Organisational Development
Appraisal, Review and Development Scheme
Resources
2014
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
UCL
APPRAISAL, REVIEW AND
DEVELOPMENT SCHEME
(ARDS)
Resources
Contents
Section A:
ARDS summary, general principles and
good practice
Section B:
Diversity and appraisal
Section C:
Essential skills/knowledge/behaviours for
appraisers
–
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section A
UCL
APPRAISAL, REVIEW AND DEVELOPMENT SCHEME
SUMMARY
Purpose:
to enhance the work of the department and the success of UCL through assisting
individuals to develop to their full potential
to identify strengths and development needs and enable discussion of career aspirations
to ensure regular discussion of an individual’s progress against aims and objectives
to enhance communication within departments
Key features:
There is no formal link to procedures that determine pay, grading, or promotion. The
scheme should not be used to address matters that come under the Disciplinary Procedure,
or Capability Policy. Ideally it takes place annually but no less frequently than every two
years. The first appraisal takes place between six and twelve months after the completion of
probation. The appraiser is appointed by the head of department; for non -academic staff
this is normally the manager to whom they report. Training is a requirement for appraisers.
The appraisal process is most beneficial when it generates an open and honest joint
appraisal of achievements, goals, and the support needed to achieve them.
Individual objectives should derive from departmental ones. The aim is to achieve a mutual
understanding.
The discussion should centre on the appraisee’s main responsibilities, including any
changes to these. Follow up action must be agreed and implemented.
The forms are confidential and should be stored securely (including electronic versions).
Broad issues, including training needs, should, however, be considered within the
department.
The Forms:
Part A is to be completed by the appraisee and given to the appraiser a week before the
meeting (the opportunity could be taken to ensure understanding of the purposes of ARDS
and the main topics for discussion). It is a summary of work and achievements related to
objectives identified at the previous appraisal, and anticipated future activities.
Part B is completed by the appraiser and is a summary of the discussion, with a particular
emphasis on the setting of objectives.
Part C is a record that the meeting has taken place, and summaries of training undertaken
and training needed.
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section A
STAGES IN STAFF APPRAISAL
Actions
Further Information
Actions
Head of Department appoints
an appraiser and notifies the
appraisee
HoD will be reminded by
Human Resources of need
for process to take place
Professional services staff
are appraised by the
manager who is accountable
for their work
Academic staff are also
appraised by the person
accountable for their
work. If appraised by a
peer, that person must be
sufficiently aware of their
work
Head of Department briefs all
appraisers on departmental
issues
If appraiser is new they
attend UCL training
course. Refresher courses
also available
Information on the Web
http://www.ucl.ac.uk/hr/od/pdp
/sdards/index.php
Appraisees must be briefed
about appraisal by their
appraiser
Where appraiser does not
work in same area as
appraisee they agree how
appraiser is to become
briefed.
Appraisee completes self
appraisal part of the form
(Part A)
Forms may be printed off
the Web
http://www.ucl.ac.uk/hr/docs
/staff_review_development.
php
Appraiser thinks through the
issues to be raised at appraisal
Appraiser and appraisee
have pre meeting one week
before the appraisal at
which the appraise hands
over the form and topics for
discussion, date and venue
of meeting are agreed
Appraisee prepares for
meeting
Appraiser reads form and
prepares for meeting
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
STAGES IN STAFF APPRAISAL (cont’d)
Actions
Further Information
Actions
Appraiser drafts
summary of meeting
(Part B) and agreed
actions; sends draft to
appraisee
Appraisal meeting takes place.
Agree objectives, training
needs, action(s) required.
