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  "evidence": ["In our experiments, we compare the performance of our model against BERT and RoBERTa."]
}

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Paper: Mining Supervisor Evaluation and Peer Feedback in Performance Appraisals

Performance appraisal (PA) is an important HR process to periodically measure and evaluate every employee's performance vis-a-vis the goals established by the organization. A PA process involves purposeful multi-step multi-modal communication between employees, their supervisors and their peers, such as self-appraisal, supervisor assessment and peer feedback. Analysis of the structured data and text produced in PA is crucial for measuring the quality of appraisals and tracking actual improvements. In this paper, we apply text mining techniques to produce insights from PA text. First, we perform sentence classification to identify strengths, weaknesses and suggestions of improvements found in the supervisor assessments and then use clustering to discover broad categories among them. Next we use multi-class multi-label classification techniques to match supervisor assessments to predefined broad perspectives on performance. Finally, we propose a short-text summarization technique to produce a summary of peer feedback comments for a given employee and compare it with manual summaries. All techniques are illustrated using a real-life dataset of supervisor assessment and peer feedback text produced during the PA of 4528 employees in a large multi-national IT company.

Introduction
Performance appraisal (PA) is an important HR process, particularly for modern organizations that crucially depend on the skills and expertise of their workforce. The PA process enables an organization to periodically measure and evaluate every employee's performance. It also provides a mechanism to link the goals established by the organization to its each employee's day-to-day activities and performance. Design and analysis of PA processes is a lively area of research within the HR community BIBREF0 , BIBREF1 , BIBREF2 , BIBREF3 .
The PA process in any modern organization is nowadays implemented and tracked through an IT system (the PA system) that records the interactions that happen in various steps. Availability of this data in a computer-readable database opens up opportunities to analyze it using automated statistical, data-mining and text-mining techniques, to generate novel and actionable insights / patterns and to help in improving the quality and effectiveness of the PA process BIBREF4 , BIBREF5 , BIBREF6 . Automated analysis of large-scale PA data is now facilitated by technological and algorithmic advances, and is becoming essential for large organizations containing thousands of geographically distributed employees handling a wide variety of roles and tasks.
A typical PA process involves purposeful multi-step multi-modal communication between employees, their supervisors and their peers. In most PA processes, the communication includes the following steps: (i) in self-appraisal, an employee records his/her achievements, activities, tasks handled etc.; (ii) in supervisor assessment, the supervisor provides the criticism, evaluation and suggestions for improvement of performance etc.; and (iii) in peer feedback (aka INLINEFORM0 view), the peers of the employee provide their feedback. There are several business questions that managers are interested in. Examples:
In this paper, we develop text mining techniques that can automatically produce answers to these questions. Since the intended users are HR executives, ideally, the techniques should work with minimum training data and experimentation with parameter setting. These techniques have been implemented and are being used in a PA system in a large multi-national IT company.
The rest of the paper is organized as follows. Section SECREF2 summarizes related work. Section SECREF3 summarizes the PA dataset used in this paper. Section SECREF4 applies sentence classification algorithms to automatically discover three important classes of sentences in the PA corpus viz., sentences that discuss strengths, weaknesses of employees and contain suggestions for improving her performance. Section SECREF5 considers the problem of mapping the actual targets mentioned in strengths, weaknesses and suggestions to a fixed set of attributes. In Section SECREF6 , we discuss how the feedback from peers for a particular employee can be summarized. In Section SECREF7 we draw conclusions and identify some further work.

Dataset
In this paper, we used the supervisor assessment and peer feedback text produced during the performance appraisal of 4528 employees in a large multi-national IT company. The corpus of supervisor assessment has 26972 sentences. The summary statistics about the number of words in a sentence is: min:4 max:217 average:15.5 STDEV:9.2 Q1:9 Q2:14 Q3:19.

