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APPRAISAL SMARTUpdated: Sep 7, 2016

Appraisor User Guide

Table of Contents

Item PageHow Appraisal Smart Works (diagram) 2

Logging into the system for the first time Appraisor Home Page

3

Step 1: Create New Appraisal (“Agreement” Link) What is an Appraisal Template? Download Appraisal Template from Template Database Add (additional) Performance Measures What does the term “Performance Measure” mean? The Performance Measure “Placeholder Item“ Edit Weightings (if the WEIGHTINGS feature of the system is enabled) Appraisor Home Page Dashboard Appraisor Appraisal Manager Page

5

Step 2: Add Performance Record Notes (“Perf Record” Link) 15

Step 3: Prepare for the Appraisal (“Appraisor Prep” Link) 16 Appraisee Self-Appraisal

Step 4: Hold the Appraisal Meeting 19Step 5: Complete the Official Appraisal Form (“Appraisal” Link) 19

Step 6: Complete the Appraisal Summary and Performance Optimisation Plan (POP) and Sign Off (“Summary/POP” link)

20

The Appraisee Role in Brief Appraisee Home Page Appraisee Appraisal Manager Page Appraisee Signoff

22

Additional System Functionality(a) Reporting (b) (Optional) Higher Level Manager (HLM) Feature (c) Optional Add-On Modules

Multirater Module 360-Degree Feedback Module Learning Management (L&D) Module Goal Management Module

24

Final Remarks 25APPENDIX A 26Create New Appraisal from scratch (without downloading an Appraisal Template)

The aim of this guide is to help you get to grips with the Appraisal Smart System in the shortest time possible. Relevant Screenshots are also provided, where necessary, for added clarity. Also, throughout this guide, hyperlinks are provided to relevant FAQs and Flash Video Tutorials on the Appraisal Smart website. There are also bookmark links to jump to specific places WITHIN this document.

To go to the User FAQs page on our website CLICK HERE

On your Appraisor Home Page in the system, you will also find a “Knowledge Base” link that will take you to a web page where a range of resources such as User Guides and Flash Tutorials can be accessed.

To go to the Appraisor Knowledge Base page on our website CLICK HERE

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Logging into the system for the first time

Your Corporate System Administrator (CorpAdmin in short) or Divisional System Administrator (DivAdmin) will let you know when you should log into the system for the first time.

Click on the Client Login icon (or AU-NZ Client Login icon if so instructed) on the Appraisal Smart website home page (www.appraisal-smart.com) to go to the system login page, and click “Forgotten your User ID or Password?” Follow the onscreen instructions. You will be required to enter your work email address, and within a few seconds your temporary User ID and Password will be sent to that email address. Please log into the system with these the first time. (The Org Code is the same for all employees in your organization. Please get it from your CorpAdmin.) (Login is case insensitive)

FAQ: What is the "Org Code" on the system sign-in page? ANSWER



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Go to your role as Appraisee, by clicking on the role-link “Appraisee” top right of the screen (just above “Sign Out” – see arrow 1 in the screenshot below). You will notice that the link “Appraisee” will now be highlighted yellow.

NOTE: If you do not have additional roles such as CorpAdmin or DivAdmin, then there will be only two role links in your case, namely that of Appraisor and Appraisee (as per the screenshot example below). You will go directly to the Appraisor role when you log into the system.

Your Appraisee home page looks as follows:

To change your User ID and/or Password, go to your “My User File” (see arrow 2 in the screenshot above). Your User ID appears as text, and can be changed to anything you like (however, we strongly recommended that you use your work email address for best security).

Your Password is "hashed" (i.e. appearing as four stars for security purposes). Change your Password by overwriting the four stars. When you click "Update", your new Password will be hashed again.

Never use only your first or last name as a Password. At least combine it with three or more random numbers such as Connie694. Also never use passwords such as 1234, which will be one of the first attempts by hackers to get into the system (note: the password field is case insensitive).

Change your Password at least once every six months.

User File page:

Contact your line manager or System Administrator if your user details are incorrect or out of date.



Appraisor Home PageNext, go to your Appraisor Role by clicking the “Appraisor” role-link (this link will now be highlighted yellow – see arrow 1 in the screenshot below).

The default page you go to will be your Appraisor home page (“My Team’s Appraisals”). On this page the names of your direct reports (“subordinates”) will appear in the dashboard, also showing the status of their appraisals. Make sure all your direct reports are listed here (if not, contact your CorpAdmin). The Knowledge Base link (arrow 2 below) takes you to a comprehensive web page containing links to all User Guides and Flash Video Tutorials you may need.

