Appraisal, Review and Development Scheme
This Policy is only applicable for those staff employed in UCL Australia
- Part A (Pre Review Form)
- Part B (Summary of Review Discussion)
- Part C (Training and Development Needs)
- Part D (Appeal Form)
Scope and Purpose of the Scheme
1. This scheme applies to all staff who have satisfactorily completed their probation period. For staff not subject to probation, objectives should be set within the first three months of appointment to commence the cycle. Professorial staff should use the information in this scheme in conjunction with the online Professorial Appraisal Review (PAR) system to complete appraisal.
2. UCL's commitment to regular appraisal is founded on the belief that all members of staff have a right to a clear understanding of their department's expectations of them, an opportunity for detailed discussion of their contribution to the achievement of departmental and institutional goals and to feel valued. Appraisal is designed to facilitate effective two-way communication and is a key mechanism for identifying training and development needs and ensuring that they are met.
3. The Appraisal Review and Development Scheme (hereafter referred to as appraisal) aims to
- enhance the work of the department and the success of UCL through assisting individuals to develop to their full potential
- identify strengths and development needs and enable discussion of career aspirations
- ensure regular discussion of an individual's progress against aims and objectives
- enhance communication within departments
- to review and meet the developmental needs of staff in roles with management responsibilities in line with UCL's management competencies
- to review and meet the development needs of academic, research and teaching staff regarding UCL's expectation of academic excellence which are defined in 'Excellence and the UCL community: a shared endeavour'
- inform professorial salary review
4. Staff review should also reinforce awareness of UCL's equality policies and staff responsibilities in relation to these. Consideration of how equality issues can be central to the planning, development, implementation, monitoring and review of both the work of the Department and that of the individual member of staff should also be built into the process.
5. There are separate proceduresfor staff grades 1-9 that determine pay, grading or promotion, and for discipline and capability.
Frequency and timing of the review
6. All staff must have an annual appraisal; staff will not be permitted to progress to the next incremental pay point unless this is completed. Where an employee has been absent for three months or more, in aggregate, the review and therefore any resultant pay increase may be delayed by the period of absence. Future incremental rises will continue to be paid on the anniversary of appointment. The Chief Executive / Chief Financial Officer will confirm incremental pay rises with HR Consultancy and discuss any proposed deferments on an annual basis.
7. It is the responsibility of the Chief Executive / Chief Financial Officer to ensure that all staff in his/her department are reviewed in line with this scheme. The first review will take place no later than 12 months following the start date of employment. The Appraiser and Appraisee should agree a mutually convenient time to meet, such that both parties have sufficient time to prepare for the meeting.
8. Staff transferring to a position in another UCL department should have an outgoing appraisal review prior to starting the new position. The appraisal must be recorded by the manager in MyView.
9.Academic staff will be reviewed either by the Chief Executive or another senior member of the department appointed by the Chief Executive. The Dean will review the Chief Executive.
10. The Chief Executive will determine which staff undertake the role of Appraiser. Normally non-academic staff will be reviewed by the manager to whom they report and who assigns and is accountable for their work. The Chief Executive should see all completed review forms for staff in their Department, regardless of whether they are the Appraiser.
11. All Appraisers must have completed appropriate training. The Organisational & Staff Development unit will keep records of all Appraisers who have completed appropriate training. Training includes advice regarding sensitivity to equality and diversity issues.
The Review process
12. The review process is most beneficial when it generates an open and honest joint review of past achievements, future goals and the assistance and support needed to achieve them. Thorough preparation by both Appraiser and Appraisee is very important. Sufficient time should be set aside for the meeting and the Appraiser should ensure that a suitable room is available, which offers privacy and freedom from interruption.
13. Prior to a round of staff review meetings, the Chief Executive should ensure that all Appraisers have been trained and are aware of any departmental plans, objectives and priorities for the review period that will affect staff.
