THE UNIVERSITY OF THE WEST INDIES

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THE UNIVERSITY OF THE WEST INDIES
ACADEMIC STAFF APPRAISAL
Guidelines
1.
The University of the West Indies has embarked on a process of change in order to ensure that it is better
able to achieve its mission to unlock the potential of the region through high quality teaching and
research.
2.
To this end the University has committed itself to improving the quality and effectiveness of its staff and
to ensuring that they are provided with support to enable them to work as effectively as possible.
3.
One of the ways in which such support can be provided is through an appraisal programme which
provides a systematic opportunity to:

recognise the achievements of staff over the previous year

identify ways in which their performance can be improved to the benefit of both the
individual and the institution

agree on performance objectives for the coming year

review career development and prospects

identify training or development needed for the attainment of objectives

identify indicators of quality in teaching, research publication and outreach (internal and
external
4.
Such a process should lead to continuous improvement in the performance of individuals and the
effectiveness of the University. Staff should be able to achieve greater job and career satisfaction while
furthering the interests of the University in the achievement of its strategic objectives.
5.
The Appraisal Programme for the University of the West Indies contains the following four elements:
1.
The setting of agreed performance objectives for the coming year;
2.
The factual record of activities over the previous year;
3.
A critical self-review of performance by the appraisee;
4.
Identification of quality in teaching, research publication and outreach (internal and
external)
4. 5. The identification of development and training needs if those objectives are to be met.
6.
The appraisal process should proceed through the following stages:-
Stage 1
Appraisee and Appraiser set goals for the year to come. In the case of new members of staff this
is done on a special form for new members and is to be completed within 60 days of their
effective date of employment. For other members of staff this would have been done in
completing the form for the year before. Goals should be specific, reasonable and attainable.
Stage 2
Appraisee completes Sections A and B of the attached Appraisal Record Form and submits to
Head / Appraiser by 30 April.
Stage 3
Appraiser receives Record reads it, and identifies potential areas for discussion taking into
account the needs of the Department, Faculty and the University as well as the aspirations and
career stage of the appraisee.
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Stage 4
Appraisal Interview shall normally take place during the month of May, but certainly before the
end of June and shall include:

discussion of areas of interest or concern

review of activities and achievements in relation to previous agreed objectives
(the previous appraisal record will need to be consulted)

review of activities against objectives of the Department / Faculty and the
University

setting and agreement of objectives for the coming year

identification of development and training needs for the achievement of
objectives.
Stage 5
Appraiser with Appraisee complete Sections C, and D of the form giving a record of meeting
including:

statement of objectives of coming year

training and development requirements
Stage 6
Appraiser fills in the first part of Sections E: Comments by Appraiser and signs the front of the
form.
Stage 7
Appraisee completes the second part of Sections E: Comments by Member of Staff (Appraisee)
and signs the front of the form to denote completion of the appraisal.
Stage 8
Form passed to Dean of Faculty, who signs to confirm completion of the process and passes the
completed form to the Registrar / Assistant Registrar (Staff) who records that appraisal has taken
place and passes information on training and development implications both for the individual
and the University to the Staff Development Unit.
Stage 9
Appraisal Record is kept confidentially on Appraisee’s personal file in the Registry. The Record
will be made available to the Appraiser and Appraisee prior to the subsequent appraisal.
Appraisal form will only be kept on personal files for six years.
Outcomes

If the process is carried out in the spirit which is intended there should be
a clearer definition of the expectations of the Department, Faculty and the University for each
individual member of academic staff
greater job satisfaction for the individual
more reliable achievement of the objectives for each Department / Faculty, and through them, the
University’s strategic aims
enhanced career development and prospects
more clearly identified development and training programmes and opportunities.




