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Introduction

Appraisal involves the review and planning of work performance and training and personal development through discussion between appraiser and appraisee and is an essential part of the University's commitment to delivering high quality services. Amongst other things, appraisal ensures that all staff are clear about their responsibilities and are equipped with the knowledge and skills to perform to the highest standards.

Principles of Appraisal

There are a number of basic principles that apply in the conduct of all appraisals:

the process is intended to be open and two-way between appraiser and appraisee;
with certain exceptions, the proceedings are confidential between appraiser and appraisee;
all appraisals will be conducted within the spirit of our equal opportunities policy;
there will be consistency in the way appraisals are conducted for all staff regardless of status or grade;
each member of staff will be given the opportunity to appraise and comment on their own performance through self-appraisal;
the appraisal process should bring direct and tangible benefit to the individual and the University;
the agreements between appraiser and appraisee should be actively monitored and progressed;
all staff will receive briefing or training to ensure that they have the knowledge and skills to participate fully and effectively in their appraisal scheme;
the appraisal process itself will be reviewed annually to ensure it is operating properly.

Appraisal Procedure

Following completion of the probationary period, all staff will be officially appraised once a year. However, this meeting and any follow-up should simply be part of ongoing communication and good management practice between appraisers and their appraisees. Appraisal is a framework for the natural process of managing what we do. It does not replace, or exist apart from everyday management and communication. The appraisal procedure operates as follows:

1.	The Appraiser and Appraisee will agree a date for the Appraisal Meeting three weeks ahead and the Appraiser will request a Self-Appraisal (appraisal document PERS068) from the Appraisee.

The Appraisee will complete the Self-Appraisal commenting on matters such as: their performance in the key areas of their job; what helps or hinders their performance; their own suggestions for any job changes or plans for the future; and what training and development needs they have. These need only be brief points and comments. Remember the purpose of this document is simply to set the agenda for the appraisal meeting where the issues can be discussed in detail. The Self-Appraisal should be given to the Appraiser two weeks in advance of the appraisal meeting.

The Appraiser will respond to the Self-Appraisal by writing an Appraiser's Review (appraisal document PERS069). This gives the Appraiser's view of how the Appraisee has performed within their key areas; suggestions for any job changes and plans for the future; and suggestions for training and development. This document needs to be based on fact and on objective performance measures. It is not simply a statement of the Appraisers opinions. Like the Self-Appraisal, it need not be very detailed. It is an agenda setting document, the detail of which will be discussed at the appraisal meeting. The Appraiser's Review should be given to the Appraisee at least one week before the appraisal meeting.

Although the above two documents are used simply to set the scene, it is essential that they mention all the major issues that each party wants to discuss at the appraisal meeting. It would be unfair of either to bring up major new items or spring 'surprises' during the meeting. So, be clear, concise and complete.

4.	Appraiser and Appraisee have now 'corresponded' with each other and are in a position to have their Appraisal Meeting. This should be a productive and open discussion about past, current and future performance and should conclude with agreement between Appraiser and Appraisee on:

summary statement about past performance, specifying areas of particular achievement and areas for development;
a list of prioritised Key Performance Areas and associated objectives/standards, where appropriate;
a specific statement on training and development needs

This information should be written up, by the Appraiser, as the Summary Appraisal Record (appraisal document PERS070) within two weeks of the appraisal. Again this need not be extensive or detailed. The aim is to produce a record which is easily readable and accessible for quick and regular reference and capable of being supplemented and updated as a result of follow-up meetings between Appraiser and Appraisee. The most important characteristic of this document is that both Appraiser and Appraisee understand it, identify with it and accept it as a clear and relevant work and development plan. It is the beginning of an ongoing discussion between appraisers and their appraisees.

Once the Appraiser has written up the Summary Appraisal Record, it should be checked with the Appraisee and signed by both. The originals are given to the Dean/Head of School/Department and copies are retained by Appraiser and Appraisee. The Self-Appraisal and Appraisers Review documents do not form part of the final Summary Appraisal Record; they are simply 'correspondence' documents between Appraiser and Appraisee prior to the appraisal meeting where the final record will be agreed.

After this, appraisal should be ongoing with Appraiser and Appraisee updating in the light of inevitable changes. The frequency, nature and formality of such updates will depend on factors such as stability in the Key Areas of the job and the degree of normal routine contact between Appraiser and Appraisee.