Appraisees Best Practice Guidelines

Introduction
These Guidelines are intended to support the Schools Appraisal Policy and Procedure.
The Appraisal Policy sets out a statement of principles for the appraisal process.
The Appraisal Procedure sets out the stages and responsibilities of the appraisal
process, explaining who should do what and when.
These Guidelines are designed to be a training aid and to give practical advice to staff
undergoing appraisal (Appraisees) to help them prepare for and participate in the
appraisal process. These Guidelines are in the form of Frequently Asked Questions.

What are the benefits of appraisal for me?

The many benefits of having an appraisal include:

To agree objectives for you to work to throughout the year, to help you focus and
prioritise your activities.
To help you and your manager ensure your work supports the achievement of
section, departmental, Faculty and School goals, so you can understand how you
contribute to the Schools success.
To enable formal recognition of your achievements.
To help you and your manager identify your strengths and weaknesses.
To allow you and your manager to give and receive constructive feedback on
working relationships and to give you an opportunity to identify what support you
need in achieving your objectives.
To allow you and your manager to identify any development or training needs and
review the impact of developmental activities already undertaken.
To allow you and your manager to identify any issues that appear to hinder your,
section or the Departmental performance.

What is the purpose of these Appraisal forms and what are the
different sections of the forms for?
The Schools appraisal process is designed to be a continuous cycle; reviewing your past
performance against previously set objectives and focusing future performance by setting
new objectives. The Appraisal forms are designed to facilitate this process, which is why
your appraisal meeting will be focused on both last years and this years Appraisal Form.
The Appraisal Form is split into two Form A and Form B. Each form has several parts.

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Appraisal Form A should be a working document, which you and the Appraiser (the
manager who is responsible for conducting your appraisal) should review regularly
throughout the year and during the recommended six month informal appraisal meeting.
Form A Part 1 Work Action Plan
This form focuses on your performance objectives and the underlying tasks
needed to achieve each objective
The last column should be completed the following year to record how you have
achieved your objectives.
Form A Part 2 Personal Development Plan
This form is for recording your personal development objectives and activities
The last column allows you to record what you have learnt from the personal
development activities you participated in and should be completed and discussed
at the next appraisal after you have undertaken these activities.
Form A Part 3 Working Relationships
This part of the form allows you and the Appraiser to give and receive feedback on
your working relationship with each other and with colleagues in the team and
across the School as appropriate.
Form A Part 4 Overall Assessment
Your Appraiser will record their overall assessment of your performance using the
Schools rating system.
Form B - Part 1 List of Publication and Research Grants
This part of the form is for academic and research staff only; if you are an
academic or research member of staff, use this part of the form to record details of
your research activities.
This part of the form also allows your Appraiser to comment and give feedback on
your research activities.
Form B Part 2 Register of Interests
This form allows you to declare any interests or potential conflicts of interests.

What is the purpose of the pre-appraisal meeting?

The purpose of the pre-appraisal meeting is to:

Give your Appraiser the opportunity to explain the purpose of appraisal and ensure
that you understand the Appraisal Procedure
Help you and the Appraiser prepare for your appraisal
Ensure everyone has the correct documents needed for your appraisal.
Ensure you know what documents you need to complete and give to your
Appraiser in advance of your appraisal.
Arrange a date, time and venue for your appraisal.
Give you an opportunity to ask any questions about the process in advance.

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In some cases, your Appraiser may decide that a pre-meeting is unnecessary and will
write to you explaining the appraisal process, arranging the date/time venue, and giving
you all the necessary documents. If you are unclear of the process or have any
questions, ask to meet your Appraiser in advance of your scheduled appraisal.

What documents should my Appraiser give me at the preappraisal meeting?

You may want to use this checklist to ensure that your Appraiser has given your all the
necessary information at the pre-appraisal meeting.
Last years appraisal form (including Parts A and B) OR
Last years probation form if objectives were set during probation
A new Appraisal Form A for this year in which your Appraiser has
completed the first column of Part 1 to initially propose objectives for
the next year to be discussed at the appraisal meeting*
Your job description
Your person specification
The Schools Strategy/objectives
The Faculty/Service Area Strategy/objectives
Your Department/Service Section/teams objectives
Your Appraisers objectives if these are relevant to you
A copy of the Appraisal Policy, Procedure and Guidelines for
Appraisees if you have not already got these documents
* In some rare cases, your Appraiser may ask you to propose initial objectives for the
next year and will therefore give you Appraisal Form A with a blank first column in Part 1.
This will normally happen for senior management roles or professional roles or in cases
where you are an expert in your area of work, unlike your Appraiser.

How can I prepare for my appraisal?

