Appraisal 2014

Before completing the form, please read the Guidance Notes at the end of this document.
If you require an alternate format, such as large print, please contact HR Services.
Appraisee
Job Title
Date commenced in current role
Faculty/Service
Department/Team
Type of employment
(Please mark as appropriate) / Full-time
Fractional % / Part-time hours per week
Hourly paid (HPL)
Appraiser
Appraisal review period
Date of appraisal discussion

Looking back – a self appraisal

1.Highlights, achievements and strengths

The boxes on this form will expand as you type. If you need additional rows, press the [TAB] key at the end of your text and a new row will appear.
1.1What have been your main successes or achievements during the review period and why?
1.2What particular challenges, if any, have you had to overcome during the review period?
1.3Considering your responses to 1.1 and 1.2 what further support, if any, would have been helpful to enable you to have been more effective in these activities?
1.4Which of the Personal Qualities at Work (PQs) most relevant to your role do you consider to be your strengths, and why?
[It is recommended that you consider two or three PQs]

2.Review of performance against objectives

2.1Describe your performance against previously set objectives
Objective / Expected Outcome(s) / Actual Outcome(s) / How would you rate your performance against this objective (wholly met, partially met, not met)? / What evidence is available to support your view?

Support staff: please continue to section 2.2.

Academic staff only

2.1.aDescribe your performance against your Research and Scholarly Activity objectives / innovation in professional practice:
2.1.bHave you attached your current Research and Scholarly Activity Action Plan?
(Please mark as appropriate) / YES / NO
2.2What further support would have been helpful to enable you to have been more effective in achieving the above outcomes, if any?
2.3How would you rate your overall performance during the past year, using the following descriptors?(Please tick one level)
NB: Academic staff will need to provide evidence of research or innovation in professional practice, relevant to their role,in order to achieve a rating of 3 (Good) and ratings above.
Level / Descriptor / 
5 = Exceptional / This level describes someone whose performance is outstanding in all aspects of their work. These people consistently exceed all of their objectives, often achieving extraordinarily successful results. They are an exemplar of the Personal Qualities, and an inspiration to others.
4 = Very Good / This level describes someone who is consistently effective in demonstrating high standards of performance in undertaking their role. They meet all of their objectives and have a clear understanding of how their work contributes to the overall success of our university. They demonstrate all of the positive behaviours described in the Personal Qualities, relevant to their role.
3 = Good / This level describes someone whose performance is generally effective in undertaking their role. They meet most of their objectives and understand how their work contributes to the overall success of our university. They demonstrate most of the positive behaviours described in the Personal Qualities, relevant to their role.
2 = Satisfactory / This level describes someone whose performance meets the minimum requirements of their role; however there is room for improvement. They may meet/partially meet some of their objectives. They demonstrate some of the positive behaviours described in the Personal Qualities, relevant to their role. New or newly promoted or transferred employees, who are in the early stages of their new role, may fall into this category.
1 = Unsatisfactory / This level describes someone who is performing below the level required of their role. They do not meet most of their objectives. They may be developing and/or performing at a slower than expected rate. They may also demonstrate negative indicators from the Personal Qualities that apply to their role, or fail to demonstrate sufficient positive indicators to bring their performance to a ‘satisfactory’ level.
2.4Please use this space for any other comments that you would like to make about your performance:
3.Your development
3.1What training and development activities have you undertaken since your last review?
Development activity / Date of activity / Why did you do this? / What impact has this had on your work? / Duration of each activity, expressed in full/half-days
Total number of days:
3.2Please use this space for any comments you may have about your personal and/or professional development since your last review

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Looking ahead

4.Your objectives and development needs for the year ahead

Your objectives should relate to your Faculty, Support Service or wider university strategic plans. Please include, where appropriate, an objective related to customer service excellence/enhancing the student experience. Additionally, academic staff should include at least one learning and teaching related objective identified during their teaching review.
4.1Your objectives
Objective and reason for undertaking the activity / Expected outcomes(s) and deadline / How will the objective be measured? / Resources required (including time, equipment, funding, etc.)
4.2Which of the Personal Qualities at Work (PQs) most relevant to your role do you consider require further development, if any, and why?
[It is recommended that you consider at least one PQ]
4.3What development or training will you need, if any, to enable you to achieve these objectives?
Development activity / Why do you need to do this? / Anticipated impact on your work? / Resources required (including time, equipment, funding, etc.)
4.4Is there any other support you anticipate that you will need during the year ahead?
4.5Please use this space for any other comments or queries you may have about the year ahead.
Please give your appraiser your completed form at least one week before the date of your appraisal discussion, keeping a copy for reference.

