STFC Annual Appraisal Process Overview v1.3a
(February 2012)
Contents
1.
PURPOSES OF THIS DOCUMENT ...........................................................................................................2
2.
THE STFC ANNUAL APPRAISAL PROCESS...............................................................................................2
PRINCIPLES ............................................................................................................................................................. 2
THE PROCESS .......................................................................................................................................................... 3
SENIOR LINE MANAGER’S ROLE .................................................................................................................................. 5
CREATING WORKPLANS ............................................................................................................................................ 8
ASSESSING PERFORMANCE ...................................................................................................................................... 13
1.
Purposes of this Document
1.1
The purposes of this document are to:


2.
describe STFC’s annual appraisal process
provide guidance on creating workplans, monitoring progress and assessing
performance
The STFC Annual Appraisal Process
Principles
2.1
The principles of STFC’s annual appraisal process are defined in the Conditions of
Employment Memorandum (CEM) 5b which has been agreed with the Trade Unions. The
key principles are:

The STFC appraisal system is based on openness and fairness

The appraisal should be a two-way process with open and constructive dialogue between
the jobholder and their line manager

Jobholders are encouraged to self-assess their progress, consider their own learning needs,
to feed in their own views at the appraisal discussion with their line manager and take an
active role in identifying their targets for the coming year. This dialogue should then
continue throughout the reporting year

The system is entirely open. A line manager must discuss and agree the joint assessment
with the jobholder before forwarding it to the Senior Line Manager (SLM). If it is not
possible to agree entirely, the jobholder raises areas of disagreement with the line manager
and/or SLM at this point and may register comments on the appraisal form at this and
subsequent stages.

Subsequently the jobholder will also see the appraisal and be able to register comments at
the following points:
o
o
when the SLM has made their comments and assessment and the appraisal is ready
to be submitted to the Departmental Review
when the Departmental Review has confirmed the contents of the appraisal

The appraisal must be based solely on an individual’s performance. Line managers’
judgements must not be adversely influenced by factors such as disability, race, gender,
sexual orientation, religion or belief, or age. Similarly assessments must not be influenced
by domestic arrangements, working hours or the length of the employee’s contract

Uniform and fair standards of assessment will apply throughout STFC.
The Process
2.2
The STFC appraisal process is summarised in the table below and the later process map. In
effect, one cycle of the process extends over a period of 15 months. Hence, at some points
of the year, two cycles are running concurrently. The three stages in the cycle are:



Agreeing workplans
Reviewing progress and workplans
Assessing performance
Table 1: Summary of the STFC Appraisal Process
Month
Action
Stage 1: Agreeing Workplans
April
Jobholder and line manager agree the jobholder’s workplan for the coming year in as much
detail as is appropriate, taking account of input from other relevant parties as appropriate (eg.
senior line manager, key customers). The workplan should capture the full breadth of the job
and be sufficiently specific so that it is clear about expectations and how performance will be
assessed. Due consideration should be given to specific statutory or strategic areas such as
safety, health and environment (SHE), public engagement, innovation etc, and there should also
be specific learning and development targets. For managers, there should be a CRISTAL-related
target.
Line managers of staff with disabilities should discuss what they and the jobholder can do to
enable the jobholder to develop and use their abilities to their full potential. This may involve
making special adjustments or reviewing adjustments currently in place for the employee. This
is a requirement of STFC’s “Two Ticks” accreditation.
At this point, the jobholder and line manager should also take the opportunity to explore (on a
non-binding basis) longer term career development considerations, which might include:




how the line manager sees STFC developing in the short to medium term and the sorts
of skills and abilities that will be needed
how the jobholder’s skills and abilities can be matched to STFC’s future business plans
the jobholder’s aspirations for different roles within STFC or elsewhere
the jobholder’s aspirations for adjusting their working hours
Stage 2: Reviewing Progress and Workplans
June,
Sept, Dec
Jobholder and line manager regularly review progress against the workplan, changing the
workplan as necessary, and recording the outcome as an aide-memoire for the rest of the year
and the end-of-year appraisal. Best practice suggests that these reviews should be quarterly
but, as a minimum, there should be two evenly-spaced in-year reviews.
Whatever management arrangements are put in place it is vital that:

any significant changes to plans and expectations during the course of the year are
discussed and confirmed through discussion between the jobholder and line manager

the jobholder receives feedback on their performance throughout the course of the year.
This is particularly important where problems arise, whether they are seen to stem from
the jobholder’s personal performance or from wider influences such as equipment failure,
funding constraints etc

where problems with the jobholder’s personal performance are identified, these are
discussed openly and directly with the jobholder and a performance improvement plan
(PIP) agreed, implemented and monitored.
By regularly reviewing progress, there should be no surprises for any party at the end of the
reporting year.
Stage 3: Assessing performance
March
Jobholder and line manager convene to assess the jobholder’s performance over the preceding
year. They agree who else should be approached to comment on the jobholder’s performance.
The line manager seeks the views of others (as agreed with the jobholder) on the jobholder’s
performance. The line manager also seeks the views of the senior line manager to ensure that
there will be no surprises or unresolved differences emerging later on in the process. All
comments must be substantiated.
April + 1
Jobholder and line manager meet to discuss the jobholder’s
performance, using the past year’s workplan as the starting
point and taking account of input from others.
May + 1
They agree the wording of the outcome of the joint assessment.
If differences of opinion exist, these should be discussed with
the senior line manager as soon as possible. The aim should be
to resolve any disagreement at this point, referring the matter
up the management chain if difficulties persist. HR staff may be
asked for advice at any stage. Jobholder may register
comments on the appraisal form.
Line manager and senior line manager discuss and confirm the
jobholder’s appraisal.
Senior line manager assesses the jobholder’s performance and
identifies any actions arising, along with the person responsible
for progressing the actions.
Senior line manager shows the appraisal to the jobholder,
agreeing to meet to discuss any issues if the jobholder requests
this. Jobholder may register comments on the appraisal form.
Stage 4: Departmental Review
June + 1
Each department undertakes a high-level review of appraisals,
confirming the appraisals, considering nominations for review
board promotions, broad learning and development needs,
attendance and performance issues and any other specific
issues.
Any matters relating to specific staff will be fed back to them
promptly via their line manager or senior line manager.
Stage 1 (next cycle): Initiate
Next Cycle
Jobholder and line manager
initiate the cycle for the next
year by planning the
jobholder’s future workplan
and discussing longer term
career development matters.
On what should be very rare occasions, a departmental review
may agree changes to the contents of an individual appraisal. In
such cases, the details of the changes made must be clearly
described to the jobholder, line manager and senior line
manager.
Soon after the Departmental Review, jobholder chooses to
meet the line manager or senior line manager to discuss the
confirmed appraisal. This meeting may be waived if both parties
agree unless there are issues regarding performance,
attendance or conduct or specific actions have been identified.
Jobholder may register comments on the appraisal form.
Jobholder may pursue any unresolved matters through a formal
grievance procedure (CEM 9).
Senior Line Manager’s Role
2.3
The senior line manager (SLM) plays an important quality assurance role in the appraisal
process. SLMs are required to ensure consistency of assessment amongst appraisals across
their area of responsibility, to check that the requirements of the STFC appraisal process are
maintained, and to consider broader issues.
2.4
SLMs must:





ensure they are aware of the jobholder’s work throughout the year
discuss the jobholder’s performance with the line manager before commenting on and
assessing performance
have considered the performance as a whole and what, if any, specific issues (see next
paragraph) need to be acted upon
be certain that they are in full agreement with the contents of the appraisal before
completing their input
be available to meet the jobholder to discuss the appraisal if the jobholder so requests or if
there are attendance or performance issues that need to be addressed
Specific Issues for Action
2.5
These fall under the following categories:

Nomination for review promotion: these should be in line with band descriptions and
Review promotion criteria, which have now been incorporated into the Review Nomination
Form which can be accessed from In.Focus or on KnowledgeBase.