Try to assign yourself at least one hour of uninterrupted time to allow you to prepare for
your appraisal. Ensure you have read the Schools Appraisal Procedure and Policy,
together with all the documents given to you by your Appraisal.
You will need to draft the relevant sections of the Appraisal forms in advance of the
appraisal meeting. A number of questions to consider are given under each section
below to help you propose the appropriate sections of the Appraisal form and participate

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in the discussion at your appraisal. Many people find hat they get substantially more
benefit from the Appraisal process, if they prepare thoroughly.

This years Appraisal Form A: Part 1, Column 1

Your Appraiser should have completed Column 1 to propose new performance objectives
(except in those cases outlined above see *). Consider;
How do these proposed objectives relate to your
section/departmental/Faculty/School objectives?
How do these proposed objectives relate to your job description?
What tasks will you need to complete to achieve these objectives?
Are the proposed objectives reasonable and achievable?
What do you think a realistic deadline for each objective will be?
What possible constraints could arise which may prevent you fulfilling these
objectives?
What help and support do you need from your Appraiser and/or others to help you
achieve these objectives?
How would you like your job to develop in the coming year?

Last years Appraisal Form A: Part 1, Column 4

You will need to complete the final column (column 4) of Part 1 of last years Appraisal
Form A, to record your initial assessment of how you think you have met last years
objectives. Remember that this column will be finalised by your Appraiser, following the
discussion at the appraisal. For each objective, consider:
What went well this year?
What have been your greatest achievements during this period?
How did your achievements impact on your team/section/Department/Faculty
goals?
Did you mean the deadline for the objective?
Reflect on the discussions that you have had over the last year with your
Appraiser (both informal and formal) about your work and progress in achieving
your objectives. What feedback have you had from your Appraiser?
What went less well?
Were there any unexpected challenges or difficulties?
How did you try to overcome these?
Were there any problems outside your control which prevented you from doing
your job well?
How could these be tackled in future?
What would you do differently in the future or what have you learnt from this
experience?
What support did you get from your Appraiser and/or colleagues in helping you
achieve these objectives?
What could be done to make your job more effective?

Last years Appraisal Form A: Part 2, Column 3

You will need to complete the final column (column 3) of Part 2 of last years Appraisal
Form A, to record your initial assessment of what you learnt from the personal

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development activities from last years Personal Development Action plan. Remember
that development activities are broader than training courses and can include coaching,
mentoring, shadowing, structured reading etc. Consider:
What did you learn from the personal development activities?
How did they help you in achieving your objectives or work activities?
How did they help you as Career Development activity in achieving your career
ambitions or goals?
What further activities would be useful, considering the proposed objectives for
next year from your Appraiser?
What knowledge, skills and experience do you need to achieve your objectives
and to perform your job to the required standards?
Which of these skills, knowledge experience do you already have and what do you
need to acquire? How can you best achieve these?
Are there any developmental activities which may link to your longer-term goals
and aspirations?

Last years Appraisal Form A: Part 3, Columns 1 & 2

You will need to complete the first two columns (columns 1 & 2) of Part 3 of last years
Appraisal Form A, to give feedback on working relationships with your Appraiser and your
colleagues and to identify any support that you need in the future to help you achieve
your objectives. Consider:
How has your Appraiser helped you in meeting your objectives this year?
What was useful and why?
What could your Appraiser have done differently?
What support would you like from your Appraiser in the coming year to help you
achieve your new objectives (e.g. regular meetings, access to information which
will you help you with specific tasks)?
Do you have adequate information to help you achieve your objectives?
Is communication in the team/section/Department effective?
How would you describe your relationship with colleagues?
How could your relationships with colleagues be improved in the future (e.g. more
regular team meetings, shadowing of colleagues, training etc)?
How have your colleagues helped you in achieving your objectives this year?

What documents do I need to give to my Appraiser in advance

of my appraisal?
You may want to use the following checklist to help you ensure that you give your
Appraiser all the required documents in advance of the Appraisal.
Last years Appraisal Form A with the final columns of Parts 1 & 2
completed.
Last years Appraisal Form A with Part 3 completed.

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In some cases (see * above) where your Appraiser has asked you to
propose your own objectives, this years Appraisal Form A, with the
first column of Part 1 completed.
This years Appraisal Form B Part 2 completed (Declaration of
Interests)
This years Appraisal Form B Part 1 completed (List of Publications
and Research Grants) for Academic and Research staff only.

What will be discussed at my appraisal meeting?

Your Appraiser will discuss the following topics with you at your appraisal meeting:

School/Faculty/Departmental/Section/team objectives for the last and next year.

A discussion of how well you have achieved last years objectives.
An overall review of your achievements and any difficulties for the next year,
including a discussion of the proposed overall performance rating assessment.
Your role in the working team, your relationship with your Appraiser and how these
working relationships could be enhanced.
Your personal and career development needs.
Agreeing performance objectives for the coming year.

