APPRAISAL POLICY AND PROCEDURE FOR SUPPORT STAFF 1

APPRAISAL POLICY AND PROCEDURE FOR SUPPORT STAFF 1 1 The appraisal scheme will be rolled out as follows: Phase 1 (2013/2014): Grades 8-11 Phase 2 (2014/2015): Grades 5-7 Phase 3 (2015/2016): Grades 1-5 Page 1 of 12

TABLE OF CONTENTS 1. INTRODUCTION PAGE 3 1.1 Purposes of Appraisal Page 3 1.2 Scope of this Scheme Page 4 1.3 Benefits Page 4 1.4 Equal Opportunities Page 5 1.5 Operating Principles Page 5 1.6 Summary of the Operating Procedure Page 6 2. ROLES AND RESPONSIBILITIES IN THE PAGE 7 APPRAISAL PROCESS 2.1 Head of Department Page 7 2.2 Countersigning Officer Page 7 2.3 Appraiser Page 8 2.4 Appraisee Page 9 2.5 Mediator Page 9 3. ACCESS TO AND STORAGE OF DOCUMENTS PAGE 9 4. SPECIAL CIRCUMSTANCES PAGE 10 4.1 Absence Due to Ill Health Page 10 4.2 New Staff Page 10 4.3 Temporary Promotion Page 10 4.4 Substantial Periods of Leave Page 10 4.5 Appraiser on Substantial Period of Leave/New Appraiser Page 10 5. OUTCOME OF APPRAISAL PAGE 11 6. APPEALING AN OUTCOME PAGE 10 5.1 Procedure for Appeal Page 11 7. LINKS TO OTHER PROCESSES AND PROCEDURES PAGE 12 Page 2 of 12

(1) INTRODUCTION Appraisal involves the appraiser and the member of staff in reviewing and planning the work and training needs of the member of staff within the overall context of the University College s strategy as detailed in its Corporate and Operational Plan. It is an essential part of the University College's commitment to developing its staff and to delivering a high quality service. Among other things, the appraisal system ensures that individual members of staff are clear about their responsibilities and have an opportunity to discuss any help they may need in meeting those responsibilities. Good quality appraisal is based on the principle that people are more effective when they can agree what is expected of them and receive feedback on how they are doing. A key aim of the appraisal process is staff development. Appraisal affords the opportunity to identify and address learning and training needs, and can contribute to career development for the employee. The emphasis is on a positive and constructive dialogue between appraisee and appraiser. The appraisal interview will be conducted on an annual basis and will be linked to the strategic planning process. The appraisal process is not a substitute for the ongoing dialogue and feedback between employees and managers which is a normal feature of good management practice. Where there are matters of concern, poor performance or good performance to be recognised, these should be addressed by both parties promptly and at the time they arise, and not left to the appraisal meeting. Support staff work in a variety of different organisational contexts within the University College. This appraisal scheme has been designed and developed to accommodate such diversity. Accordingly, the appraisal form is intended to be used in a flexible manner and completed in a way which reflects the staff member's career stage and job content. (1.1) PURPOSES OF APPRAISAL Appraisal: 1. Provides an opportunity for appraising, in a positive and constructive way, the previous period s work, and how this has been carried out. 2. Ensures that the employee s contribution to the University College is recognised and recorded. Page 3 of 12

3. Allows the identification of difficulties or obstacles which hamper effectiveness and ways to address and resolve such problems. 4. Assists communication between Departments/Teams and their members of staff. 5. Provides a link between the work of an individual/their team and the objectives of the Department/Team, and thus the objectives of the University College. 6. Informs the allocation of staff development resources. 7. Provides opportunities for the discussion of training needs for the current role and of development needs for future career opportunities so that staff may (a) seek to achieve their full potential, (b) enhance the work of the Department/Team and (c) help the University College to succeed in achieving its corporate objectives. 8. Identifying any necessary or potential changes in Departmental/Team organisation or operation. (1.2) SCOPE OF THIS SCHEME The College view is that the Appraisal Scheme will ultimately be rolled out to all support staff. This scheme will be rolled out as follows: Phase 1 (2013/2014): Grades 8-11 Phase 2 (2014/2015): Grades 5-7 Phase 3 (2015/2016): Grades 1-5 (1.3) BENEFITS (1.3.1) For the individual, appraisal can offer: 1. The opportunity to take stock, looking backward and forward in a constructive way. 2. Access to a trained appraiser with helpful experience and valuable feedback to offer. 3. Positive encouragement, record and recognition of achievement. 4. Greater focus on access to development, improved understanding of the context of his/her role and responsibilities and their contribution to the University College etc. Page 4 of 12