Appraiser and appraise meet
if draft not agreed
Appraisee agrees draft
Appraiser sends out final
version to appraise within ten
working days of the appraisal
Appraisee agrees and signs
the form adding other
comments as necessary
Training form (Part C)
completed and signed
Completed forms sent to HoD
who considers any
departmental issues for
action
Part C to be completed &
kept in the department
Appraisee has copy of all
papers
Papers filed securely in the
HoD’s office
Appraisee works to agreed
objectives
Appraiser takes action
agreed with appraisee
Appraiser and appraise meet
to discuss appraisal progress
Appraisee receives agreed
training input
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section A
THE STAFF APPRAISAL CYCLE
Following the introduction of a scheme or after the appraisee's induction period a
appraisal cycle becomes established as follows:
First appraisal meeting
Appraiser and appraise
clarify the job
appraisal performance informally
set objectives for the appraisal period agree
measures of those objectives
identify any organisational barriers
Appraisal period
appraisee works to objectives
appraiser ensures training is provided
appraiser takes any organisational action agreed
appraiser sees performance
meetings take place to appraisal progress
Second (and subsequent) appraisal meeting
Appraiser and appraisee
appraisal the achievement of objectives
identify any further organisational barriers
set objectives and measures for the next appraisal period agree
training and development needs for the new period
The Appraisal Meeting
The tone of the meeting should be:
Constructive
Encouraging
Open
Collaborative
The arrangements for the meeting should reflect this by:
The structure of the meeting should include:
An introduction, during which the appraisee is welcomed, the purposes of the meeting
are clarified and shared, the stages of the meeting are planned, the roles of both parties
are discussed and the main areas for appraisal are negotiated.
NB. Much of this discussion may have taken place at a preliminary meeting
The main discussion. Each item for discussion should be carefully and sensitively
introduced, discussed and summarised.
A concluding phase, during which the discussions are summarised,
reference is made to the report of the meeting, and the content of the action plan for the
subsequent year(s) is decided. The meeting should be closed constructively and positively.
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section A
The items for the appraisal discussion:
will vary according to the nature of the job
should have been agreed at a preliminary meeting
will need to be discussed in the context of the department’s needs and overall strategic
plans
Setting Objectives
The most effective way of combining performance and development is through adopting an
objectives-based approach to staff appraisal.
Objectives are anticipated achievements. To be effective they must be:
Specific
Measurable
Achievable
Relevant
Timed
Objectives should be set by the appraisee and appraiser together
Objectives should take account of the overall needs of the organisation
Objectives should be supported, where necessary, by training input
Objectives should also be developmental, i.e. achievement of the objective should in
some way develop the appraisee
Types of Objective
Improvement Doing something we already do, but doing it “better”. SMART objectives
will make it clear specifically what element will be “better”, how it will be done, to what level
improvement is to be reached and by when.
:
Maintenance: Maintenance objectives are relevant when it is important to ensure that an
individual continues to maintain a high standard of work.
Development: Doing something completely new, or developing an existing activity in a new
direction. Here the supervisor needs to ensure the objective is still relevant to the Department/unit
plans and helps the staff member work towards a balanced portfolio of achievement.
Having established objectives the appraiser and appraisee should consider how achievement of
the objective will be measured and how each of them will see the evidence of achievement.
Meeting Training and Development Needs
The identification of training and development needs is one of the tangible outcomes of
appraisal.
However this is frequently mishandled by both appraiser and appraisee because:
training is seen as a cure for all problems
there is a tendency to go for comfortable choices and more challenging needs
are overlooked
the list of needs is unrealistic
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
needs are not related to objectives
needs are seen as only being met through courses
Section B
It is important that appraiser and appraisee spend time identifying the actual need
considering how best to meet the need
considering how training will be applied within the job
Training and development needs can be met by:
self learning activities
supervised activities and instruction within the job
projects
team activities visits
secondments
seminars and briefing sessions
short courses
qualifications
Summary of Key Principles in Appraisal:
Appraisal is not a substitute for regular feedback to staff
Appraisal strengthens existing communications by supplementing good practice and
highlighting gaps where they exist
Appraisal should not be problem-centred; problems with individual performance should
be pursued when they arise and not saved for appraisal
Appraisal is a confidential process and issues should only be pursued outside with the
agreement of both parties
Few jobs are static; almost everybody faces change within their work. Appraisal is about
the constant development of the individual to face those changes and to fulfil their own
potential
In developing individuals the effectiveness and efficiency of the organisation is improved
The central role of the appraiser is to facilitate the setting and subsequent appraisal of
objectives which will help the development of the individual and enhance the
performance of the job
Training needs should be identified which help the achievement of those agreed
objectives
Appraisers have a responsibility for helping to remove organisational barriers to effective
work performance
Appraisal documentation exists to help the process; it is not the reason for the process
The agreed action plan is a live agenda not a dead document for the filing cabinet
All appraisers should be trained in the skills and approaches needed to make the
process effective
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
VALUING DIVERSITY IN STAFF APPRAISAL
Valuing diversity means taking account of and being positive about all the ways in which staff
within UCL differ. Some differences are immediately obvious such as race or sex; others,
such as disability or sexual orientation, become apparent when we get to know people a little.
