session outcomes

2. Session outcomes What appraisal is and what it is not The benefits of appraisals The appraisal forms The appraisal discussion Setting outcomes How to get the most out of your appraisal Skills for appraisers

3. Links www.abdn.ac.uk/hr/training/appraisals/

4. Review outcomes and progress from previous year Set outcomes for the coming year Discuss career aspirations Identify strategic development needs Appraisal has four main strands, it’s a four pronged approach: Looking back over the past year, reviewing progress to outcomes agreed at the last appraisal Looking forward to the next year, setting outcomes to work towards Identifying training and development needs An opportunity to discuss future career aspirations BUT Caveat on feedback – ideally this should be done far more frequently than at the once a year appraisal session IIP – Administration just achieved this, CLSM going for it in May Done well it is something that enhances morale and motivation Appraisal has four main strands, it’s a four pronged approach: Looking back over the past year, reviewing progress to outcomes agreed at the last appraisal Looking forward to the next year, setting outcomes to work towards Identifying training and development needs An opportunity to discuss future career aspirations BUT Caveat on feedback – ideally this should be done far more frequently than at the once a year appraisal session IIP – Administration just achieved this, CLSM going for it in May Done well it is something that enhances morale and motivation

5. A disciplinary interview in disguise An opportunity to raise grievances A direct discussion about salary or promotion A one-way process where the appraiser does all the talking An event that happens in isolation – there should be an ongoing process for reviewing outcomes Not disciplinary – it’s a developmental process and has no input into disciplinary procedures If an issue arises that calls for a disciplinary approach, then the appraisal process would be suspended, but its important to take the approach that any disciplinary issues should be dealt with at the time, not kept for appraisal – feedback should be ongoing and given when its appropriate – at the time the incident happens. Tenuous link with promotion in that it can be used to discuss with line-manager what training and development is needed to get promotion etc. however there is a specific annual exercise for applying for promotion. Not disciplinary – it’s a developmental process and has no input into disciplinary procedures If an issue arises that calls for a disciplinary approach, then the appraisal process would be suspended, but its important to take the approach that any disciplinary issues should be dealt with at the time, not kept for appraisal – feedback should be ongoing and given when its appropriate – at the time the incident happens. Tenuous link with promotion in that it can be used to discuss with line-manager what training and development is needed to get promotion etc. however there is a specific annual exercise for applying for promotion.

6. All staff (including part-time & fixed-term) except Clinical staff (who come under NHS procedures) The following staff can choose whether or not to have an appraisal meeting, although it is best practice to do so: staff coming to the end of contracts staff within one year of retirement staff going on maternity or parental leave All staff are to be appraised, including those one Part Time and fixed term contracts, with the exceptions of: Lecturers on probation (the probationary procedures themselves address the essential elements of appraisal) Clinical staff (who are appraised through joint arrangements with the NHS Staff within 3 months of the end of their contracts Staff within one year of retirement Staff going on maternity or parental leave BUT above 3 categories can choose to be appraised if they wish and people returning from maternity and parental leave should be appraised as soon as possible upon their return to workAll staff are to be appraised, including those one Part Time and fixed term contracts, with the exceptions of: Lecturers on probation (the probationary procedures themselves address the essential elements of appraisal) Clinical staff (who are appraised through joint arrangements with the NHS Staff within 3 months of the end of their contracts Staff within one year of retirement Staff going on maternity or parental leave BUT above 3 categories can choose to be appraised if they wish and people returning from maternity and parental leave should be appraised as soon as possible upon their return to work

7. Why do we do appraisal? To provide feedback to individuals and line managers To help individuals identify and develop their potential To set outcomes for the future To increase performance, morale and motivation

8. Appraiser contacts the appraisee at least 21 days before interview is due to take place and arranges a date, time and venue for the appraisal that is mutually convenient. At the same time the appraiser lets appraisee know where to get the appropriate appraisal form and guidance notes, or indeed forward the links or the actual documents onto the appraisee. Appraiser contacts the appraisee at least 21 days before interview is due to take place and arranges a date, time and venue for the appraisal that is mutually convenient. At the same time the appraiser lets appraisee know where to get the appropriate appraisal form and guidance notes, or indeed forward the links or the actual documents onto the appraisee.

