APPRAISAL SMARTUpdated: June 11, 2019

Appraisee User Guide

Table of Contents

Item PageHow Appraisal Smart Works (diagram) 2Logging into the system for the first time 3

Action Step 1: Preview the Performance Agreement (“Agreement Preview” Link) 6

Action Step 2: Add Performance Record Notes (“Perf Record” Link) 7

Action Step 3: Prepare for the Appraisal (“Appraisal Prep” Link) 8 Multirater (MR) Module and Feedback 10

Action Step 4: Attend the Appraisal Meeting 11

Action Step 5: View the Official Appraisal Form (“Appraisal” Link) 11

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

12

(Optional) Higher Level Manager (HLM) Feature 14 Undoing Signoffs 14 Final Remarks 15

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 Appraisee 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 Video Tutorials can be accessed.

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

To get the hyperlinks in the PDF version of this User Guide to work, you will need Adobe ReaderDownload it for free from: https://get.adobe.com/reader

Use your ALT + TAB keys to toggle between the Appraisal Smart FAQs and Knowledge Base web pages and this User Guide when clicking on FAQ and Knowledge Base links in this User Guide

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 2

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 manager or CorpAdmin.) (Login is case insensitive)

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

IMPORTANT: If you share a common computer with some of your colleagues, DO NOT follow the above procedure, as your Corp- or DivAdmin will give you your User ID and Password verbally.

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 3

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

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

Your Appraisee home page looks as follows:

The Knowledge Base link (arrow 2 above) takes you to a comprehensive web page containing links to all User Guides and Flash Video Tutorials you may need, including this User Guide.

To change your User ID and/or Password, go to your User File (see arrow 3 in 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 — if you have your own computer).

Your Password is "hashed" (i.e. appearing as four stars for security purposes). Change your Password by overwriting the 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 numbers such as Jan837. 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 manager or Corp-/DivAdmin if your User Details are incorrect or out of date.

FLASH TUTORIAL: First Time Login and Password Reminder (4 mins): Click Here

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 4

The home page also has a DASHBOARD where you can follow the status/progress of your appraisal. Above the dashboard are six oval “action step buttons”, covering the six steps of the appraisal process. These buttons, when clicked, go to the various pages of your appraisal, except for step 4 which represents the face-to-face appraisal meeting with your direct line manager (Appraisor).

The system also provides for Ad-Hoc Appraisals such as probation, promotion, and performance improvement appraisals, which can take place any time of the year as required, any number of times per employee. The Ad-Hoc Appraisals dashboard only shows if an ad-hoc appraisal had been created for you.

The five electronic steps (1,2,3,5,6 – with step 4 excluded, being non-electronic) of your appraisal can also be accessed via two other places in the system:

FAQ: What is an Ad-Hoc Appraisal? ANSWER

1. Access via the Name Hover-Over Popup

If you put your cursor over your name in the dashboard, a hover-over popup shows, containing the five electronic action step links, including a link to your User File, plus one to your job description (if this feature had been activated by your CorpAdmin).

The final link in the popup goes to your Appraisal Manager page.

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 5

2. Access via the Appraisal Manager PageGo to Appraisals >> Appraisal Manager (see red arrow in screenshot below). If your manager has already created an appraisal (Performance Agreement — ”Ägreement” in short) for you, you will see a page looking like the one below: The five action step links show on the right (see blue arrow).

The FIVE ACTION STEPS (Job Description excluded) is the same as the five oval electronic action steps (1,2,3,5,6) on the home page:

Let’s now look at each of these action steps in detail:

Action Step 1: (Agree and) Preview the Performance Agreement (“Agreement Preview” link)

Clicking on the Agreement Preview link, the following page (as an example, showing three Performance Measures) will show:

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 6

Performance Agreements (Appraisals) should be created by managers for their direct reports (“subordinates”) as early as possible at the beginning of a performance period/year so that you will know exactly what are required of you with respect to your Performance Measures and Standards to be achieved over that period. Your manager should discuss with you these Performance Measures and Standards so that you can also provide your input, clarify, and agree to them (that is why it is called a “Performance Agreement”). But note that your manager has the final say as to what you should achieve, as long as it is reasonable (even though stretching) within your job role.

