CAREER DEVELOPMENT AND APPRAISAL SCHEME FOR ACADEMIC AND ACADEMIC‑RELATED STAFF
The University is committed to the continuing pursuit of excellence in all aspects of its operation. The Career Development and Appraisal Scheme is one important means of working towards this goal. It is appreciated that the implementation of the Scheme is a major undertaking calling for considerable commitment and goodwill from appraisees, appraisers and reviewers in order to ensure fairness and objectivity in appraisal, and to stimulate and sustain career development initiatives. The University recognises the importance of developing an effective Scheme, and will aim to allocate adequate resources in order to meet the stated objectives. The Scheme applies to all academic staff, including those on research and analogous scales, for whom the relevant committee is the Academic Staffing Sub‑Committee and to all academic‑related staff.
THE SPIRIT OF THE SCHEME
The purpose of the appraisal process is to facilitate and encourage individual career development, to improve performance and to contribute to the excellence of the University and its constituent units[1]. The Scheme is intended to encourage each member of staff to reflect upon his or her own performance. Appraisal discussions are intended to focus on present and future performance in the job, not on an individual's personal characteristics. The outcome of the appraisal process carries as much purport for appraisers and reviewers about the quality of leadership and management as it does for appraisees about individual performance. The Scheme is intended to reinforce and develop existing patterns of effective working among staff, not to supplant them.
OBJECTIVES
The objectives of the Scheme are to
(a) help individual members of staff to develop their careers within the institution
(b) improve staff performance
(c) identify changes in the organisation or operation of the institution which would enable individuals to improve their performance
(d) identify and develop potential for career advancement and promotion
(e) improve the efficiency with which the institution is managed.
THE SCHEME
The Scheme applies to all staff paid on academic and academic‑related scales who are (i) full‑time permanent; (ii) full‑time temporary with contracts for two years or more; or (iii) part‑time for at least half‑time and with contracts for two years or more. These thresholds on full time equivalence and fixed term appointments arise out of practical consideration only, and are not intended to imply treatment that is either more or less favourable than other staff. Members of staff on probation will not normally join the scheme until their probation has been satisfactorily completed. The appraisal will cover the full range of activities required to be undertaken by each member of staff.
Each member of staff entering the Scheme will be responsible for producing or updating a curriculum vitae and for preparing a statement of projected activities and, personal objectives in preparation for discussion with an appraiser. The appraisee should also prepare for a discussion of development needs. The appraiser will be responsible for giving the appraisee guidance on how the objectives of the Scheme can be met.
The appraisal discussion will be concerned with reviewing, and if necessary, revising the statement of projected activities, and personal objectives. The appraisal record will include such revisions as are necessary to projected activities and personal objectives. There will also be scope for individual comments by appraisee and appraiser on the outcome of the appraisal discussions. Special emphasis will be given to the identification of development needs and appropriate recommendations for action.
The reviewers will have four main functions:
(1) to be available to give guidance to appraisees and appraisers individually;
(2) to scrutinise batches of career development and appraisal reports for consistency of treatment and to certify that appraisals have been satisfactorily completed;
(3) to receive notification of specific and general problems from either an appraisee or an appraiser or both, and to attempt to resolve them;
In exceptional circumstances an appraisee, on being advised of the appraiser's name, can request an alternative appraiser.
In serious cases of disagreement between the appraisee and the appraiser, the appraisee, after consultation with the reviewer, may request that a new appraiser conduct a substitute appraisal.
There will be an additional step in the appraisal process from the second academic session in which an appraisee participates in the Scheme. The appraisee will be responsible for preparing a factual statement of progress and achievements compared with agreed objectives since the previous appraisal, noting any changes from intended activities and the reasons for them. The progress section of the appraisal record will be completed and the appraisal discussion will begin with a review of performance.
APPRAISERS AND REVIEWERS
The appointment of appraisers/reviewers for University level appraisals will be according to the following guidelines.
