Roles and Responsibilities in the Appraisal Process
Pro-Vice-Chancellors/Registrar and Chief Operating Officer
PVC’s/Registrar and Chief Operating Officer should ensure that appropriate consultation has taken place within each Faculty/School/Professional Services with regard to the key objectives and priorities being pursued.
Head of School/Director
- The Head of School/Director:
- At the beginning of the academic year should ensure that all appropriate staff are made aware of the key goals to be addressed within their respective approved School/Directorate Plan.
- Ensures that academic and research staff are aware of the approved academic standards for their respective School.
- Is responsible for implementing appraisal and for ensuring the completion of the process within his/her School/Directorate.
- As a mandatory requirement prior to the appraisal meeting the Head of School/Director will meet with appraisers to ensure they are clear as to the standards that should be applied and the critical objectives/priorities of the School/Directorate.
- Ensures consistency and fairness in the application of appraisal principles across the School/Directorate.
- Co-ordinates all development plans and produces a prioritised summary of development and training needs within the School/Directorate.
- Informs the Director of Human Resources that the appraisal process has been completed in his/her School/Directorate.
The Countersigning Officer
- Normally the Countersigning Officer will be a member of staff senior to the appraiser.
- The Countersigning Officer:
- Acts as arbitrator if agreement cannot be reached between appraiser and appraisee.
- Ensures that all appraisers for whom they have responsibility have followed appropriate procedures.
- Ensures that the appraiser group within the School applies the process with consistency.
Appraisers are nominated by the Head of School/Directors and will normally be Directors of Research or Directors of Education, members of the professoriate or managers who have normal line management responsibility for those colleagues to be appraised. In larger research clusters/departments the role of appraiser may be delegated to other senior staff but the PVC, Director and Head of School should endeavour in so far as is practicable to ensure that the appraiser group is capable of effectively facilitating the review of performance and development.
- Prior to the appraisal meeting have met with the PVC, Director or Head of School to ensure they are clear about academic standards, institutional objectives and priorities and the standards expected within the School/Directorate.
- Have a good knowledge of the appropriate level at which objectives should be agreed, and where appropriate, how these should relate to the development of the targeted profile for promotion.
- Have no conflict of interest with the appraisee.
- Promote a supportive climate enabling open and constructive dialogue between appraisee and appraiser.
The appraiser is responsible for:
- Initiating the appraisal process.
- Ensuring that the standards, objectives and key tasks set are reasonable, reflect an appropriate balance in the individual's portfolio, and map onto the Faculty/ Directorate/ School plans.
- Scheduling the annual meeting.
- Keeping progress on the achievement of standards, objectives and activities under review and making amendments or adjustments as appropriate.
- Ensuring that all the documentation is complete and forwarded for record keeping, retaining a hard copy only for themselves.
There is provision for a change of appraiser should a member of staff, for good reason, feel unhappy with the person suggested by the PVC, Director, Head of School. In these circumstances an alternative appraiser should be agreed through discussion with the senior manager and Personnel Manager.
Managers should seek to have appraisals completed by :
- 31 July for all staff (except Academic and Research staff);
- 30 September for Academic and Research staff;
Appraisees are responsible for :
- Preparing effectively for the appraisal discussion (refer to Appendix A).
- Contributing constructively at the appraisal meeting.
- Agreeing their performance and development objectives.
The Personnel Department shall:
- Analyse the reported outcome from Schools/Directorates and report to the University Operating Board highlighting the key issues.
- Provide help and support in relation to the appraisal process.
- Support the appeals procedure.
- Arrange training to support the implementation of appraisal.
The Staff Training and Development Unit
Staff of the Staff Development Unit:
- Provide feedback to senior managers in relation to the key training and development needs that should be given priority. Where appropriate, these will be addressed in the STDU Annual Plan. Additionally specific training requirements can be agreed and delivered at School/Directorate level.
- Work closely with Schools/Directorates in relation to the implementation of personal development plans where appropriate.
- Deliver/arrange training programmes both across the University and within Faculty/School/Directorates.
The University Operating Board
The University Operating Board is responsible for ensuring that appraisal has taken place within the University. In the initial three years of implementing the revised appraisal scheme a random anonymised sample of the appraisal documents from each grade within each School/Directorate will be selected by Human Resources. A review will be carried out by Human Resources in conjunction with the Faculty PVC/Registrar and Chief Operating Officer. In light of this review the Board will determine:
- Whether performance reflected through the appraisal schemes is delivering key strategic objectives.
- Improvements in quality/consistency.
- Improvements/ changes in the scheme.