The Appraisal Process Handbook

Acknowledgements Laura Yates, Project Manager Guidelines Team Robert Diem Nickole Jackson John Nyquist Christine Sauciunac Lisa Strozyk James Ulrich Appraisal Implementation Team Nickole Jackson Laura Fritz John Nyquist James Ulrich Website Development Team Sharon Arieno Peter Connolly Laura Fritz Phyllis Parisi Jamie Seibert Jeffrey Walczak Video Production Unit Martha Greatrix, Camera Dale Reeck, Editing Larry Scott, Asst. Camera Website Training Documentation Team Christopher Bates Mark Ferguson Rick Lesniak Kelli Scott Pilot Team Mark Ferguson JoAnn Greenzweig Linda Kingsbury Rick Lesniak John Nyquist Chris Sauciunac Larry Scott

Table of Contents Introduction to Appraisal Process page 1 Glossary of Terms page 3 Statement of Guidelines page 4 360 Degree Information page 6 Appraisal Process page 10 Website Hands-on Training stored separately as Step Three in Clarity Bargaining Agreements Website Information page 13 Appraisal Forms page 14

Introduction to the Appraisal Process In the Fall of 1998, a committee was formed with a mission to examine the current annual employee appraisal process and make recommendations to improve it, focusing on ensuring these items: Content which is useful to the employee in improving performance. A process which is efficient and not unduly burdensome for the supervisor. On-time completion. Tie-in to unit goals, Covey Principles, and Learning and Development Plans. Consistency among various bargaining units (UUP, CSEA, PEF, RF, UBF). The committee examined existing materials and solicited feedback from all of ASCIT employees. The result of this research was the development of a set of guidelines which all agreed must be included in any new appraisal process. Please take the time to review them carefully as they are the integral base from which our new appraisal process was formed. An integral part of these guidelines is the implementation of a 360 degree information gathering process. Once again, this is an information gathering process only. This process facilitates the fact that we work in a team based environment more than a traditional top down management one. The method is different from what has been done in the past because performance information will now be gathered from you and your peers, in addition to your supervisor and your customers. This system creates an environment for both giving and receiving pertinent performance feedback which hopefully will lead to the development of an individual's, as well as the organization's, improved performance. In short, the 360 degree process will allow individuals greater self responsibility for managing their own performance. You can read more about its value and use in your training booklet. Also, as a result of our research, we chose to use existing materials that had been created by CareerTrack International and tailored it to meet our needs. We modified their workbook to create our own, edited their video to give you a more concise presentation, and have placed all the material you will now need to complete an appraisal on the web. Your training booklet will provide you with hard copy of all the information you will see and hear on the tapes. Additionally, pages 39-45 of the booklet provide a wealth of information essential to any manager doing his/her job successfully. It is very important to remember that the CareerTrack tapes were primarily developed for use in the corporate world and we have edited information that does not apply to our work environment. However, some of this kind of information remains. Keep in mind that information presented here will most likely apply differently to different areas of CIT. There are also portions of the tapes that may not be directly relevant to your situation but still present a good overall concept that should be beneficial to us all. 1

Finally, but of extreme importance, is the fact that appraisals are based on an employee's performance standards, which are developed along with the employee's performance program. Without an up-to-date performance program and standards, the appraisal process is of little use. Performance programs are best developed from Learning and Development Plans. We have provided a website link that will help with the creation of Learning and Development Plans which can then aid with the creation of performance programs and standards. Please access and utilize this important information by yourself and with your supervisor. Listen and read with an open mind realizing that the intent is to make the appraisal process less cumbersome and to use the process to help the employee to grow. 2

Glossary of Terms 360 Degree Feedback: The process which creates and supports the conditions for giving and receiving pertinent performance feedback from multiple constituents within and external to an organization, leading to the development of individuals and improved organizational performance. Appraisal Process: The steps outlined on the instructions page; from soliciting information to writing the appraisal to delivering it to the employee. Bargaining Unit: The units represented within our department; UUP, CSEA, PEF and Research Foundation. Contributor: A person who completes a brief or comprehensive appraisal form for an employee. Covey Principles: The 7 Habits of Highly Effective People are incorporated into the performance evaluation forms. All employees are invited to attend Covey training when they begin employment within University Services. Customer: A person who can answer general questions about an employee's services and University participation. Guidelines: Results of feedback from employees outlining the acceptable criteria for using this appraisal system. LDP (Learning and Development Plan): A plan to help employees "map out" their future professional development goals. Performance Program: Outlines your work assignments on an annual basis. Program Standards: Describes minimum requirements associated with each assignment; required by CSEA & PEF employees. 3