(1.3.2) For the Department, appraisal can offer: 1. Improved communications. 2. An opportunity to identify problem areas at the individual level. 3. Clarification of roles and responsibilities, including a check of the currency of the employee s job description. 4. An opportunity to draw on the ideas of a range of staff. (1.3.3) For the institution as a whole, appraisal can offer: 1. Improved overall performance through more effective staff. 2. Greater focus of staff activities on the University College mission and objectives. 3. Better value for money, since staff development resources can be targeted at identified needs. 4. More open and transparent styles of management and leadership. (1.4) EQUAL OPPORTUNITIES In addition to the above benefits, appraisal has an overall contribution to make in forwarding the equal opportunities policies of the University College, principally by ensuring fair and equal access to, and participation in, meaningful development. Within the operation of the scheme, the University College s commitment to equality of opportunity will be reflected both in specific outcomes for individuals and in the processes by which the scheme is implemented. (1.5) OPERATING PRINCIPLES 1. The process is intended to be open and two-way between the appraiser and the member of staff. It is a mutual discussion, starting from self-assessment, not a topdown judgement. 2. The process is where possible evidence based. 3. The content of the discussion is confidential to the two people concerned: however, the Head of Department/Team and the Principal will have access to the appraisal document. 4. The process is not a substitute for day to day management. 5. All appraisal processes will be conducted in the spirit of the University College s Equal Opportunities Policy, and will emphasise the principle of development. Page 5 of 12

6. All full-time and part-time APTC and supervisory staff are covered. The process will be conducted in a consistent way irrespective of grade or status. 7. The agreed outcomes from the process will be actively kept under review and implemented within the Department/University College. 8. Training will be provided for appraisers and briefing on the scheme for members of staff. Training for appraisers is mandatory and no nominated appraiser may undertake appraisal meetings until they have been trained. Appraisers will renew their training every 5 years. After individual appraisals have been completed, training and development needs will be reviewed at College level, so that they may be prioritised. 9. The process is rooted firmly within the University College's overall strategy; is objectives based and provides for individual, Departmental and College development within this context. 10. Appraisal is mandatory for all APTC and supervisory staff. 11. At the end of each appraisal round the Head of Department will meet with the appraisers in the Department to consider any broader issues that have arisen. 12. The operation of the scheme across the University College will be reviewed at least every two years by the Principal, Senior Management (i.e., Vice-Principal and Assistant Vice-Principal) and Corporate Planning Team in consultation with the University College s Trade Union Forum. (1.5) SUMMARY OF THE OPERATING PROCEDURE 1. Although the appraisal meeting will take place on an annual basis, the appraisal needs to be seen as part of a continuing process of communication and departmental and College development. This means that appraisal cannot be treated as an isolated event. 2. The Principal is responsible for establishing the structure for supporting appraisal and for ensuring the completion of the process within the timetable outlined on the first page of the appraisal form. 3. Consistency in the application of the principles of appraisal will be achieved through monitoring by the Principal. 4. After individual appraisals have been completed, personal development plans will be reviewed at College level, so that training and development needs may be prioritised. These will be incorporated into the Staff Development Operational Plan. Page 6 of 12

(2) ROLES AND RESPONSIBILITIES IN THE APPRAISAL PROCESS (2.1) THE HEAD OF DEPARTMENT The Head of Department is responsible for: 1. Creating the structure to support appraisal in the Department. 2. Nominating appraisers within the Department. As a general rule the maximum number of staff to be appraised by one person will be eight. However, it may not always be possible to adhere to this guideline. 3. Ensuring consistency and fairness in the application of appraisal principles across the Department. 4. Producing an overall summary of development and training needs within the Department as part of the Operational Planning process. A template will be provided to assist with consistency of reporting across the University College 5. Ensuring that staff development and training needs are forwarded to the Vice- Principal responsibility for Staff Development and the related budget. 6. Ensuring that appraisers are briefed on overall University College Corporate and Operational Plan. 7. Ensuring appraisals take place annually. 8. Ensuring that equality of opportunity is applied. 9. Monitoring the implementation of action plans agreed between appraisers and members of staff. 10. Ensuring that appraisal records are stored centrally in the Human Resources Department in the interests of confidentiality. (2.2) THE COUNTERSIGNING OFFICER The countersigning officer will ensure that: 1. There is a relationship between objective setting for the individual, the University College s Corporate and Operational Plan. 2. All processes have been followed by the appraisers, as required. Page 7 of 12