Step 1: Create New Appraisal (“Agreement” Link) NOTE: The CorpAdmin in your organization can also create the appraisals of selected or all employees in the organization, and which you then can edit/tailor in collaboration with each of your direct reports. Check the policy of your organization as to who should create the appraisals of your direct reports.

Select Appraisals >> Create New Appraisal

Alternatively, use the links in the grey hover popups in the dashboard -- showing when you put your cursor over an employee name (see arrows 1 & 2 below), or click the link “click to create” in the dashboard (arrow 3)….

….OR, select the action step 1 oval icon above the dashboard, after having selected the employee’s name in the dropdown list.

(The action step you select/click turns yellow as in the example above)



Using any of the four “create appraisal” methods described above, the following page will show:

Read the instructions carefully:

In Step 1: Select Employee you need to select the employee in the dropdown list you want to create an Appraisal for, and in Step 2: Select Performance Period the relevant Performance Period (the default will always be the current period as set up in the system). In Step 3a: Select Regular Appraisal Option you will notice that there are four options/methods in which an Appraisal can be created (NOTE: some of these options may have been disabled by your CorpAdmin, and hence not showing). Let’s focus here only on the first two options.

Option 1: Download Appraisal Template from Database Option 2: Create New Appraisal from scratch (without downloading an Appraisal Template)

Please study the last two options by yourself (they are self-explanatory). Also view the following two FLASH TUTORIALS: Option 3: Continue Appraisal (copy appraisal forward) (4 mins): Click Here Option 4: Copy Appraisal to other team members (3 mins): Click Here

FAQ: What is a Performance Period? ANSWER

Option 1: Download Appraisal Template from Database This option allows you to download an Appraisal Template from your organization’s Appraisal Template Database -- if there is an Appraisal Template for your (step 1) selected employee’s Job Title of course. Appraisal Templates are created centrally by your Human Resources and/or Management Team (see below for an explanation of what an Appraisal Template is).

Option 2: Create New Appraisal from scratch (without downloading an Appraisal Template) (see Appendix A, p26)This option is used when there is no Appraisal Template for your selected employee’s Job Title in the Template Database (NOTE: Appraisal Templates are not compulsory; e.g. they may be inappropriate in the case of senior managerial roles). Such a Performance Agreement (appraisal) will be unique to a specific person, and will not form part of the Appraisal Template Database. To create Performance Agreements in such cases, refer to Appendix A (page 26).

What is an Appraisal Template?The ability to create Appraisal Templates in the system for the various roles/job titles in your organization solves the age-old problem of employees with the same Job Title and job contents getting quite different Performance Measures and Standards to perform to, due to them having different line managers and/or being at different locations.The answer is to have a generic Appraisal Template drawn up by job content experts (JCE's) for each distinctly different role in the organization, and to then make these templates available in a database from where they can be downloaded by line managers for their direct reports, irrespective of where they are located (even internationally). This prevents the reinvention of the wheel everywhere. It also ensures the standardization of work expectations for the same role where relevant, and a consequently much fairer performance management system.Once downloaded for specific employees, these Appraisal Templates can still be edited and adapted to suit specific local conditions and employee-specific position requirements and targets - so they need not be inflexible or fully prescriptive. However, System Administrators have the ability to "lock" entire templates (or individual measures) so that they cannot be edited once downloaded by managers for their employees (so as to ensure that exactly the same measures and standards are used throughout the organization for the same role where appropriate).JCE's are typically exemplary performers in these roles, their line managers, and HR staff (developing such templates in focus groups of 3 to 5 members). The process of developing Appraisal Templates is similar to doing a Job Analysis when developing Job/Role Descriptions and Person Specifications, and should ideally be developed during the same Job Analysis exercise. Alternatively, (or additionally), use existing Job Descriptions and Person Specifications as primary sources for deriving relevant Performance Measures to include in Appraisal Templates.It is recommended that Appraisal Templates be reviewed at least annually.NOTE: Appraisal Templates for all positions/roles are not compulsory. Performance Agreements can be created for employees from scratch, without the use of Appraisal Templates (e.g. Appraisal Templates for Senior Management may not be appropriate). See Appendix A (p26) how this is done.



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LET’S PRACTISE OPTION 1: Download Appraisal Template from Template Database

Select the name of an employee in step 1 whom you want to create an appraisal for (see screenshot on previous page); then click on option 1 in step 3a, Download Appraisal Template from Database, to download the relevant appraisal template for his/her Job Title (if any is available in the Template Database, managed by your system’s CorpAdmin).