It is important that you and your manager meet 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 your Agreement as priorities change on the ground, new Measures need to be added, and existing ones need to be edited or even deleted. So it should be a “living” document, and not cast in stone at the start of the year. You should also meet with your manager at least two weeks before the Appraisal Meeting to make sure the Agreement is up to date; but no new measures should be added at this (too) late point on which you will be appraised in a few weeks’ time.

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, number of units) (quantifiable) Competencies (e.g.: Accuracy, Communication, Leadership, Selling Skills) Values (e.g.: Customer Service Excellence, Teamwork, Integrity)

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).

What is a “Weighting”? (If this feature had been enabled by your Corp/Admin)Weightings indicate the relative importance of Performance Measures, and are added into the equation for calculating your eventual overall performance percentage. The weightings of all measures need to add up to 100.

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

FAQ: Definition – Goal ANSWERFAQ: Definition – Objective ANSWERFAQ: Definition – KPI ANSWERFAQ: Definition – Competency ANSWERFAQ: Definition – Value ANSWERFAQ: Definition – Performance Standard ANSWERFAQ: What is a Performance Period? ANSWERFAQ: 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)? ANSWERFAQ: What do the headings "This Period" and "Yr Cum Avg" on the Appraisal Manager page stand for? ANSWER

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

Your CorpAdmin has the ability to disable the Performance Record Functionality of the system. A system alert will pop up (when clicking “Perf Record” or the step 2 oval action step) if access had been disabled in this way.

If ENABLED, both the Appraisor and Appraisee will 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.

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.

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

Click the “Add Performance Record Note” button.

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 7

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:

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.

FLASH TUTORIAL: How to add Performance Record Notes (8 mins): Click HereFAQ: Who are allowed to add Performance Record Notes on an employee?  ANSWER

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

Use this form for your self-appraisal when asked to do so by your Appraisor (manager), i.e. add relevant notes in the text fields and give yourself ratings for all your Performance Measures (consult the Performance Records Notes in the process). Your Appraisor should give you minimum one week’s notice to prepare for your appraisal. If set up by your CorpAdmin, you will also receive a system-generated email to remind you of the appraisal that is due shortly, and to prepare for it.

Appraisors have an exact duplicate Appraisal PREP Form on which they can enter their own notes and ratings (re you) in private as well.

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 8

Your Appraisal PREP Form cannot be viewed by your Appraisor, or anyone else, unless you release it to your Appraisor at his/her request (check your organization’s policy in this regard – must it be done or not?). Note that Corp- & DivAdmins can also view released Appraisee PREPs. See example of a PREP form below:

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 9

KEY (of PREP Form screenshots above): Radio Button #1 – Release PREP: Select to release your completed Prep Form to your Appraisor (when requested/required to do so). Link #2 – Agreement Preview: Popup page showing all your Performance Measures and Standards to be achieved. Link #3 – Performance Record Notes: Popup page (filterable) showing all Performance Record Notes. Link #4 – Previous Appraisal: Popup page showing the previous period’s Official Appraisal Form (you can also click through to its related

Summary/POP Form). Link #5 – General Notes: Small popup 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 #6 – Show Performance Record Notes: Shows Performance Notes WITHIN Appraisal Forms under each Performance Measure. Text Field #7 – Your CorpAdmin can add any 1 to 3 Header Field Questions at the top of the Prep/Appraisal Form. Text Field #8 – 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.

Example of how the Performance Notes show WITHIN the PREP Form when you click the no 6 link “Show Performance Record Notes”:

You can copy-and-paste or “drag” any of the Performance Notes into the Actual Performance Notes field above, 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.

FAQ: Why can't I select any ratings or enter information on my Appraisal Prep Form (all the fields are dead)? ANSWERFAQ: Who will be able to view my Appraisal Prep Form if I release it for viewing? ANSWERFLASH TUTORIAL: PREP Form Release to Appraisor - if this feature is used (3 mins): Click Here

Multirater (MR) Module and FeedbackIf your organization makes use of the Multirater Module, then your manager has the option of inviting up to five other managers and staff members (who have worked with you during the performance period) to also give their input (ratings and comments) on your work performance and behavior over that period. These contributors are called “Multiraters”.

Consult the resources listed below for full details on how this feature works.