9. This form is very similar for Teaching/Research and Academic Related staff. The only difference relates to parts 2 and 3 where academic staff have sections to comment on: - Teaching Research Administration CPD and Management skills Academic Related have suggested sections to comment on: administration and management skills but this can be expanded upon with anything relevant., This form is very similar for Teaching/Research and Academic Related staff. The only difference relates to parts 2 and 3 where academic staff have sections to comment on: - Teaching Research Administration CPD and Management skills Academic Related have suggested sections to comment on: administration and management skills but this can be expanded upon with anything relevant.,

10. Attach an up-to-date cvAttach an up-to-date cv

11. Go into as much detail as you feel comfortable, or indeed use bullet points if you wish. The purpose of the form is to provide pointers for further discussion at the appraisal meeting rather than something you’re specifically judged or marked on. It provides the opportunity to raise points but also to reflect on what has happened – both your successes and areas for development. Go into as much detail as you feel comfortable, or indeed use bullet points if you wish. The purpose of the form is to provide pointers for further discussion at the appraisal meeting rather than something you’re specifically judged or marked on. It provides the opportunity to raise points but also to reflect on what has happened – both your successes and areas for development.

14. Support staff form is slightly differently laid out and is more prescriptive I know from experience that some people find this difficult so I’ll go into a little more detail in how it is appropriate to complete the form over the next few slides. Support staff form is slightly differently laid out and is more prescriptive I know from experience that some people find this difficult so I’ll go into a little more detail in how it is appropriate to complete the form over the next few slides.

15. The questions listed in this form are more detailed and look to pull out key strands for discussion during the appraisal meeting.The questions listed in this form are more detailed and look to pull out key strands for discussion during the appraisal meeting.

19. Agree interview arrangements (21 days notice) Review relevant documents, e.g. job description, previous appraisal, CV Review the previous year’s work Think about successes and learning points from throughout the year to avoid focussing on the most recent events Look ahead to the coming year’s work Think about career development Appraisers - think about feedback you’d like to give and remember to be constructive If appraisal is to be successful you will need to prepare thoroughly Preparation for appraisal interview tends to be under-rated aspect of the review process, but it is in fact one of the most important stages. 1. Ensure that the arrangements for the interview suit you – time, date, place – and that you have been given plenty of time to prepare. Ensure you know where to find the forms and guidance notes and the timescale for when the appraisee wants the forms back. Negotiate if necessary. 2. Review your last year’s appraisal, your job description, cv and other relevant documentation. Think back over the previous year’s work. Have you met the objectives that were set? If not, think about why – what were the reasons? What were the mitigating factors? What happened that was good, that you will want to pull out. What were your disappointments? Why? 5. Look ahead to the coming year and think about what you will be working towards – are there any new areas you would like to get involved in? Is there anything you may like to move away from? 6. What development and training do you need? Why? How will this help you to meet your objectives and career aspirations? What arguments can you use to help make your case? Is there any constructive upward feedback you would like to pass on to your appraiser? Have you any ideas or suggestions as to how things could be run better or more smoothly? If you foresee any difficulties if making your case, rehearse your case – think about some good reasons for it, that will be of mutual benefit to both you and the department. Think through your appraiser’s likely reactions to any suggestions you make and try to rehearse your case. REMEMBER – negotiating is all about WIN/WINIf appraisal is to be successful you will need to prepare thoroughly Preparation for appraisal interview tends to be under-rated aspect of the review process, but it is in fact one of the most important stages. 1. Ensure that the arrangements for the interview suit you – time, date, place – and that you have been given plenty of time to prepare. Ensure you know where to find the forms and guidance notes and the timescale for when the appraisee wants the forms back. Negotiate if necessary. 2. Review your last year’s appraisal, your job description, cv and other relevant documentation. Think back over the previous year’s work. Have you met the objectives that were set? If not, think about why – what were the reasons? What were the mitigating factors? What happened that was good, that you will want to pull out. What were your disappointments? Why? 5. Look ahead to the coming year and think about what you will be working towards – are there any new areas you would like to get involved in? Is there anything you may like to move away from? 6. What development and training do you need? Why? How will this help you to meet your objectives and career aspirations? What arguments can you use to help make your case? Is there any constructive upward feedback you would like to pass on to your appraiser? Have you any ideas or suggestions as to how things could be run better or more smoothly? If you foresee any difficulties if making your case, rehearse your case – think about some good reasons for it, that will be of mutual benefit to both you and the department. Think through your appraiser’s likely reactions to any suggestions you make and try to rehearse your case. REMEMBER – negotiating is all about WIN/WIN