If there is no template for this employee’s job title, the following alert will show:

This downloaded template has now been assigned to your selected employee, and looks as follows:

The downloaded template is now called a “Performance Agreement” as it now belongs to a specific person, and the measures need to be tailored/agreed and/or “sold” to the employee to get their full commitment in achieving them.

The Appraisal Date will always, by default, show as the last day of the set performance period. You should overwrite the default date with the actual appraisal interview date as agreed with the Appraisee closer to appraisal time (see red arrow in screenshot above). All system auto email reminders use that as the “active” date (which can be different for each employee).

NOTE: If your system is set for ANNIVERSARY-BASED APPRAISALS by your CorpAdmin, then the Appraisal Date in the Performance Agreement will default to the same day and month as the “Start Date” in the Appraisee’s User File (1 Nov in the example below).



Click on any of the Performance Measures on the left, and its details will show on the right. These can now be edited if the template or measure is unlocked. Any number of additional measures can also be added.

NOTE: If your CorpAdmin has locked the entire template, you will not be able to change anything in its associated Performance Agreement (except for the appraisal date). An alert as indicated below will show in the agreement.

Your CorpAdmin can also lock individual Performance Measures in templates (as opposed to the entire template). Such individually-locked measures will show as red text in Agreements.

Adding (additional) Performance MeasuresIf you are not required to ADD or EDIT Performance Measures (e.g. when entire Agreement is locked), then JUMP TO

Appraisor Home Page Dashboard

When a Performance Agreement is unlocked (or just some measures have been locked), you can add any number of additional measures by clicking the “click here” link (click any of the SAVE buttons for the “click here” link to show).



This will open the following section on the right-hand side of the page (see screenshot below). Note that Outcomes, Goals, Objectives and KPIs have PERFORMANCE STANDARDS, while Competencies and Values have BEHAVIORAL INDICATORS (see examples in red and blue text below).

If a Default Rating Key was selected by your CorpAdmin when doing the System Settings (which is recommended) this will now load automatically. The blue border indicates the minimum expected level of performance (“On Target/Standard”, or “Fully Meeting Expectations” – i.e. the 100% achievement level):

MINI TUTORIAL: What does the term “Performance Measure” mean?Performance Measures are by definition any of the following: Goals (e.g.: “Increase company market share to 35% by year “x”) Objectives (e.g.: "Implement a new accounting system by “x” date") Key Performance Indicators (KPIs) (e.g.: Sales, Customer Satisfaction Index, Net Profit, ROI) Competencies (e.g.: Accuracy, Communication, Leadership, Selling Skills) Values (e.g.: Customer Service Excellence, Teamwork, Integrity)

You should generally have anything from 3 to 6 Competencies per job role, added to Goals, Objectives and/or KPIs for a total of, as a rule of thumb, not more than 15 Performance Measures in all.

Goals, Objectives and Performance Standards should be stated in GENERIC terms in an Appraisal Template (also in Job Descriptions), and then tailored for individual employees once downloaded into their Performance Agreements - to cater for specific local conditions and employee-specific role requirements, goals and targets.

Example 1 - KPIs:GENERIC in Template: “Achieve monthly sales targets as agreed with Sales Manager”SPECIFIC in Agreement: “Achieve average monthly sales of $200,000” (tailored for each individual employee)

Example 2 - Goals/Objectives:GENERIC in Template:Replace this item with any number of goals/objectives specific to the jobholder:

Add relevant performance standards per each goal/objective (due dates, quantities, quality, budget allocation, specs, expectations, etc.) Allocate an importance weighting for each goal/objective (Edit Weightings) (if weightings feature of system enabled)

SPECIFIC in Agreement:Goal 1: Complete Project A (add performance standards & weighting)Goal 2: Complete Project B (add performance standards & weighting)--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------Goals, Objectives, and KPIs should be TYPED (or COPIED AND PASTED) into the first field top right of the agreement, while Competencies and Values can be DOWNLOADED from the Competency Library, if any were added there.What are Performance Standards? Examples are: target dates, numbers/volumes to achieve, dollars to sell, percentages to achieve, quality levels to maintain, etc.What are Behavioral Indicators? Key observable behaviors that describe a Competency or Value, e.g.: Speaks with authority and conviction (a desirable behavior of ORAL COMMUNICATION).

Definition – Goal ANSWERDefinition – Objective ANSWER

Definition – KPI ANSWERDefinition – Competency ANSWER

Definition – Value ANSWERDefinition – Performance Standard ANSWER



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So let’s proceed by adding an additional Performance Measure, with its Performance Standards, into the Agreement Form.