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Summary of the appraisal discussion

Section 5.1 should be completed by the appraiser within one week of the appraisal discussion having taken place
5.1Appraiser’s summary of the discussion, to reflect achievements and successes, the Personal Qualities at Work (PQs), performance against objectives, and future priorities and development needs. Any significant problems should be mentioned, together with what you have each agreed to do in order to resolve them:

5.1.1Appraiser’s rating of performance: / 5 = Exceptional / 5.1.2If this differs from the appraisee’s self-rating (see Section 2.3), please explain below:
4 = Very good
3 = Good
2 = Satisfactory
1 = Unsatisfactory
Section 5.2 should be completed by the appraisee within one week of receiving the completed summary (section 5.1)
5.2Appraisee’s comments

Completion and sign-off

Completion of this section by you and your appraiser marks the conclusion of your appraisal. Once signed off, your appraiser will retain a copy of the appraisal form, and send a copy to you for your reference.
Your signature / Date / Your appraiser’s signature / Date

Summary data

Appraisee’s name / Appraiser’s name
Faculty/Support Service / Date of appraisal
Appraisee’s self-rating of overall performance
(from section 2.3) / Appraiser’s rating of appraisee’s overall performance
(from section 5.1)
Total days of development activity

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Appraisal 2014: Guidance Notes

Our Appraisal Scheme

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The purpose of Appraisal is to provide an opportunity for you and your manager to review your performance and development over the past year and plan for the year ahead.

Appraisals take place each year between 1stMay and 31st August. It is expected that feedback on performance and progress on objectives is provided on a regular basis.

Almost everyone is expected to take part in appraisal. Those who will be unable to participate during the appraisal period, such as staff on sabbatical leave, maternity leave or long term sick leave will be expected to undertake appraisal within 6 weeks of their return to work. Hourly paid lecturers can take part in appraisal; however,dependent on the volume of work they undertake for us and their impact on the student experience, informal feedback may be more appropriate.

Staff who are on probation will not be asked to participate in appraisal but will be expected to agree forward looking objectives with their line manager towards the end of their probationary period. New staff,who are managers, will undertake the role of appraiser whilst they themselves are on probation, in fulfilment of their management responsibilities.

Appraisers will normally be the line manager of the appraisee; however where an alternative appraiser is proposed, the rationale for the choice of the alternate will be confirmed to HRS by the relevant Dean/Director.

Anglia Ruskin’s goals are contained in the Corporate Plan, which also includes a statement of our Vision and Values. Each Faculty/Support Service has its own strategic plan that states how it will contribute to wider University objectives. To provide additional focus for appraisals, Deans/Directors should make all their staff aware of this plan, including significant issues and programmes of work that are expected to be addressed, through objective setting during the year ahead.

Supporting documents to assist in preparing for Appraisal are published at HR Online - including the Personal Qualities at Work (PQs) document; Research and Scholarship Strategy 2012-2014; Expectations of First Supervisors and Expectations of Academic Staff at Anglia Ruskin University.

Completing the Appraisal Form

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The Appraisee completes Sections 1, 2, 3 and 4 before the appraisal discussion.

Section 1Highlights, achievements and strengths:

This is your opportunity to reflect on your achievements during the previous year, commenting on challenges experienced and how you have overcome them. You will usually relate this to previously set objectives. You will need to identify 2/3 of your strengths, using our Personal Qualities, relevant to your role.

Section 2Review of performance against key objectives:

This is where you are asked to rate your performance against previously set objectives. Academic staff are also asked to reflect on their performance against their research and scholarly activity objectives and are required to attach their Research and Scholarly Activity Action Plan with their appraisal documentation.

Within this section you are asked to rate your overall performance for the previous year, citing appropriate evidence, using the 5 levels provided. Examples (which will differ according to your role) might include feedback received from colleagues, students and/or your manager; evidence that you have met relevant deadlines; module evaluation results; outcomes of teaching observation; your performance as a research supervisor; reports you have written; the PQs you demonstrate relevant to your role; and your contribution to team efforts. Within your appraisal you and your appraiser will wish to explore differences in your respective views of performance and the rating of your overall performance during the past year, giving due consideration to supporting evidence. If after discussion there continues to be a difference of opinion, this should be explained in the Summary Section.

Academic staff will need to provide evidence of research or innovation in professional practice, relevant to their role, in order to achieve a rating of 3 (Good) and all ratings above.

Where performance needs to improve, a discussion should identify what further steps need to be taken.

Section 3Your development:

This is where you identify the development you have undertaken since your last appraisal and the impact this has had on your work. All staff are expected to undertake continuing professional development, appropriate to their role. Staff are able to round up activities of less than half a day by combining short activities in some way e.g. 3 x 1hour Bite Size technology-enhanced learning sessions (TEL) would equate to half a day of TEL for CPD purposes. Academic staff are expected to undertake a minimum of 5 days CPD pro rata which will include enhancements to their own teaching and assessment practice. (Learning, Teaching and Assessment Strategy 2011).

Section 4 Your objectives and development needs:

Your objectives should be SMART- Specific, Measurable, Achievable, Relevant, and Timedand should reflect the breadth of your role and level of responsibility. Please include, where appropriate, an objective related to customer service excellence/enhancing the student experience. Additionally, academic staff should include at least one learning and teaching related objective identified during their teaching review.

You should consider any PQs, relevant to your role, which require further development.

Section 5Summary of the appraisal discussion, completion and sign-off:

The Appraiser completes this section within one week of the appraisal discussion. This section summarises the main points of the appraisal discussion, including the recording of any significant problems raised and identifying what action you and the appraisee have agreed to do in order to resolve them. The appraiser and appraisee rating should be identified and, if different, provide an explanatory comment. Completion of the form requires both signatures, with dates. The appraiser will retain a copy of the form in a secure place and send a copy to the appraisee.

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