Staff Appraisal & Development Procedure - Eaton Business School


The Governors recognise that the Appraisal Scheme is a crucial component in the development of its staff and is committed to ensuring that all staff take part in an annual appraisal. It views as essential that the Scheme is subject to regular review to ensure effectiveness and continues to be fully supportive of the equal opportunities aims of the College.

1. Introduction

1.1 This procedureagreement makes explicit the ways in which Eaton Business School will discharge its duties in relation to the review and appraisal of staff.

1.2 The procedure aims to enhance the quality of service provided by the College by linking individual goals to the strategic and operational goals of the College by focusing on the professional development of staff.

1.3 Other procedures exist to deal with disciplinary issues and questions relating to competence and it is recognised that all these procedures must be complementary.

2. Aims and Objectives

2.1 The prime aim of appraisal is the improvement of the quality of service offered by the College through assisting all staff to achieve their potential and carry out their roles effectively.

2.2 Individual staff appraisal should aim to encourage staff to recognise and value the achievements of all staff and help them to identify ways of improving their skills and performance.  The approach should be positive and developmental.

2.3. Appraisal provides the College and its staff with a framework whereby they can continually look to develop the quality of the service in a professional and systematic manner.

2.4. To ensure that the planned professional development of individuals takes place within a structured context of College Business plans.

2.5. The basic principles underlying appraisal are that staff:

  • Know and agree individual objectives
  • Receive feedback
  • Are able to raise their concerns with those who have managerial or organisational responsibility for them
  • Receive support and guidance to support the pursuit of agreed objectives
  • Have their contributions and achievements acknowledged
  • Are entitled to equality of opportunity

3. Scope

This policy applies to senior post holders, academic and support staff, full and part time, employed on contracts of at least one year’s duration.  It is important to note that staff who do not meet the automatic qualifying criteria for appraisal will be eligible to participate in all staff development programmes and activities.

4. Equal Opportunities

Appraisal must operate within the College Single Equality Sceme and consequently be seen to operate fairly and equitably for all those who are involved.  It is an entitlement for all staff. In particular appraisersmust be aware of the dangers of stereotyped expectations, which result in a biased approach.  Appraisal should be used positively to promote equal opportunities by encouraging all those involved to fulfil their potential for development.

5. Outcomes

Appraisal may include the following outcomes:

  • Providingstaff with enhanced job satisfaction and appropriate training.
  • Continuous professional development for staff, whilst ensuring that training meets the needs of the individual and the College.
  • Clarification of the results/standards expected and acknowledgement of the value of the individual’s contribution.
  • Realistic and jointly agreed objectives.
  • Staff participation in the review of operational practices.

6. Appointment and Role of Appraisers

6.1. The nature of the relationship between appraiser and appraisee is critical in determining the effectiveness of the appraisal.  Credibility and trust in the appraiser are key elements.

6.2. The appraiser will normally have supervisory line management responsibility for the appraisee and have a sound knowledge and understanding of the work of the appraisee.  They must also be in a position to ensure that agreed objectives can be implemented.

6.3. Where requested by the appraisee an alternative appraiser may undertake the appraisal.  This will be facilitated wherever possible

6.4. It is the responsibility of appraisers to:

  • Offer a supportive and positive approach.
  • Ensure clear arrangements are made for data collection and the appraisal interview.
  • Be aware of their responsibilities under equal opportunities legislation and the College Single Equality Scheme not to discriminate in the conduct of appraisal.

7. The Appraisal Process

All eligible staff will normally receive an Appraisal interview once a year.  The Appraisal interview is an opportunity for giving and receiving constructive feedback on performance and for setting agreed objectives and personal staff development for the period ahead.

Staff who choose to be appraised by an alternative appraiser to their line manager should notify the Human Resource Manager using the appropriate form.  (See Appendix A).  The Human Resource Manager will then facilitate suitable alternative arrangements where necessary.

The appraisal process will consist of the following stages:

7.1. Self Appraisal (See Guidelines in Appendix B)

The process of reflecting on past, present and future aspects of the individual’s contribution to the business/service area is vital in preparing for the appraisal interview.

The appraiser will provide the appraisee with a self-appraisal form at least two weeks in advance of the appraisal interview, in order to prepare for the interview.

Appraisees should look closely at their job outline, consider the previous twelve months work and identify successes, failures and constraints, and think about future hopes and ambitions.  Information about the business/service area business plan and objectives will also need to be taken into account.