Goal/Objective: Implement the new SimplePay Payroll SystemPerformance Standards: Due Date: 30 November 2016 Budget: $125,000, which includes the cost of the package, your training by the vendor, and follow-up consultation for 12 months since

system purchase date. The system to be launched on 3 January 2017, replacing the existing payroll system.

NOTE: The Performance Measures will keep “stacking up” in the box on the left of the page as you create them (see screenshot below). Use the “UP” and “DOWN” arrows (and other available icons) bottom left of page if you want to re-arrange the order of the measures.

Suggestion: Always move the competencies to the bottom of the list of measures, with the Objectives/Goals/KPIs at the top.

Do not add bullets in front of the Performance Standards and Behavioral Indicators, as the system will add them automatically when you click SAVE (viewable in the Agreement Preview and Appraisal Forms).



After you have added all relevant Outcomes, Goals, Objectives and/or KPIs (as explained above), then next, download the relevant Competencies and/or Values from the Competency Library, if applicable.

To do so, click the link “Please select a Performance Measure on the left, or click here to create a new one” (“click here”) again, and then click the button Load new Competency from Database (see screenshot below).

This will open the Competency Library. Select all the relevant Competencies and/or Values for the position/role (tick the boxes on the left of such Competencies/Values), then go to the bottom of the page and click the button Download All Selected Competencies to download them into the Agreement.

The Agreement now looks as follows, with all measures showing on the left. Selecting a measure shows its details on the right.

NOTE: The rule of thumb is that a Performance Agreement should not have more than about 15 measures in all, including competencies. By focusing on the key competencies/tasks and outcomes of a role, employees will know where to focus most of their time and energy. It will also prevent an overly drawn-out appraisal meeting. Less is more, and quality is preferred to quantity.



The Performance Measure “Placeholder Item”

Your CorpAdmin may have created Appraisal Templates that contain a “Placeholder Measure”, saying something as follows:

Replace this item with any number of Goals/Objectives/KPIs specific to the jobholder Add relevant performance standards per each goal/objective/KPI (targets, due dates, quantities, quality, budget allocation, specs,

SOPs, expectations, etc.) Allocate an importance weighting for each goal/objective/KPI (Edit Weightings, if WEIGHTINGS enabled) (remove this item if there are no additional goals/objectives/KPIs for the jobholder)

In the Agreement it will look as follows:

The idea is to replace this item with a REAL Goal/Objective/KPI. The placeholder item gives clear instructions what you should do: OVERWRITE the existing text with the details of a REAL Goal/Objective/KPI, as we had in our example two pages back:

You can add any number of ADDITIONAL measures after the first one.

Edit Weightings (if the WEIGHTINGS feature of the system is enabled)(If Weightings NOT enabled, skip this section and jump to: Discussing and Agreeing on the Performance Measures

Weightings indicate the relative importance of Performance Measures, and are added into the equation for calculating the employee’s eventual overall performance percentage.

After you have downloaded/entered all the required Performance Measures into the Agreement, click the Edit Weightings button just above the Performance Measures box on the left (NOTE: This button will not show if the WEIGHTINGS feature of your system had been DISABLED by your CorpAdmin).

That takes you to the following page:



Read the instructions at the top of this page. You need to give each measure an importance weighting (replace the zero’s with a figure), with all weightings adding up to 100. Then click: Save Weightings (the weightings are added into the equation for calculating the eventual performance percentage).

FAQ: What is an Importance Weighting? ANSWERFAQ: Why is a 5-Point Rating Key/Scale recommended? ANSWERFAQ: What level of performance does the "3" in the Rating Key represent? ANSWERFAQ: How does the Performance Percentage calculation of the system work (WEIGHTINGS enabled)? ANSWERFLASH TUTORIAL: The ZERO-Rating Illustrated (5 mins): Click Here

NOTE: When the WEIGHTINGS feature of the system is DISABLED (by your CorpAdmin), then RATING AVERAGES as opposed to PERCENTAGES will show. All measures will then also be regarded as equally important when the system calculates the overall average.

Discussing and Agreeing on the Performance MeasuresOnce you have created a Performance Agreement for a direct report (ideally right at the start of a Performance Period), you should have a face-to-face discussion with him/her to explain, “sell” and negotiate the Performance Measures and Standards (the “terms” of the Agreement – so to speak). Also ask the employee for his/her input, and include that in the Agreement as appropriate. It should be a participative process, although you have the final say – as long as the Agreement is fair, realistic and attainable (even though stretching).

