The Appraisal

Process Handbook

Computing & Information Technology

Copyright © 2000 All Rights Reserved

State University of New York at Buffalo
 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
 Statement of Guidelines
Guidelines common to Employee and Supervisor

- 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 over-
reaction 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 ascit-
appraisalcoord@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: http://www.pef.org/

RF: http://www.research.buffalo.edu/

UUP: 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