BournemouthUniversityAcademic Staff Appraisal Scheme

ACADEMIC STAFF PERFORMANCE APPRAISAL SCHEME

CORE DOCUMENTATION:

  1. Academic StaffScheme Overview
  2. Academic StaffScheme Cycle
  3. Academic Staff Performance Appraisal Form

CONTENTS:

1. Academic Staff Scheme Overview

1.1Introduction

1.2Purpose

1.3Policy Statement

1.4The Scheme

1.5The Benefits

1.6 Roles and Responsibilities

1.7Timing

1.8Equal Opportunities

1.9Appraisal Documentation

1.10Appraisal Process

2. Overview of the Academic Staff Performance Appraisal Scheme Cycle

3. Academic Staff Performance Appraisal Form

Academic Staff Appraisal - Balanced Workloads

4. Appendix One

Questions from the Self Reflection Form

1. Academic Staff Scheme Overview

1.1Introduction

In supporting its commitment to good management practice and staff development, theUniversity’s Performance Management Framework is underpinned by a performance appraisal scheme for Academic Staff(the Academic Staff Performance Appraisal Scheme). This scheme, properly utilised, will enable staff to deliver their best possible contribution, unambiguously aligned in support of the University’s strategic aspirations as set out in BU2018.

The scheme promotes continuous performance improvement, continuous learning and development and self-assessment; which should lead to optimisation of staff job satisfaction, morale and motivation. The annual performance review discussion should contain no surprises and should not be used in any way as a disciplinary meeting. (Where there are performance concerns, then these should be managed accordingly at the time of the concern outwith the appraisal process and not deferred for discussion until the annual performance review discussion).

In order to gain the maximum benefit from the scheme, it is recommended that appraisers and appraisees read the Performance Appraisal Guidance Notes, which have been based on good practice and developed in response to feedback from appraisers and appraisees at BournemouthUniversity.

1.2Purpose

The performance appraisal discussion is set in the context of the University’s Strategic Plan and Faculty/Professional Service Business Plans and thepurpose of the performance appraisal discussion is to:

  • Reviewperformance for the previous year
  • Plan a balanced workloadfor the coming year
  • Agree performance objectives in line with the Academic Career Matrix
  • Agree personal and professional development plans in line with the Academic Career Matrix allow staff to progress via promotion
  • Complement regular, open, constructive dialogue between managers and their staff
  • Provide an opportunity to discuss and formally record individual performance on at least one occasion per year

1.3Policy Statement

The University is very clear that organisational improvement stems from developing individuals’ knowledge, skills, attitudes andbehaviours. It is therefore fully committed to the development of its staff where such development is to enable them to make a valued contribution, consistent with the University’s strategic aspirations.

The annualperformance appraisal scheme as outlined below:

  • Will be a mandatory process for all Academic Staffand
  • Will be subject to annual monitoring by UETand reporting to the UCU-BU JCNC

1.4The Scheme

The Academic Staff Performance Appraisal Scheme is applicable across the full and part-time Academic Staff population. It is a flexible, enabling scheme which can be adapted and contextualised to meet the functional needs of the Faculties(and Professional Services where appropriate) at the University.

1.5The Benefits

The benefits of appraisal are many including:

  • Providing staff and managers greater clarity regarding the goals of the University and how they can personally contribute to the University’s success via aligned performance objectives
  • Creating a culture of continuous development by providing a systematic way of identifying learning/development needs against performance objectives
  • Establishing a culture of continuous improvement through defining, maintaining and refining standards of expected performance and
  • Providing a platform for increasing job satisfaction, morale and motivation

Details of further benefits are identified in the Performance Appraisal Guidance Notes.

1.6 Roles and Responsibilities

Individuals within this scheme have specific roles and responsibilitiesand these are outlined in the Performance Appraisal Guidance Notes. In order to provide for the quality of time and attention needed to ensure that the appraisal process is both effective and satisfying for the University, the appraiser and the appraisee, it is recommended that each appraiser is responsible for no more than eight appraisees, although this could be extended to ten in some circumstances.

