APPRAISAL POLICY. Policy description:

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1 APPRAISAL POLICY Policy description: Craven College s appraisal scheme aims to enhance the quality of service provided by the College by promoting the individual professional and personal development of all staff in a systematic way and within the context of the College s strategic priorities and business objectives. Appraisal is a key management tool to formally manage staff performance. It provides staff with a formal opportunity, on an annual basis, to present what they think their major achievements have been over the past year, to discuss their performance against previous agreed actions and agree development areas for further improvement with clear performance targets for the year ahead. Supporting documentation: Staff Appraisal Forms all staff categories (staff intranet) Appraisal Calendar (staff intranet) Links to other policies: Probationary Policy and procedures Capability Procedure Human Resources and Quality strategy Page 1 of 6

2 1. Executive Summary The Appraisal Policy outlines the College s approach to managing the performance of staff. All staff are expected to participate in an annual performance appraisal, conducted by their Line Manager, where performance is reviewed and feedback given as a two way process. The key element is continuous improvement with clear action plans and target setting relevant to the employee and the College. The policy also highlights the process and the organisation and management of the scheme. 2. Context The Appraisal Policy is closely linked to the College s Human Resource and Quality strategy and the College s strategic objectives. As an Investor in People, the College considers human resources the most important asset and therefore focuses on maximising the effectiveness of staff, through support and continuing personal and professional development. The benefits of appraisal in terms of improved communication and enhanced performance, both for the individuals involved and for the College, will be achieved only by the continuous commitment of all staff participating in the scheme. 3. The policy 3.1 The objectives of the College s performance appraisal scheme are as follows: To provide a platform for Managers and their staff to review aspects of job performance on a regular basis so that each individual is provided with the information and support to perform his/her job to the best of his/her ability, and to make the best contribution possible towards the College s strategic objectives. The process provides clear direction towards personal and organisational objectives, so that each individual is able to achieve his/her potential, gain maximum job satisfaction and contribute towards the College s success. To add value in identifying individual training and development needs and career aspirations. Discussions on such needs should focus upon genuinely assisting the appraisee in acquiring the relevant skills, knowledge and behaviours for him/her to perform well in his/her current role. Opportunities for progression or alternative work may also be on the agenda. 3.2 The Appraisal Policy is that all staff will receive an annual performance appraisal, regardless of job status or number of hours of work. 3.3 Line Managers are responsible for delivering staff appraisals and all staff are required to participate in the appraisal process. The Appraisal process is recognised as an important tool in managing staff performance and also provides an opportunity to recognise good performance as well as discuss areas for improvement. It is also considered an effective means of fostering an effective working relationship between individual staff and the Line Manager. 3.4 The College recognises that effective performance management takes place by informal day/day professional discussions between Managers and individual staff on an on-going basis which feeds in to the formal performance review process. 3.5 The College considers it good practice for Managers to conduct six monthly formal interim reviews, alongside the annual appraisal. 3.6 Completed appraisal forms are kept confidential apart from the Personal Development Plan section of the appraisal form which will be viewed separately by the Staff and Page 2 of 6

3 Professional Development Manager so that this information can be used in formulating the College Training Plan for the forthcoming year. However, the Director of Quality and Performance will be responsible for validating the quality of the appraisals, in conjunction with the Senior Management Team. 3.7 Appraisal interview training for Line Managers will be given prior to conducting appraisals and in line with any further training needs. 4.0 The Process 4.1 The Appraisal process follows the Institute for Learning key principles of Continuing Professional Development (CPD) and the coaching model. 4.2 The appraisal scheme applies to all staff. For salaried staff it commences after the 6 month probationary review period on the next annual appraisal cycle. Part-time claims staff are also expected to fully participate in the appraisal process, with opportunities for face to face discussions with Line Managers and by completing the on line appraisal form with feedback, on an annual basis. 4.3 The scheme is highly participative, with a great deal of emphasis on self-appraisal, ensuring that staff have a major role in determining their own development. 4.4 The appraisal process is NOT linked to pay and promotion. Appraisal interviews therefore should emphasise the development needs of the individual in the more immediate future and the establishment of priorities that reflect, not only the needs of the individual, but also the College s operational and strategic objectives, linked to legislative requirements. 4.5 The Appraisal Calendar is issued each year and is made available on the staff intranet, indicating the time schedule for completion of annual appraisals. 4.6 The appraisal interview schedule will start from director-level downwards in order that communication of corporate objectives can be made more effectively. Management appraisals are therefore normally completed first towards the end of the academic year to plan actions well in advance of the forth coming year. 4.7 The time frame for reviewing performance of all staff (both salaried and part time), other than staff on probation, in the current academic year is normally from April to July, in order to review improvements and plan actions for the following academic year. 4.8 As well as formally reviewing past performance, the appraisal scheme is much more future orientated, being chiefly concerned with setting agreed individual targets and supporting staff to develop or improve. Personal targets will be set against specific key competencies, linked to the College Performance Targets and Strategic Priorities and in line with the specific role and responsibilities/job description. 4.9 The appraiser will agree a mutually convenient date and time for the formal appraisal meeting with the appraisee, allowing sufficient time for preparation. (at least two weeks notice). The appraiser will ensure that the appraisee has appropriate documentation or is able to access this in advance of the appraisal meeting, i.e appraise guidance notes, the relevant Performance Appraisal Form and referral to the role and responsibilities document or job description for preparation. There should be strong emphasis on the ownership and responsibility of the appraisee for gathering the relevant data required for the appraisal review process, in advance of the Performance Review. Appraisers should Page 3 of 6

