Appraisal Policy

Appraisal Policy

1 Introduction

1.1 / Performance appraisal underpins good performance management practice and staff development at SOAS. Appraisal is a key mechanism for explicitly directing all employees’ contribution so that individuals can see how their work supports the aims and objectives of their section, department, Faculty and the School as a whole. The process should provide clear direction towards personal and organisational objectives so that each individual is able achieve their potential and contribute to the School’s success.
1.2 / Appraisal plays an essential role in identifying training, development and career needs and ensuring that individual contribution is valued and recognised.
1.3 / In addition, the appraisal meeting enables staff and managers to discuss performance and provides a mechanism to give and receive constructive feedback.
1.4 / Performance appraisal should normally have a positive focus on issues such as staff development and staff achievements. However, the School recognises that there will be rare instances of unacceptable or poor performance. Such cases should normally be dealt with separately from the appraisal process through the application of the School’s Management Guidelines on Performance Monitoring or Informal Counselling meetings, and where problems persist the appropriate Disciplinary Procedures. Performance or disciplinary issues should not normally be raised for the first time during the appraisal meeting.

2 Scope

2.1 / The appraisal process will apply to all staff who have successfully completed their probationary period. This includes staff on part-time or fixed-term contracts, although in the latter case, adjustments to assessment periods etc may be required.

3. Principles

3.1 Frequency of the appraisal meeting

3.1.1 / Each eligible member of staff should have an appraisal meeting at least on an annual basis.
3.1.2 / It is strongly recommended that an informal review meeting be held after six months. This is to ensure that the appraisal objectives set six months previously are still appropriate, and if necessary, to agree new or revised objectives. It will also allow an opportunity for both parties to raise problems or issues well in advance of the year-end so that there is a chance of resolving them and still achieving the agreed objectives.

3.2 Probationary staff

3.2.1 / New members of staff whose probation is managed under the School’s new Probation Policy and Process for Academic-Related Staff, Other-Related Staff, Research Staff, Technical and Certain-Related Staff should have objectives set as part of their probationary process.
3.2.2 / These probationary objectives will be reviewed in the employee’s first appraisal following confirmation of appointment and new objectives for the future set in accordance with the School’s Appraisal Procedure.
3.2.3 / Their first appraisal will take place in Term Two or Term Three during the normal appraisal period for the School, even if less than a year has passed since the Appraisee’s final probation review. If there is a considerable length of time between the member of staff’s final probation meeting and their first appraisal, their manager should hold an informal review meeting (see 3.1.2) to review progress against the member of staff’s probationary objectives and to be set new or revised objectives as appropriate.
3.2.4 / Academic staff or other support and professional services staff who have not had objectives set during their probationary period, should have their first appraisal immediately after the successful completion of their probationary period. This will involve the setting of appropriate objectives.
3.2.5 / In such cases, the second appraisal will take place during the normal appraisal period in Term Two or Three and an informal interim review may be necessary if there is a considerable length of time between the first and second appraisal.

3.3 Appraisal Objectives

3.3.1 / Individual objectives must be set annually to reflect the strategic objectives of SOAS. This will be done via a ‘cascade’ system, such that organisational objectives are translated into Faculty/Area objectives, then into Departmental/section/team and individual performance objectives.
3.3.2 / Strategic objectives can be set in four broad areas as follows:
i. / Teaching
ii. / Research
iii. / Organisational activity
iv. / External activity
3.3.3 / These four broad areas would provide a framework for setting both departmental and individual objectivities. However, it is recognised that not all of them will be relevant in all cases and many individuals’ objectives would be set in only one or two of these broad areas.
3.3.4 / During the appraisal process, personal development objectives should normally also be set, and wherever possible, linked to the achievement of organisational objectives.
3.3.5 / Individual objectives should be SMART; Specific, Measurable, Achievable, Realistic and Time-limited. This is to ensure that objectives are fair, reasonable and success in achieving these objectives can be monitored.