1.7Timing

The scheme will align with the Annual Planning Cycle, in a way that Academic Staff personal performance objectives can be established by the end of July each year.Whilst the appraiser and appraisee will be involved in an ongoing dialogue regarding performance and development throughout the year, a formal performance appraisal review discussion should take place annually and an interim review should be conducted part way through the year. See Core Document 2 attached.

1.8Equal Opportunities

In line withthe University’s commitment to equality of opportunity, every member of staff is responsible for promoting an ethos of dignity, courtesy and respect throughout the organisation, using appraisal to ensure staff have equality of opportunity in terms of balanced workload, staff development and progression.

1.9Appraisal Documentation

This scheme contains two forms (one of which is optional), namely:

A Performance Appraisal Form shown as Core Document 3 attached, which is for:

  • Recording the content of the annual performance review discussion and
  • Providing an overall assessment of performance and
  • Recording the Personal and Professional Development Plan objectives

The Standard Academic Profile (CV) will form a key part of the evidence in relation to performance and will be attached to Core Document 3.

A Self Reflection Form (optional) as shown in thePerformance AppraisalGuidanceNotes, is for:

  • The recording of significant events, activities and achievements during the performance year and
  • Stimulating consideration of actual performance in preparation for the annual performance review discussion.

Whilst completion of the Self Reflection Form is optional, it is recommended that appraisers and appraisees give consideration to the questions it contains in advance of the appraisal discussion and these are set out in Appendix 1.

These forms are to be kept in line with the Data Protection Act 1998, in that the documentation should remain within the Faculty/Professional Service and shall be confidential, as far as possible to the Appraisee, Appraiser, Line Manager Other Reviewer (where appropriate),Grandparent/Dean/Director of Professional Service and relevant members of UET and HR Organisational Development. However, where performance objectives have an impact on the Faculty/Professional Service as a whole, then consideration should be given to sharing the objectives with other appropriate colleagues. This should be sensitive to the needs of the individual concerned and their agreement should be sought.

The Personal and Professional Development Plan element of the documentation should be shared withOrganisational and Staff Development, in order to inform central provision, or in order that individual arrangements can be made where necessary.

Individuals may choose to share their Personal and Professional Development Plan with others, for example their mentor.

1.10Appraisal Process

  1. The appraisal process is viewed as an ongoing dialogue and not simply the formal completion of the annual performance appraisal documentation
  2. The appraisal process is the joint responsibility of the Appraiser and the Appraisee
  3. The appraiser should brief the Appraisee about the appraisal process and expectations around objectives in the context of the University/Faculty/Professional Service Strategic Plans at least two weeks before the appraisal discussion
  4. Ideally the Appraisee should utilise the Self Reflection Form, included in thePerformanceAppraisalGuidanceNotes in order to help prepare for the annual performance review discussion and send it to the Appraiser at least a week beforehand as a template for their preparation for the review discussion
  5. Whether or not the Appraisee has completed the Self Reflection Form, the appraisee should complete sections A, B, C, D and E of the Appraisal Review Form (CoreDocument2) in draft and send it to the Appraiser at least one week before the appraisal discussion
  6. The Appraiser should, at that point, inform the Appraisee if there is anything additional that they wish to discuss, in order that the discussion contains no surprises
  7. Where the Appraisee is in a ‘matrix’ arrangement, then the Appraiser should ensure that additional information is sought from those other managers involved in the ‘matrix’ arrangement, to ensure that a comprehensive performance review can be undertaken
  8. The Appraisal Review Form should be finalised by the Appraiserwithin a short space of time of the review discussion, normally within 1 week and the Form passed onto the Appraisee, for their comments
  9. The Appraisee should add their comments and return the Form to the Appraiser within a further 1 week
  10. The Grandparent should add their comments and return the Form to the Appraiserwithin three weeks, who should share the comments with the Appraisee
  11. A copy of the final version of the documentation should be kept securely by the appraiser, the appraisee, the line manager where they are not the appraiser, and, if appropriate, the grandparent. The objectives part of the appraisal document should be used as a working document throughout the year and may be shared with others where appropriate
  12. The appraiser and appraisee should ensure that needs arising from the Personal and Professional Development Plan are shared with those who are in a position to help meet those needs locally and/or with Organisational and Staff Development, which will also help inform central provision
  13. The annual performance review discussion should contain no surprises and should not be used in any way as a disciplinary meeting.(Where there are performance concerns, then these should be managed accordingly at the time of the concern outwith the appraisal process and not deferred for discussionuntilthe annual performance review discussion)

