned to
work on and complete a project) as well as the individual staff member.  The same
guidelines for assigning, ensuring understanding, and providing follow-up of projects
should be used with both the team and the individual staff member.

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Performance Appraisal Process: The Steps
The performance appraisal process also serves as a tool to assist staff members
struggling in roles or alignment with goals.  The process also meets all legal
requirements. Each of the following steps is vital to the overall success of both you as
the supervisor/coach and your staff member(s)/team.

1. Performance Appraisal Planning: the creation of the position description and

performance expectations/standards
2. Performance Management: counseling and coaching through out the
performance period
3. Performance Appraisal Method: preparing for and conducting the formal
review.
4. Performance Appraisal Reward Process: determining actual merit awards
based on performance
5. Performance Appraisal Feedback: And following up with a review of the
position description and re-evaluation of performance expectations/standards
for the upcoming year
Performance Appraisal Expectations
Performance expectations describe the behaviors, specific skills, knowledge, or
techniques (within the general competency category) that an employee needs to apply
to achieve the desired job objectives. Performance standards form the framework by
which performance will be evaluated.

At the beginning of the performance appraisal period, the supervisor and the

employee should discuss the performance expectations upon which the employee will
be evaluated. If the employee has input in developing the standard, the supervisor can
expect fewer disagreements or disappointments later.

Review the definitions of each performance expectation.

Performance Appraisal Sample Rating Levels

Recording examples of demonstrated performance during the appraisal period will
assist the supervisor in selecting the appropriate rating for each expectation. This
commentary will enable the employee to understand why the performance was rated
as it was. At the end of the performance evaluation period, the supervisor shall
consider the employee’s performance and select the rating level that most accurately
describes how well the employee typically performed in each area of responsibility.
The supervisor may request input from the employee.

Where an employee’s cumulative performance meets the expectations described, the

appropriate employee rating is “Successfully performs to standard.”  An employee
with this rating may also have performed exceeding levels periodically during the
evaluation period.

Employee’s whose performance is rated as “Consistently exceeds expectations”

must have demonstrated cumulative performance reflecting that they have surpassed
the standards routinely.  Specific examples of what determined the rating should be
reflected in the comments.

Employee’s whose performance is rated as “Not consistently performing to

standard” in two or more of the expectation areas will have demonstrated cumulative
performance reflecting that performance falls below standard about as much as
performance is successful.  Specific examples of both successful and below standard
performance should be reflected in the comments.
An employee who is rated as “Consistently falls below standard” in two or more of
the expectation areas will typically have received coaching during the review period
and may be on formal reprimand.

Performance on each standard should be examined and evaluated separately. Do not

attempt to determine an overall rating across all standards at this time.

Performance Appraisal Goals

There is no restriction on the number of goals or objectives that the supervisor and the
employee may develop for the next evaluation period. Identify as many as you need,
but make sure the workload is realistic.

Good performance goals meet the following SMART criteria:

S = Specific
State clearly what is to be accomplished in concrete terms that can be easily observed
and mutually understood.

M = Measurable
Objectives should be quantifiable, stating exactly what the criteria for success is, how
that success will be tracked and measured, and whether the measurement tools are
available.

A = Attainable
Can the result be realistically achieved? (Is the process used workable and within the
employee’s control? Are the needed resources available? Is the time frame
reasonable? Is the objective a “reachable” stretch?)

R = Realistic
Based upon the employee’s knowledge of the job, the objective should be linked
vertically to the organization’s goals, as well as being difficult, yet feasible.

T = Time Bound
Each objective should have a clearly defined time frame.

Studies have shown that good planning gets good results. Following are several
alternative methods to develop performance goals:

 The supervisor and employee together may develop the objectives; or

  The supervisor and employee may develop the objectives separately, then
meet and make modifications; or,
 The supervisor develops the objectives and reviews them with the employee.
Allow for flexibility when writing performance goals. They will need to be adjusted
when work priorities change.

Although writing goals will take time, if it is done jointly, it can be a worthwhile step
toward improving job performance. There is little chance that an employee who is
involved in a joint process will be in the dark about where the employee stands, or
that the employee will forget he/she is a principal participant in his/her own
development and is responsible for it.

The supervisor should monitor projects and assignments on a continual basis. This
allows the supervisor to identify unacceptable performance when it occurs and
provide assistance to address such performance rather than waiting until the annual
review.

The supervisor should meet with the employee and review goals at least once during
the evaluation period, and preferably quarterly, to discuss performance-to-date. This
interim review should include a discussion about whether the stated work assignments
or priorities have changed or should change. If so, the supervisor should record those
changes and provide a copy to the employee. Any training and development
suggestions for employees should directly support goals and objectives.  This is an
opportunity for the supervisor to list specific suggestions as to how the employee may
achieve some of their goals, sources of specific training, names of helpful contacts,
etc.