What factors will my Appraiser consider when proposing my

performance objectives?
The School Appraisal scheme is based on a cascade system where organisational
objectives are translated into Faculty/Area objectives, which are then broken into
Department/section/team objectives, on which all employees objectives should be based.
In advance of your appraisal, your manager will propose some performance objectives
and record these in the first column of Part 1 of this coming years Appraisal Form A.
Remember these objectives will be discussed and agreed with you at your appraisal
meeting; prior to the meeting they are just proposals!
When proposing your objectives, your Appraiser should have reviewed their own, team,
section, Departmental/Faculty objectives to identify how your work contributes to the
achievement of these organisational goals and set your objectives accordingly.
Your Appraiser should set no more than six main objectives and often only three or four
main objectives may be set for you. Your Appraiser should break down each objective
into specific task and set dates for the achievement of each task. When setting deadlines
and objectives, your Appraiser should take into account your workload, who else may be
involved in helping you achieve each task and what resource constraints you may face.
In the School Appraisal scheme, objectives should be set in four broad areas:

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1.
2.
3.
4.

Teaching
Research
Organisational activity
External activity

Not all staff will have objectives under these headings; it will depend on the nature of
each individuals work. However, professional and support staff may have objectives
under these categories where their work is involved in supporting these activities (e.g.
staff in the Research Office may have objectives under the Research area to reflect their
work in supporting research across the School).

What are SMART objectives?

To ensure that your objectives are realistic and achievable, your objectives should be
SMART (Specific, Measurable, Achievable, Realistic, Time-Limited). To achieve this,
your Appraiser should:
Specific

Measurable

Achievable

Realistic

Time-limited

Ensure the objective is clearly described and

precise to avoid confusion
Avoid vague or unclear objectives and tasks could
lead to you misdirecting your activities and even
poor performance. If you are unclear about a
proposed objective, ask for clarification or for it to
be re-written.
Consider how they will measure your success in
achieving the objective. If your Appraiser cant
assess how you will meet the objective, they
shouldnt set it!
Ensure that the objective is fair to you and one
your Appraiser would reasonably expect you to
achieve your Appraiser should not set
objectives it will be impossible for you to achieve.
Consider what may help or hinder your ability to
achieve the objective What obstacles or
constraints may there be? How could these be
overcome?
Give deadlines or timescales for each objective
and ensure these are reasonable and achievable.

What is the Schools performance rating scheme?

Under the Schools Appraisal Procedure, following discussion with you, your Appraiser,
should rate your performance against each individual objective, using the following rating
scheme as follows;

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1. Achieved
2. Partially Achieved
3. Not Achieved
Your Appraiser should explain why they are giving you each rating and you may wish to
challenge their assessment. If you do not agree with their assessment, try to give
examples to back up your point of views.
If you have only partially or not achieved objectives, your Appraiser should consider
whether there have been any unexpected circumstances beyond your control that may
have hindered your ability to achieve the objective. If this has happened, your Appraiser
should take this into account when assessing your performance. In the event that an
unforeseen event or obstacle occurs during the appraisal year which will impact on your
ability to achieve your objective(s), ask your Appraiser for an informal appraisal review
meeting. This will allow you to discuss the situation that has arisen, what could be done
to tackle the problem and revise the objective, as appropriate.
Under the Schools Appraisal scheme, your Appraiser will assess your overall
performance against your previous years objectives, using the following rating system;
1.
2.
3.
4.

Performance is outstanding at this level

The individual is performing at a level in excess of the requirements of the role
The individual is performing well according to the requirements of the role
The individual is performing at level below the requirements of the role in some
aspects
5. Performance is unacceptable.
If suitable SMART objectives have been set, then it is likely that the majority of staff will
be accessed as The individual is performing well according to the requirements of the
role.
If your Appraiser has rated you as Performance is outstanding at this level or The
individual is performing at a level in excess of the requirements of the role your
Appraiser may wish to consider putting you forward for an honorarium or additional
increment under the Schools reward processes.
If your Appraiser may assess you as The individual is performing at level below the
requirements of the role in some aspects or Performance is unacceptable, this rating
should not be a surprise to you; as your Appraiser should have already raised
performance concerns with you either in informal counselling meetings (held in
accordance with the Schools Management Guidelines on Performance Monitoring or
Informal Counselling Meetings) or during formal disciplinary action. Use the Appraisal
process to focus on how you can improve your performance to the required standards in
the future.

What happens after my appraisal?