Sentence Classification
The PA corpus contains several classes of sentences that are of interest. In this paper, we focus on three important classes of sentences viz., sentences that discuss strengths (class STRENGTH), weaknesses of employees (class WEAKNESS) and suggestions for improving her performance (class SUGGESTION). The strengths or weaknesses are mostly about the performance in work carried out, but sometimes they can be about the working style or other personal qualities. The classes WEAKNESS and SUGGESTION are somewhat overlapping; e.g., a suggestion may address a perceived weakness. Following are two example sentences in each class.
STRENGTH:
WEAKNESS:
SUGGESTION:
Several linguistic aspects of these classes of sentences are apparent. The subject is implicit in many sentences. The strengths are often mentioned as either noun phrases (NP) with positive adjectives (Excellent technology leadership) or positive nouns (engineering strength) or through verbs with positive polarity (dedicated) or as verb phrases containing positive adjectives (delivers innovative solutions). Similarly for weaknesses, where negation is more frequently used (presentations are not his forte), or alternatively, the polarities of verbs (avoid) or adjectives (poor) tend to be negative. However, sometimes the form of both the strengths and weaknesses is the same, typically a stand-alone sentiment-neutral NP, making it difficult to distinguish between them; e.g., adherence to timing or timely closure. Suggestions often have an imperative mood and contain secondary verbs such as need to, should, has to. Suggestions are sometimes expressed using comparatives (better process compliance). We built a simple set of patterns for each of the 3 classes on the POS-tagged form of the sentences. We use each set of these patterns as an unsupervised sentence classifier for that class. If a particular sentence matched with patterns for multiple classes, then we have simple tie-breaking rules for picking the final class. The pattern for the STRENGTH class looks for the presence of positive words / phrases like takes ownership, excellent, hard working, commitment, etc. Similarly, the pattern for the WEAKNESS class looks for the presence of negative words / phrases like lacking, diffident, slow learner, less focused, etc. The SUGGESTION pattern not only looks for keywords like should, needs to but also for POS based pattern like “a verb in the base form (VB) in the beginning of a sentence”.
We randomly selected 2000 sentences from the supervisor assessment corpus and manually tagged them (dataset D1). This labelled dataset contained 705, 103, 822 and 370 sentences having the class labels STRENGTH, WEAKNESS, SUGGESTION or OTHER respectively. We trained several multi-class classifiers on this dataset. Table TABREF10 shows the results of 5-fold cross-validation experiments on dataset D1. For the first 5 classifiers, we used their implementation from the SciKit Learn library in Python (scikit-learn.org). The features used for these classifiers were simply the sentence words along with their frequencies. For the last 2 classifiers (in Table TABREF10 ), we used our own implementation. The overall accuracy for a classifier is defined as INLINEFORM0 , where the denominator is 2000 for dataset D1. Note that the pattern-based approach is unsupervised i.e., it did not use any training data. Hence, the results shown for it are for the entire dataset and not based on cross-validation.

Comparison with Sentiment Analyzer
We also explored whether a sentiment analyzer can be used as a baseline for identifying the class labels STRENGTH and WEAKNESS. We used an implementation of sentiment analyzer from TextBlob to get a polarity score for each sentence. Table TABREF13 shows the distribution of positive, negative and neutral sentiments across the 3 class labels STRENGTH, WEAKNESS and SUGGESTION. It can be observed that distribution of positive and negative sentiments is almost similar in STRENGTH as well as SUGGESTION sentences, hence we can conclude that the information about sentiments is not much useful for our classification problem.

Discovering Clusters within Sentence Classes
After identifying sentences in each class, we can now answer question (1) in Section SECREF1 . From 12742 sentences predicted to have label STRENGTH, we extract nouns that indicate the actual strength, and cluster them using a simple clustering algorithm which uses the cosine similarity between word embeddings of these nouns. We repeat this for the 9160 sentences with predicted label WEAKNESS or SUGGESTION as a single class. Tables TABREF15 and TABREF16 show a few representative clusters in strengths and in weaknesses, respectively. We also explored clustering 12742 STRENGTH sentences directly using CLUTO BIBREF19 and Carrot2 Lingo BIBREF20 clustering algorithms. Carrot2 Lingo discovered 167 clusters and also assigned labels to these clusters. We then generated 167 clusters using CLUTO as well. CLUTO does not generate cluster labels automatically, hence we used 5 most frequent words within the cluster as its labels. Table TABREF19 shows the largest 5 clusters by both the algorithms. It was observed that the clusters created by CLUTO were more meaningful and informative as compared to those by Carrot2 Lingo. Also, it was observed that there is some correspondence between noun clusters and sentence clusters. E.g. the nouns cluster motivation expertise knowledge talent skill (Table TABREF15 ) corresponds to the CLUTO sentence cluster skill customer management knowledge team (Table TABREF19 ). But overall, users found the nouns clusters to be more meaningful than the sentence clusters.