20. Appraisee Complete pages 1–3 of the form and return 7 days ahead of the meeting Appraiser Talk to other managers, if relevant Give a note of additional areas for discussion

21. Appraisees – this is not a monologue. You should be prepared and be given the opportunity to contribute fully. At the end of the discussion, the appraiser should summarise what was discussed and the agreed action points, outcomes, training and development plans Make sure you are clear about what your appraiser thinks about how you have performed, what you need to do in the next year and what learning and development you require Make sure you are clear about who will take the lead in ensuring that the training and development is delivered – what are you going to do about it and what the appraiser will do about it The appraiser will complete the form with a summary of the above and return it to you within 7 days for your signature. Make sure you review the form to ensure that it is a true record of what you have discussed and agreed – don’t be afraid to go back to your appraiser if you are unhappy about anything that is in the form – negotiate to ensure that you are happy with the result before you sign it off. Appraisees – this is not a monologue. You should be prepared and be given the opportunity to contribute fully. At the end of the discussion, the appraiser should summarise what was discussed and the agreed action points, outcomes, training and development plans Make sure you are clear about what your appraiser thinks about how you have performed, what you need to do in the next year and what learning and development you require Make sure you are clear about who will take the lead in ensuring that the training and development is delivered – what are you going to do about it and what the appraiser will do about it The appraiser will complete the form with a summary of the above and return it to you within 7 days for your signature. Make sure you review the form to ensure that it is a true record of what you have discussed and agreed – don’t be afraid to go back to your appraiser if you are unhappy about anything that is in the form – negotiate to ensure that you are happy with the result before you sign it off.

22. Why set outcomes? To ensure achievement of your section, School or College outcomes To make the link with the achievement of the University’s ambition To set and/or raise a standard To enhance motivation To develop individuals and broaden skills To develop a new area of work To achieve project/research milestones To change priorities To implement a new policy

23. I’ve talked a lot about Outcomes (can also be known as Objectives), and now I’d like to spend a little time explaining more about them. Objectives should provide a sense of direction. Having clear outcomes should help a person understand their role in the institution and how their role fits in as a whole. Clear objectives can improve communication and prevent misunderstandings about what is expected. Poorly defined objectives can lead to problems, eg, “Your job is to process invoices” An example of an outcome that is NOT SMART could be “Do some research” , It doesn’t say how to (Specific), or how you’ll know when you have done it (measurable), it might be achievable and results oriented but we don’t know and it certainly isn’t time measured. I’ve talked a lot about Outcomes (can also be known as Objectives), and now I’d like to spend a little time explaining more about them. Objectives should provide a sense of direction. Having clear outcomes should help a person understand their role in the institution and how their role fits in as a whole. Clear objectives can improve communication and prevent misunderstandings about what is expected. Poorly defined objectives can lead to problems, eg, “Your job is to process invoices” An example of an outcome that is NOT SMART could be “Do some research” , It doesn’t say how to (Specific), or how you’ll know when you have done it (measurable), it might be achievable and results oriented but we don’t know and it certainly isn’t time measured.

