Appraisal meetings are the yearly review of an employee’s work progress, achievements and performance. They are also sometimes called ‘performance and development review’ meetings or similar. Their aim should be to consider what the employee has achieved over the year, reflect on their past performance and also to set agreed objectives and training and development needs for the next 12 months.
Whilst some employers may want to link the appraisal procedure to their pay review process, this is to be avoided if possible. The focus of the appraisal should not be pay, rather the performance and potential development of the worker. Pay reviews should ideally be kept separate.
Appraisal procedures should be one part of the employer’s performance management scheme, which should include the following steps:
· communicating to all staff the employer’s values, needs and expectations
· providing clear and unambiguous job descriptions and policies and procedures
· setting targets and workplans
· providing day-to-day contact on work issues
· supervision meetings
· appraisal interviews
· learning and development plans.
Reps and branches should stress to employers that the best way for the organisation to be successful is to get the full potential from its staff. If all staff are encouraged to develop and learn, their performance can continually improve.
Therefore, supervision and appraisal meetings should ideally be considered as learning opportunities, where staff are encouraged to think about how they want to develop and what they need to do to achieve this.
In practice, the nature of the appraisal meeting should be that the employee being appraised does most of the talking. Nothing which is said in the appraisal should come as a surprise to the employee.
Often staff members are asked to complete a self-appraisal form to consider alongside their job description and agreed goals from the previous appraisal as preparation for the meeting. Line managers may similarly complete a pre-appraisal form and prepare for the meeting by looking over supervision records, notes from the last appraisal and the job description, as well as considering what the employee is expected to achieve in the next year.
It is essential for there to be time to prepare for supervision and appraisal meetings, so that both parties can look back over the last notes and over the work they have done since the last meeting.
As with all HR records, all staff must be aware of and ensure that principles of data protection are observed when completing and keeping confidential records of supervision, appraisal and learning and development needs. This means that any information must be kept no longer than necessary in accordance with the data protection principles set out in data protection legislation.
Key issues to help ensure a fair appraisal procedure:
· Allowing sufficient time for preparation. Appraisers should give the preparation proper consideration and be prepared to give examples of good or poor performance in the meeting.
· Appraisers need to prevent interruptions during the meeting and communicate that the appraisal procedure is important. Sufficient time needs to be scheduled for the meeting.
· Appraisers need to provide constructive feedback rather than negative criticism. Active listening is essential from the line-manager.
· Both the appraiser and appraisee need to recognise the value of the meeting in providing an opportunity to reflect on past performance as a basis for making development and improvement plans.
The following model procedure can be used in the workplace as the basis for negotiations over the development of an appraisal procedure.
Happl recognises that staff should be treated fairly and this procedure aims to provide consistency in the treatment of all staff.
This procedure is a framework for the clear and consistent assessment of the overall performance of staff, and for supporting and developing staff to enable them to deliver the best possible service.
The purpose of the appraisal meeting is therefore to clarify objectives, identify changes in the nature of the work done and possible new directions, help staff to make the most of themselves by reviewing their strengths and weaknesses with a view to planning action to assist development, and at the same time increase the effectiveness of Happl. This might include changes in work practice, identification of training needs, and consideration of long-term plans.
Appraisals should also reinforce equality and diversity policies, and staff responsibilities.
Happl recognises that
· if staff know what is expected of them
· have the right skills, knowledge and ability to be able to do their work
· if they feel supported
· are given constructive feedback
· are able to share and discuss ideas about making Happl successful
effectiveness across Happl will be improved, along with staff motivation.
The appraisal procedure must not be confused with other procedures, in particular:
· for dealing with disciplinary or grievance matters. There are separate and agreed procedures to deal with these. If a disciplinary matter is outstanding, it must be dealt with first and separately before the annual appraisal interview takes place.
· for dealing with matters concerning salaries and general conditions of employment. It may be that evidence from an appraisal will be relevant to a particular grading claim for example, but there are separate procedures for dealing with these matters.
This policy applies to all staff who are employed at Happl including part-time and temporary workers, regardless of hours worked or length of service.
All new members of staff will be made aware of this procedure, and how it operates as part of their induction.
· Fairness – This procedure sets out to treat all staff fairly, consistently, impartially, promptly and reasonably.
· Equality and diversity – This procedure will be applied without discrimination.
If someone has an existing mental or physical health impairment which they have previously disclosed, Happl will make reasonable adjustments to the process as necessary. Therefore, it is important that disabled workers inform Happl of any mental or physical health impairment.
· Confidentiality – All documentation and records relating to this procedure including notes of meetings will be treated as confidential, stored securely and only accessed by those individuals involved in the procedure. They will be kept no longer than necessary in accordance with Happl’s data protection policy. Any breach of confidence may be treated as a disciplinary case of misconduct.
· Constructive feedback – This procedure should be used to emphasis what has been done well, offering constructive feedback to individuals on their performance and progress, and on what is required for them to improve and perform well in the future.
· Open exchange of views – The appraisal meeting should provide an opportunity for an open dialogue about the past year’s progress and areas for improvement, as well as an opportunity to request support needed from Happl to improve performance. The underlying attitudes of the meeting should be of respect, empathy and honesty.
· Agreement – The appraisal review, objective setting and report are all to be jointly agreed between the appraiser and appraisee.
Line managers should ensure that all workers are aware of this procedure and understand their own and Happl’s responsibilities.
As well as a performance appraisal, line managers should ensure that lines of communication are always open, and that staff have regular one-to-ones/supervision meetings.
Line managers are responsible for the prompt implementation of reasonable adjustments for disabled workers to remove or reduce barriers to achievement.
