University Appraisal Scheme
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1 University Appraisal Scheme 1. Policy Statement 1.1 Cardiff University recognises the need to develop all staff to allow them to meet their full potential and make a valued contribution to the institution as a whole. The Cardiff University appraisal scheme is a formal scheme designed to review performance and development needs on an annual basis enabling staff to develop their role in line with the aims of the University through the discussion, review and setting of clear, relevant and measurable objectives in the short, medium and long term. 1.2 Appraisal is not a stand alone performance review and development mechanism but should be part of a regular constructive feedback process and a key stage in the identification of staff learning and development needs. 1.3 When reviewing the learning and development needs of a member of staff it is important to remember that learning and development can be facilitated through a wide range of activities including shadowing /secondments /mentoring/conferences for example, which may be appropriate to the needs of the member of staff and the College/School/Professional Services Division 1. For further advice and guidance on supporting the development needs of a member of staff please contact the Training and Development section of Human Resources. 1.4 The Appraisal Scheme is not linked to procedures which determine pay or grading for which the University has other identified processes. 1.5 The Scheme, where appropriate may be integrated into the existing School developmental/ monitoring activities but should be clearly evident to all involved that this forms part of the Appraisal process. 1.6 The appraisal meeting outlined in this policy is an annual event and is mandatory for all members of staff who are not currently undertaking Probation and should take place during the academic year to facilitate the planning of staff development activities for the next Academic year. 1.7 The College / School / Professional Services Division will record all appraisals undertaken on the Human Resources Management System as soon as the appraisal report is complete and signed off by appraisee, appraiser and Head of College / School / Professional Services Division as appropriate. 1.8 Each School is encouraged to produce a summary plan on completion of the appraisals in their area. The summary plan will outline the development needs identified by staff group or category and will not contain personal data. School plans will inform the relevant College s annual learning and development plan. This supports appropriate discussion at College level on learning and development funding. 1 Hereafter the term School will refer to all areas related to Colleges / Schools and Professional Services Divisions 1
2 2. Appraisal Monitoring 2.1 All Heads of Colleges / Schools / Divisions 2 are responsible for the implementation of the appraisal scheme within their own School. Schools are required to maintain appraisal records and each school has designated members of staff who maintain appraisal data and undertake the requisite reporting responsibilities. Anonymised, aggregated, monitoring data in relation to the appraisal process will be reported regularly to University Executive Board. 3. Appraisal Procedures 3.1 The Head of School will ensure that all staff are provided with a designated appraiser who will be responsible for arranging with the member of staff a suitable date, time and location for the appraisal meeting. If a staff member feels that the appraiser appointed is not appropriate they should discuss their concerns with the Head of School or nominee who will decide if an alternative appraiser should be agreed. 3.2 Prior to the annual round of appraisal meetings the Head of School will ensure that all appraisers are aware of the University s key strategic goals as well as School plans, objectives and priorities for the coming review period. 3.3 The designated appraiser will ensure that the appraisee is provided with the relevant appraisal forms in advance of the meeting. This should occur at least three weeks before the date of the appraisal meeting to allow the member of staff appropriate time to complete the self-review form. If a member of staff is not provided with an appraisal date they may request one. 3.4 The appraisee is responsible for completing the self-review form, part of the appraisal record, for discussion at the appraisal meeting and returning a copy of the completed form to their appraiser. This should occur at least one week before the appraisal meeting to allow the appraiser appropriate time to prepare for the appraisal meeting. 3.5 The meeting will be conducted in an open and constructive manner providing an opportunity to formalise feedback and communication processes which should be in operation throughout the year. The appraisal meeting should not be used or regarded as a disciplinary meeting. Any disciplinary issues should be handled in a timely way during the normal course of management. 3.6 The appraisal meeting will be flexible enough to deal with a variety of issues and topics but will focus on achievements against previously set objectives. The appraisal should generally include a discussion around any identified key ambitions and institutional key performance areas for the University in The Way Forward which sets out the University s strategic direction and institutional key performance indicators in relation to Research, Education, International Impact, Engagement and Finance, 3 the objectives and plans of the College / School / Division and the individual s role within these. Discussions should also cover the member of staff s current work load, any circumstances which are impacting or affecting their performance including, where appropriate, any issues relating to a disability or stress to ensure appropriate support is offered. Constructive feedback should be given on the levels of performance achieved and specific measurable objectives set for the following review period alongside any learning and development activities identified. 2 Hereafter the term Head of School will refer to a Head of School or Head of a Professional Services Division or their nominee 3 2
