Staff Appraisal Scheme
1 Introduction
1.1 Participation in staff appraisal is a contractual requirement for all employees. In anticipation of this step,
and in support of good employment practice, the University commenced the development and introduction
of an appraisal scheme for all employees early in 1989 building upon a very successful Staff Development
Scheme which had run for two years (1987-1988).
1.2 The University's Appraisal Scheme has been designed by and for, University employees through a
working group and following extensive consultation and discussion with employees and their
representatives. The Scheme emphasises the importance of training and development, of staff openness,
confidentiality, self assessment and the development of agreed job standards and objectives. The
Appraisal Scheme is not intended for, and is not used to, assess salary or grading levels.
2 The Objectives of the University’s Appraisal Scheme
Throughout the appraisal scheme the term 'performance' refers to tasks executed, and activities
undertaken by the appraisee as part of his/her job.
2.1 The overall objective of appraisal is to help maintain or improve individual job performance, realise
potential and increase the effectiveness and efficiency of the University. More specifically, the objectives of
the University Appraisal Scheme are to: assess past, establish current and maintain or improve standards
of job performance; set objectives for the future; assess training and development needs; assess career
potential; assist planning objectives; develop staff; identify organisational or operational changes which will
enable individuals to maintain or improve their performance and to improve the effectiveness and efficiency
with which the University is managed. In order to achieve these objectives, it is important that appraisal
takes place in a positive and supportive spirit which recognises good practice and acknowledges
contributions employees have made in the course of their work.
3 The Appraisal Scheme’s Procedure
3.1 Timing
Whilst "appraisal" occurs throughout the year, the annual appraisal interview normally takes place between
May and September. This does not preclude discussions on other important operational issues, such as
workload planning from taking place outside this period. This interview should reflect an ongoing dialogue
i.e. "there will be no surprises", and will be a resume of previous discussions. There will be circumstances
when it will not be possible to adhere to this time span, e.g. staff on secondment abroad, maternity leave.
Appropriate alternative arrangements will be made.
3.2 The Appraiser
The responsibility for the operation of the Scheme is the line manager's. The appraiser will need to have:
a) a detailed knowledge of the appraisee's work,
b) an overview of the needs and requirements of the Faculty/Department/ Centre/Service/University,
c) the authority to make available, or determine if they can be made available, resources to ensure that the
agreed objectives and targets for the given period are achievable.
The appraiser is normally the appraisee's direct line manager, or a senior colleague within the
Department/Service nominated by the line manager and could be, for example:
a) the employee’s supervisor,
b) a senior colleague
c) the Head of Service/Department/Centre,
d) the Dean,
e) a member of the Directorate,
f) the Chair of the University Board.
On the exceptional occasions where the appraisee or appraiser believes there are clearly established
circumstances necessitating a change to the nominated appraiser this should be discussed with a Human
Resources Manager and any appropriate changes made.
In appropriate circumstances and by mutual agreement with the appraisee, the appraiser may be more
than one line manager, e.g. for employees on secondment.
3.3 The Annual Appraisal Interview
The main or annual appraisal interview forms the single most important procedural aspect of the Scheme.
Effective appraisal depends upon a sound and well conducted interview. This interview will be held within
the context of University, Faculty/Departmental and/or Service plans/objectives and a mutually agreed job
description. In keeping with 2.2.1 above, it is important that the appraisal interview takes place in a positive
atmosphere based on the recognition of contributions made by the appraisee.
The major purposes of the appraisal interview are as outlined below.
a) To discuss the appraisee's work over the preceding year.
b) To seek to develop, as appropriate, job performance through counselling.
c) To ensure that appraisees know what standards are expected of them in their job and how they are
matching up to these expectations.
d) To agree directions for the forthcoming year which will assist in the appraisee's development.
e) To reconcile the appraisee's abilities and aspirations with the needs and plans of the
Faculty/Department/Centre/Service and the University.
f) To discuss the appraisee's views and concerns over job performance.
g) To agree a personal and professional development plan which will support the appraisee's development
towards meeting standards and objectives for the forthcoming year.
h) To agree objectives and targets for the forthcoming year.
3.4 Preparation for the Interview
Preparation for the interview will take place as outlined below:
Prior to the annual appraisal interview, it is essential that both the appraisee and the appraiser prepare and
document those matters which will form the basis for discussion. Both should gather all relevant information
including: referring to previous records or interviews; work observation; notes of discussions with
customers, clients and other managers. Both should give consideration to the previous twelve months and
prepare comments and observations. Initial consideration should be given to those objectives and tasks
which both would wish to be undertaken in the next period.
Where this will require personal and professional development, secondment or some other support,
consideration should be given to how this can be provided.
The appraiser will arrange to meet briefly with the appraisee at least one week before the Annual Appraisal
Interview to give notice of the interview, restate the aims and objectives of the Scheme, supply all relevant
paper work and clarify any points of concern which the appraisee may have.
3.5 The Appraisal Interview Form
The appraisee will receive from their appraiser an Appraisal Interview Form.
The front sheet is a straightforward administrative section providing identifying details. The appraiser is
responsible for the completion of this section.
Section A
This section is partly reflective with a review of activities over the previous year, and also prompts
consideration of the objectives and a personal and professional development plan which the appraiser and
appraisee wish to discuss and agree.
Ideally, both the appraiser and appraisee should complete their version of Section A before the annual
appraisal interview. These completed sections may be exchanged a few days before.
Section B
The objectives and personal and professional development plan as agreed in the appraisal are recorded
here. The appraiser is responsible for the completion of this section.
Section C
This section is a statement of the appraiser and appraisee's agreement to the content of Section B. In the
event of major disagreement there is space for details of this to be recorded and the steps to be taken next
specified.
The record of the interview should be signed by both the appraiser and appraisee. Each will retain a copy
of the form for future use and reference. Access to the appraisal interview record will be limited and
normally be restricted to the appraisee, the appraiser and the appraiser's line manager. In the event of
disagreement on (a) objectives, (b) personal and professional development plan, the areas of
disagreement should be recorded on the appraisal form.
Any aspects of the discussion during the appraisal interview which are considered to be confidential to the
appraiser and the appraisee only, should be recorded on a separate sheet, and retained by the appraiser
and the appraisee as a 'codicil' to the appraisal form and should not be made available to other parties.
Summaries of objectives and PPD plans will be made available to appropriate senior managers and
Human Resources to assist with planning purposes.
3.6 Follow up action
If the Annual Appraisal Interview Form is not completed during the interview itself, the appraiser is
responsible for ensuring it is completed as soon as possible and that both the appraisee and he/she have
copies. A time and date will probably be arranged for the next discussion in order to review progress.
The appraiser is responsible for making all necessary arrangements to have available, or secure from
others, the resources to ensure that the agreed objectives are achievable. This includes personal and
professional development commitments.
3.7 In the event of there being major areas of disagreement, the Grievance Procedure may be used to try
to resolve the disagreement.
3.8 The Staff Appraisal Scheme is subject to continual monitoring and annual review to ensure that it fulfils
its objectives. The University's recognised Trade Unions are involved in this monitoring and review.