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Review and Development Framework – Your appraisal
Guidance Notes for Academic Staff
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Review and Development Framework – Your appraisal
Guidance Notes for Academic Staff
Contents Page 1.0 Aims of the Review and Development Framework and your appraisal .................. 3 2.0 Benefits .............................................................................................................. 4 3.0 Key Stages .......................................................................................................... 4 3.1. Preparation.............................................................................................................. 4 3.2. Discussion................................................................................................................. 4 3.3. Recording................................................................................................................. 5 4.0 The Appraisal Process – Guide for Appraisers ...................................................... 5 5.0 Responsibilities ................................................................................................... 5 5.1. Role of the Appraiser............................................................................................... 5 5.2. Role of the Appraisee............................................................................................... 6 6.0 Training and Briefing .......................................................................................... 7 7.0 Frequently Asked Questions ............................................................................... 7 Appendix 1 – Activity Cycle................................................................................................... 8 Appendix 2 – Structure for Appraisal Meeting..................................................................... 9 Appendix 3 – Academic Staff Appraisal Form....................................................................... 10
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1.0 Aims of the Review and Development Framework and your appraisal
1.1 The University is committed to investing in its workforce and has successfully retained the Investors in People Award since 1999, enhancing this to Bronze level in 2012.
1.2 It is important to ensure that all members of staff have a clear picture of how they fit into
University plans, their Faculty, team and job role, in order for them to feel supported and equipped to carry out their duties. The University corporate plan creates a backdrop for the creation of Faculty plans which in turn inform the objectives of each Faculty department. The University Academic Strategy will also inform Faculty objectives.
1.3 The Review and Development Framework and appraisal are key to ensuring all staff are
supported to carry out their job as effectively as possible and are based on the understanding that professional updating, development and training is both a continuing and an important activity. This activity helps to maintain and improve the performance of individuals, their department, Faculty and the University. The purpose of the appraisal is to review progress and explore development needs and career aspirations of staff. Appraisals will reflect Faculty and University aims and priorities and will ensure that appropriate steps are taken to optimise performance.
1.4 All academic staff are expected to participate each year in an appraisal as a condition of their
employment. The discussion links the make–up of duties and workload to agreed future focus, key goals and development.
1.5 The appraisal aims to:
Provide staff with the opportunity to review and discuss activity and to give and receive informed and constructive feedback on progress in their department, using a two way process
Review achievements and outcomes against key goals for the past 12 months
Clarify for staff, the University and Faculty priorities and to agree key objectives related to these
Discuss staff development needs in relation to personal, Faculty and University objectives and agree how these development needs can be met within the resources available
Discuss short and long term career aspirations in relation to current and potential future roles
Allow agreement of focus and key goals for the year ahead
Allow for identification and discussion of difficulties or obstacles to effectiveness
Provide a way of balancing personal needs and ambitions with the University’s overall objectives.
1.6 The appraisal should be complemented by regular management contact and updates e.g. through regular team and individual meetings. It is not to be used as a disciplinary tool or as a means of determining pay. The details of the appraisal discussion remain confidential between the staff member and the appraiser, although agreed outcomes and goals are not confidential, and development needs will be collated into a Faculty plan.
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2.0 Benefits 2.1 Regular review discussions can have the following benefits for organisations and individuals:
Improved communications
A formal opportunity to review progress, and plan for future activity and development
Clarification of roles, responsibilities, goals and priorities
A formal record of activity and achievements over time to complement a CV or CPD activity
An opportunity to draw on the ideas of all staff and for organisational learning
More open styles of management and leadership
Better targeting and planning for training and development on a university wide basis
Enhanced overall organisation performance through more effective and motivated staff. 3.0 Key Stages (see also Appendix 1 as to timing within the Academic Year)
3.1 Preparation
Appraiser and appraisee agree a date for the review meeting.
Both parties reflect on the appraisee’s progress against activity, achievements and plans since the last review (or appointment if no previous review) thinking about successes, workload and responsibilities.
Consider what difficulties may have been experienced (if any) and what lessons could be learnt from these experiences.
Look ahead to the coming review period and consider focus and key goals for the year ahead, together with personal and professional plans for development and career aspirations.
Think about what might prevent achievement, and about any training and appropriate development needs now or longer term.
The appraiser will ensure relevant documents are available for the appraisal e.g. role profile, workloading information, Faculty/department objectives, record of last review, any training records, etc.
The appraisee should draft a list of points they wish to discuss and, to assist the discussion, pass this to the appraiser well before the meeting date, who may add any further points for inclusion and discussion.
