The purpose of the Appraisal Scheme is to improve the performance of individuals and thus contribute to improving the overall performance of [Insert Name of Organisation]. The Appraisal Scheme is for all staff within [Insert Name of Organisation] and it applies to both the 6 month probationary appraisal and annual appraisals. It provides a key link between the achievement of [Insert Name of Project] Vision and the performance of each individual by focusing on the development of the necessary competencies.
In addition the Appraisal Scheme provides:
Through the probationary appraisal, an aid to deciding on the ratification of the appointment of staff;
a means of regularly reviewing the performance & of identifying the learning needs of every individual in [Insert Name of Organisation];
a source of information about the learning needs of staff at all levels; and
a system that is open to scrutiny.
The objective of each appraisal is to provide an opportunity for you and your manager to:
assess your performance and your contribution to the success of [Insert Name of Organisation] and [Insert Name of Project];
assess your current levels of competency as demonstrated by your work; and
review your learning needs and decide on action in relation to:
your development in the job;
changes & development to the job; and
achieving [Insert Name of Organisation] Vision.
The appraisal scheme is designed to be a participative and open process, enabling self-appraisal. The Appraisal involves two-way communication between you and your manager. It can provide you with essential feedback about your performance at work. Effective appraisal requires preparation, commitment and follow up from both the appraiser and appraisee.
Definitions Performance of the postholder this includes the following aspects results achieved productivity levels meeting standards and quality requirements.
GUIDANCE NOTES FOR APPRAISALS
1. Advance Notice:
The [Insert Title of most Senior Manager, e.g. CEO/Director] will inform the [Insert Title of Line Manager] of the post in question, 3 months in advance, that an annual appraisal is due. In the case of probationary appraisals, this will be included in the starter pack for all new staff. This advance notice will enable managers to set appraisal interview dates with their staff well in advance and so allow sufficient time for preparation to take place.
N.B: the first annual appraisal is due 12 months after the start date i.e. 9 months after the probationary appraisal.
So that this system is effective [Insert Title of most Senior Manager, e.g. CEO/Director] will need to inform the [Insert Title of Line Manager] of any changes in the timing of a staff member’s appraisal such as that arising from maternity leave, long term sickness etc. The [Insert Title of Line Manager] will also record when appraisals have been completed and provide regular monitoring reports to the [Insert Title of most Senior Manager, e.g. CEO/Director].
2. Preparation:
Prior to the appraisal the manager of the post will prepare a competency profile for the post using the job description and any other criteria established to monitor and evaluate.
Before the appraisal interview, the manager conducting the appraisal will ensure the staff member being appraised understands the purpose and process of the appraisal. The manager will ensure that the staff member has the following:
a copy of the appraisal form (either a hard copy or on disk);
a copy of the competency profile for their post; and
The manager and the postholder will then agree what preparation the postholder will do for the interview. As the scheme aims to encourage self-appraisal, this will include encouraging the postholder to make notes on the form prior to the interview.
Although the appraisal needs to give an overview of the postholders’ performance, the Manager may wish to focus the interview on specific aspects of performance e.g. where other aspects of performance have been discussed in recent supervision sessions or where there is change & development in a post and the performance at existing responsibilities is more than satisfactory.
When this is the case the Manager will inform the staff member to allow them to prepare effectively.
3. The Appraisal Interview:
The usual advice about the responsibility of the manager to ensure uninterrupted time, a suitably private space etc. applies. The style of the interview should encourage two way communication and partnership. [Insert Name of Organisation] now offers a training course in Appraisal Skills and this covers the issues and skills required for conducting appraisal interviews and also supervision sessions.
4. Recording the Appraisal Using the Form
Remember that the appraisal form is not the appraisal, but is merely a tool to prompt the appraisal process and record it.
Sections 1-5 should be completed by the postholder and section 6 by the Manager. The form can be completed either on hard copy or on disk. Additional sheets may be added if necessary. The form will be written as part of the preparation, added to during the interview and finished off after the interview. Specific guidance on each section of the form is given below.