4 ensure that appraisees are fully briefed on the Performance Appraisal process before commencing the appraisal meeting The appraiser should request a copy of the appraisee s self-appraisal form at least one week before the appraisal meeting in order to allow sufficient time for preparation. The appraiser should allow two hours to complete the appraisal The structure of the appraisal meeting with the appraiser and the appraisee will be based on the headings of the Performance Appraisal Form Performance Appraisal Forms for each job category are on the College intranet, which can be downloaded. Managers and appraisees can choose whether they prefer to use the documents electronically or as hard copy The appraisal forms are designed to prompt appraisers and appraisees to focus on the correct agenda in line with the objectives of the appraisal scheme. They must be completed as a true record of the discussion that took place at the appraisal meeting, and the action plan should include agreed outcomes which are followed up Appraisers will be required to grade staff against each key competency on a rating 1-4. Rating 1. Exceeds requirements, Rating 2. Effective, Rating 3. Partially effective and Rating 4. Not effective. Each rating must be justified by relevant evidence with some examples to clearly explain the judgements made. An overall rating will be summarised at the end of the performance review, based on aggregation of individual ratings and judgement The appraiser will complete the Performance Appraisal Form with the appraisee, on the basis of feedback and the discussion at the appraisal meeting. The main achievements, areas for development, personal performance targets and personal development plan for the year ahead will be noted. The appraisee and appraiser should sign to confirm their commitment to the content of the Performance Appraisal, including the agreed Performance Action Plan The Appraiser should also check that the appraisee has updated and recorded details of continuing professional development (CPD) and discussion should take place around the impact of this development. It is a mandatory requirement for all teaching staff to plan and record CPD on an on-going basis. All staff (particularly teaching staff) are required to bring along a copy of their CPD Record, detailing their CPD activities over the previous year, to the appraisal meeting Teaching staff appraisals should be linked to lesson observations and outcomes for students, with strong focus on improvements in learning and teaching or sharing good practice, with supporting data. Teachers who achieved a lesson observation grade below grade 2 must be graded Partially Effective, since the main focus on this role is teaching and learning. Where teaching staff have been observed as a grade 3, followed by a further observation as a strong grade 2, a judgement should be made by the Line Manager whether an Effective grade should be awarded Performance management also includes recognition and praise for good performance. Line Managers are encouraged to seek opportunities to recognise achievements where possible The appraisee and appraiser should prepare fully before the appraisal meeting, making relevant notes and collating relevant data such as success rates, CPD undertaken. The evidence will form an important part of the process to substantiate judgements. Page 4 of 6

5 4.20 After the completion of the Performance Appraisals, Line Managers will arrange a meeting with their Senior Manager to review the appraisals carried out. This review will be in relation to the fairness and effectiveness of the process and not their particular views of individuals. The Senior Manager will complete the comments section of the Performance Appraisal Form If a member of staff has voiced the opinion to the appraiser that they disagree with the performance ratings or feel that the process or judgements made are unfair, they can request for a relevant Senior Manager to review the Performance Appraisal with them, in conjunction with the relevant Line Manager. The Line Manager will be responsible for arranging a follow up meeting with the Senior Manager within two weeks of the Performance Appraisal. The Senior Manager s conclusion will be final. Any paperwork or electronically filed forms should be completed within two weeks of the appraisal meeting and must be kept confidential. A copy of the appraisal form must be forwarded to the Director of Human Resources and placed on the employee s personnel file. The Line Manager should also retain a copy and give a copy to the employee Best practice is for Line Managers to conduct six monthly interim reviews with salaried staff On-going informal performance management on a day to day basis should also take place across the year, in the form of one to one professional discussions between the Line Manager and individual staff, particularly when minor lapses in performance are perceived or other concerns are noted. The formal Performance Appraisal therefore should be a summative performance review of the academic year The appraisal of part-time claims staff will be by the completion of an electronic Part-time Staff Appraisal Form with feedback from the Head of School/Line Manager. It is a mandatory requirement for all part-time staff to participate in the College s appraisal scheme and systematically plan and record CPD. This should be issued by the Head of School/Line Manager on an annual basis in line with the calendar for all staff from April- July. All part time staff have an opportunity to have a one to one discussion with their Head of School/Line Manager, upon request. All part time staff who teach 15 hours per week or more should have a full Performance Appraisal in line with the procedures for salaried staff. 5.0 Organisation and Management 5.1 The College scheme is managed by the Appraisal Management Team, which comprises the Director of Human Resources, Director of Quality and Performance and the Staff and Professional Development Manager, which in turn is overseen by the Principal. 5.2 The management team is responsible for ensuring: - Staff receive the necessary information and training - Staff receive the necessary support in order to achieve College Performance Targets - Allocation of appraisees to appraisers and relevant training - Appraisals are scheduled and completed within the agreed timescale - Monitoring and evaluation - The provision of a relevant staff development programme in response to needs identified during appraisal - Staff are supported to develop and improve - Staff are supported in recording and monitoring their CPD. 5.3 Appraisals will be conducted by Line Managers and must be held within the time schedule of the Appraisal Calendar. Page 5 of 6

6 5.4 The Director of Human Resources (DHR), in conjunction with the Senior Managers, will monitor appraisal completion, providing regular reports on progress. 5.5 The Director of Quality and Performance (DQP) is responsible for the validation of the quality of the appraisals, with particular focus on teaching and learning, carrying out a range of spot checks on Performance Appraisals. The DQP will facilitate the provision of feedback to appraisers and to the Senior Leadership Team on general College themes for quality improvement. 5.6 The arrangements for the appraisal of the Principal and other senior post holders will be determined by the Governing Board. For the Principal and the Clerk to the Governors this will be the Chair of Governors and for the Vice Principal Finance and Resources this will be the Principal and the Chair of Governors or a governor nominee. 5.7 Appraisers and appraisees will have access to appropriate on-going support in these roles. Page 6 of 6