With the Agreement created, Appraisees (from their own system login) can view their Performance Measures at any stage (via their Agreement Preview page), leaving them with no excuse that they “did not know what were required of them”.

On the next page we will see what the Performance Agreement looks like as a “workable” document.

Appraisor Home Page Dashboard



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Appraisals >> Appraisal ManagerOn the Appraisal Manager page (see arrow 1 below) (and dashboard on the home page) you can view and monitor the status of the appraisals of all your direct reports (Appraisees), as well as “indirect” reports if you have further unit levels “under you” (click the UNIT dropdown list in the filter to see and select the lower-level units).

The Appraisal that gets created last will always show at the bottom of the list of employees on the Appraisal Manager page.

The Appraisal Manager page (in addition to the home page dashboard) is another “portal” for gaining access to the following online forms of each Appraisee (see links on far right of each Appraisee in screenshot above – arrows 2):

(NOTE: links 2-5 are the same as the oval icon steps on the home page, but added here for each Appraisee)

Job Description (if this feature is activated by your CorpAdmin): Shows Job Description for Appraisee’s role. Agreement: Opens the Performance Agreement e.g. to edit (as covered on the pages above). Perf Record: To add Performance Record Notes of good or poor Appraisee work performance or behavior throughout the performance

period (covered in detail on page 15). Appraisor Prep: Takes you to the Appraisor Preparation (PREP) Form (covered in detail on page 16). Appraisal: Takes you to the Official Appraisal Form of the Appraisee (to be completed by the Appraisor after the appraisal interview/meeting)

(covered in detail on page 19). Summary/POP: Contains the performance percentage calculations (with WEIGHTINGS enabled), or rating averages (WEIGHTINGS

disabled), Performance Optimization Plan (POP) notes, and signoff links (covered in detail on page 20). Delete: Deletes an appraisal that has not been signed off yet.

FLASH TUTORIAL: Adding Measures & Editing a Performance Agreement (17 mins): Click Here- Adding performance measures from scratch (weightings disabled)- Editing existing performance measures (weightings disabled)- Adding Competencies from Competency Library- Replacing the Placeholder Measure- Adding Weights (weightings enabled)- Fully locked Agreement- Partially locked Agreement- Editing the Rating Scale/Key (if allowed)

FAQ: What do the headings "This Period" and "Yr Cum Avg" on the Appraisal Manager page stand for? ANSWER



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Step 2: Add Performance Record Notes (“Perf Record” Link)

Your CorpAdmin has the ability to disable the Performance Record Functionality for both Appraisor and Appraisee, or just Appraisees. A system alert will pop up (when clicking “Perf Record”) if access had been disabled in this way.

If ENABLED for both parties (the default setting), the Appraisor and Appraisee will both have the ability to add/upload performance notes, and examples of good (“highlight”), general, or poor (“lowlight”) work performance or behavior (incidents) into the system, to “call up” at appraisal time.

Best practice suggests that the line manager (Appraisor) should first consult with the employee before uploading such performance record notes. They need to establish all the facts first, give feedback (verbally, and in person if possible), do coaching if necessary, and only then, if still justified, upload such performance record notes into the system.

Such regularly uploaded performance notes will ensure that the FULL performance period is considered during appraisals, and not just the last few months – as the general complaint goes.

Your CorpAdmin can set the Performance Record accessibility for Appraisees as any one of the following: Appraisees cannot add or view Performance Record Notes Appraisees cannot add Performance Record Notes but can view the Appraisor’s Appraisee cannot view the Appraisor's Notes but can add their own Appraisors can hide individual Performance Record Notes from Appraisees.

The two screenshots below illustrate how a Performance Record Note gets added:

Click the “Add Performance Record Note” button:

Select the MEASURE the note refers to, the TYPE (highlight, general, or lowlight), add a short TITLE for the note, and finally enter the DETAILS to describe what has happened, e.g.:



Two electronic files can be attached (uploaded) to each Performance Record Note as evidence or record of the incident, e.g. an email from a client, or a spreadsheet with performance data. You are only able to upload attachments AFTER you have saved the note.

When clicking SAVE, a system popup will ask you if you want to notify the Appraisee of the note you have added (done by system-generated email). This popup will NOT show if you have ticked the “Hide this note from Appraisee” tick-box.

It is possible and convenient to view the Performance Record Notes WITHIN your PREP Form (as well as the Official Appraisal Form), by clicking the link at the top of the page: Show Performance Record Notes:

NOTE: The system can also be set to allow performance notes being added by CorpAdmin/s (for any employee in the organization) and DivAdmins (for any employee in their division/s). A copy of the system-generated email will be sent to the employee’s line manager as well, to keep him/her in the picture.