24. So, some examples of SMART outcomes could be:So, some examples of SMART outcomes could be:

25. Job exchange Attending meetings E-Learning Reading books and articles Examples of the kind of training and development available are as on the screen – they don’t always involve going on a formal course, sometimes there are other and more innovative ways of being trained and developed. The last page of the appraisal form comes back to HR, and unfortunately there is sometimes a conception that the forms then fall into a black hole. What we do with the forms is to analyse them to see if any trends are emerging where we can help out by laying on courses that we will advertise - for example, I have recently developed and delivered some courses on Minute Taking as it was apparent that there was a great need, and this will be the case with many generic training requirements such as Project Management. So, the key is for you and your line-manager to ensure that what has been agreed happens, so you may have to go and find a provider and cost out the training – then see if it can be delivered from the departmental or School training budget. If not, there may be other sources of funding, some Colleges have staff development committees with funding attached that you can apply for. If the development need is for attendance at a conference, there will be funding from School/College/Central research committees that you can apply for. You do need to realise that simply putting down a training requirement on a form does not necessarily mean that funding will suddenly materialise. Examples of the kind of training and development available are as on the screen – they don’t always involve going on a formal course, sometimes there are other and more innovative ways of being trained and developed. The last page of the appraisal form comes back to HR, and unfortunately there is sometimes a conception that the forms then fall into a black hole. What we do with the forms is to analyse them to see if any trends are emerging where we can help out by laying on courses that we will advertise - for example, I have recently developed and delivered some courses on Minute Taking as it was apparent that there was a great need, and this will be the case with many generic training requirements such as Project Management. So, the key is for you and your line-manager to ensure that what has been agreed happens, so you may have to go and find a provider and cost out the training – then see if it can be delivered from the departmental or School training budget. If not, there may be other sources of funding, some Colleges have staff development committees with funding attached that you can apply for. If the development need is for attendance at a conference, there will be funding from School/College/Central research committees that you can apply for. You do need to realise that simply putting down a training requirement on a form does not necessarily mean that funding will suddenly materialise.

26. Getting the most from an appraisal Prepare thoroughly Adopt a positive approach Contribute to the discussion Take the lead when appropriate Don’t agree outcomes which you feel are unachievable Make sure all your points are covered Aim for mutual agreement Agree follow-up sessions to review progress and whether outcomes are still relevant

29. Appraisal requires active listening Understanding the feeling and meaning behind words from the other person’s point of view Keep an open mind, concentrate, avoid negative reactions, don’t interrupt Non-verbal behaviour Appraisal requires active listening - Active listening is much more that just hearing the words someone is saying. Active listening means really understanding the feeling and meaning behind the words from the other person’s point of view, ie, putting yourself into the shoes of the other person, and understanding their point of view thoroughly. Listening is also one of the most effective methods by which an appraiser can establish a good rapport with the appraisee . If the employee knows that the appraiser is listening then they will feel more positive, and will be more likely to co-operate with suggestions for improvement or change. keep an open mind, concentrate, avoid negative reactions, don’t interrupt Non-verbal behaviour – listening can be improved if the appraiser watches the appraisee’s body language. Up to 80% of what we communicate is done non-verbally, look for a contrast between words and body language, be aware of any changes in the appraisee’s body language. Albert Mehrabian’s 7%-38%-55% rule: 7% words 38% tone 55% body language. Appraisal requires active listening - Active listening is much more that just hearing the words someone is saying. Active listening means really understanding the feeling and meaning behind the words from the other person’s point of view, ie, putting yourself into the shoes of the other person, and understanding their point of view thoroughly. Listening is also one of the most effective methods by which an appraiser can establish a good rapport with the appraisee . If the employee knows that the appraiser is listening then they will feel more positive, and will be more likely to co-operate with suggestions for improvement or change. keep an open mind, concentrate, avoid negative reactions, don’t interrupt Non-verbal behaviour – listening can be improved if the appraiser watches the appraisee’s body language. Up to 80% of what we communicate is done non-verbally, look for a contrast between words and body language, be aware of any changes in the appraisee’s body language. Albert Mehrabian’s 7%-38%-55% rule: 7% words 38% tone 55% body language.

