Appraiser Guidance for Academic & Academic Related Staff
Contents
Introduction
Agreeing Departmental Procedures
Preparing for a Review Discussion
Setting the Scene
Differences of Style
Structuring the Discussion
Ideas for Action
Summary
Introduction
The purposes of Staff Appraisal and Development are to:
-develop the full potential of the employee, thereby benefiting the University’s effectiveness and giving support to the career progress of the individual,
-identify development needs and arrange means of meeting them, in order to improve individual and institutional performance,
-motivate the individual to meet the institutional goals of the University, and thereby enhance job satisfaction,
-identify changes in the operation or organisation of the University, which will in turn enable individuals to improve their effectiveness.
Practice elsewhere has demonstrated that the most productive form of staff appraisal is one which concentrates on the development of the individual as an effective employee and is separate from the promotion and disciplinary procedures. This will be the style of the University’s Scheme, however:
-an effective appraisal system will highlight the personal qualities of the individual, particularly in respect of potential for promotion, and the scheme provides a mechanism for forwarding an agreed statement, summarising the appraisal outcome, to the appropriate machinery.
-an effective appraisal system should give early warning of problems which may potentially demand disciplinary attention, and the successful anticipation of such matters should, with care and positive guidance, assist to avoid them becoming real problems later.
In formulating guidance on the operation of the Scheme, advice was sought from a leading consultant, Roger Pryor, who has very considerable experience of appraisal schemes in commerce and industry. He ran a one-day seminar on what is involved in conducting appraisal interviews and on techniques and strategies which have been shown to prompt constructive discussion. The suggestions which follow derive from that presentation and have been adapted to fit the particular requirements of our own procedures.
Appraisers are strongly encouraged to undertake training in Staff Appraisal before appraising staff , and appraisees may enquire about your training. Further information and guidance on on training is available at:
Agreeing Procedures
It is important to clarify in advance the form that the Appraisalwill take in your School/Support Department. Adiscussion, involving all members of staff, is therefore desirable. It will be an opportunity to ensure that purposes are widely understood and procedures agreed. There is a good deal of scope for individual Schools/Support Departments to tailor procedures to suit their own style of working, and members of staff may wish to discuss particular options.
Equally, while the Head of School/Support Department or his/her nomineewill normally undertake the appraisal, both Heads and members of staff are entitled to propose alternatives and should endeavour to reach agreement on this. In a large School/Support Department the Head may well need to propose that a senior colleague share the reviewing with him/her; and if personal relations are strained or a member of staff’s work is better known to another senior member of the department the Head may reasonably delegate responsibility for the appraisal. In such cases the alternative appraiser must have the full confidence of the Head or his/her nominee and keep in close touch with him or her about any action that is planned to follow from the review.
Thought should also be given to the timing of the appraisal, the designation of members for appraisal in any given year, and the documentation appropriate to the department. While the Guide provides an outline of the general areas to be covered in the documentation, breaking some of these down into more detailed sub-headings may be helpful in meeting specific departmental needs.
Preparing for a Review Discussion
In their preparation for an appraisal discussion, staff members will be asked to provide you with a written self-review and an updated curriculum vitae (guidance on preparing c.v. available at for academic staff). Staff members may wish to highlight issues they would wish to discuss in the appraisal meeting, but you will also need to identify major points for discussion, including perhaps issues not covered in the CV or the self-review.
As you will be asking your colleagues to spend a good deal of time in preparing for the Appraisal, it is essential that you are similarly well prepared. This will mean not only identifying priorities for discussion but also reflecting on your own observations and experience, and making appropriate checks on the member of staff’s recent performance. A major assessment of performance (of the kind required, for example, at the end of probation or when promotion is being considered) would be neither feasible nor desirable. Nonetheless, the appraiser needs to be sufficiently well-informed to be able to offer sound advice about further development. It may be worthwhile informally canvassing the views of senior colleagues, though not inquisitorially, to round out your own impressions. A variety of additional information might be drawn on: for example, file records, tributes to work done well, data from feedback questionnaires, minutes of staff-student meetings, examination results, teaching timetables, lists of administrative assignments; reports or projects towards which the individual has contributed.
Given that this check on performance will not be as exhaustive as a full assessment for promotion purposes, the appraiser should use the information he or she has gathered with great care, perhaps rather as a control on the member’s self-assessment than in order to make explicit judgements. In case of disagreement about performance the appraisermight urge the staff member to seek better feedback on performance, and review the outcome with him or her at a later date.
At the same time, it will be necessary to devise a strategy to ensure that the order in which the issues are introduced will allow the appraisal meeting to fulfil its function in helping the individual to see ways of achieving better job satisfaction and maintaining self-confidence. That strategy will depend on you having a good idea in advance which are likely to be sensitive areas for each individual and ensuring that such issues are raised gently but firmly after appropriate discussion of areas of strength.
The evidence from experience with appraisal schemes is that staff only change their behaviour if they are faced with challenges in a climate which is supportive and non-threatening. It will therefore be important to give some thought to how such a climate can be created.
Setting The Scene
Even the physical conditions are important. It is essential that no interruptions of any kind be allowed to occur (for example, by disconnecting the telephone, putting a notice on the door). The seating can also affect the relationship between the participants. Positioning yourself behind a large desk or even a table is likely to work against informality or underscore differences in status. If seating has to be at a table then sit at two adjacent sides, not opposite each other which might create a potentially confrontational situation. Seats should be at the same height and reasonably close together, but not too close. The whole situation should be based on the normal arrangement of your room, modified to create an informal setting for the discussion.