You can copy-and-paste or “drag” any of the Performance Notes into the Actual Performance Notes field above it, to so get it into your PREP Form (and then edit it there if necessary). You can do the same with the Performance Standards listed in the green box on the right.

FLASH TUTORIAL: How to add Performance Record Notes (10 mins): Click HereFAQ: Who are allowed to add Performance Record Notes on an employee? ANSWER

Step 3: Prepare for the Appraisal (“Appraisor Prep” Link)

Use this form to plan for the appraisal interview, i.e. add your provisional notes and give provisional ratings (consult the Performance Records Notes in the process, and Multirater (MR) Feedback - if the Multirater Module has been activated for your organization). The MR feature allows you to ask up to five managers and/or staff to give feedback about the appraisee.

Multirater (MR) Module ResourcesFLASH TOTORIAL: MR Module Overview (16 mins): Click HereTo download the MR Module User Guide Click Here



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The Appraisor PREP Form:



KEY (of PREP Form screenshots above): Link #1 – Agreement Preview: Pop-up page showing all Performance Measures and Standards. Link #2 – Performance Record Notes: Pop-up page (filterable) showing all Performance Record Notes. Link #3 – Previous Appraisal: Pop-up page showing the previous period’s Official Appraisal Form (you can also click through to its related

Summary/POP Form). Link #4 – General Notes: Small pop-up window showing notes added (if any) in the “Notes” field on the Performance Agreement Form (e.g.

notes re specific projects or clients handled during a performance period). Link #5 – Show Performance Record Notes: Shows Performance Record Notes WITHIN the PREP Form under each Performance

Measure. Text Field #6 – Your CorpAdmin can add any 1 to 3 Header Field Questions at the top of the Prep/Appraisal Form. Text Field #7 – Your CorpAdmin can add any 1 to 5 Footer Field Questions at the bottom of the Prep/Appraisal Form.

Note that the Appraisor and Appraisee PREP Forms and the Official Appraisal Form have all exactly the same Header & Footer questions and Performance Measures.

Appraisee Self-AppraisalAppraisees have their own PREP Form (Self-Appraisal) on which they can enter their own notes and ratings in preparation for the appraisal meeting - in private (give them minimum one week’s notice to prepare for it). The system also has automated email reminders, if activated and set up by your CorpAdmin. (Give employees without computer access a printout of the PREP form prior to you starting making notes on it, so they can make handwritten notes on it.)

You can request the Appraisee to (electronically) release his/her PREP Form to you to preview prior to the appraisal meeting, but first check your organization’s policy in this regard (is releasing it required or not?).

Appraisee (electronic) PREP Form release radio button:

A released Appraisee PREP Form shows as another (red) link on your Appraisal Manager page: Appraisee Prep.

And once released, you can also view the Appraisee’s comments and self-ratings WITHIN your PREP form (as well as the Official Appraisal Form):

Having prepared independently, both you and the Appraisee should then print out your completed PREP Forms (click “Click for Print View” top right of screen), and bring these with you to the appraisal meeting, which should be a face-to-face discussion.



Step 4: Hold the Appraisal MeetingThe recommended discussion sequence to follow during the appraisal (for each Performance Measure):1. Discuss and reach consensus as to what has actually happened with respect to the specific measure over the entire performance period (consider all

performance standards and behavioral indicators per measure). Get the Appraisee’s input first, add your own, and consult the Performance Record Notes on that measure as well as Multirater feedback (if any). Enter a summary of all this into the ACTUAL PERFORMANCE NOTES field of the measure.

2. Mutually agree on a rating that most accurately reflects the level of performance as agreed in step one, and select this rating in the Rating Key/Scale (all performance standards per measure must be considered jointly).

3. Discuss and agree what needs to be done (if anything) to improve the Appraisee’s performance regarding the specific Performance Measure over the next performance period, including any training and coaching. Enter these in the POP field.

NOTE: Staff Training and Coaching are seldom the only solutions for addressing unacceptable performance or behavior. Poor performance or behavior can more often than not be attributed to a combination of: a lack of resources and work tools, poor systems/policies/procedures, poor reward/recognition practices, insufficient performance feedback, and a generally counter-productive working environment and organization culture. Be open-minded to consider and address all of these. Frequently, these are for the Appraisor/Organization to address, and not the Appraisee.

Best practice suggests that you as Appraisor have the final say should there be disagreement on any issue. However, your organization should have a policy in place with respect to handling serious differences in opinion between Appraisors and Appraisees (which they cannot resolve themselves), such as the involvement of the next level line manager (Appraisor’s boss) to consider the facts and make a final decision. Other organizations, again, get their Human Resources Department to “arbitrate” such major differences in opinion. Find out what applies in your organization.