Learning and development: comment on any specific L&D issues emerging from the
appraisal and the actions being taken

Succession planning: highlight instances where action is being taken to plan for the
jobholder’s succession

Attendance/conduct/performance: this section should be used to flag issues that have
existed and to confirm that a Performance Improvement Plan (PIP) or Attendance
Improvement Plan (AIP) has been developed and agreed. The PIP and AIP templates can be
accessed from In.Focus or on KnowledgeBase. If performance or attendance needs to
improve, this should be identified and discussed with the jobholder at the earliest
opportunity. Normally, this is the role of the line manager; the SLM needs to support the
line manager in bringing the problem to a resolution. HR staff are available to provide help
and give support

Outstanding future potential: is intended to draw the attention of more senior
management and the Departmental Review to the need for some specific action to develop,
nurture or capitalise on the jobholder’s talents and abilities. Details of the issue to be
addressed, proposals for action etc, should be given in the text. It is not necessary to add
text if no action is needed this year

Continuation/cessation of award of allowance(s): use this section to confirm that
consideration has been given to the continuing validity of continuing any allowances
currently awarded (eg. recruitment and retention allowance, responsibility allowance) or
temporary promotion.
Discussion between the Jobholder and Senior Line Manager
2.6
In general, discussions about the jobholder’s performance and workplan should take place
in meetings between the jobholder and the line manager. However, if the jobholder wishes,
there can be a meeting between the jobholder and SLM to discuss the completed appraisal.
Creating Workplans
2.7
The jobholder will usually produce an initial draft of their workplan but there may be
circumstances where it would be more suitable for the line manager to do this, eg. when
the jobholder is new to the post.
2.8
Workplans should set out what the jobholder and line manager have agreed that the
jobholder should aim to achieve over the reporting year. They should encapsulate the
breadth of the job, clarify priorities and the relative importance of specific responsibilities
(in line with departmental aims). There should be specific targets within the workplan which
should be SMART (specific, measurable, agreed, realistic and time-related). Workplans
provide the framework against which performance is to be assessed and should be
sufficiently detailed to fulfil this purpose eg. sketching out the year-long plan with more
detail for more immediate (perhaps next three months) targets.
2.9
Most staff within STFC will be carrying out a mix of one-off "project" work and on-going
tasks. Developing targets for project-related work is often easier as there is usually a
defined outcome or end point, eg.



2.10
review the use of IT systems in the office, identify any necessary improvements and
propose a strategy for implementing them: by end July
complete new equipment to specification and test prior to installation by mid
September
issue revised guidance to staff on submitting overtime claims by end January.
On-going activities are just as important and should also have targets. The fact that these
may remain unchanged from one period to the next simply reflects the true nature of the
work. Examples include:




ensure the IT system is fully available to staff between the hours of 0730 and 1830
on every working day
respond to all fault calls within 15 minutes of receipt. Keep the enquirer informed of
progress with repair on an hourly basis until the system returns to normal
ensure that all committee meeting papers are sent out a week before each meeting
Where significant SHE hazards are present, ensure that documented risk
assessment exist and are reviewed every 2 years.
Guidelines for Workplan Targets
2.11
Given the breadth of jobs undertaken within STFC, it would be inappropriate to be
prescriptive about defining and capturing workplan targets. That said, the following
guidelines should be followed:



A job will usually entail between five and ten targets. If significantly more than ten
targets exist (say more than 15), it is advisable to review the level of granularity in the
workplan structure to reduce the number of targets to a more manageable level
Due consideration should be given to specific statutory or strategic areas such as safety,
health and environment, public engagement, innovation etc
A job involving staff management must include a management target using the CRISTAL
framework
Learning and Development Plan
2.12
The jobholder and line manager should work together in identifying the jobholder’s learning
and development needs and proposing how they might be met. The line manager should
play a full part in contributing to what is being proposed, particularly in the light of the
assessment of the jobholder’s performance in the previous period and any known or likely
future developments. Certain work groups or areas of skill or expertise have acknowledged
training and development requirements and plans. The line manager needs to assess how
the individual sits in this context and agree any necessary action accordingly.
Example Targets
2.13
The following table presents some illustrative targets, based upon the above best practice
guidance.
Example Targets
Target
Measures/Indicators
Use CAD systems for design solutions to meet customer needs:

Produce specification for the design of a support system for optical interface for XYZ telescope (collaboration
with Durham University), including health and safety considerations, for review by line manager by 1 July

On-time delivery

Comprehensive specification

Meets customer
requirements

Sign-off by 1 October

System ready to be
reviewed by senior line
manager by 31 May

No substantial comments
from auditor
Liaise with customers and ensure an effective, timely service:

Complete 'Weyland Widget' including all co-ordination and verification testings necessary to ensure
sign off by 1 October
Maintain group’s ISO 9001 registration compliance:

Reorganise ISO details and present them in the appropriate format as required by the assessor for the audit in
June 2005
Target
Measures/Indicators
Safety, Health and Environment

Review the SHE training needs of staff in group against the training requirements set out in STFC SHE Codes for
the hazards they face (ref.
http://www.she.stfc.ac.uk/SHE%20Training/Code%20Training%20Requirements/Code_Training_Requirements.aspx)

Review the use of raw materials and utilities in my areas with a view to reducing usage and increasing recycling.

Complete by 1
November

Complete review by 31
July

Reduce usage by 10% by
end of calendar year
Supervise assembly team:

Organise CRISTAL feedback from assembly team

By 30 June

Implement action point from CRISTAL feedback

By 1 September

Prepare a short lunchtime feedback session for colleagues after attendance on the CRISTAL 2 programme. This
should give an overview of models and concepts used on the programme and how effective you have found
them

By 1 August

Motivated, well-informed
staff as evidenced by
CRISTAL Manager
Assessment in February.

Spending to budget at end
of financial year

By November
Departmental Management:

Line manage staff with support from X and Y

Manage Division finances

Review departmental priorities
Process invoices correctly and on time:
Target
Measures/Indicators

Process at least 95% of all invoices received within 30 days

Target met or exceeded

Examine account payable processes and make two suggestions for process improvement. Produce
recommendations for discussion with line.

Deliver by July review mtg

Respond to e-mails with 2
days, answer phone within 3
rings

Log should start
immediatelyand be available
for discussion at next team
meeting on 21 May

Timely data input

Lack of errors in MA reports
Liaise with customers:

Respond promptly to customer queries either by telephone, email or in person

Keep a log of customer queries giving details of customer, query and action taken. This can then be discussed with
other team members, who are also keeping logs, to identify common queries, with a view to improving customer
service.
Ensure system is updated with the relevant information to provide accurate data for reporting purposes:

Input all data within 3 days of receipt
Assessing Performance
Key points to note when assessing a jobholder's performance
2.14 Assessments must comply with STFC equality and diversity policy which states STFC’s
commitment to eliminating unlawful discrimination and promoting equality of opportunity
and good relations across and between defined equalities groups in all of their relevant
functions. Accordingly, assessments must not discriminate on the basis of: gender, marital
status, pregnancy, sexual orientation, gender reassignment, race, colour, nationality,
ethnicity or national origin, religion or similar philosophical belief, spent criminal conviction,
age, disability or agreed work pattern.
2.15
In the past, there has been evidence of proportionately fewer ‘exceptional’ performance
marks being awarded to staff in Bands A - C, and also to part-time and fixed-term
employees. Proper consideration must be given to the performance assessments of all staff,
and account should be taken of the extent to which the job allows or invites an individual to
give an ‘exceptional’ contribution.
2.16
Care must be taken that assumptions about the capabilities, characteristics, ambitions,
reactions and interests of particular groups or types of people are not made.
2.17
Assessments must be based on objective evidence avoiding subjective and potentially unfair
opinions.
2.18
Assessments must be based on the actual standard achieved in the circumstances that
prevailed, highlighting particular successes, achievements and strengths, and identifying
problems, lessons learned and areas for improvement.
2.19
Allowances may be made for the effects of certain factors. Factors directly related to the job
may adversely affect performance, such as the existence of vacancies around the jobholder
or the non-delivery of essential equipment, etc. Assumptions must not be made about how
the jobholder would have performed had the factors not existed. Assessment should be
based on how well the situation was handled. Allowance can be made for certain mitigating
factors which may have affected performance. These are set out below. In all cases, having
made any appropriate allowance for the points below, the assessment should be based on
the actual standard achieved with appropriate comments added in explanation:



2.20
personal circumstances (e.g. bereavement or other exceptional circumstances): may
have a temporary effect on an individual's performance. When making an assessment
the temporary effect can be discounted provided the performance has already returned
to the higher level or is confidently expected to do so
inexperience: when the jobholder is new to the job, a poor performance mark is only
appropriate where satisfactory progress has not been demonstrated after allowance
has been made for length of time in the post;
ill-health: if there has been deterioration in an individual's performance you should take
the approach set out for personal circumstances in the first bullet point above.
When providing overall comments on a jobholder’s performance, particular attention
should be paid to core areas such as staff management, communication, working
13
relationships, application of skills and knowledge, time management, quality of work and
output achieved. Comments should also be provided on the personal qualities that have
contributed to the overall performance such as acceptance of responsibility, drive, reliability
and the ability to handle change.
2.21
Examples should be used wherever possible to indicate work well done but it is also
important to identify opportunities for improving or further strengthening the job holder's
contribution and how this might be achieved.
Assigning Overall Performance Assessment
2.22 There are three possible overall assessment markings: “Exceptional”, “Commensurate” and
“Unsatisfactory”. Markings are recommendations made by the senior line manager and are
subject to confirmation at the Departmental Review. The pay consequences of different
levels of performance assessment will depend on the pay regime in place.
Exceptional
2.23
For performance to be judged "Exceptional" it has to meet the definition below:
"Performance is significantly above the requirements of the job and band, taking into
account experience and position in the band. Key targets have frequently been exceeded, or
additional targets have been achieved, in addition to those agreed at the start of the review
period. The individual has made a major contribution to the work of their
team/organisation or has otherwise enhanced the reputation/status of the Council. Outputs
have exceeded the expectations established for that particular role. The individual actively
seeks out additional responsibilities and relevant new work challenges, in the process
expanding their job scope and contribution. S/he is proactive in enhancing knowledge
and/or skills which are relevant to the requirements of the organisation through
appropriate learning opportunities".
Commensurate
2.24
It is expected that most people's performance will fall into the "Commensurate" category
which is defined as:
"The individual's performance is consistent with the requirements of the job and band. The
individual meets the requirements of the job in the main areas of responsibility. Key job
targets have been achieved. The individual uses appropriate learning opportunities to
acquire the knowledge and skills needed to perform the job fully effectively".
Unsatisfactory
2.25
An “Unsatisfactory” performance is one where:
“there are demonstrable weaknesses in performance that need to be rectified, are not
outweighed by strengths in other areas and cannot be allowed to continue at the current
level”
2.26
In such cases, the assessment must refer to actions that will have been put in place during
the year to address the problems identified. A performance that is deemed to be below
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Commensurate should never come as a surprise to the jobholder. Consequently, where a
line manager and/or senior line manager are concerned that the jobholder’s performance is
below standard, they must not wait until the end of the reporting period to take action.
Early consideration must be given to helping the individual to improve.
15