2. Overview of the Academic StaffPerformance Appraisal Scheme Cycle

This is an indicative cycle. Alternative arrangements can be made to suit local conditions providing that all appraisals (particularly objective setting) are completed by the end of July each year.

Month / Ongoing dialogue between Appraiser and Appraisee regarding performance and development / Action
April / Strategic Plan and KPIs reviewed for forthcomingacademic year
May / Strategic Plan goals and KPIsconfirmed for forthcoming academic year, subject to final Board approval
June
Week 1 / UETappraiseDeans
Deans hold pre-appraisal meetings with staff who will be appraising others, UET, Head of Organisational Staff Development, HR Manager and Organisational Staff Development Manager to:
  • Establish outline objectives to be cascaded to their areas of responsibility and identify expected performance standards
  • Discuss any matrix arrangements and appraisers/other contributors
  • Agree who the ‘Grandparent’ will be for each staff group.
  • Discuss any balanced workload issues where appropriate.
  • Discuss priorities for personal and professional development planning
  • Discuss Balanced workload principles

June
Week 2 / Deans appraiseDeputy Deans
June
Week 3 / Deputy Deans appraiseAssociate Deans
June
Week 4 / Deputy Deans (R&E) appraiseProfessors/Associate Professors/Readers/Research Centre Directors
Associate Deans and other academic appraisersappraise academic staff
July / Associate Deans and other academic appraisersappraiseacademic staff. All academic staff appraisals to be complete by the end of July
August
September / Deans, Appraisers and others undertaking the ‘Grandparent’ role in Faculties/Professional Services, review and summarise achievement of objectives for their areas of responsibility for the previous academic year and the performance standards achieved. To be reviewed by UET and Head of Organisational & Staff Development. Evidence collected for pay progression panels.
Deans review Personal and Professional Development Plans with Organisational and Staff Development Manager.
October
November
December
January / Interim Reviews take place withDeans, Directors of Professional Services, Deputy Deans, Associate Deans, Professors, Associate. Professors, Readers, Research Centre Directors and all academic staff
February / Interim Reviews take place withDeans, Directors of Professional Services, Deputy Deans, Associate Deans, Professors, Associate Professors, Readers, Research Centre Directors and all academic staff
March

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BournemouthUniversityAcademic Staff Appraisal Scheme

ACADEMIC STAFF PERFORMANCE APPRAISAL SCHEME

3. Academic Staff Performance Appraisal Form

Sections A, B, C, D and E are for completion by the Appraisee before the discussion and should be returned to the Appraiser at least one week in advance of the appraisal discussion. The Appraiser adds to sections C, D and E as appropriate following the discussion. The Appraiser Ensures that section F is completed where appropriate. Ensuring timely completion of sections G-M are the joint responsibility of the Appraisee and Appraiser.

This form must be finalised by the Appraiser within one week of the annual performance review discussion; it should then be passed to the Appraisee for their signature and any additional comments. The Grandparent will add their comments and return the form to the Appraiser within three weeks. Performance evidence contained in other documents should be cross-referenced and not duplicated on this form.