The Head of Human Resources will be the countersigning officer for all staff, with the exception of those for whom s/he acts as appraiser. The Vice-Principal will act as countersigning officer in those instances. (2.3) THE APPRAISER Appraisers are nominated by the Head of Department and will normally be the member of staff s line manager. Heads of Departments will be appraised by the Principal or an appropriate member of the Senior Management Team. It is a requirement that all those nominated as appraisers should receive full training on the appraisal system and how to operate it. The appraiser is responsible for: 1. Initiating the appraisal process. 2. Keeping agreed targets for performance, professional and personal development under review throughout the year and convening any necessary informal follow up discussions with the appraisee. 3. Ensuring that all the documentation is complete, and is forwarded to the Human Resources Department for record keeping/safekeeping. 4. Agreeing objectives for the appraisee 2. (This will be in consultation with the line manager if the appraiser is not the line manager). 5. Ensuring that the objectives set are compatible with the member of staff s role/job description and reasonable in respect of workload, timescales and resources. 6. Encouraging the appraisee to consider appropriate staff development activities and take up such opportunities as can be offered. 7. Ensuring that equality of opportunity is applied There is provision for a choice of appraiser should a member of staff, for good reason and in exceptional circumstances, feel unhappy with the nominated appraiser or feel that an alternative individual would be more appropriate. In these circumstances it is recommended that an alternative be agreed by discussion with the Head of Department or, if necessary, in consultation with the Human Resources Department. 2 Section 6 sets out the Appeal Process if objectives cannot be agreed or if agreement is not reached on the content of the appraisal record. Page 8 of 12

(2.4) THE APPRAISEE The appraisee is responsible for: 1. Preparing in advance of the appraisal including considering progress against targets and development needs 2. Completion of the appraisal self- assessment form at least 5 working days in advance of the meeting and providing this to the line manager. 3. Contributing to an exchange of views 4. Contributing to the identification of potential learning and development needs in discussion with the appraiser. 5. Agreeing reasonable targets with the appraiser. (2.5) THE MEDIATOR (if one is required) Any disagreement between the appraiser and appraisee should be resolved informally in the first instance between the two parties. If agreement cannot be reached following an informal meeting, there will be a meeting between the appraisee, appraiser and a mediator which will normally be a senior manager from another department (nominated, following consultation with the appraisee and appraiser, by the HR team), and with a Trade Union Representative if requested. The disagreement should be resolved with reference to factual records e.g. documents, diaries etc. where appropriate, in keeping with the evidence based approach which underpins the appraisal process. A resolution must be reached at this stage. If agreement cannot be reached between the appraisee and appraiser, the mediator will then have the final say on the matter that is, this individual will make a final decision on what information is to be included in the record of evidence. Should the appraisee remain dissatisfied, s/he may avail of the appeal process as set out in Section 6 of this document. (3) ACCESS TO AND STORAGE OF DOCUMENTS A copy of the completed Appraisal Form will be provided to the employee by the line manager. Approved documents may be accessed by: 1. The Principal 2. The relevant Senior Manager or Head of Department 3. Human Resources staff. Page 9 of 12

Records of all appraisals will be held by the Human Resources Department. Records will normally be kept for six years and destroyed thereafter. (4) SPECIAL CIRCUMSTANCES (4.1) ABSENCE DUE TO ILL HEALTH During review this should be taken into account in terms of what could have been realistically achieved within the reduced time-frame. A note should be made on the form to record either the modification to the objectives or an explanation of the underachievement or overachievement. (4.2) NEW STAFF If a member of staff has less than 6 months service, the Head of Department should wait until the start of the next appraisal cycle before assigning an appraiser. (4.3) TEMPORARY PROMOTION If the period of promotion is for more than six months, the appraisal should be carried out within the more senior role, if less, then the member of staff should be appraised within his/her substantive role. In such cases, flexibility in determining the appraisal date may be required. This will be determined on a case by case basis in consultation with the appraiser and appraisee. (4.4) SUBSTANTIAL PERIODS OF LEAVE (E.G., MATERNITY/PATERNITY LEAVE, ADOPTIVE LEAVE, CAREER BREAK) In such cases, flexibility in determining the appraisal date may be required. This will be determined on a case by case basis in consultation with the appraiser and appraise. (4.5) APPRAISER ON A SUBSTANTIAL PERIOD OF LEAVE/ NEW APPRAISER If an appraiser is on a substantial period of leave (such as career break, maternity or adoptive leave, etc.), staff normally appraised by that individual should be assigned to another appraiser. The onus is on the Head of Department to ensure that an alternative appraiser is nominated and that the appraisal takes place. (4.6) MEMBERS OF STAFF WITH A DISABILITY The individual has a duty to make the line manager/appraiser aware of any disability which have work related implications. Ideally this should happen as soon as the employee becomes aware of the impact of the disability on their work. This does not need to wait until an appraisal meeting. Page 10 of 12