Summarization of Peer Feedback using ILP
The PA system includes a set of peer feedback comments for each employee. To answer the third question in Section SECREF1 , we need to create a summary of all the peer feedback comments about a given employee. As an example, following are the feedback comments from 5 peers of an employee.
The individual sentences in the comments written by each peer are first identified and then POS tags are assigned to each sentence. We hypothesize that a good summary of these multiple comments can be constructed by identifying a set of important text fragments or phrases. Initially, a set of candidate phrases is extracted from these comments and a subset of these candidate phrases is chosen as the final summary, using Integer Linear Programming (ILP). The details of the ILP formulation are shown in Table TABREF36 . As an example, following is the summary generated for the above 5 peer comments.
humble nature, effective communication, technical expertise, always supportive, vast knowledge
Following rules are used to identify candidate phrases:
Various parameters are used to evaluate a candidate phrase for its importance. A candidate phrase is more important:
A complete list of parameters is described in detail in Table TABREF36 .
There is a trivial constraint INLINEFORM0 which makes sure that only INLINEFORM1 out of INLINEFORM2 candidate phrases are chosen. A suitable value of INLINEFORM3 is used for each employee depending on number of candidate phrases identified across all peers (see Algorithm SECREF6 ). Another set of constraints ( INLINEFORM4 to INLINEFORM5 ) make sure that at least one phrase is selected for each of the leadership attributes. The constraint INLINEFORM6 makes sure that multiple phrases sharing the same headword are not chosen at a time. Also, single word candidate phrases are chosen only if they are adjectives or nouns with lexical category noun.attribute. This is imposed by the constraint INLINEFORM7 . It is important to note that all the constraints except INLINEFORM8 are soft constraints, i.e. there may be feasible solutions which do not satisfy some of these constraints. But each constraint which is not satisfied, results in a penalty through the use of slack variables. These constraints are described in detail in Table TABREF36 .
The objective function maximizes the total importance score of the selected candidate phrases. At the same time, it also minimizes the sum of all slack variables so that the minimum number of constraints are broken.
 INLINEFORM0 : No. of candidate phrases INLINEFORM1 : No. of phrases to select as part of summary
 INLINEFORM0 INLINEFORM1 INLINEFORM2 INLINEFORM3 INLINEFORM4 INLINEFORM5 INLINEFORM6 INLINEFORM7 INLINEFORM8 
 INLINEFORM0 and INLINEFORM1 INLINEFORM2 INLINEFORM3 INLINEFORM4 INLINEFORM5 INLINEFORM6 
 INLINEFORM0 (For determining number of phrases to select to include in summary) 

Evaluation of auto-generated summaries
We considered a dataset of 100 employees, where for each employee multiple peer comments were recorded. Also, for each employee, a manual summary was generated by an HR personnel. The summaries generated by our ILP-based approach were compared with the corresponding manual summaries using the ROUGE BIBREF22 unigram score. For comparing performance of our ILP-based summarization algorithm, we explored a few summarization algorithms provided by the Sumy package. A common parameter which is required by all these algorithms is number of sentences keep in the final summary. ILP-based summarization requires a similar parameter K, which is automatically decided based on number of total candidate phrases. Assuming a sentence is equivalent to roughly 3 phrases, for Sumy algorithms, we set number of sentences parameter to the ceiling of K/3. Table TABREF51 shows average and standard deviation of ROUGE unigram f1 scores for each algorithm, over the 100 summaries. The performance of ILP-based summarization is comparable with the other algorithms, as the two sample t-test does not show statistically significant difference. Also, human evaluators preferred phrase-based summary generated by our approach to the other sentence-based summaries.

Table 2. Results of TextBlob sentiment analyzer on the dataset D1

Table 6. Strengths, Weaknesses and Suggestions along Performance Attributes

Table 7. Results of 5-fold cross validation for multi-class multi-label classification on dataset D2.

Table 9. Comparative performance of various summarization algorithms

Question: What evaluation metrics were used for the summarization task?
{"answer": ["ROUGE BIBREF22 unigram score"], "evidence": ["We considered a dataset of 100 employees, where for each employee multiple peer comments were recorded. Also, for each employee, a manual summary was generated by an HR personnel. The summaries generated by our ILP-based approach were compared with the corresponding manual summaries using the ROUGE BIBREF22 unigram score. For comparing performance of our ILP-based summarization algorithm, we explored a few summarization algorithms provided by the Sumy package. A common parameter which is required by all these algorithms is number of sentences keep in the final summary. ILP-based summarization requires a similar parameter K, which is automatically decided based on number of total candidate phrases. Assuming a sentence is equivalent to roughly 3 phrases, for Sumy algorithms, we set number of sentences parameter to the ceiling of K/3. Table TABREF51 shows average and standard deviation of ROUGE unigram f1 scores for each algorithm, over the 100 summaries. The performance of ILP-based summarization is comparable with the other algorithms, as the two sample t-test does not show statistically significant difference. Also, human evaluators preferred phrase-based summary generated by our approach to the other sentence-based summaries."]}