It should be understood that the Appraisal Process is quite distinct from both the Promotion and Disciplinary
procedures of the University. The process of annual appraisal will, however, serve to keep the Head (and the
staff member) better informed and prepared to conduct the required review for promotion or the obligatory four
(4) year review for tenured staff. Similarly, neither self-critical comments made on the Appraisal form nor
failures in the achievement of objectives declared in the form, will be used in any disciplinary procedures.
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DEFINITION OF THE PERFORMANCE CATEGORIES OUTLINED IN ORDINANCE 8
1.0
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8
1.9
1.10
TEACHING
Delivery of Teaching: Lectures, tutorials, seminars, laboratory work, practicals, fieldwork (classroom
practice, nursing simulation), clinical teaching (including ward rounds), supervision of undergraduate
work, supervision of postgraduate work.
Course Development: Course evaluation, writing new courses, preparing lecture notes and case studies.
Preparation for Teaching: Materials preparation, development of lab manuals; preparation of course
outlines; preparation of audiovisual materials; simulations, preparation of lab notes; UWIDEC: training,
writing materials. Developing study guides etc.
Preparation of Evaluation Instruments: Designing appropriate instruments for getting feed back re
student learning, and efficacy of material, approaches etc., e.g. tests, problem papers.
Consultation with Students: Pedagogy, feedback on assignments.
Examination Duties: Examination supervision within department but outside normal teaching time.
Setting examination papers, attendance at examiners’ meetings, moderation of examination scripts.
Co-ordination of Teaching: Training of tutors, co-ordination of tutorial arrangements.
Administration of the Teaching Process: assisting HOD with timetabling, rooming, troubleshooting
Programme Design and Review
General administrative duties; personal planning time.
Indicators of Quality in Teaching
(i)
Selection for outstanding teacher recognition by the faculty and/or students
(ii)
Innovation in substance and relevance, including current advances in course content
(iii)
Development of effective and innovative educational methodologies and materials
(iv)
Excellent evaluation of teaching performance by student surveys, chairperson evaluation, other
faculty members within and outside the candidate’s department, and other mechanisms
(v)
Publication of acclaimed instructional material
(vi)
Innovative approaches to evaluate student performance
(vii)
Contribution to new curriculum development
(viii)
Ability to teach effectively at more than one level
(ix)
High demand as a speaker at professional meetings
(x)
High acclaim for continuing education activities
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(xi)
Responsibility for extracurricular student scholarly activities
(xii)
Exceptional participation in student counseling
(xiii) Special initiative in or development of new courses or significant revisions of existing courses,
including preparation and use of materials
2.0
(xiv)
Sponsorship/directorship of independent research of pre-doctoral students, post-doctoral students,
post-doctoral fellows and residents
(xv)
Effectiveness in the professional development of students and trainees
(xvi)
Organisation of and responsibility for programs and courses.
RESEARCH
Identification of problem, literature review, project formulation, fund seeking, data gathering,
identification of technical support, team building, institutional co-operation and capacity building,
experimental and theoretical work, analysis, writing up and transfer of results to appropriate domains
e.g. as social policy, or as industrial, medical, agricultural, scientific, environmental, and commercial
development.
Presentations at workshops, seminars and conferences. Administration/management of the research
process.
3.0
PUBLICATION
Dissemination to the public domain, of scholarly work individually or jointly authored (media include
journal articles, monographs, curriculum materials, DE materials, software, visual arts, audio, paintings
etc.)
Indicators of Quality in Research and Publications
(i)
Quality and number of publications: papers in quality refereed journals are given the greatest
weight. This includes publication of professional activities or collaborative efforts with other
individuals in the laboratory, publication of case reports, and publication of new developments in
the field. Publications must show evidence of independent research
a. Citation indices for publications in the last three (3) years
(ii)
Peer-reviewed extramural funding for research, including regional, industrial, and other sources
(iii)
Grant reviewer for national and international research organizations
(iv)
Invitation to present papers at major symposia and meetings, and active participation in
workshops and research seminars
(v)
Exceptional contribution to the research of others
(vi)
Election to prestigious, limited-membership research societies in the discipline
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(vii)
Evaluation of the nominee’s research as outstanding by recognized academics at this institution
and other institutions by assessing the significance, quality and originality of the nominee’s
research
(viii) Innovations in modes of professional service especially within the professional faculties.
4.0
SCHOLARLY ACTIVITY
General reading and updating, attendance at conferences, acting as discussant at conferences, organizing
seminars and conferences, scholarly networking, providing comments of the work of colleagues,
reviewing scholarly papers/research, membership or editorial boards, committee work scholarly
organizations, guest editorship.
Indicators of Quality in Other Scholarly Activities
(i)
Publication of monographs
(ii)
Publication of invited review articles or book chapters
(iii)
Editorship and/or service on the editorial board of major journals
(iv)
Reviewer of academic publications
(v)
Recognition from peers in the appropriate field such as fellowships, research awards, career
development, publication awards, professional service awards or clinical investigator awards
(vi)
Organizing and/or chairing of major symposia and/or editorship of published conference
proceedings
(vii)
Publication in non-refereed but widely recognized professional journals
(viii) Authorship of books
5.0
5.1
5.2
6.0
(ix)
Development or improvement of scientific or other professional procedures which contribute
to national and/or regional well-being
(x)
Development of innovative programs or procedures within a discipline
CONTRIBUTION TO UNIVERSITY LIFE
Departmental Duties: Mentoring and counseling students and staff, managing programmes and projects,
assisting HOD with recruitment, admissions, orientation, registration and examination administration.
Contribution to Department, Faculty and University Administration:
Preparation for the attendance at departmental, faculty and sub-committee meetings.
Chairing and participating in University committees and activities (e.g. WIGUT, Academic Board etc.)
Service as Head, Dean or Deputy Dean or other positions of responsibility.
Liaising with schools, given careers advice.
PROFESSIONAL ACTIVITY
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Contribution to the development of professional organizations through membership and participation in
professional bodies (e.g. Association of Science Teachers)
Contribution to the development of Professional journals
Facilitation of professional linkages
Provision of advice and technical support in an appropriate field (e.g. CXC, CAPE)
Consultancies
Membership of technical committees at the local, regional and international levels External examining at
local, regional and international levels.
Indicators of Quality in Professional and Public Service
(i)
Leadership roles in national, regional or international professional organizations
(ii)
Service on major government commissions, task forces or boards
(iii)
Leadership role in national and/or international academic societies, boards or foundations
(iv)
Service on specialist/technical/task forces and committees as chairperson
(v)
Attraction of significant external development support and contributions to external development
efforts
(vi)
Evidence of peer group recognition for exceptional service-related accomplishments
(vii)
Advisor to students or community organizations
(viii) Effective leadership in administrative roles within the Faculty or department, such as head of
department of director of centre/unit
7.0
(ix)
Significant contributions toward the development, operation, and improvement of the department
in particular, and the faculty/campus in general
(x)
Consultant with commercial firms, subject to established consulting guidelines
PUBLIC SERVICE
Any political, social or cultural activity which demonstrates a substantial and meaningful contribution to
growth and development of the country or region. A variety of service roles can contribute to attaining our
goal of excellence. No attempt should be made to prescribe which specific service roles individual faculty
members should play; however, all faculty members are expected to contribute in the service area. The
amount and nature of the service contribution is likely to differ as a function of individual skills and stage of
career development. Excellence in service alone is not a sufficient basis in and of itself for attainment of
promotion. Simple membership on institutional committees with no documentation of quality of service is
insufficient evidence of services rendered. Other areas of service include membership in various
international, regional and national review panels and committees within academic societies.
April 2005
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