3.4 The Cascade system

3.4.1 / Paragraph on the timescales for organisational objectives to be written here, following consultation with HR Committee!!!!
3.4.2 / Faculty or Area strategies or objectives should form the basis of discussions between Heads of Academic Departments/Managers of Service Sections, leading to the creation of objectives for the academic department or service section.
3.4.3 / Academic department/service section objectives would in turn form the basis of discussions between section heads and individuals members of staff, leading to the agreement of a set of objectives for the individual for the coming year.
3.4.4 / For some grades of staff/types of role, it will be more appropriate for ‘generic’ objectives or standards to be set. For example, the target number of enquiries/requests that helpdesk staff should deal with per week.
3.4.5 / Paragraph about specific objectives for academic staff may be added here following discussion with HR Committee – e.g. for the roles of Associate Deans for Research/Teaching/Deans/Pro-Director.
3.5 / Timing of the appraisal process
3.5.1 / The appraisal process should normally take place during Term Two or Three to enable individual objectives to reflect organisational objectives set during the School planning cycle.
3.5.2 / The exception to this will be staff who have newly completed their probation period where individual objectives were not set as part of the probation period (see 3.2 above).
3.6 / Appraisal meetings
3.6.1 / The individual’s immediate line manager will normally conduct the appraisal and act as Appraiser. For academic staff, appraisals will normally be carried out by the Head of Department (the Appraiser). In the case of some senior academic staff, the Dean of Faculty may appoint an alternative Appraiser to the Head of Department where appropriate.
3.6.2 / Where an individual’s role requires them to be responsible to, or work closely with two managers, only one manager will normally conduct their appraisal unless the Appraisee consents to both managers participating in their appraisal. In such cases, the manager who does not attend the appraisal meeting, should give feedback in advance to the manager conducting the appraisal meeting (the Appraiser) and have the opportunity to comment on any draft appraisal forms.
3.6.3 / Disabled staff are entitled to be accompanied by a support worker (e.g. signer) to help them participate in their appraisal meeting.
3.6.4 / The purpose of the appraisal meeting will be to;
i. / Discuss, review and rate performance against the objectives set during the last appraisal meeting/probation review meeting.
ii. / Set new individual SMART objectives for the coming year, which are derived from , and aligned to, organisational objectives
iii / Identify any staff development activities required to assist the person to meet their objectives and formulate a personal development action plan
iv / Give feedback to the Appraiser on how they are managing their staff. This information may be used in the Appraiser’s appraisal.

3.7 Appraisal ratings

3.7.1 / When assessing an Appraisee’s objectives, the Appraiser should use the following rating system;
i / Performance is outstanding at this level
ii / The individual is performing at a level in excess of the requirements of the role
iii / The individual is performing well according to the requirements of the role
iv. / The individual is performing at a level below the requirements of the role in some aspects
v. / Performance is unacceptable at this level

3.8 Appraisal forms

3.8.1 / Appraisal forms should be used to record the appraisal meetings, including the objectives set, how performance is rated and the personal development plan.
3.8.2 / Copies of the appraisal forms should be retained by the Appraisee and Appraiser for regular review and monitoring.
3.8.3 / Copies of completed and signed off appraisal forms should be returned to Human Resources and kept on confidential HR files.

3.9

Reward processes

3.9.1 / An Appraisee may wish to consent to their agreed appraisal ratings being used to feed into the School’s reward processes to support any application for an honorarium or additional/contribution increment.

3.10

Staff development

3.10.1 / Individual personal development plans drawn up at appraisal will be sent to the Human Resources Department so that individual training needs can be taken into account when planning organisational development activities.

3.11

Links to other processes

3.11.1 / Feedback from teaching observations may be used in the appraisal of teaching and academic staff.
3.11.2 / All staff will be required to complete a Register of Interests form which will be held in central HR files. If an employee’s Dean of Faculty/Head of Service Area thinks that there is a potential conflict or concern relating to an declared interest, they should seek advice from their designated HR Manager.