Step 5: Complete the Official Appraisal Form (“Appraisal” Link)

After the appraisal meeting, go to the Official Appraisal Form (“Appraisal” link), and enter the results of the appraisal as mutually agreed with the Appraisee.

NOTE: You can copy your ratings and notes over from your PREP Form to the Official Appraisal Form – one measure at a time, or all in one go (if you want to transfer everything), by clicking the “Transfer all comments and ratings, and jump to Official Appraisal Form” link at the bottom of the PREP Form (see screenshot below). This is normally done when your PREP notes are very similar to the outcome of the appraisal meeting. Ratings and notes can also be transferred from a released Appraisee PREP Form to the Official Appraisal Form in exactly the same way. Once transferred, you can still edit the contents in the Official Appraisal Form as necessary.

Example of a completed measure in the Official Appraisal Form:



Once you are satisfied with the contents of the Official Appraisal Form (reflecting what was agreed with the Appraisee during the appraisal interview), click the link bottom of page “Submit Ratings and jump to Summary / POP Form”. This will take you to the Summary/POP Form.

Step 6: Complete the Appraisal Summary and Performance Optimisation Plan (POP) and Sign Off (“Summary/POP” link)

The performance percentage calculations (or RATING AVERAGE if the weightings and percentages feature of the system had been disabled by your CorpAdmin), show on this page, as well as all the Performance Optimization Plan (POP) notes carried over from the Official Appraisal Form.

Finally, you can enter some overall comments (in the field next to “Appraisor”), and sign the appraisal off by clicking Sign Off Now.

NOTE: The Appraisee will not be able to access the Official Appraisal or Summary/POP Forms from their login until such time as you have signed off on the appraisal (as well as the Higher Level Manager (HLM) if the 3rd level signoff feature of the system had been activated by your CorpAdmin).

See next page for screenshots of the Summary/POP page.



Confidential Notes (Appraisee cannot view): For notes on e.g. eligibility for salary increase, bonus, promotion, etc.




NOTE: When the Weightings and Performance Percentage feature of the system had been disabled (by your CorpAdmin), then RATING AVERAGES as opposed to percentages will show, as illustrated below:

It is also possible for your CorpAdmin to set the system so all Rating Keys are removed from appraisal forms. The system will then also not display any performance percentage calculations or rating averages. This option is for companies that only want QUALITATIVE appraisals, and not also QUANTITATIVE.

The Appraisee Role in Brief

Appraisee Home Page (from their own login)

Appraisee Appraisal Manager Page

Job Description (link showing if this feature is activated). Agreement Preview (to view their agreed performance measures and standards to achieve). Performance Record (to add performance notes, and view the manager’s). Appraisal Prep (for self-appraisal in private, and to then print out to take to the appraisal meeting). (Official) Appraisal (read-only view of ratings and notes by Appraisor, as mutually agreed during the appraisal interview). Summary/POP (to add own overall comments and sign the appraisal off).



Appraisee Signoff

Appraisees should enter their own final overall comments on the Summary/POP Form, and then sign the appraisal off as well. After this had been done, Appraisors cannot make any further changes to any of the appraisal forms, unless they ask the Corp-or DivAdmin to undo the signoffs of all parties first.

The Appraisee needs to be aware of and agree to this, such as when both parties agree that something needs to be changed on one of the forms. The normal signoff sequence must then be followed again, with that of the Appraisee taking place LAST to “lock” all the forms again.

To download the detailed Appraisee User Guide Click HereFLASH TUTORIAL: Appraisee Role (24 mins): Click Here



https://www.appraisal-smart.com/AppraiseeRole.html

https://www.appraisal-smart.com/Appraisal-Smart-APPRAISEE-User-Guide.PDF

Additional System Functionality

(a) Reporting

The following screenshot snippet shows the various reports available:

All reports can be exported to MS Word, PDF or Excel.

NOTE: If the WEIGHTINGS AND PERFORMANCE PERCENTAGES feature of the system had been disabled by your CorpAdmin, then RATING AVERAGES as opposed to PERFORMANCE PERCENTAGES will show throughout the system. And when the system had been set to NOT SHOW ANY RATING KEYS, all reports with quantitative results will be hidden (as they only work with numbers), and only qualitative (text & comments) reports will show, such as the Summary/POPs, Headers & Footers, and Perf Record Notes reports.