Appraisee Name:
Section A: Appraisal Details
Appraisee Name:
Appraisee Job title:
Appraisee Faculty/Directorate:
Date started in University:
Appraiser’s name:
Appraiser’s job title:
Grandparent’s name:
Grandparent’s job title:
Date of Appraisal Discussion:
Date of previous Appraisal/Probation:
Review Year:
Plan Year:
Any Interests to be declared under Conflicts of Interest Policy & Procedure?
Any gifts and hospitality to be declared/approved under Anti-Bribery Policy & Procedures?
Details of the Conflicts of Interest Policy and Procedures can be found at:
Details of the Anti-Bribery Policy and Procedures can be found at :

Section B: Academic Staff Profile (C.V.) Please attach an updated copy of your Academic Staff Profile (C.V.) to this form.
Section C: Progress Review. Please list your agreed objectives for the past year together with evidence of your achievements and/or progress to date against each one. Please give details of any other relevant activities you have undertaken over the last year, within or outside the University that are not outlined on your Academic Staff Profile (CV). You may also want to comment on circumstances that have affected your achievements in the past year.
SMART Performance Objectives
(to reflect Fusion) / Review of Performance
1: Statement of objective:
Performance measurement/outputs:
2: Statement of objective:
Performance measurement/outputs:
3: Statement of objective:
Performance measurement/outputs:
4: Statement of objective:
Performance measurement/outputs:
5: Statement of objective:
Performance measurement/outputs:
Section D: Performance Objectives for the Forthcoming Year.Please summarise below the key performance objectives for the coming year to be discussed and agreed as appropriate. For example objectives to support the achievement of the School Strategic Plan in education; research, enterprise, professional practice, leadership, academic citizenship, quality, corporate social responsibility; objectives should also be motivational and can be developmental. Please refer to the template from the Code of Practice on Balanced Workloads attached to this document at appendix 1. Identify any support required to achieve the objectives, for example time/funding/resources/development/other support.
SMART Key Performance Objectives
and Support Needed (to reflect Fusion) / Additional support/resources required / Identify how these Objectives Support the University Strategic Plan/Faculty/Professional Service Priorities
1: Statement of objective:
Performance measurement/outputs:
2: Statement of objective:
Performance measurement/outputs:
3: Statement of objective:
Performance measurement/outputs:
4: Statement of objective:
Performance measurement/outputs:
5: Statement of objective:
Performance measurement/outputs:
Section E:Personal and Professional Development Planning: The Personal and Professional Development Plan form should be completed and reviewed for each employee and is an opportunity for short-term planning in the context of the forthcoming year and longer-term planning in the context of the academic career structure and Strategic Plan. These objectives need to be a realistic assessment of development needs, which are supported by available funding and aligned in a way that will enable the Appraisee to attain the performance objectives as set out in Section D above as well as developing themselves for the future. This section may be shared with your mentor as appropriate.
Appraisee Name:
Appraisee Job Title:
AppraiseeSchool
Appraiser Name / Date:
Development Objectives for plan year / University/Faculty/PS Strategic Plan and Priorities / Development Solution / Support Required / Date / Review
Explain what the development need is / Which elements of the University or Faculty/PS strategic plan or priorities does this development support? / Where known, identify what development solution would best meet your needs? / Any additional support required? / Date/ Milestones to be Achieved / Identify what was achieved and how this impacted upon your personal and professional development and performance
Section F:Comments from Other Reviewer (where appropriate):
Please specify role and relationship:
Comments:
Signed (Other Reviewer): / Date:
Section G: Appraiser Comments.
Comments:
Signed (Appraiser): / Date:
Section H: Appraisee Comments
Comments:
Signed (Appraisee): / Date:

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BournemouthUniversityAcademic Staff Appraisal Scheme

Section I:Grandparent Comments and Signature:
Comments:
Signed (Grandparent): / Date:
Section J: Interim Review Comments. Following the review of objectives and achievements at the Interim Review, text can be added to the appropriate text boxes above. Any additional comments can be recorded here if appropriate.
Comments:
Section K:Comments from Other Reviewer (where appropriate):
Comments:
Signed (Other Reviewer): / Date:
Section L: Appraiser Comments.
Comments:
Signed Appraiser: / Date:
Section M:Appraisee Comments.
Comments:
Signed Appraisee: / Date:

Academic Staff Appraisal - Balanced Workloads

For the majority of academic staff a balanced workload comprises engagement in three of four contribution areas – namely education, research, enterprise and professional practice. The balanced workload will be determined through the staff appraisal process, although ultimately it is the responsibility of the Dean to decide on the equity of workloads.