Guidelines common to Employee and Supervisor Statement of Guidelines - Employees must have an up-to-date performance program, including performance standards. This must be developed as a collaborative effort between the employee and supervisor. Appraisals will be based on performance standards. - Performance programs and standards are best developed using information from the employee's Learning and Development Plan(LDP). - A 360 degree feedback process will be implemented as an information gathering process only. It is not to be used alone for the purpose of making decisions about pay, promotion or reappointment. - Supervisors and employees will be trained in the 360 degree feedback process. - 360 degree feedback for an appraisal should be collected throughout the year by the employee and/or the supervisor. - The appraisal process includes a mandatory meeting between supervisor and employee. - The employee will receive a copy of the appraisal prior to this mandatory meeting so he/she can prepare to discuss outcomes and modifications. Guidelines for SUPERVISORS only - Supervisors will be trained in giving appraisals. - Supervisors must make a schedule of all performance program development and appraisal dates and provide this information to the employee. - The appraisal will allow an employee to comment on what may have prevented his/her meeting any performance standards. - Supervisors must provide ongoing feedback to the employee so there are no surprises in the appraisal. Solicitation of 360 degree feedback used for an appraisal will be restricted to the current appraisal period. - Relevant and/or important accomplishments, awards, and honors received by the employee should also be recorded on the appraisal, especially when these items exceed the performance standards. 4

Guidelines for the ORGANIZATION UNIT - Performance Programs should have a standardized, consistent format. The format should include: unit area, professional development, work responsibilities. - Flexibility should be allowed in determining the appraisal calendar year. T here must be mutual agreement between employee and supervisor if the appraisal is completed prior to its deadline. - A standardized web based appraisal form has been created providing a combination of menu selection items as well as areas that allow for written comments. - A corresponding web based procedure for streamlining 360 degree feedback data collection has also been created. - This fully documented appraisal process has guidelines and examples provided for supervisors to follow. - Commitment to the appraisal process is a top priority. This process becomes part of a supervisors performance program and performance standards. - Every unit and sub-unit of CIT (as well as individual employees) should have short and long term goals that are in alignment with those of CIT. An individual employee's LDP should be in alignment with these goals. -A universally equitable (in-house) system among employees represented by different bargaining units is desirable. Ways of recognizing employee's accomplishments outside of a bargaining unit s limitations should be explored and developed. 5

360 Degree Information (Source: Corporate Coach and Principal, Potential At Work) What is 360 Feedback? 360 feedback is a process which creates and supports the conditions for giving and receiving pertinent performance feedback from multiple constituents within and external to an organization, leading to the development of individuals and improved organizational performance. Why 360 Feedback is Becoming more Attractive? Work processes and the teams that support them are more complex and interdependent, and traditional job descriptions and supervisory roles no longer provide sufficient guidance about what constitutes acceptable performance. The traditional organizational management paradigm of top down direction is becoming less meaningful, and other forms of distributed leadership are emerging. Consistent with the shift that has occurred in the traditional employment contract, 360 feedback provides a process whereby individuals can assume greater self responsibility for managing their performance and their career advancement. Why Have a 360 Process? People do not naturally give or receive feedback about performance in everyday interactions, and people s engrained beliefs about themselves operate to filter out much of the data they receive. Feedback from multiple perspectives can more accurately reflect the total performance of individuals necessary for the achievement of business results. Typical Reason 360 Feedback is Used in Organizations To develop selected individuals to assume greater organizational leadership responsibility or develop management and leadership competencies in present job roles. To assist individuals in career self development. To increase accountability to multiple constituents. To improve management of diversity. To raise standards of performance for a specific group of people (e.g. managers), in selected departments, or the whole organization. To bring about organizational culture change. To broaden the scope of the traditional performance appraisal process. How a 360 Feedback Process Can Add Value Provides a performance management system which improves upon traditional performance appraisal systems by providing a more accurate picture of performance (from multiple perspectives) and making feedback and performance development ongoing. Provides a context for giving and receiving feedback that people don t experience in day to day interactions. By separating 360 feedback from decisions about pay, promotion or job elimination, there is greater likelihood that feedback will be fully reflected on, accepted and acted upon by the individuals receiving feedback. Can accelerate the development of individuals and organizations. 6