Appraisal is an opportunity for a manager and staff member to discuss the context of the staff member s job. Appraisers should ensure that all reasonable adjustments have been made to facilitate the needs of those members of staff with disabilities. (5) OUTCOME OF APPRAISAL (5.1) In most cases the outcome of appraisal will be a satisfactory one with the agreement of a set of new objectives for the incoming cycle and an agreed statement about the achievements of the previous one. (5.2) On a few occasions, agreement may not be achieved and may result in the need for arbitration with the input of the countersigning officer, and an appeal process is also available. (6) APPEALING AN OUTCOME The objective of all appraisal discussions is to achieve agreement on what is recorded on Part B of the appraisal form, taking into consideration the viewpoint of both appraiser and appraisee, and the appraisal meeting should emphasise this principle throughout. However, in the unlikely event that agreement cannot be reached on what should be recorded, appraiser and appraisee should seek the help of the countersigning officer who will arbitrate between them. After this stage if the appraisee still feels unhappy, he/she may seek to appeal the outcome. (6.1) THE PROCEDURE FOR APPEAL Any steps under this procedure shall be taken promptly unless there is a good reason for delay (e.g., ill health precluding attendance at a meeting). Time limits in this appeal process will be extended if it is reasonable to do so. 1. The countersigning officer records his/her views and shares the document with the appraisee. 2. The appraisee contacts Human Resources to initiate the appeal process and submits in writing their view on the matter/s in dispute. This notice of appeal must be lodged within ten working days of the appraisee receiving the appraiser s written record of the appraisal and set out the reasons for appeal. 3. The Human Resources Department will convene the meeting of an appraisal appeals panel comprising: A manager, normally of at least the same level/grade as the appraiser, but not from the Department in dispute, An independent Chair Person who will normally be the Vice-Principal or Assistant Vice-Principal. The Head of Human Resources or Human Resources Officer Page 11 of 12

The appeal meeting will normally take place within ten working days of receipt of notice of appeal. All written information submitted about the matter in dispute must be disclosed to both the appraiser and appraisee in advance of the meeting. The appraisee is entitled to be accompanied by a fellow College employee or trade union representative to accompany her/him to such a meeting. The appraisee must take all reasonable steps to attend any appeal meeting arranged under this procedure. If the appraisee or the work colleague or trade union representative cannot attend at the time specified for a meeting, the employee must inform the Human Resources Department immediately, and the College will make reasonable efforts to arrange an alternative time, normally within 5 working days. If the employee fails to attend a meeting, in the absence of reasonable grounds, the appeal will be heard in his/her absence, and the panel will decide on the matter based on the information available to them. The panel will review all the documents, hear representations from: the appraisee; the appraiser and, the countersigning officer and will reach and record a decision, the outcome of which will be final. (6) LINKS TO OTHER UNIVERSITY COLLEGE PROCESSES AND PROCEDURES The appraisal meeting is not the forum in which to pursue disciplinary matters. These should be dealt with within the normal management processes and disciplinary procedures. Equally, the appraisal process is not the forum for employees to pursue grievances. These should be addressed within the informal and formal routes available, e.g., raising issues informally with the manager at the time they arise, or using the grievance procedure. The appraiser and appraisee should ensure that any duties or targets identified are appropriate in view of the salary grading of the role. If there is any uncertainity, the HR department can check, using the HERA (Higher Education Role Analysis) scheme that the proposed actions are grade appropriate. Training needs identified will be addressed in accordance with the Staff Development Policy and Procedures. Page 12 of 12