30. Use open questions starting who, what, which, where, when and how - “tell me more about” Avoid leading questions Be prepared to probe further Be aware of the ‘pause’ technique There are two main types of questions – OPEN questions and CLOSED questions OPEN questions draw out a wide range of responses on a broad topic (not allowing just a yes or no answer) Open questions begin with who, what, which, why, where, when and how. Also ‘Tell me more about ..’ and ‘to what extent ..’ are useful Closed questions get narrow answers to specific questions (often just yes or no) ‘Do you think that this could have been done any better?’ Avoid LEADING QUESTIONS – ‘How far behind in your work are you?’, ‘What would you say that you should have done differently?’ Use the ‘pause’ technique – allow for longer silences – may feel uncomfortable but often leads to further disclosure Examples of questions that could be used in an appraisal interview: How do you feel about working on that research project? Why exactly do you feel reluctant to conduct further research? What do you think are your main achievements in the past year? What type of development do you think would benefit you in this area? How would you like to see your job developing? There are two main types of questions – OPEN questions and CLOSED questions OPEN questions draw out a wide range of responses on a broad topic (not allowing just a yes or no answer) Open questions begin with who, what, which, why, where, when and how. Also ‘Tell me more about ..’ and ‘to what extent ..’ are useful Closed questions get narrow answers to specific questions (often just yes or no) ‘Do you think that this could have been done any better?’ Avoid LEADING QUESTIONS – ‘How far behind in your work are you?’, ‘What would you say that you should have done differently?’ Use the ‘pause’ technique – allow for longer silences – may feel uncomfortable but often leads to further disclosure Examples of questions that could be used in an appraisal interview: How do you feel about working on that research project? Why exactly do you feel reluctant to conduct further research? What do you think are your main achievements in the past year? What type of development do you think would benefit you in this area? How would you like to see your job developing?

31. Concentrate on the appraisee’s actions and behaviour, not their personality - keep to facts Explain the effects of the action or behaviour on other individuals Help the person to take full responsibility for their actions Concentrate on the future – not the past How to give praise and criticism constructively: 1) Concentrate on the appraisee’s actions and behaviour, not their personality - keep to facts, don’t speculate. Don’t make it personal. Don’t say “You’re great” but “It was really helpful that you stepped in and dealt with that student when I was very busy earlier on, it really took the pressure off me and I was able to complete my report properly because of your help. Thank you.” “You are getting very careless” instead say “There have been several mistakes in your work that I need to discuss with you.” “You’re so messy” but “The piles on papers on your desk are falling over onto mine and making me lose things.” 2) Focus on the future not the past Some further hints and tips are: Explain the effects of the person’s action or behaviour. Clearly relate in specific, observable and behavioural terms on other individuals or the department help the person to take full responsibility for their actions Ask about what happened – listen and don’t prejudge, be supportive Develop a plan for improvement State your confidence in the person’s ability to improve How to give praise and criticism constructively: 1) Concentrate on the appraisee’s actions and behaviour, not their personality - keep to facts, don’t speculate. Don’t make it personal. Don’t say “You’re great” but “It was really helpful that you stepped in and dealt with that student when I was very busy earlier on, it really took the pressure off me and I was able to complete my report properly because of your help. Thank you.” “You are getting very careless” instead say “There have been several mistakes in your work that I need to discuss with you.” “You’re so messy” but “The piles on papers on your desk are falling over onto mine and making me lose things.” 2) Focus on the future not the past Some further hints and tips are: Explain the effects of the person’s action or behaviour. Clearly relate in specific, observable and behavioural terms on other individuals or the department help the person to take full responsibility for their actions Ask about what happened – listen and don’t prejudge, be supportive Develop a plan for improvement State your confidence in the person’s ability to improve