14. Professorial staff and their managers will use the Professorial Appraisal Review (PAR) system, all fields of which must be completed online.
15. For those not using the PAR, part A of the review document is designed to facilitate preparation for the review meeting and is to be completed by the Appraisee and submitted to the Appraiser a week before the review meeting is due to take place. In completing Part A of the form Appraisees should consider the key tasks successfully undertaken since the last review (in light of the aims and objectives for that period), their strengths and any new skills they might need in the context of the challenges likely to be encountered in the coming year, including UCL's management competency expectations and the expectations contained in 'Excellence and the UCL community: a shared endeavour' (see 16, below).
16. All grade 10 staff and other staff with management responsibilities should complete Part A in light of UCL's management competency expectations (see http://www.ucl.ac.uk/hr/competencies), and academic, research and teaching staff should consider the skills they need to develop in light of the expectations contained in "Excellence and the UCL community: a shared endeavour" (see http://www.ucl.ac.uk/hr/docs/ucl_excellence.php). They should also consider whether the support, training and development that has been provided by their manager or colleagues has enabled them to do their job effectively, and any general points they would like to discuss that they feel would lead to enhanced efficiency.
17. Part A of the review document should be accompanied by a current job description or list of responsibilities and a summary of any significant changes to the individual's CV that have occurred since the last review. Many Appraisers find it helpful to meet briefly with the Appraisee when Part A of the document has been completed, to ensure that both parties are clear of the purpose of the review and the range of issues that will be discussed.
18. Prior to the meeting, the Appraiser should read Part A of the review document and accompanying paperwork. They should also give consideration to the individual's achievements and contributions to the work of the department since the last review, their strengths and any new skills s/he might need in light of their likely range of objectives for the review period.
19. The discussion should include any changes to the individual's job (either over the last year or foreseen in the coming year) and a review of workloads and working arrangements. The Appraiser and Appraisee should be mindful of UCL's policy on Managing Stress at Work and should ensure that any areas of unacceptable stress are identified. The discussion should also cover any working practices within the department, Faculty or UCL that have affected the work and effectiveness of the Appraisee. The Appraisee's career aspirations should inform the discussion and academic staff may wish to confirm the details of any aspirations for sabbatical leave.
20. The review discussion should centre on the work of the Appraisee in light of his/her major responsibilities over the review period. Progress against objectives set at the last review should be examined and if objectives have not been met or have changed, the reason for this should be discussed. If this is the first meeting after the successful completion of probation, written objectives may not already be in existence. Objectives for the forthcoming review period should then be discussed and agreed.
21. Objectives must be sufficiently specific to be measurable (either quantitatively or qualitatively), must be relevant to the postholder's work and achievable within an agreed period. It is acknowledged however, that research objectives may change within the review period or the research direction may change as the research progresses.
22. It is important to ensure that the meeting closes with both parties having a mutual understanding of what needs to be done in the review period, by whom and any follow-up action that is required.
23. Part B of the review document should be completed within 10 working days of the meeting and should summarise the content of the discussion and record the objectives that have been agreed. Any action that needs to be undertaken by the line manager or others in the department to facilitate the successful completion of an objective should also be noted. Both Appraiser and Appraisee should sign the record of the review meeting (part B of the review document) and each will retain a copy. For professors using the PAR system this will be an electronic sign off.
24. Part C of the review document should be completed by the Appraiser to record any training or development needs required to enable achievement of agreed objectives, UCL's management competency expectations and the expectations contained in 'Excellence and the UCL community: a shared endeavour' (see 14, above). The purpose of recording training and development needs is to commit the department, the individual and UCL's training providers to working together (where appropriate), identifying appropriate training and development activity, and arranging attendance. Information about training needs across UCL enables these Units to plan their training programme accordingly. Staff wishing to request financial assistance for part time study for degrees, vocational or professional qualifications should identify their intentions in the course of staff review discussions.