All line managers will be trained in performance management to help ensure that the procedure operates fairly and consistently and in line with all its general principles across the whole organisation.
All staff should familiarise themselves with the performance management procedures, and to co-operate with their line managers and supervisors to ensure that they fulfil them. Full details can be found in the staff handbook and on the staff intranet.
Consultation will take place with the recognised trade union on the implementation, development, monitoring and review of this procedure.
Union reps will be given training equal to that of managers and supervisors and sufficient time to carry out their duties.
Happl will ensure that all new workers, supervisors and managers will receive induction on the procedure.
Adequate resources will be made available to fulfil the aims of this procedure, including for training and development needs. The procedure will be widely promoted, and copies will be freely available and through the staff intranet.
This procedure will be reviewed jointly by unions and management, on a regular basis. The review will include the consideration of
· the operation of the appraisal procedure
· the effectiveness of the appraisal procedure
· staff training and development needs
· any proposed changes to the appraisal procedure.
The performance of all staff must be reviewed on an annual basis.
Staff members will be reviewed by their line-manager/supervisor.
In the case of a staff member having two line-managers, only one interview will take place. Both managers should complete pre-appraisal forms and agree which one of them will conduct the appraisal meeting. The other, who will not be present, is entitled to feed in points they wish to be made during the meeting.
If a line-manager does not work closely with the member of staff and therefore does not have the necessary insight into their performance or strengths and weaknesses, it will be vital for the line-manager to talk to the worker's immediate supervisor to gain the necessary factual feedback on performance.
The appraisal meeting should be planned in advance and the line-manager will give at least 10 days’ notice of an appraisal meeting to enable the member of staff sufficient time to prepare.
The meeting should take place in a confidential and quiet location which is free from interruptions or disturbance.
At least one hour should be set aside for the meeting. All appraisals will take place within the worker’s working hours. Those workers who are on family leave (maternity, adoption, paternity or shared parental leave) will not be required to use Keeping in Touch (KIT) days for the appraisal process.
The line manager (the appraiser) should prepare by reviewing the worker’s:
· job description / person specification
· any objectives and performance standards that were set at last year’s appraisal
· a copy of the previous appraisal document
· a record of any training over the last 12 months.
The worker (the appraisee) should prepare for the meeting by reviewing the objectives set at last year’s appraisal, as the well as the previous appraisal document, and considering what evidence is available to demonstrate progress.
The worker’s objectives should be the main focus for the appraisal meeting, as well as the worker’s overall performance over the past year.
The objectives set for individual workers will be rigorous, challenging, achievable, time-bound, fair and equitable in relation to staff with similar role / responsibilities and experience.
It is recognised that the objectives may not cover the full range of an employee’s role or responsibilities but should focus on the priorities for the worker for the agreed period.
Staff will not necessarily all have the same number of objectives but usually there will be no more than three objectives.
In accordance with the Equality Act 2010[1] Happl will not discriminate against disabled workers in the consideration of objective setting, but will consider and accommodate all reasonable adjustment needs within a reasonable timeframe.
Happl believes that accessibility passports offer a way of ensuring that staff can maintain their adjustments when their manager changes or when they move roles within the organisation or change their work-base, reducing time spent on re-negotiating already agreed adjustments.
The Reasonable Adjustments Policy provides further information about accessibility passports and reasonable adjustments.
Happl will not discriminate against pregnant workers or those on maternity, adoption, paternity (maternity support) and shared parental leave in the consideration of objective setting. The Family Leave Policy provides further information.
The agenda for all appraisal meetings is:
1. Line manager explains the course of the meeting
2. Discussion of progress made towards achievement of agreed objectives and performance standards including
• highlighting items of work success
• discussion of other areas of the job that the staff member enjoys
• discussion of areas where the employee is less confident or able.
3. Were there any problems or barriers to achievement?
4. How might these be overcome (including consideration of reasonable adjustments if applicable)?
5. Are there any changes to duties or responsibilities since the last appraisal?
• Does the job description need to be updated?
6. Agree objectives and goals for the next year
• Are there any potential problems or barriers to achievement?
• How might these be overcome, (including consideration of reasonable adjustments if applicable)?
7. Review of the staff member’s learning and development plan
8. Discussion of any other issues that the staff member wants to raise
9. Line manager summarises their view of the staff member’s overall performance, the points covered and the agreed action.
As soon as possible following the appraisal the line-manager should produce a written appraisal report, which will have been drawn up during the discussion between reviewer and reviewee. The appraisal report will include:
· Details of the objectives which were agreed for the year ahead
· An assessment of the worker’s performance against their last objectives
· An assessment of an worker’s professional development needs and identification of any action that should be taken to meet them.
The staff member should be asked to confirm the accuracy of the report and add any additional comments.
The report should be signed and dated by both parties no later than 10 days after the appraisal meeting.
If the appraisee wishes to query anything recorded on the report, they have the right to request a second meeting to discuss it with the appraiser, and seek to resolve any concerns.
If there is a second meeting, a new report should be written after the second meeting and again should reflect the discussions of both participants and be agreed as above.
In the event of failure to agree or dissatisfaction with the appraisal meeting, the usual grievance procedures should be followed.
Appraisal records will be treated as confidential and kept no longer than necessary in line with Happl’s data protection policy and in accordance with the data protection principles set out in data protection legislation.
Both line-manager and worker can review how the goals and objectives are followed up at the regular supervision meeting, including following up learning and development needs.
[1] The Disability Discrimination Act (DDA) 1995 and subsequent amendments and supplementary laws in Northern Ireland.