Once the appraisal has been completed and recorded, it is the Manager’s responsibility to ensure that hard copies of the entire form are circulated as follows:
the postholder
the Manager for inclusion in that potholder’s file, for easy access for future supervision sessions etc.
[Insert title of most Senior Manager, e.g. CEO/Director]
Guidance for postholder on completing the form
Section 1
Make the response to this section brief and in bullet point form rather than an essay, avoiding duplication of material with section 2.
The notes in this section should always report on any targets, goals or performance measures that are relevant to the post and/or contribute to meeting team targets and plans e.g.
[Insert employers objectives and targets], e.g. new filing system developed within timescale X as agreed, finance records completed accurately and consistently to deadline, minimum standards consistently achieved, X event organised within budget and evaluated as achieving objectives set
Contribution to [Insert Name of Organisation] and [Insert Name of project] plan specifically e.g. made a presentation at a event, contributed to the organisation of a [Insert Name of Organisation] wide event, wrote an article for Newsletter, communicated feedback from a customer to a colleague in another team.
Contribution to [Inset Name of Organisation] e.g. [Insert Examples]
Section 2
The purpose of this section of the appraisal is to compare your performance over the past period (3 months/year) for your post. You will probably find it helpful to start by noting down on the form, e.g. the level of each competency area you are required to demonstrate.
Once you have done that, you will see whether there are some boxes on the form that are not applicable to you at all and you will also see which of the sub-headings within a competency area are relevant to your post. Where only some of the sub-headings in a competency area are relevant for your post, you need only record examples for the relevant headings. In some cases you may find that the same examples would illustrate several sub-headings within a competency area, in which case you may bracket the headings together and give only one set of examples.
Next, for each competency area in turn that your post requires get a feel what sorts of examples are relevant at the level required for your post. Now think about your work over the period and pick out 2 or 3 example of things you have done which are examples of this sort of behaviour and record them on the form. Remember that the lists examples of behaviours at the various levels they are not checklists giving either the minimum required nor are they comprehensive.
Finally, look back over this section and identify which competency areas relevant to your post do you consider to be your strengths and which areas do you think you need to develop you competency in.
Section 3
Use this section to record very broadly what helps and hinders you in your job. Comment on your working relationship with your manager, colleagues (in team, the rest of [Insert Name of Project] & elsewhere in [Insert Name of Organisation]), working environment, equipment etc.
Section 4
This section is more future orientated and is an opportunity for you and your manager to do some thinking about what might impact on your post over the next year. These may have important implications for you and this will help you to put together an effective and relevant Learning & Action Plan.
Section 5
The Learning & Action Plan will be put together by you and your manager building on the thinking done in the earlier sections of the appraisal. The Learning & Action Plan is a “living” document that links this appraisal with your work over the next year through your supervision sessions with your manager and connects to your next appraisal.
The Learning & Action Plan can include both items that have a specifically staff development focus and ones that are more practically focused e.g. update job description or plan move to new office. Remember that learning & staff development can take place through a wide range of activities - don’t limit your options to formal courses. The Plan can be finalised after the appraisal interview. This is allow you and your manager time to identify options and talk to others. The [Insert Title of Most Senior Manager, e.g. CEO/Director] is available to offer advice.
You may have any number of learning & action objectives but you must have at least 1. Add additional pages if necessary, but be realistic about what you can achieve between now and your next appraisal.
All the columns must be completed before you sign the appraisal as completed, except the last one (headed “Evaluation Comments & Date Completed”) which is designed to help you and your manager monitor and review the Plan in supervision sessions on a regular basis.
Section 6
This section is to be completed by your manager after the appraisal interview and they will then pass it to you. If you wish you may add a comment on their comments to the form.
You and your manager can now sign the form to indicate that the appraisal process has been completed.
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Through the probationary appraisal, an aid to deciding on the ratification of the appointment of staff;
your development in the job; 