Normally five working days after your appraisal, your Appraiser will give you the fully
completed Appraisal forms. This will include:
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Last years Appraisal Form A, with the final column of Part 1 completed, to record
their final assessment of your performance against last years objectives, taking
into account your initial assessment and the discussion at the appraisal.
Last years Appraisal Form A, with the final column of Part 3 completed with their
response on your feedback on working relationships with colleagues and your
Appraiser.
Last years Appraisal Form A, with Part 4 completed to record their overall
assessment of your performance.
This years Appraisal Form A, with the first three columns of Part 1 completed to
record your performance objectives for the coming year.
This years Appraisal Form A, with the first two columns of Part 2 completed to
record your Personal Development Action plan for the coming year.

Read all the completed Appraisal Forms carefully to ensure you understand them and
feel that they are an accurate record of your appraisal meeting. If you have any queries,
raise them with your Appraiser. Sign the Appraisal forms and return them to your
Appraiser.
Your Appraiser will then send your signed forms to your Dean of Faculty/Head of Service
Area for review. Once your Appraiser has received the signed Appraisal forms back, they
will give you a copy for your records, and send a copy to the HR Department.

Im unhappy with what my Appraiser has put on my Appraisal

forms. What should I do?
Try to raise your concerns with the Appraiser informally in the first instance it may be a
misunderstanding that can be resolved through discussion. Explain to them what you are
unhappy with and why.
If you are unable to resolve matters informally, your Appraiser should follow the
Resolution of Disagreement process set out in the Appraisal Procedure. To help them do
this, you will find it helpful to put in writing the reasons why you are unhappy with the
Appraisal forms. Your Appraiser should ask your Dean of Faculty/Head of Service Area
(or delegate) to review the documentation and reach a conclusion in favour of one of the
parities. This is likely to include a meeting with you and your Appraiser to discuss the
areas of disagreement. Sometimes separate meetings will be held with you and your
Appraiser. Remember that the process is to try to resolve any areas of disagreement so
try to remain positive and objective; give examples and evidence to try to verify your point
of view. It is important to remember that the process is not a grievance procedure and
that relationships will need to be maintained by both parties in future.
A decision will be taken by the Dean of Faculty/Head of Service Area and will be
communicated to you and your Appraiser in writing. A copy of this letter will be retained
with your Appraisal form.

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How often should my Appraisal take place?

Your appraisal should take place once a year, normally in Term 2.
It is recommended that your Appraiser hold at least one informal appraisal review
meeting with you, normally after six months. This will allow you and the Appraiser to
review your progress against your objectives, revise these if necessary and discuss any
problems.
If you have any concerns for example, if you are facing some unforeseen problems that
are impacting on your ability to achieve your objectives ask your Appraiser for a review
meeting. This will allow you both to take any necessary actions to resolve problems well
in advance of the appraisal meeting.

My manager has assessed my performance as outstanding

and is considering submitting me for an additional
increment. Can my appraisal form be used to support any
application for a reward?
With your consent, your manager can use your Appraisal Form to support their
application for an additional increment or honorarium, to provide evidence of your
excellent performance. If you are happy for them to use your Appraisal form for this
purpose, tick the relevant box on Part 4 of Appraisal Form A.
Please note that this not compulsory and your manager can still make an application for a
reward for you even if you do not wish your Appraisal form to be used for this purpose.

Im worried about my appraisal will my manager raise any

performance concerns with me?
Appraisal is not intended to be a forum for your Appraiser to criticise you. Any feedback
given at appraisal should be constructive and designed to help you improve your
contribution to the School. Written guidelines and training is available to assist your
manager give you constructive feedback.
Secondly, appraisal meetings are not a substitute for on-going management and
guidance. If your manager has concerns about your performance, they should have
raised this in at least one informal counselling meeting with you (held in accordance with
the Schools Management Guidelines on Performance Monitoring or Informal Counselling
meetings) and confirmed this in writing to you. If problems are serious and/or have
persisted, they are normally dealt with in accordance with the Disciplinary Procedure.
What this means is that unless you have previously been told there are problems with
your performance, you should not worry that such issues will be raised in the meeting.
Any performance problems raised at the appraisal should have been discussed with you
on previous occasions; the only exception to this could be the very rare cases where a
problem has occurred immediately before your appraisal and your Appraiser has not had

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a separate opportunity to discuss this with you. This should be exceptional and
Appraisers are advised to ensure that there are no surprises for you in the appraisal
discussion.

What is the relationship between Appraisal and the

Disciplinary Procedure (e.g. the formal procedure for
dealing with misconduct or poor performance)?
The Appraisal Procedure and Disciplinary Procedure are separate processes. Cases of
unacceptable performance should be managed through the Schools Management
Guidelines on Performance Monitoring or Informal Counselling meetings, or Disciplinary
Procedures. Any objectives set during Informal Counselling meetings should normally
relate to your Appraisal objectives, but will be reviewed and monitored more regularly
with than the annual appraisal process.
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