For the Principal, the Chair of Court will act as appraiser and there will be no reviewer.
For the University Secretary, Deputy Principals, the Principal will act as appraiser and there will be no reviewer.
For the Directors of Finance, Estates and Campus Services, HR Services, Communication and Development, and the Academic Registrar, the University Secretary will act as appraiser and the Principal will act as reviewer.
For Professors, the Head of Department will act as appraiser and a Deputy Principal will act as reviewer. For non‑professorial Heads of Department a nominated Deputy Principal will act as appraiser and the Principal or his/her nominee will act as reviewer.
The appointment of appraisers and reviewers for Departmental level appraisals will be according to the following guidelines, though it may be necessary to make special arrangements in the case of certain small Departments.
For all other academic staff a senior member of the same Department will normally act as appraiser and a nominated Deputy Principal will act as reviewer. The reviewer will be from a different Department from the appraisee.
Where research and analogous staff report to a principal investigator, who is not appointed as an appraiser, the principal investigator will normally be consulted by the appraiser, and the appraisee will have the option of having the principal investigator present at appraisal discussions.
For all other academic‑related staff a senior officer will normally act as appraiser and the Principal's nominee as reviewer.
TIMING
The appraisal discussion will normally take place between 1 October and 1 March in any academic session. Members of staff on probation will not be part of the appraisal scheme but will be subject to review through the probation schemes for academic and academic–related staff. Other new members of staff enter the scheme in their first session provided they take up appointment before 1st October. Staff commencing on or after 1st October will not normally be included in the scheme until their second session. Appraisal will take place annually for staff wishing to be considered for advancement in the current or following session and certain staff with major managerial responsibilities (e.g. Heads of Departments and Deputy Principals). Appraisal will be biennial for all other staff once a full Appraisal cycle has been completed (an appraisal on entry to the scheme and a further appraisal which will allow performance to be compared to targets). However, staff may opt for more frequent appraisal with the consent of the appraiser.
APPRAISAL AND ADVANCEMENT
There will be a formal link between the Career Development and Appraisal Scheme and advancement procedures from the second academic session in which an appraisee participates in the Scheme. In instances in which the appraisee is due for consideration for advancement or wishes to apply for advancement, evidence for career advancement ‑ will be produced, derived from recent appraisal records. The appraisee and current appraiser will be responsible for producing an agreed summary of recent appraisal records focussing particularly on these aspects of the appraisal records which provide evidence about suitability for advancement. The evidence for career advancement will be submitted through the Head of Department. Along with the curriculum vitae, the material in the evidence for career advancement memorandum will be the only information from the appraisal process cited when advancement is under consideration.
APPRAISAL AND DISCIPLINE
The Career Development and Appraisal Scheme has a positive developmental purpose, and will not be used in connection with disciplinary action. Formal issues of discipline will neither be a matter for appraisal discussions, nor for entry into the appraisal record.
It should be noted, however, that should the University have to initiate disciplinary action, use of the curriculum vitae would not be ruled out, and that an appraiser or reviewer of a member of staff facing disciplinary action may be involved in the proceedings in another capacity, but may not refer to the appraisal record or appraisal discussions.
DOCUMENTS
The following documents are involved in the Scheme.
(1) The Curriculum Vitae
Each member of staff will be responsible for producing a curriculum vitae according to the current guidelines. Updating will normally be required by academic staff at the beginning of the academic session, but a member of staff may also update at other times. It is hoped that Academic Related Staff will keep their c.v. up to date and draw significant changes to the attention of the appraiser, but it is not a requirement that this must be submitted as part of the second and subsequent appraisals. The curriculum vitae will become part of the formal University record, and will be available for use by the appraisee, appraiser and reviewer as part of the appraisal process.
(2) The Appraisal Record
Two copies of the appraisal record will be produced. The appraisee will be given one. The other will be kept in a confidential file. Departmental level records will be kept in the Department with access restricted to appraisee, appraiser, reviewer, and Head of Department.