Core Values of a Meaningful 360 Feedback Process Everyone in an organization has multiple constituents who are invested in and have perspectives about the standards for performance; i.e., no one can truly act independently. Interpersonal relationships and business results are improved when people are able to include the perspectives and needs of other stakeholders; i.e., when they are interdevelopmental. Best Practices for a Meaningful 360 Feedback Program The rationale for incorporating 360 feedback is clear and credible to everyone in the organization who is involved in the process. The implementation of a 360 feedback process is tied to the achievement of business results. The 360 feedback process measures the attitudes, behaviors and skills needed by the organization to achieve its business goals; that is, the measures are relevant for the organization s internal culture and its business environment. The 360 feedback process is tied to the coaching and development of people and an environment that supports learning and risk taking. The 360 feedback process is separated from decisions about pay, promotion and job elimination. The 360 feedback process occurs in a psychologically safe environment and protects the confidentiality of raters, ratings, and those rated. The 360 feedback process is facilitated by an experienced external coach/facilitator who can be objective throughout the process. The 360 feedback process is ongoing and provides an opportunity to measure individual growth and learning over time. The 360 feedback process reflects changes in the organization s business environment and the skills and behaviors required by that environment. The 15 Moments of Truth About 360 Feedback 1. Asking others for feedback increases their expectations that you will utilize it to affect positive, personal change. 2. Receiving feedback without translating it into improved performance results in your being perceived more negatively than if feedback had not been received. 3. People cannot change what they do not believe. 4. You can safely assume that all perceptions others have about your performance are real and are accurate, at least to those who own those perceptions. 5. In accepting feedback from others there is a need to balance the reaction to fight against feedback with the desire to run away from it. 6. In accepting feedback from others there is a need to balance under-reaction with overreaction the feedback. 7. Others typically see you differently than you see yourself, and different constituents have different perspectives about you, all of which are accurate. 8. For others to change the impressions they have of you, you must change your attitudes, beliefs and/or behavior. 9. When others provide feedback, they tend to base their perceptions on their own performance and personal style; thus, they use themselves as the standard. 10. Feedback which makes you very uncomfortable is a positive indication that you are positioned for a dramatic shift. 7

11. Everything you do makes a difference; thus, even small changes in behavior can have a big impact on your effectiveness and on others views of you. 12. Involving others in your efforts to change increases the likelihood of real change. 13. A critical step in personal change is to change the habits, routines or systems that support or reinforce the behavior you desire to change. 14. Redefining critical feedback as the gift of another s presence creates a more balanced perspective and increased motivation to change. 15. Changes that are sustainable are those that are consistent with your core character and personal style. 8

What is 360 Performance Management? (Source: Advanced Management Engineering Center) 360 Performance Management simply improves upon the traditional concept of performance management by encompassing the perspectives, opinions and evaluations of a sampling of all those surrounding the ratee. By drawing on the entire circle of associates (all 360 ), the resulting performance appraisal is a much more accurate reflection of the actual level of performance of the ratee than the traditional supervisor-driven method can provide. Applying the 360 concept in employee performance management replaces the use of only two perspectives (boss and employee) with input from the point of view of all categories of people who interact with the employee in the performance of his or her job. As is shown in the graphic, input is obtained from a sample of the ratee s customers, peers, subordinates (if any), and the ratee him/herself in addition to the supervisor. The customers may be people within or outside of the organization. The most common applications of the 360 concept in personnel management are: 1. performance appraisals and 2. the determination of developmental needs The 360 approach focuses performance management on continuous improvement. Instead of merely measuring the previous rating period s performance (which cannot be changed), the focus is shifted to improving performance for the next rating period (which can be positively influenced). 9

The Appraisal Process Step 1: Notification of Appraisal As a supervisor, you will receive an e-mail notification with employee performance appraisal and program due dates with cover pages. Upon receipt of this e-mail message, a supervisor should print out the performance appraisal forms and complete the automated appraisal process as detailed. Step 2: Communicate with Employee The supervisor meets with the employee to review the appraisal process, discuss who will be requested to participate in the evaluation process (customers, peers and secondary appraisal contributors), and steps needed to update the employee s performance program for the upcoming appraisal period. Step 3: Decide on Appraisal Forms The Appraisal System has two different sets of appraisal comment forms for use with different Appraisal contributors. The Brief Form covers a few of the most important performance factors, while the Comprehensive Form probes in depth on all relevant performance factors. Supervisor and employee must decide which form each Appraisal contributor will be asked to use. Step 4: Review List of Appraisal Contributors Before Customers and non-cit employees can be requested to use the Appraisal system, an account must be created for their use by the Appraisal System Coordinator. The Supervisor may check to see if the desired Appraisal contributor has an account by accessing the All User Report. -Go to the Appraisal System page -Click on System Administrative Tools -Click All User Report Note that this selection is available to Supervisors and System Administrators. If any Appraisal contributor does not have an account in the appraisal system, the Supervisor needs to request an account for the Appraisal contributor be created by contacting the Appraisal System Coordinator at ascitappraisalcoord@buffalo.edu. Please include the UBIT name of the Appraisal contributor which can be obtained from the "Find People" search on UB s home page www.buffalo.edu. For Appraisal contributors who do not have a UBIT name, an account name must be created for them beginning with a number. For example: 9smith or 2jones. The Appraisal System Coordinator will set up the new account in the system and e-mail the Supervisor when the account is ready. Step 5: Generate Appraisal Code To start the appraisal process, supervisors use the Appraisal System to send notification letters to the Appraisal contributors requesting them to complete an appraisal form. The process begins with selecting the appropriate Employee to be evaluated, and to generate an Appraisal Code. The Appraisal Code identifies the appraisal type (Yearly, Interim, Closeout), and the month and year of the appraisal. The combined data elements compose the Appraisal Code which is used to keep this particular appraisal separate from others for the same employee. A supervisor can view existing Appraisal Codes for an employee as follows: -Go to the Appraisal System page -Click on Supervisor Tools -Click Select Employee -Choose employee from drop down list -Click NEXT button -Click on Review Employee Appraisal Codes 10

