Performance Appraisal Guidelines (For Appraisers)
Appraisal Policy
The College’s “Performance Appraisals Policy”, as found in the Staff Handbook, clearly
outlines the aims, benefits of appraisal, your responsibilities and the steps that you now need
to follow. These guidelines serve as a short summary of the policy and provide guidance
aimed at the Appraiser.
Each member of staff will be appraised on an annual basis and this should be done at the
same time each year.
Preparation for the Appraisal Meeting
In order to ensure its effectiveness, it is essential that both parties prepare in advance of the
Appraisal Meeting. Please distribute the Performance Appraisal Preparation Form to each of
your appraisees in advance of the meeting and explain that it needs to be completed and sent
to you prior to the meeting. The form is designed for you to make notes against each
performance factor for discussion at your meeting.
All Appraisers should assess the employee’s performance against the Performance Factors
and Job Description prior to the meeting, highlighting achievements and/or concerns. This
may be done directly on to the Appraisal Record Form.
(Copies of all the appraisal forms are available on the Intranet.)
Please ensure that you:
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Are well prepared.
Set a date and allocate adequate time for the meeting.
Let the employee know well in advance preferably in writing.
Let the employee know how the process will work.
Arrange for the appraisal to take place in private with no interruptions (put phone on
voicemail and turn off mobile phones).
Have an agenda for the review which will ensure that the meeting is focused.
Review the employee’s personnel file and previous appraisal before the meeting and
make appropriate notes regarding their performance and objectives set against this.
Make a note of any key incidents, good and bad, during the period under review (this
should be an ongoing process throughout the year and the employee should already be
aware of anything that you wish to discuss at the meeting).
Make notes regarding any changes to the job description that may have come about since
the last review meeting.
Note: poor performance issues relevant to the individual should be noted on the appraisal
document to ensure consistency of standards and an action listed against each issue. To
give an employee an excellent appraisal and then discipline them shortly afterwards for
poor performance is not consistent in most cases, confusing to the individual and could
put the College in a difficult position in light of a claim to an employment tribunal.
The Appraisal Meeting
During the meeting you and the employee will consider and discuss the notes that you have
both made regarding their performance. You will have a copy of the appraisee’s preparation
form and this is used for the discussion. The meeting should be held in private in an
environment that they are comfortable with and with no interruptions. The discussion should
be kept confidential by both parties.
Remember the employee needs to come away from the appraisal meeting with the knowledge
of what is expected from them, how they have performed over the year and how they can
improve.
Appraisals are not about paperwork – they are about communication, performance
improvement, objective setting and formalising development needs.
Question Techniques
Carefully planned questioning by the appraiser is one of the most effective means of making
an employee think and contribute to a successful appraisal meeting. The appraiser should
plan questions in advance:
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avoid closed questions, ie yes/no answers
avoid giving the employee a chance to guess
be concise, clear worded and unambiguous
deal with one point at a time
allow the employee to do the majority of the talking
Types of Questions
Open: keep the questions open to allow discussion:
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What was the most interesting task you had to do this year?
What areas of work would you say required more attention?
What extra help do you need to improve in these areas?
What do you think you need to learn now to develop your job further?
What have been the most difficult problems that you have faced?
How do you see this job developing?
Probing: by using reactive questions responses are more specific:
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What do you mean?
What else do you think about the situation?
Why do you think that was so?
I’m not quite sure I understand what you are saying – please explain that again.
Interpreting: listening is not a passive activity; you need to interpret what you are hearing.
It is not just about listening to the words; it is a question of detecting the feelings behind the
phrases:
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You seem a little anxious about this?
That seemed to give you real satisfaction. From what you are saying you would like to do
more of that kind of work?
Appraisee’s questions: always give the appraisee the chance to ask any relevant questions
but encourage them to think through the answer themselves. If ever you don’t know the
answer:
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Admit it.
Promise you will find out and find out.
Never bluff.
Performance Objective Setting
A performance objective is a clear, unambiguous statement of the goal to be achieved by the
appraisee. It will describe the terms of how the objective will be achieved, conditions for
performance and standards to be kept.
Objectives should be: Specific, Measurable, Achievable, Relevant/realistic and Time related
(SMART) Objectives should be agreed between appraiser and appraisee, with realistic target
dates. Records should be kept to check progress.
Personal Development
Training, development and support does not just include training courses, but may also cover
coaching, training/observation in other departments/Colleges. When discussing career
objectives, the appraiser must make it clear that they are not promising that the appraisee will
achieve their career objectives, rather it is an opportunity to think about them and obtain
advice on how they may be able to achieve them if openings arise. To agree development
plans, consider all options:
Development Options:
Job Rotation
Shadowing
Mentoring
Projects
Reading
Action Planning
Networking
Formal Courses
Delegation
Distance Learning
Secondment
Coaching
Professional Qualification/FE
Seminars/Conferences
After the Appraisal Discussion Meeting
You should finalise the Performance Appraisal Record Form during or shortly after the
appraisal. You should then ask the employee to comment and to sign the form. The
appraisal must then be reviewed by the Reviewing Manager (the next Senior Manager in
line). The process will be reviewed by the Bursar.
Follow-Up
The Appraiser should ensure that the papers are distributed in accordance with the
Performance Appraisals Policy.
The “Aims and Objectives” should be progressively implemented and monitored. You are
encouraged to communicate regularly with employees about performance and progress with
work aims and objectives.
Training and Development needs should be transferred onto the Departmental
Development/Training Plan Form, a copy of which should be sent to the HR Manager.