Performance Appraisal Common Rater Errors

Halo Effect: The tendency to rate a person who is exceptionally strong in one area
high in all other areas. One factor has undue influence on the other ratings.

Horns Effect: This is the opposite of the Halo Effect-a tendency to rate a person who
is especially weak in one factor low on all other factors.

Central Tendency: Tendency to avoid both high and low extremes, lumping all
ratings in the middle category.

Leniency: This occurs when the rater gives all high ratings or a disproportionate
amount of high ratings.
Severity: The opposite of Leniency-a tendency to give all low ratings or a
disproportionate number of low ratings.

Similar-to-Me: Some raters have a tendency to give persons who are similar to them
higher ratings on the basis of biographical backgrounds, attitudes, etc.

Contrast Effect: The tendency of raters to evaluate persons relative to each other,

rather than on the basis of individual performance evaluation criteria.

Communicating with the Employee

The supervisor must consider all aspects of the employee’s performance, including the
relative importance of each of the objectives, and compose a statement that most
accurately describes the overall performance during the evaluation period.

The focus is on job performance-not the personality traits of the employee. Develop a
statement based on how well the employee performed in relation to the competencies
and performance objectives, the relative weight given to each objective, and any other
relevant accomplishments.

If the employee receives less than a satisfactory evaluation, the supervisor should
meet with the employee within thirty (30) days of the evaluation to review, in detail,
the alleged deficiencies.  If appropriate, the supervisor should contact the Office of
Human Resources to begin setting up an Improvement Plan.

When new employees are progressing satisfactorily through their initial appointment
to a new or promotional position, but may not yet have had the opportunity to
demonstrate all of their skills, we would not normally recommend and Improvement
Plan, as this would unduly penalize them for a natural and appropriate learning curve.

During the Evaluation Period

 A fundamental component of successful evaluation is regular

communication between the supervisor and the employee. Building work
relationships is essential to achieving desired results. Regular two-way
communication between the employee and supervisor helps build this
relationship.
 Brief discussions should take place whenever appropriate. Formal sessions
should be scheduled at least once during the evaluation period, and
preferably quarterly, to discuss what is going well and what can be
improved.
  Use these sessions to describe rather than evaluate performance. Inquire
about any changes in the work situation since the previous discussion.
Determine if there are any obstacles blocking success. Ask about resources
that the employee may need to accomplish their objectives. Acknowledge
accomplishments during this period. Discuss new priorities in the
department so the employee can re-focus efforts, if appropriate. Modify
plans in response to changes.
 It is important for both parties (supervisor and employee) to maintain open
communication in order to keep each other informed of work progress and
work together to resolve problems when they occur. It is far better to resolve
problems when they are small, before they become “disasters.”
 A key principle that encourages employees to accept constructive criticism
is to be “hard on the problem, and soft on the person.” The focus should be
on correcting the problem or behavior, not on punishing the employee. The
performance evaluation is an assessment of performance and should not be
punitive. The performance evaluation should not be the place where the
employee first hears about disciplinary action.
 A useful motto for the performance appraisal should be “no surprises.”
Through this approach, you can reduce the likelihood of the employee
becoming emotional during the review.
 Strive to provide continual feedback concerning expectations and
performance. When things are going well discuss how and why this is so.
When things are not going well discuss what needs to be done to make them
right. When an employee is not doing things properly, get together and plan
what needs to be done to correct the matter. If there is a performance gap,
help the employee understand the cause and the action necessary for
correction. Support plans for professional development.
 By providing feedback on a continual and timely basis throughout the
evaluation period, the supervisor establishes the groundwork for indicating
that there is a performance problem.
Annual Review

 Schedule a meeting with the employee. (Although a self-assessment is not

required, including it may provide the employee with a greater sense of
participation in the process.) During the meeting, review the evaluation and
facilitate an open exchange of information concerning expectations and
results. Resolve any disagreements on factual matters. Determine the
reasons for different views relative to subjective assessments and resolve
 them if at all possible. Be open and make every effort to respond in a
positive manner.
 The annual review is a good time for the supervisor to review the position
description with the employee and determine if the work described is
current, or if the job duties have changed. The position description may need
to be revised and a copy sent the Office of Human Resources. Analyze the
issues and attempt to view them from both sides. Listen carefully to the
employee and try to understand their perspective. Give the same attention
you would expect from your own supervisor.
 The performance appraisal is complete when the supervisor has determined-
through paraphrasing and feedback, as well as nonverbal communication-
that the content and issues have been successfully communicated, that
concerns from both parties have been expressed, and that the employee
understands and agrees to their goals and objectives for the upcoming
period.