3.12

Assessment disagreements

3.12.1 / The School recognises that on occasions the Appraiser and Appraisee will not agree on a performance assessment or rating.
3.12.2 / Where this happens, the parties should meet with the Dean of Faculty/Head of Service Area (or delegate) as soon as practical to discuss the areas of disagreement. Where the Dean of Faculty/Head of Service Area is the Appraiser, the HR Department will appoint another senior officer to act in this capacity. The Dean of Faculty/Head of Service Area will be responsible for making a final decision concerning assessment and should confirm their decision in writing to both parties.
3.12.3 / If after following this process above, the Appraisee remains unsatisfied with their appraisal ratings or process, they would have recourse to the relevant School Grievance Procedure as appropriate for their category of Staff.

Definitions

Appraisee: an employee who is being appraised under the School’s appraisal procedures.
Appraiser: the manager/academic officer conducting an appraisal meeting in accordance with the School’s Appraisal Policy and Procedure. The Appraiser will normally be the Appraisee’s line manager.
Area: an academic or service department.
Service Area: an administrative department such as the Library, Finance or Registry.
Head of Service Area: e.g. Librarian, Director of Finance, Registrar, Director of Human Resources.
Line manager: the line manager will be the individual nominated by the Dean of Faculty or Head of Service Area to have supervisory responsibility over the Appraisee.

Equality and Diversity

5.1 / The procedures outlined here should be carried out with due regard to any diversity issues which may have affected either original situation or the current process. The School’s Diversity Adviser and diversity specialists within the Human Resources Department are available to support colleagues in the area. Where a diversity issue (e.g. a disability including chronic physical or mental health conditions) has been disclosed to the School, whether prior to the situation which triggered this process or during the process, the line manager co-ordinating the process is responsible for checking with the employee to determine their needs and making appropriate arrangements. Employees who have not previously disclosed a diversity issue which may be relevant to this process are encouraged to do so, as early as possible, so that it can be taken into account.

Publication of Policy and results of assessment and monitoring

6.1 / This policy will be publicised widely within SOAS in electronic formats to ensure its profile and impact is highlighted in full. Significant trends arising from assessment and monitoring may also be published.

Table of responsibilities

Level / Responsible for:
Deans of Faculty &
Heads of Service Areas / · ensuring that all staff in their area are appraised against objectives agreed under the School Appraisal Policy & Procedure on an annual basis.
· ultimately to agree individual objectives for staff in their area and to ensure that they are appropriate and aligned with organisational objectives/strategy
· ensuring that appropriate appraisal documentation is completed, signed and sent to the HR Department or ensuring that this is carried out by managers in their area where delegated
· holding meetings to try to resolve any disagreements over appraisal assessments between Appraisee and Appraiser and making a final decision on any dispute.
Appraisers / · ensuring that an appraisal review meeting takes place annually for all staff to whom they are the assigned appraiser
· ensuring that all appraisal forms are completed and signed by all parties in accordance with the Appraisal Procedure
· sharing with Appraisees, information about organisational and area objectives as well as objectives for the Appraiser/team members where these are relevant and appropriate.
· being familiar with the School’s Appraisal Policy & Procedure and attending Appraiser training
Appraisees / · ensuring they provide all the necessary information to the Appraiser in advance of the appraisal meeting
· positively participating in the appraisal process
· ensuring they are conversant with the School’s Appraisal Policy and Procedure
Human Resources Department / · reminding Deans of Faculty/Heads of Service Area that appraisals are due
· monitoring the operation of the appraisal scheme
· providing advice and support to staff and managers on the operation of the Appraisal Policy & Procedure
· reviewing personal development plans to identify training needs to feed into the School’s staff development programme
· arranging appraisal training
· retaining appraisal records on individual’s confidential HR files

Approval

8.1 / This policy was agreed with ?

Last updated: 5/2/08