Appraisees should complete the self-appraisal on the form provided; a copy of which should normally be forwarded to their appraiser to read before the interview.  In addition appraisees should be encouraged to submit other data considered to be appropriate.

7.2. The Appraisal Interview (See Guidelines in Appendix B)

The appraiser must make the necessary arrangements to conduct the interview.

The information discussed at the appraisal interview should not come as a surprise to the appraisee.  Ongoing discussion and review throughout the period should have prepared the appraisee for the discussion.  The interview itself should not be viewed as a once a year necessity but rather as part of a cycle of ongoing activity concerned with updating, supporting and improving overall professional effectiveness.

The purpose will be to review the appraisee’s work against the key result areas of the job, and to give recognition to achievements.  The objectives of the appraisee’s role for the next year should also be considered.  The discussion must include the supporting action that will be taken by both the Appraiser and Appraisee in order to achieve the objectives and Appraisees should be given the opportunity to give feedback on line manager performance.  Finally, a discussion of the further personal development of the Appraisee should also take place, ensuring that dates are set to review progress.

7.3. The Appraisal Record (See Guidelines in Appendix B)

After the appraisal interview the appraiser, in consultation with the appraisee, will prepare a record of the interview, having carefully noted the main points made and any conclusions reached.

Mutually agreed training and development targets will be recorded in the Personal Development Plan. These should be related to objectives in the business plan of the business/area and should be linked to the previous Personal Development Plan.

The Appraisal record should be available to the appraisee within ten working days of the interview.  The appraisee will then have a further ten days to add to it any written comments for further discussion before a final draft.  Both parties should sign the final draft.

A copy of the final Appraisal record will be made available to the appraiser and appraisee with a copy retained in the Personnel Department.At all times the utmost confidentiality will be maintained.  These records will not be used by the College, unless by mutual agreement, for any purpose outside the appraisal process.  A copy of the Personal Development Plan will be provided to the Employee Development Officer.

8. General Considerations

8.1. Complaints Procedure

Where the appraisee and appraiser cannot agree on a record of the appraisal then the matter should be progressed through the established Grievance procedure.

8.2. Management of the Staff Appraisal Process

The Principal will have responsibility for co-ordinating the management of the scheme within the College, and responsibility for issuing the appropriate documentation via the line manager.

8.3. Timing of the Staff Appraisal Interviews

In planning individual appraisal arrangements, line managers must ensure that adequate time is available to appraisees in order to prepare for and participate in the appraisal interview.  Peak overload periods should therefore be avoided where possible.  If appraisal of lecturing staff occurs during timetabled teaching periods then agreed preparation time will be credited and recorded against annual contact hours.



Staff who choose not to participate in the appraisal process or wish to be appraised by an alternative appraiser to their line manager should notify the Personnel department using this form. 



Please state whether you wish to participate in the appraisal scheme or staff development review. 

If you wish to participate in appraisal but would like an alternative appraiser, please indicate your choice. 

Please return to the Principal promptly




  • Prior to the completion of the self-appraisal form, adequate time should be set aside for appropriate communication between the appraiser and appraisees.  This may be on an individual or collective basis as necessary.
  • Appraisers should recognise the value of a pre-interview, particularly when the appraisal is the first one for the appraisee.
  • The use of the self-appraisal form, possible sources of data collection and arrangements for the interview will be discussed and agreed.


  • The appraisal interview will be conducted in suitable accommodation which, as far as is practicable, is neutral and where disruption is unlikely.  It will be organised at a convenient time during the day with as much time as is necessary made available.
  • The following key elements should be included:
  • Consideration of the College aims and objectives and the division/service area implications of these should set the context for the interview, since the individual objectives set need to relate to these.
  • Structured discussion, which should be as open as possible, will cover the items raised in the self-appraisal exercise and the data gathered from other sources.
  • A review of the previous appraisal record and progress towards agreed outcomes.
  • A review of the previous Personal Development Plan and its outcomes.
  • The opportunity for appraisee to give feedback to appraiser on his/her performance as a line manager.


  •  The confidentiality of the appraisal record form is essential to the integrity of the appraisal procedure. Appraisers should take care to safeguard confidentiality by producing a personally hand-written report (unless the appraisee agrees to it being typed) and by ensuring that any photocopying is confidentially treated.
  • During the process of agreeing the content of the final draft of the appraisal record, new matters should not be introduced for consideration.  The record should reflect the discussion that took place on the date of the appraisal interview.