3.2 Discussion – see advice in Appendix 2 as to structure of discussion
A review meeting between the appraiser and appraisee provides for discussion of progress against plans/aims over the previous review period
The meeting should provide a constructive, two-way open discussion. Wherever the meeting takes place, it should be kept confidential and not be interrupted
Agree the focus in the coming months and key goals for the actions resulting from the review, taking into account the Faculty/Department and University objectives
Discussion will also allow for a development plan to be identified and agreed.
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3.3 Recording
Achievements, agreed focus, key goals and the development plan for the next review period need to be recorded, as agreed at the meeting, in the relevant sections of the Appraisal Form.
The appraiser and appraisee should complete these sections together during the review meeting (or as soon afterwards) and sign and date it. The appraisee should keep a copy, the original to be retained by the appraiser. Part 2 details will need to be added to a Faculty wide development plan which will be for the Dean to action.
4.0 The Appraisal Process – Guide for Appraisers 4.1 In accordance with the appraisal cycle and Faculty activity, contact your appraisee(s) as soon
as possible to set dates for the appraisal meeting. You will need to set aside at least one and a half hours for the meeting in a location free from disturbance. Remind the appraisee to let you have points they wish to discuss in advance of the meeting. You should also have access to a copy of the job profile for the member of staff.
4.2 Plan ahead to allow sufficient time for all of your appraisal meetings to take place. 4.3 Come to the Appraisal Meeting prepared with relevant documentation. The discussion should
be focused – the emphasis is on review of activity, planning and development. For both the appraiser and appraisee the meeting should be a positive and rewarding experience.
4.4 The appraisal form should create the basis for recording the outcome of the discussion. If
possible complete and sign the appraisal form at the conclusion of the discussion 4.5 A copy of the appraisal form should be provided to the appraisee and one retained for
yourself. You should also arrange the date of a review meeting for 6 months after the annual appraisal date. The details of the agreed development plan should be integrated into the Faculty plan.
5.0 Responsibilities 5.1 Role of the Appraiser 5.1.1 Appraisers are strongly advised to seek advice and guidance on conducting appraisal
meetings, particularly for the first time, but briefly the appraiser should:
Explain the purpose of the meeting at the outset
Put the appraisee at ease and encourage them to talk freely about their work
Set a tone of joint responsibility by remembering that the appraisal meeting is owned by the appraisee, therefore the appraisee should do most of the talking, not the appraiser
Assure the appraisee of confidentiality
Listen and co-operate, considering the individual’s point of view
Remember that problems should not be aired for the first time at an appraisal meeting. The discussion should contain no surprises
Use the Review, Plan, Do approach, supported by the documentation as the agenda for the meeting and work through each of the main headings. This will involve listening, note taking, sharing views and ideas
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Provide a balanced view of their perceptions of the review period and future goals in relation to the department’s priorities
Explain in detail the priorities and direction of the Faculty/Department
Concentrate on the individual and their role using specific examples rather than generalisations
Ask open questions to probe and encourage the appraisee to contribute
Be prepared to address any problem areas constructively and use a joint problem-solving approach to generate solutions
Praise specific examples of excellent work/activity and point out specific examples of issues where improvements are necessary
Avoid interrupting but retain the initiative throughout the meeting
Agree together the focus in the coming months and key goals together with any development areas. Record the detail of this part of the meeting as it will form the basis of the mid-year review
Close the meeting by re-reading the focus and goals and summarising progress throughout the review period
Agree a 6 month review date with the appraisee and put into diaries. 5.2 Role of the Appraisee
Be prepared for the meeting
Remind themselves of the purpose of the meeting prior to attending
Feel comfortable about asking for clarification on any aspect of the appraisal – such as the process, documentation, or confidentiality
Talk freely, for example, about their work, skills, difficulties, or the future
Remember that it is your appraisal meeting and as such you should feel you have got your point across
Listen to and consider the appraiser’s point of view
Use the Review, Plan, Do approach, supported by the documentation as the agenda for the meeting and work systematically through each of the main headings. This will involve listening, and sharing views, hopes and concerns
Provide a balanced view of perceptions of the review period and their future goals in the context of the department’s priorities
Discuss their achievements and success during the review period
Concentrate the discussion on their role and future, using specific examples
Raise any problem areas constructively using a joint problem-solving approach to generate solutions
Give specific examples of excellent performance and specific examples of where performance could be improved
Be honest with the appraiser, providing specific examples of how the appraiser could help more, where appropriate
Be confident enough to ask for more support, guidance or resources
Agree the focus in the coming months and key goals with the appraiser. This will include new objectives and any development identified. Ensure that this part of the meeting is accurately recorded as it will form the basis of the mid-year review
Agree a mid-year review date with the appraiser and put this into diary.
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6.0 Training & Briefing 6.1 The University provides a range of support to ensure staff are familiar with the appraisal
process, through:
An overview provided at corporate induction and included on the induction website
Training for new appraisers and refresher training for those who wish to brush up on their skills
Briefing sessions for appraisees if required
Individual one to one sessions to offer specific support or practice of skills. 7.0 Frequently Asked Questions 7.1 How often are appraisals conducted?