Differences Of Style
Experience of the various ways in which review and appraisal interviews have been conducted in industry suggests that there are essentially four main styles adopted. These range from self-assessment through collaborative review to advising and telling. As the diagram below indicates, the relative involvement of the appraiser and the staff member changes across the four styles, and thus influences the outcome.
high involvement by appraiserhigh involvement by staff member
Where the style is one of “telling” and the appraiser dominates, the staff member has little chance to present or develop his or her point of view. Where the appraiser allows the staff member to determine the agenda and to make the pace (as in the “self-assessment” style) the reviewer essentially has abrogated responsibility. In the appraisal the reviewer is given the responsibility of looking for areas of improvement on behalf of the institution. If that fails to happen, more judgemental reviewprocedures may be forced upon the University. A balance has to be struck which is appropriate to the nature of the appraisal process and to the experience of the staff member concerned. In general, the less experienced the member of staff, the more the appraiser should give explicit guidance and make specific suggestions. But in all interviews, effectiveness will depend on maintaining an easy and relaxed climate which allows developmental needs to be raised in a non-threatening manner.
Structuring The Discussion
Following a clear structure will help to focus and direct the discussion. Three main stages can be identified: opening the discussion; exploring issues; and rounding-off.
- Opening the Discussion
Since the first few minutes will tend to set the style and tone for what follows, getting things off to a good start is vital. You could, therefore, aim to establish rapport by helping the staff member to feel welcome and relaxed. This opening stage is also an opportunity to review purposes with a brief reminder of what the aims of the appraisal discussion are. And most important of all, it is an
opportunity to agree on an agenda, by identifying particular points which each of you wishes to explore in the discussion, and the sequence to be followed.
- Exploring Issues
Once an agenda has been jointly agreed, try to start on a positive note – for instance, by praising an initiative the staff member has pursued or singling out specific achievements for praise.
Other, perhaps contentious, issues will require a considered approach. First, it is essential to ensure that the facts of the matter have been clearly established and feelings on both sides clarified. The danger is of delivering a summary judgement based on an incomplete view. You may not have all the facts at your disposal, or know precisely what the staff member’s feelings and perceptions are. Second, when action of some kind is called for, you should aim to encourage the staff member to suggest solutions and to consider the likely consequences of different courses of action. Staff are more likely to follow up their own suggestions than those imposed on them. You may of course have alternatives to suggest, and can play an important part in establishing the range of options open. Once these have been considered, a clear decision on a course of action should be jointly arrived at.
- Rounding Off
Taking notes throughout this discussion is of course essential, and these will form the basis for the closing stage. Here the various decisions arrived at can be reviewed and a check made of what has been agreed. Some further discussion may be needed to set a time-scale for action (whether by the appraiser or the staff member), and to decide how decisions taken will be followed up and, where appropriate, progress monitored. The agreed note of action, HR Form 77, should be completed after the appraisal meeting and signed by the appraiser and appraisee.
Ideas For Action
Since the appraisal results in an agreed note of action, you may find it useful to review options in advance. There are many ways of helping individuals to develop skills or find a renewed sense of commitment. Some of those suggested here may have resource implications; many do not.
-a reduction, increase or change in workload
-taking on more responsibility, or a fresh challenge
-changing priorities
-consulting colleagues
-getting in touch with an outside agency, or a body within the University (Human Resources, the Computing Service, the TLA Centre) for specialist advice
-seeking specialist counselling or guidance
-“shadowing” a more experienced colleague
-being coached by a colleague on procedures, techniques, documentation
-visiting another School/Support Department (internally or elsewhere) to learn more about procedures, a fresh initiative, how a problem has been rethought
-taking part in a short course or conference
-mounting a seminar or workshop to meet your own and colleagues’ needs
-rescheduling study leave, or rethinking its objectives
-improving communication, e.g. by initiating meetings, proposing a remit for a working group, devising a better means of disseminating information
-joining a committee, working party or task force
-arranging a follow-up meeting to clarify career prospects and ways of improving these
-seeking more resources, internally or externally
-surveying possible sources of new funding
-costing and bidding for new equipment
-carrying out a pilot study or a small pump-priming project
-undertaking a programme of reading, with appropriate guidance
-obtaining systematic feedback (e.g. on teaching, liaison work, consultancy)
-arranging a health check
-asking for help in coping with a difficult situation (e.g. in supervising a research student, liaising with an overbearing colleague)
-designing or redesigning a course, exploring a new approach to teaching, establishing links (e.g. with schools or industry)
-seeking a secondment to other duties
-taking on a special short term project responsibility
SUMMARY
Agreeing within School/Support Department
-clarify purposes
-discuss options and agree procedures
-agree choice of appraiser
-determine timing, scheduling, documentation –
Self-Review Form -
Agreed Note of Action and
Statement for Promotion Review
Guidance on preparing a curriculum vitae
are available on the Web
Preparation by Appraisers
-identify main points for discussion
-collate your own observations and experiences
-sound out colleagues
-check file records and other relevant material
-plan the appraisal discussion so that:
-sensitive issues are carefully introduced
-the climate is supportive and non-threatening
Setting the Scene
-ensure there are no interruptions
-make seating informal
Differences of Style
-encourage involvement by the staff member
-tailor your approach to individual needs
Structuring the Discussion
OPENING THE DISCUSSION
-establish rapport
-review purposes
-agree on agenda
EXPLORING ISSUES
-start on a positive note
-take care to clarify facts and feelings
-consider options jointly
-ensure a clear decision is reached
ROUNDING OF THE DISCUSSION
-review decisions
-ensure agreement has been reached
-set a timescale for actions
-consider follow-up and monitoring
What makes for constructive discussion?
-questions that focus progressively, or reflect back
-active listening
-avoiding personal judgements
-raising weaknesses tactfully, with specific instances
-being alert to negative cues
-encouraging and praising
k:Training/General/Appraisal Publications/Guidance for Appraisers of Academic & Academic-Related Staff