(b) (Optional) Higher Level Manager (HLM) Feature

The system can also be set by your CorpAdmin to include the approval and signoff of an employee’s appraisal by YOUR manager, called Higher Level Manager (HLM) in the system (i.e. three-level signoff). Alternatively, your Human Resources Department (Corp- or DivAdmin) can also act as HLM.

With the HLM feature activated, the Summary/POP Form signoff fields look as follows:

To download the Higher Level Manager (HLM) User Guide Click Here



https://www.appraisal-smart.com/Appraisal-Smart-HIGHER-LEVEL-MANAGER-User-Guide.pdf

(c) Optional Add-On Modules

1. Multirater ModuleThis module allows up to five other managers/co-workers to rate and give feedback on an employee’s performance (e.g. an employee reporting to more than one manager, or project managers in a matrix organization).

2. 360-Degree Feedback ModuleA fully-fledged 360-degree feedback module with unique Context-Targeted capability. It can also be a standalone 360 system, delinked from the other modules.

3. Learning Management (L&D) ModuleTo manage your employees’ Learning and Development, Personal Development Plans (PDPs) and Career Development.

4. Goal Management ModuleCreate, cascade and manage Goals; set and monitor (Balanced) Scorecard KPIs.

Final Remarks

Performance Agreements (Appraisals) should be created by managers for their direct reports as early as possible at the start of a performance period/year so that they will know exactly what are required of them with respect to their Performance Measures and Standards to be achieved over that period. It is unacceptable (even illegal in respect of labor laws) to only set/document the Performance Measures and Standards to be achieved, in retrospect, just prior to the appraisal meeting, or even (argue about it) during the meeting.

It is also important that you meet with individual employees regularly (at least quarterly, but preferably monthly, and for some industries / job roles even weekly or daily) during the performance period/year, to discuss not only PROGRESS with these Performance Measures, but also to UPDATE their Agreement as priorities change on the ground, new Measures need to be added, and existing ones need to be edited, or even deleted if no longer valid. So it should be a “living” document, and not cast in stone at the start of the year. You should also meet with employees at least two weeks before the appraisal meeting to make sure the Agreement is up to date; but keep in mind that no NEW measures should be added at this (too) late point on which you will be appraised in a few weeks’ time.

Additional APPRAISOR Resources (also available on the Knowledge Base page)To download the Appraisor QuickStart Guide Click HereTo download the Appraisor Appraisal Interview Tutorial Click Here FLASH TUTORIAL: Appraisor Role (35 mins): Click HereFLASH TUTORIAL: Completing Appraisals of previous Performance Periods (2 mins): Click Here



https://www.appraisal-smart.com/CompletingAppraisalsPreviousPerfPeriods.html

https://www.appraisal-smart.com/AppraisorRole.html

https://www.appraisal-smart.com/Appraisal-Smart-Performance-Appraisal-Interview-Tutorial.pdf

https://www.appraisal-smart.com/Appraisal-Smart-APPRAISOR-QuickStart-Guide.pdf

APPENDIX A

Create New Appraisal from scratch (without downloading an Appraisal Template)Select Appraisals >> Create New Appraisal (Alternatively, use the links in the hover popups in the dashboard - showing when you put your cursor over an employee name, or click the link “click to create” in the dashboard, or select the action step 1 oval icon above the dashboard).

The following page opens (see screenshot below):

In step 1 you need to select the person you want to create an Appraisal for, and in step 2 the relevant Performance Period (the default will always be the current period, as set up by your CorpAdmin in the system).

Step 3a: Select Option 2 Create New Appraisal from scratch (without downloading an Appraisal Template) to create a Performance Agreement for the person you selected in step 1 from scratch. This option is used when there is no Appraisal Template for this person’s job title in the Template Database (NOTE: Appraisal Templates are not compulsory; e.g. they may be inappropriate in the case of senior managerial roles). Such a Performance Agreement (appraisal) will be unique to a specific person, and will not form part of the Appraisal Template Database.

An “empty” Performance Agreement Form will appear, which needs to be populated with job-relevant Performance Measures and Standards.

Click: Please select a Performance Measure on the left, or click here to create a new one.



This will open the following section on the right side of the page, and unlike a downloaded Appraisal Template, there will be no measures showing. Relevant performance measures need to be added from scratch.

To learn how to complete the rest of the process GO TO page 8 ADDING (ADDITIONAL) PERFORMANCE MEASURES



Documents

Flow Diagram - appraisal-smart.com€¦ · Web viewUse your ALT + TAB keys to toggle between the Appraisal Smart FAQs and Knowledge Base web pages and this User Guide when clicking