Senior Manager Appraisal
Guide Notes
LSBU has a specific appraisal process for senior managers. Senior managers, from 1
September 2015, are staff in grades:



A (formerly grade 11)
B (formerly grade 12), and
C (new grade, introduced from 1 September 2015)
General appraisal guidance is available at
http://www1.lsbu.ac.uk/osdt/appraisal/index.html Whilst this is focussed on grades 2 –
10, the principles apply to the senior manager appraisal process.
There are, however, specific processes and documents relating to appraisals for senior
managers:
Page
1.
2.
3.
4.
5.
Process Chart
Salary Scale
Linking Pay to Performance
Moderation Process
Appeal Against Rating Process
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3
4
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Process chart
Appraisee completes Part 1 (and starts part 2) Sends draft form to Appraiser
Appraiser and Appraisee hold the appraisal meeting(s)
Appraiser completes part 1B (review of achievements),
and 1C (provisional rating) optionally, and sends a copy of the form to
Joanne Monk, Human Resources by 30 SEPTEMBER
HR sets up Moderation Panels and requests provisional rating where not
already provided
Moderation Panels are held in October
After moderation, appraiser completes section 3 (formal rating and sign off)
and sends form to countersigning manager for signature, cc appraisee and
Joanne Monk
Appraisee may appeal if not satisfied with the rating
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Linking pay to performance
This process applies to senior management posts in grades A, B and C on the
senior management grading structure.
The amount and type of pay to be awarded will be determined by two factors:


the overall performance rating (the rating) for the previous performance year, and
the point on the relevant scale that an individual’s substantive salary is on for the
coming year (current pay):
1.
Performance Rating
The performance rating will be as assessed by the appraiser and recorded in part 3:
Formal Rating and Sign Off of the Senior Managers’ Appraisal Form. Ratings will be
subject to a moderation process (see next section).
The ratings are:
(O) Outstanding;
(G) Good;
(D) Developing;
(U) Underperformance.
2.
Current Pay
Grades A, B and C have a number of incremental pay points up to the
contribution threshold (I) and additional contribution points (CP) above the
contribution threshold. A copy of these pay scales (based on salaries as at 1
August 2014) is below.
3.
How Pay will link to Performance
Pay will be determined using these two factors as follows:
Rating:
Salary below
contribution threshold
Salary at or above
contribution
threshold
Salary at
maximum of
scale
O
G
D
U
PA + I + Bonus
PA + I
PA
Nil
PA + CP
PA
PA
Nil
PA + Bonus
PA
PA
Nil
Key:
PA: Pay Award
CP: Contribution Point
I: Increment
Bonus: Amount of bonus to be set by Executive to a maximum of 3%
3
Moderation process
It is important that reviewing managers apply assessment ratings objectively and
consistently, and to facilitate this, a moderation process will be applied.
Moderation panels will be set up on an annual basis to review ratings before
assessments are finalised. Moderation panels will enable reviewing managers to reflect
on, and share with colleagues, the evidence for, and basis of, ratings awarded. They
will provide support and guidance to appraisers in making assessments; facilitate
sharing best practice and experiences; and support and test fairness and transparency
in the performance review process.
Responsibility and accountability for assessing and rating appraisees will remain with
appraising manager. Whilst moderation panels will offer views, feedback and opinions
on proposed ratings, final decisions will be made by the appraisers based on evidence
of achievement. Ratings can only be changed as a result of a successful appeal.
Human Resources will be responsible for setting up and determining membership of
panels; collating and distributing proposed assessments prior to meetings and
recording any actions and outcomes. All discussions and opinions expressed at
moderation panels will, however, be confidential.
Moderation panels will normally consist of:

Appraisers for the group of staff being reviewed;

A manager who is knowledgeable about, or is a ‘customer’ of the group of staff,

A manager who is independent of, or ‘external’ to, the group of staff;

A member of Human Resources as a facilitator.
Following moderation panels, appraisers will confirm performance ratings to individual
senior managers. Appraisers may discuss ratings with their appraisees prior to
moderation panels (and include a provisional rating in the appraisal form) but ratings
should not be confirmed until after the moderation process has been completed.
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Appeal against the performance rating outcome
Any disagreement in relation to the appraisal process should be recorded in Part 3 of
the Appraisal form: Formal Rating and Sign Off.
In the first instance, the appraiser should try to resolve any disagreement, if
appropriate, by meeting with the appraisee.
If agreement cannot be reached, the appraiser should refer to the countersigning
manager, who should attempt to resolve the issue and this should be recorded by the
appraiser on the appraisal form.
If disagreement relating to the overall performance rating given by the appraiser
remains unresolved, then the appraisee may appeal through Human Resources. The
appeal will be heard by an Executive member, different from the appraiser or
countersigning manager.
The Executive member can overturn a rating on appeal only where there is evidence
that the assessment or scoring has not been fairly or consistently applied.
Human Resources will be responsible for ensuring the appeals process is carried out,
including allocating a member of the Executive to consider any appeal, and that any
decisions are recorded and implemented.
Any queries concerning the appeals process should be referred, in the first instance, to
Joanne Monk, Deputy Head of Human Resources.
August 2015
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