Multirater (MR) Module Resources (also available on the Knowledge Base page)FAQ: What is the Multirater Module? ANSWER FLASH TOTORIAL: MR Module Overview (16 mins): Click HereTo download the MR Module User Guide Click Here

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 10

Having prepared independently, both you and your Appraisor 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/interview.

Action Step 4: Attend the Appraisal MeetingThe Appraisal Meeting/Interview should be a face-to-face discussion whenever possible.

The recommended discussion sequence your Appraisor should follow during the appraisal (for each Performance Measure):1. Discuss and reach consensus with you as to what has actually happened with respect to the specific measure over the performance

period (consider all performance standards per measure). He/she should ask for your input, add his/her own, and consult the Performance Record Notes (and Multirater feedback if obtained) on that measure, and then enter a summary of all this into the Actual Performance Notes field of the measure on the Official Appraisal Form.

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 (all performance standards per measure must be considered jointly).

3. Discuss and agree what needs to be done (if anything) to help you improve your performance regarding the Performance Measure over the next performance period, including any training and coaching, or any barriers in the work environment (hampering your performance) to be removed or reduced. These are noted in the Performance Optimisation Plan (POP) Field.

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

After the appraisal meeting your Appraisor will enter the results of the meeting onto the Official Appraisal Form (“Appraisal” link).

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

After the appraisal meeting, once your Appraisor has entered the results onto the Official Appraisal Form (and signed off the Summary/POP Form) you will be able to view it. If you find anything not accurately reflecting what had been discussed and agreed during the meeting, contact your Appraisor to (discuss and) make the necessary corrections. Appraisal Form example:

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 11

FAQ: Does the system have a time-out – potentially causing unsaved entries? ANSWERFAQ: Why do my Browser BACK and FORWARD buttons not always work? ANSWER

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

Your 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.

You will also be able to view any general comments your Appraisor has made in the Appraisor signoff section of the form.

Finally, you can enter some general comments yourself (in the field next to “Appraisee”), and (electronically) sign the appraisal off by clicking Sign Off Now

See an example of a completed Summary/POP Form on the next page:

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 12

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.

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 13

(Optional) Higher Level Manager (HLM) Feature

The system can also be set by your CorpAdmin to include the approval and signoff of your appraisal by your manager’s manager, called Higher Level Manager (HLM) in the system. 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

Undoing Signoffs

After your signoff, all your appraisal forms are “locked”, and your Appraisor will not be able to make any changes to it, unless he/she asks the Corp- or DivAdmin to UNDO the signoffs of both/all parties first. This should only be done with your full knowledge and consent to e.g. rectify an error on one of the forms. Once the correction has been made, the Appraisor will need to sign off again (and HLM if activated), followed by your own signoff LAST to “lock” all the forms again.

So, as long as your signoff remains intact, you can rest assured that your Appraisor (or Corp- & DivAdmin) cannot make any changes to any of your appraisal forms.

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 14

Final Remarks

Through the appropriate use of the Appraisal Smart System, you will be able to:

Know upfront at the start of a performance period what is expected of you in respect of your job-relevant Performance Measures and Standards (from the moment your manager creates your appraisal in the system).

Log into the system at any time to continually remind yourself of these measures and standards. See what Performance Record Notes your manager has entered into the system, plus be able to add your own performance

examples (or work barriers experienced). Prepare for your appraisal in private on your Appraisal PREP Form (Self-Appraisal). Review what your Appraisor has entered onto your Official Appraisal Form (after the appraisal meeting), and ask for

corrections if necessary. See your performance percentage calculations (or rating average) on your Appraisal Summary/POP Form (or only written

notes if the Rating Keys have been disabled). See your Appraisor’s final comments, enter your own, and sign off electronically (thereby “locking” all your appraisal forms). Act upon the Performance Optimization Plan (POP) Notes to improve your performance and competence, and to ensure

(along with your manager) that environmental work barriers such as a lack of resources, poor systems, policies and procedures are addressed to facilitate optimal work performance and not hinder it.

Additional APPRAISEE Resources (also available on the Knowledge Base page)To download the Appraisee QuickStart Guide Click HereFLASH TUTORIAL: Appraisee Role (24 mins): Click HereFLASH TUTORIAL: Completing Appraisals of previous Performance Periods (2 mins): Click Here

Go back to the Table of Contents

Copyright © Appraisal Smart Pty Ltd. www.appraisal-smart.com 15