After completion by the Appraiser, both the Appraiser and Appraisee should retain a copy of Part C and use it to identify appropriate training and development activities. A record of the appraisal review should be updated locally by either the relevant line manager or a nominated administrator using the MyView function: http://www.ucl.ac.uk/myview/.
This form should not be sent to OSD, but retained locally and used as the basis for discussion and agreement as to how identified training and development needs are prioritised and addressed.
25. The Appraisal Review form is strictly confidential and must be stored securely within the Department. It should be accessible only to the Appraiser, the Appraisee and the Chief Executive. The whole report must be available to the Appraiser and Appraisee for the individual's next review. The PAR system allows those within the appraisee's management chain to access data on his/her achievements, contributions and progress against objectives in order that it can inform biennial salary review.
26. It is essential that follow-up action identified in the review meeting is carried out. Appraisers are encouraged to meet Appraisees informally through the year to discuss progress against objectives and the outcome of training and development activity, as appropriate.
27. Following the review cycle,the Chief Executive should ideally meet with the Appraisers in their department and, while not discussing individual cases, should consider any broad issues raised within the review process. In this discussion the Chief Executive should discuss with Appraisers the department/division's progress in relation to UCL's expectations of academic excellence and management competencies, which can be found at:
It is the Chief Executive's responsibility to put a mechanism in place that ensures that training needs identified through staff review are followed up. The Chief Executive should also agree the priority of the different training needs identified. The Organisational & Staff Development Unit is available to offer advice; its website can be found at http://www.ucl.ac.uk/hr/osd.
28. In the event of disagreement over the content of part B or C of the review documentation, which cannot be resolved by the Appraisee and Appraiser, the Appraisee should raise their concerns in writing with the Appraiser's line manager within 10 working days of the receipt of the completed review document. The attached form should be used for that purpose. Concerns raised about a review undertaken by the Head of an academic department will be considered by the Dean. Concerns raised about a review undertaken by the Head of an administrative division will be considered by the appropriate Vice-Provost. The Appraiser's line manager/Dean/Vice-Provost will discuss with the Appraiser and Appraisee the concerns raised and will then advise the Appraisee of his/her decision in writing, as soon as possible.
Monitoring of the policy
29. It is the responsibility of the Chief Executive to ensure that the policy is implemented. The Director of Human Resources will inform the Provost, Vice-Provost, Dean or Chief Executive (as appropriate) in cases where reviews are not carried out in accordance with this policy. Anonymised, aggregated, monitoring data in relation to the staff review process will be reported annually by HR to the Human Resources Policy Committee by ethnicity, sex and disability.
Links to other policies
30. The Appraisal Review and Development Scheme is not linked to procedures that determine pay, grading or promotion1, for which UCL has separate arrangements, although staff may choose to discuss their aspirations for promotion and career development with their Appraiser. Concerns regarding conduct, performance or training needs identified between review meetings should be discussed when they are identified and should not be left for discussion at the next review session. The Appraisal Review and Development Scheme should not be used to address matters that fall within the remit of the Disciplinary Procedure or the Capability Policy.
31. It is recommended that all staff have an up to date job description and the opportunity to develop or revise one should be taken either before or immediately following the review meeting. If following revision of a job description the change is felt to be considerable, non-academic job descriptions may be submitted to the Human Resources Division for a grading review. The procedure and policy relating to grading review is available on the Human Resources Division web pages. If a member of academic staff feels that their work allocation requires review they should raise the matter with the Chief Executive in the context of the Workload Allocation Framework for Academic Staff, which is available on the Human Resources Division web pages. UCL has a policy on Managing Stress at Work and all Appraisers must be aware of the content of that policy before undertaking a review. In line with UCL's commitment to equality of opportunity this policy will be applied equitably to all staff to whom it applies.
1 An exception is professorial salary review which is informed by data on achievements, contribution and progress against objectives which is gleaned from the appraisal process via the PAR.
HR Policy and Planning
Updated January 2010