Differences around lifestyle such as caring commitments may only become apparent to managers
who actively seek to create a work environment within which staff are encouraged to make their
needs known and maximise their potential.
As our workforce becomes more diverse we all have to learn to cope with people who see and
do things differently from ourselves. You will have more natural affinity with some members of
staff than with others: people with the same values, norms or humour. It is easier to get to
know people who are most like us and understand their motivation or ways of working. It is also
easier to communicate ideas and make suggestions on alternative ways of working to people
whose thinking is similar to our own. If appraisals are to be accurate, fair and motivating
managers need to work hard to ensure that they understand all their staff.
Don’t be afraid to ask if you are unsure. Try asking questions that go beyond the work of the
department and discussion of career aspirations:
Unwritten rules
How do differences within the team impact on performance?
Is everyone encouraged to offer their opinions, ideas and feelings??
In what ways could we work better together? Is there anything we do in the team that
prevents you from doing your best work?
How can I, as your manager, help you work better?
There are many unwritten rules in departments, ‘how things are done here’, which may be taken
for granted by long serving members of staff. These ‘cultural norms’ may disadvantage staff
who are new, come from different backgrounds or are not members of the dominant cultural
group, for example:We talk about our social lives at work, or we don’t
We never contradict one another in meetings, only in private
We enjoy good heated discussions and value those who can hold their own in them
Comments on people’s dress or aspects of their physical appearance are
unacceptable in this team
A manager needs to consider whether encouraging a member of staff to ‘fit in better’ would mean
subjugating a significant part of their identity and if this is a reasonable expectation.
Expectations
For historical and social reasons many women, people with disabilities, and people from
minority ethnic groups, feel they need to achieve more in order to succeed
and may therefore underestimate themselves and their achievements. They often lack
confidence and need encouragement to progress their careers. Their expectations may be low.
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
Career patterns
Interrupted careers can happen to anyone, but are more likely to be a problem for women
and people with disabilities, who may be older than others on the same grade and appear to
have achieved less. You will need to give careful thought to this and ask whether the
normal career pattern needs to be re-assessed. Achievements may need to be considered
in a broader way than usual.
Work allocation
No account should be taken of anything other than the individual’s ability to do the job,
unless there is a Genuine Occupational Qualification; this is a requirement that a job should
be held by someone of a particular gender or race. Your Human Resources officer will be
able to advise you about this. There is a danger that assumptions are made during
appraisal meetings about the type of work which is thought to be appropriate to particular
groups of staff, e.g. ‘caring’ roles for women, equal opportunities work for black people,
routine desk-bound work for someone with a disability.
Cultural awareness
Cultural awareness means: valuing diversity, developing cross-cultural awareness, being
sensitive to difference without drawing attention to it. For example:
It is important to avoid characterising people with disabilities as a homogeneous, needy or
victimised group.
Racial stereotyping, the attribution of particular characteristics to all members of a particular
ethnic group, carries the danger that those from minority ethnic groups are viewed by those
in the majority as different from the ‘norm’ and therefore deviant in some way.
As equal members of society, lesbians and gay men should be described in terms that do
not demean them, sensationalise their lives or imply deviance.
A few words on language:
(see http://www.ucl.ac.uk/hr/docs/non_discrim_language.php)
Language reflects the values of our society and its use can perpetuate prejudice
and discrimination. It is important to provide a positive role model and use language that is
inclusive to avoid the risk of patronising, offending or excluding colleagues or students.