3 3.7 When setting and agreeing objectives it is essential that the appraisee is fully aware of what they need to achieve in terms of performance, when it must be achieved by, and how the objective will be measured. As such when setting and agreeing objectives as part of appraisal the following should be considered:- Are the objectives in line with the volume and level of activities and responsibilities of the role and in the context of University, College/School/Professional Services Division and Team objectives; Are the objectives reflective of the grade, level of experience in the current role and working arrangements of the member of staff; Do the objectives clearly state the performance standards required, the timeframe when such activities should be achieved and are they quantifiable/measurable; Do the objectives challenge and present an opportunity for the individual to develop; Are the objectives reflective of any issues affecting performance and the role raised by the member of staff. 3.8 Continuing professional/career development should be discussed during the appraisal with particular regard to any learning and development needs required to perform the role. When discussing the staff member s career development all forms of development should be considered including shadowing, secondments and mentoring as well as other more traditional development activities. Ultimately in some cases it may have to be acknowledged by all involved that not all career development opportunities can be facilitated by the member of staff s existing role or in some areas through other opportunities within the School or wider University, as the future careers of some staff may lie elsewhere. 3.9 It is the normal expectation that the designated appraiser will regularly review and monitor the member of staff s performance throughout the year, reviewing the set objectives and training needs with the appraisee and addressing issues as and when they occur. Where performance issues occur development and action plans should be agreed and reviewed. Guidance is available from your Human Resources Manager regarding the University s performance management processes For members of staff who have recently completed probation, the appraisal will be based on the objectives agreed at the last probationary meeting and other activities undertaken since During the appraisal meeting the appraiser should ensure that any changes in the appraisee s circumstances are noted and the appropriate areas informed where this has not already occurred. Where a reasonable adjustment in respect of a disability may be appropriate then further advice and guidance should be obtained from Human Resources and/or Occupational Health department Following the appraisal meeting, the appraiser should complete the appraisal meeting report based on the salient points discussed and sign the document as an accurate reflection of the meeting and the requirements of the role. Any development and training needs identified should be recorded on the individual learning and development plan. This should be completed during the two weeks following the meeting. The appraisee must then review the content of this report and sign to confirm that the record is an accurate reflection of the meeting and the requirements of the role. Any changes required by either the appraiser or the appraisee should be agreed by both parties. The final appraisal document will include a description or a list of current agreed responsibilities which can be used to update the appraisee s current job description and to inform any further discussions regarding the role over the review period. 3
4 3.13 There may be circumstances when there is a disagreement between the appraiser and the appraisee about what has been discussed. In such circumstances where the differences cannot be reconciled, a mutually acceptable third party, who will normally be a more senior member of staff from within the School, should be invited to help resolve the differences. If agreement cannot be reached, a note of any areas of difference should be made. Human Resources should be contacted for advice at this point The agreed appraisal documentation must be sent to the Head of School 4 for consideration to ensure that the agreed objectives are consistent with School plans and/or are achievable in relation to resource implications. Where learning and development needs have been identified and agreed but cannot be facilitated the Head of School will inform the appraiser who should inform the appraisee of this decision. 4. Appraisal Documentation 4.1 All individual appraisal documentation should be kept within the School. Only the School summary learning and development plan will be sent to the College for planning purposes. 4.2 A generic appraisal record template has been developed which can be modified to meet the needs of different Schools and to assist staff involved in the appraisal process. The Cardiff University Leadership and Management Framework is available to assist when appraising staff with leadership and management responsibilities. 4.3 All appraisal documentation must contain the following core elements: a self review form - to be completed by the appraisee; an appraisal meeting report to be completed by the appraiser and agreed with the Appraisee and signed by both the appraisee and appraiser and the Head of School; individual learning and development plan to be completed by the appraiser and agreed with the appraisee and the Head of School; 5. Confidentiality 5.1 Appraisal documentation must be kept in line with the Data Protection Act Appraisal documentation should remain within the School and shall be confidential, as far as possible, to the appraisee, the appraiser and (if different) the Head of School or other relevant senior member of staff. It is imperative that the Head of School or other specified senior member of staff has an opportunity to view the documentation, whenever necessary, to ensure that individual's future work and development objectives are in line with the needs of the School. 5.2 Occasionally tasks and objectives set for individuals at appraisal meetings have an impact on the School as a whole. In such circumstances, with the agreement of the appraisee, it is important that these tasks and objectives are shared with other members of staff. Communication of such information is expected to be appropriate to the situation and sensitive to the needs of the appraisee. 4 Where appropriate this may be another relevant designated senior member of staff within the College/School/Professional Services Division 4
5 6. Other Appraisal Review Schemes 6.1 Clinical Academic Staff (including Joint Performance Review, Appraisal and Job Planning) The Joint Performance Review and Appraisal Scheme will remain as set out in the local agreement with Cardiff and Vale NHS Trust and other NHS Trusts The GP Appraisal scheme will remain as set out in the local agreement and policy and procedure The annual Teaching/Research review scheme for honorary clinical medical and dental academics (including clinical teachers) will remain as set out in the local agreement and policy and procedure. 5
6 Flowchart University Appraisal Scheme * Any concerns regarding the choice of appraiser should be discussed with the Head of College/School/Division or appropriate nominee. ** A mutually acceptable third party can be invited to help in circumstances where any differences cannot be reconciled. (Revision ) 6x *** Report may be accepted or referred back to the appraiser for further discussion with the appraisee.
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