University level records will be kept by the Principal or his/her nominee with access restricted to appraisee, appraiser, reviewer, the Principal and his/her nominee.
(3) Evidence for Career Advancement
Will be submitted in the form of an agreed memorandum by an applicant through the Head of Department to the appropriate Committee as part of a case for advancement, and be added to an individual's staff file.
(4) Notification of Agreed Items for Follow‑up
The appraiser is responsible for drafting and agreeing memos dealing with items for follow-up with the appraisee, before sending them to relevant parties. Copies of these memos should be attached to the appraisal record.
(5) Notification of Completion of Appraisal
The Appraiser is responsible for notifying HR Services that the appraisal interview has been held, follow up memos and other documentation agreed and that documentation has been forwarded to the Reviewer by means of the slip attached to the Appraisal form.
The Reviewer is responsible for notifying the appraisee that all stages of the appraisal for the session have been satisfactorily completed.
UNIVERSITY OF STIRLING
T H E C U R R I C U L U M V I T A E
Notes of Guidance
The following notes are intended to help members complete or update their CV. The recommended format is as follows.
1. Date
Date of completion/update of CV
2. Record
(a) Name
(b) Current post
(c) Department
(d) Date of birth
(e) Post‑school education: degrees, etc (class, institution and date), other professional or academic qualifications
(f) Career: appointments held
3. Duties, responsibilities and achievements in current post
Research and analogous staff and academic‑related staff should give details of required activities in current post and any other material relevant to their current duties and responsibilities. The format for this group of staff is left to individual discretion.
Other academic staff should use the format in 3.1‑3.4 below.
3.1 Teaching
(The material in this section should refer to the year of entry to the scheme and be retained in the CV for five years: new material should then be added for each academic session and retained in the record for five years.)
(a) Departmental teaching responsibilities: give details of lecture courses, laboratory classes, small group teaching, field‑work, dissertation supervision, including the level of course (undergraduate Part I, Part II General and/or Honours, taught postgraduate course) level of responsibility, numbers of students involved, and contact hours of teaching in each area over the past year.
(b) Teaching for other Departments or outside this University.
(c) Personal statement of aims and objectives to date, innovations and experiments, attendance at courses, methods of obtaining feedback and attempts at improvement.
3.2 Examining
(a) Internal ‑ undergraduate, postgraduate, taught course, postgraduate research, other ‑ appointment as Chief Examiner.
(b) External ‑ undergraduate, postgraduate, taught course, postgraduate research.
3.3 Research
(a) Brief statement of research interests and activities. Co‑operation with people outside this University. Research visits abroad etc.
(b) Outside recognition (e.g. membership of societies where academic distinction is criterion for membership, prizes awarded, papers invited at symposia and conferences, invited lectures, consultancies and consultations, patents etc., research grants and contracts).
(c) Research supervision: number of research students supervised (current and total and whether as principal or second supervisor) and of completed theses over the past five years or so.
(d) Publications: list in order according to one of the standard University formats (Appendix 1)
3.4 General Contributions to Academic Life
To achieve a measure of breadth and comparability in the assessment of the general contribution a number of categories should be used. The following notes will it is hoped provide broad category headings and a general guide to content:
Departmental e.g. timetabling, library, safety, admissions, course administration, curriculum development, computing responsibilities, responsibility for technical staff or specialist services, staff/student liaison, secretaryship or convenorship of department or subject committee meetings, etc.
University e.g. major managerial responsibilities ‑ in academic, academic‑related and general welfare spheres. University committees, University representative on outside bodies etc.
Professional Contribution Outside the University e.g. Government committees, governing bodies of learned societies and professional institutions, editorship of journals, consultancies, conferences/symposium organisation, (advice to other institutions, regular broadcasting on the discipline, external examinerships other than in higher educational institutions) commitments to business or industry, etc.