Review list of codes. If there is no existing Appraisal Code, a new Appraisal Code will be generated in the next step, "Generate Notification Letters for Appraisal Contributors". Step 6: Generate Notification Letters for Appraisal Contributors The next step is to use the Appraisal System to send out notification letters that request Appraisal contributors to use the System to comment on the employee s performance for the appraisal period. -Go to the Appraisal System page -Click on Supervisor Tools -Click Select Employee -Choose employee from drop down list -Click NEXT button -Click on Generate Notification Letters for Appraisal Contributors -Click on Select a New Appraisal -Choose appraisal type from drop down list -Choose month from drop down list -Choose year from drop down list -Click Generate Code button -Click Use Code button -Complete required fields for "Generate Appraisal Request" -Click SUBMIT button Step 7: Performance Program Development Supervisor and employee should meet to review existing or develop new performance program. The program is documented by the supervisor in word processing (or other program if desired). Step 8: Monitor Appraisal Responses Supervisor monitors appraisal responses. -Go to the Appraisal System page -Click on Supervisor Tools -Click Select Employee -Choose employee from drop down list -Click NEXT button -Click on View List of Appraisals Submitted Step 9: Generate Appraisal Reports When all appraisals are submitted, the supervisor views or prints the final reports. -Go to the Appraisal System page -Click on Supervisor Tools -Click Select Employee -Choose employee from drop down list -Click NEXT button -Click on Generate Reports Step 10: Add Summary Text The supervisor then has the option to add summary text. -Go to the Appraisal System page -Click on Supervisor Tools -Click Select Employee -Choose employee from drop down list 11

-Click NEXT button -Click on Generate Reports Step 11: Print Appraisal For Employee Review The supervisor then prints the appraisal reports to discuss with the employee. -Go to the Appraisal System page -Click on Supervisor Tools -Click Select Employee -Choose employee from drop down list -Click NEXT button -Click on Generate Reports Step 12: Deliver Appraisal to Employee The supervisor delivers the performance program and appraisal reports to employee for review and schedules a meeting for discussion. Step 13: Review Appraisal with Employee Supervisor meets with employee to review the appraisal performance program and reports. Step 14: Employee Prepares LDP Employee prepares their Learning & Development Plan (LDP). The plan should satisfy the goals of the University s Mission and Vision. Step 15: Appraisal Modifications The following appraisal program modifications can be made at this time: -Modify Summary Text (see Step 10) -Modify Performance Program (Supervisor modifies document) - Add Employee Comments (submitted by employee) Step 16: Review Final Appraisal Supervisor meets with employee to review final appraisal performance program and reports. The completed forms must be signed and dated by the supervisor and employee. Step 17: Send Final Appraisal to Department Human Resource Coordinator Supervisor makes 2 copies (1 for supervisor, 1 for employee) of the final appraisal and sends the original to the Department Human Resource Coordinator. Step 18: Receive Director Approved Forms Supervisor and employee will receive a copy of the Director approved forms for their records. 12

Bargaining Agreements Website Information Below are the different bargaining agreements with employees at the University within CIT. CSEA: http://csea602.com/ PEF: RF: UUP: http://www.pef.org/ http://www.research.buffalo.edu/ http://wings.buffalo.edu/uup/ 13

Appraisal Forms Performance Programs and Appraisal forms can be found at the University Human Resources website http://hr.buffalo.edu/. Click on Forms in the upper right hand corner. In the pull-down menu for --Select a Category locate Performance Management. Below is the Learning & Development Plan that can be used as a form. Learning & Development Plan 1. To improve your effectiveness: (Use if any performance factor received is not a satisfactory rating) a. b. c. d. e. 2. To prepare for possible advancement: (Use if advancement is an option and employee is interested) a. b. c. d. e. 3. To increase your job satisfaction: (Use if advancement is not an option or employee is not interested) a. b. c. d. e. 4. To support the department/organization objectives/priorities: (Use to link individual s goals to organizations) a. b. c. d. e. Additional Comments: The above actions/objectives have been discussed and agreed to by employee and supervisor. 14