Language and race
It is important that the words we use respect the identity of the person or people with whom
we are communicating or to whom we are referring. Terms such as ‘coloured’, ‘non-white’ or
‘non-European’ for example are problematic in that they define race from a white or
European perspective. The term ‘black people’ refers to people of African, Afro/AfricanAmerican or Afro-Caribbean origin. Opinion is divided amongst British Asians about
whether they consider themselves as ‘black’ and for this group the term should be
considered a matter of self-definition.
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
LANGUAGE & DISABILITY
Section B
Avoid negative references to a disability e.g. use ‘wheelchair user’ rather than ‘wheelchairbound’.
Further information
Useful documents on the Human Resources web site:
http://www.ucl.ac.uk/hr/equalities/disability/disability_guidance_for_managers.pdf
http://www.ucl.ac.uk/hr/equalities/lgbt/LGB_guidance_for_managers.pdf
http://www.ucl.ac.uk/hr/equalities/belief/religion_belief_guidance_for_managers.pdf
http://www.ucl.ac.uk/hr/equalities/training/diversity_module.php module.php
If you have any concerns or queries about equal opportunities and diversity, please contact
Sarah Guise, Head of Equalities & Diversity, Human Resources Division, UCL,
Telephone: 020 3108 53989
email: equalities@ucl.ac.uk
or
Marion Hingston Lamb, Disability Coordinator, Registrar’s Division, UCL,
Telephone:
020 7679 1343
email: m.lamb@ucl.ac.uk
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
Section C
MOTIVATION
What is it?
Motivation is what makes a person do something and put energy and effort into
doing it. It varies in nature and density from individual to individual, depending on the
particular mixture of influences on him or her at any given time.
Why is it important?
Motivation is vital in any job if individuals are to give their best. Assuming that
employees are provided with opportunities for good performance (correct tools, work
method, etc.) and have the necessary skills, their effectiveness depends on their
motivation. Motivation is what makes people work willingly and enthusiastically, and
direct their efforts to accomplish key goals.
Signs of motivation
Attitudes and behaviour at work reflect motivation or its lack. Indications of
motivation will be seen, for example, in:
High performance/results
achieved
Energy, enthusiasm and
determination
Co-operation in overcoming
problems
Willingness to accept
responsibility/accommodate to
change
Lack of motivation will be indicated
by:
Poor time-keeping/high
absenteeism
Apathy and indifference
Exaggeration of disputes/grievances
Un-cooperativeness/
resistance to change
Whose responsibility?
The work group leader is best placed to create the environment in which people will
work with energy and effort. Some factors are difficult to influence – pay, terms and
conditions of employment, perhaps factors in an individual’s private life. But the
leader can give responsibility, challenging work and opportunities for growth and
development which both research and practical experience have shown to be the
greatest motivating factors.
Is money important?
Motivation is only partly a matter of money. However, it provides command over
goods and services (and hence choice) as well as being a symbol of status and
recognition. If money is the only satisfaction people can get from their work, they will
concentrate their efforts on getting more of it.
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UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
Section C
LISTENING SKILLS
Listening, as opposed to hearing, is a skill which can be developed. It requires the
listener to concentrate fully on the speaker; to recognise distractions (both
environmental and attitudinal) and put them aside.
Guidelines for listening skills
The positive listener
The negative listener
Body language
adopts positive posture;
avoids distracting mannerisms;
good eye contact;
nods and smiles when appropriate;
maintains comfortable distance
looks bored and judgmental;
doodles or fiddles distractingly;
avoids eye contact;
shows little response to what is being said
Attention
keeps attention focused on speaker “When that
happened, what did you do?”
keeps focus of comments on self: “When something
like that happens to me, I...”
Accepting
accepts speaker’s ideas and feelings: “That’s an
interesting idea, can you say more about it?”
fails to accept speaker’s ideas and feelings “I think it
would be better to...”