Reviews should be held annually as a minimum, and be supported by a review meeting after 6 months, with appropriate feedback relevant to needs provided throughout the year.
7.2 Which staff conduct appraisals?
The appraiser will generally be the direct line manager of the individual concerned unless another person has been specifically requested and agreed by the Dean for this purpose.
7.3 Does this apply to staff on probation?
New staff undergoing probation will not participate in appraisal until after they have completed their probationary period. However, in accordance with the probation arrangements, discussions would be taking place with staff regarding their focus, priorities, goals and development. More information about the probationary process can be found in the University Probation Policy.
7.4 Does this apply to Academic Tutors?
Yes, as an important part of the teaching delivery arrangements, Academic Tutors should have the same opportunity for discussion and review although it is understood that their range of activity is as set out in their role profile.
7.5 How will information and documentation be shared and stored?
Each appraiser needs to ensure confidentiality as to the appraisal discussion although it will be important to share key goals which relate to departmental activity, particularly if the staff member is taking a lead role. In addition, the development plan will be collated with others into a Faculty wide plan. The appraiser will hold original documents securely (or by arrangement with Faculty support as appropriate) and a copy will be provided to the appraisee.
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Appendix 1 - Activity Cycle
Corporate Planning
Faculty Planning Key Objectives
Financial Workforce
Review of Teaching Demand Current workload
Curriculum Development Planned Changes
Indicative Workloads drafted
Appraisals Teaching and Learning Activity Research and Scholarly Activity
(RSA)/Other Research Academic Leadership, Management and
Administration External Engagement
Development needs and review of development undertaken
Planned Workloads Agreed WorkloadPlan system
Planned Workloads Finalised WorkloadPlan system
Subject to Continuous Review
MAY TO JULY
SEPTEMBER TO OCTOBER
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Appendix 2 - Structure for Appraisal Meeting Your line manager will lead the meeting which should follow the principles of Review, Plan and Do. Review activity undertaken this year including how goals set in your last appraisal have been achieved. Evaluate development undertaken, considering how learning has been implemented and what the impact has been on carrying out the job role Plan activity for the coming year. Set key goals to work towards and help the achievement of these by outlining what success will look like and set a timescale. Plan any development required to achieve these goals, again setting timescales and parameters of how you will know development has been achieved Do carry out what has been agreed and conduct at least one informal review meeting during the year
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Appendix 3 - Academic Staff Appraisal Form
Part 1 – Review and plan ahead
Appraisee Name: Appraiser Name:
Appraisal cycle: Academic year under review:
Academic year being planned for:
Before you embark upon the appraisal meeting please refer to the Guidance Notes for Academic staff. Use this paperwork to provide a framework for discussion. The line manager will lead the meeting which should follow the principles of Review, Plan and Do. Review activity undertaken this year including how goals set in the last appraisal have been achieved. Evaluate development undertaken, considering how learning has been implemented and what the impact has been on carrying out the job role Plan activity for the coming year. Set key goals to work towards and help the achievement of these by outlining what success will look like and set a timescale. Plan any development required to achieve these goals, again setting timescales and parameters of how you will know development has been achieved Do carry out what has been agreed and conduct at least one informal review meeting during the year You may find it useful to refer to the Framework for Academic Workload Planning and associated tariffs for each section of this document including the development plan.
Teaching and Learning Activity
Review of last year’s activity. What was achieved?
What is your agreed focus in the coming months? Outline key goals agreed for the year ahead
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Research and Scholarly Activity (RSA)/ Other Research
Review of last year’s activity. What was achieved?
What is your agreed focus in the coming months? Outline key goals agreed for the year ahead
Academic Leadership, Management and Administration
Review of last year’s activity. What was achieved?
What is your agreed focus in the coming months? Outline key goals agreed for the year ahead
External Engagement
Review of last year’s activity. What was achieved?
What is your agreed focus in the coming months? Outline key goals agreed for the year ahead
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Part 2 – Development plan (your development needs will be added to a Faculty wide development plan) What skills need to be developed?
What development opportunities will be used?
When will this be completed by?
What workloading hours are attributed?
Signed
Appraiser: Date:
Appraisee: Date:
Agreed 6 month review date:
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Review and Development Framework – Your appraisal
Guidance Notes for Academic Staff
Date of Issue: Next review date: November 2015 Approved by (e.g. Committee, Director, etc): Date of last approval: November 2012 Author/Owner: Faculty/Service: Human Resources
This Policy can be obtained from the Human Resources website, Docushare or by contacting Human Resources.
If you would like this Policy in larger print please contact Human Resources.