Empathy
empathises: “So when that happened, you felt
angry”
fails to empathise: “I don’t see why you felt that”
Questions
uses open questions
probes in a helpful way:
“Could you tell me more about...”
uses closed questions
fails to probe
Clarifies
asks for clarification
checks understanding by paraphrasing, etc.
assumes things; fails to clarify
fails to check understanding
Summarises
summarises progress from time to time
widens range of ideas by summarising a number
of alternatives from which the speaker can
choose
fails to summarise
narrows range of ideas by suggesting a ‘correct’
course of action
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Section B
Section C
NON VERBAL COMMUNICATION
(Body Language)
Research by A Mehrabian1 in USA suggests that, as far as feelings and attitudes are
concerned, the total impact of a message/communication is transmitted as follows:
7% Words only
38% Vocal (e.g. tone of voice)
55% Non-verbal signal
Head Movements
to show receipt of a message; to indicate agreement
or disagreement; to indicate uncertainty; to give
somebody else space
Facial Expressions
to show a variety of moods including agreement;
disagreement; sympathy; hostility; amusement;
concern etc
Eye Contact
party
to establish rapport; to watch for reactions in the other
Gestures
to reinforce/add emphasis to the verbal message; to
help somebody else into the conversation
Posture
to reinforce/add emphasis to the verbal message; to
help establish rapport; to show interest and
commitment; to help self confidence; to indicate
formality or informality
Body Movements
to reinforce/add emphasis to the verbal message; to
help terminate a conversation
Proximity
to establish rapport; to allow space for the other
parties; to indicate degree of formality or informality;
to help engage or disengage
Appearance
to indicate formality or informality; to help rapport
Warning:
It is important to consider any list of non verbal signals within the cultural context in
which they are being used because many of these signals will have different
meanings within different cultures. This causes some problems of misunderstanding
in multicultural organisations. It is impossible to acquire comprehensive knowledge
of these cultural variations but it is vitally important to be alert and sensitive to this
issue.
1
A Mehrabian (1971), “Silent Messages”, pp. 1-50, Wadsworth, Belmont, California.
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Section B
Section C
QUESTIONING TECHNIQUES
Question/Statement
Useful
Not useful
Open: “Tell me about...”
Encourage the person to talk
Most openings
To explore and gather information
With talkative person
Where discipline is required
Probing: “Exactly what happened next?”
Vital for detail
Checking information
Exploring emotionally charged areas
Closed: “What time did you start?”
Narrow; establish specific points of fact
Probing single facts
Gaining information in areas not
normally explored by the interviewer
Reflective: “You feel upset about the move...”
Very powerful; repeat back verbatim the emotional
content of the statement
Leading: “I expect you wish you’d allowed more
time?”
Invariably leads to the answer you expect
Problem solving
Emotionally charged situations
Counselling
Gaining acceptance of your view
Checking information and fact
Hypothetical: “What would you do if...?”
Posing a hypothetical situation in the future
Getting someone to think new ideas
With someone who needs time to
give a reasoned reply (most cases)
Multiple: String of questions or statements
Never
Always
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training
Gaining any information about the
person
Section B
GIVING FEEDBACK
Feedback is an on-going activity which should not be saved up for formal discussions. The
appraisal is a summary of the on-going feedback given during the year.
Motivational feedback tells the person what s/he did well. It encourages and increases
confidence.
Formative feedback tells the person what needs to be done better and how to do it. It should
help the person to improve their competence.
1. In order for feedback to be productive
- the person must understand the information
- be able to accept the information
- be able to use the information
2. Perceptions, reactions and opinions should be presented as such, not as facts.
3. Feedback should refer to the relevant performance, behaviour or outcome, not the
individual as a person.
4. Feedback should be in terms of specific, observable behaviour not general or global.
5. It should be against established criteria, probable outcome, or possible improvements. Try
to avoid judgements such as “good” or “bad”.
6. It should be concerned with those things over which the staff member can exercise some
control and/or be given in ways which show how an improvement can be achieved.
The overall approach should be:
BEHAVIOUR
rather than
PERSONALITY
CHANGE
rather than
EVALUATION
PRECISION
rather than
GENERALITIES
INFORMATION
rather than
BELIEF
COMMITMENT
rather than
COMPLIANCE
SUPPORT
rather than
DIRECTION
UCL Professional Development Programme: Appraisal, Review & Development Scheme Training