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CONDUCT OF APPRAISAL

CONDUCT OF APPRAISAL

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Published by: arvind_ranganathan@rediffmail.com on Sep 08, 2008
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04/22/2013

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CONDUCT OF APPRAISAL1 Key Features of the Scheme
 
COMMITMENT 
For the Scheme to work it is essential that all those involved should approach itwith a serious commitment to success.
 
CONFIDENTIALITY AND SECURITY 
If members of staff are to undertake a serious examination of their plans for development they must be entirely confident about the confidentiality of theprocess. Any doubts about confidentiality will seriously undermine the entirescheme. These comments about confidentiality apply equally to the security of records.
 
DEVELOPMENT 
The fundamental purpose of the Staff Appraisal Scheme is to encourage thedevelopment of staff and of the institution.
 
This developmental emphasis will bean essential part of the Action Plans generated during the appraisal interviews.The identification of scope for development does not carry with it any assumptionof weakness in that area, in many cases staff will seek to build on existingstrengths.Action Plans will be followed up in a number of ways. These procedures will beconfidential to those directly involved:
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appraisers will be asked at their own appraisal about the development of their appraisees
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Heads of Department will be asked at their appraisal about the extent to whichthey have fostered the development of the staff in their department.
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Heads of Department will be invited by the STD Office to suggest areas wheretraining and development might be made generally available.
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a statement of training and development activities will be produced as part of the appraisal process.
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appraisees will be able to approach STD directly.These initiatives will lead to a wide range of outcomes including informal groupswithin or between departments, attendance at external conferences and courses,STD workshops, and ongoing work with individuals or small groups.
 
 
TRAINING 
Training will be mandatory for appraisers and available for appraisees.
 
PROMOTION AND DISCIPLINE 
There are links with promotion, and hence to assessment, but these are limited inscope and should not be seen as central to the scheme. There can be nopresumption that a series of favourable appraisals will ensure promotion. Linkswith discipline, except to the extent of allowing appraisees to adduce appraisalmaterial to contest disciplinary proceedings, are excluded from the scheme.
2 The Process of Appraisal
The stages of the process are shown in the Scheme. These comments highlightparticularly important features of those stages.
 
 APPOINTMENT OF APPRAISERS 
The Head of Department will circulate a List of Appraisers to all appraisees. Anyappraisee will be able to indicate, in confidence to the Head of Department, anyindividual they would not wish to be appraised by. The Head of Department willtry to respect these views when deciding who is appraised by whom. Objectionsto the appointment of appraiser are to be negotiated with the Head of Department or the Conciliation Officer. Departments will need to take care tohave an adequate number of trained appraisers. It is recommended that normallyno appraiser should appraise more than ten members of staff.
 
PREPARATION FOR THE INTERVIEW 
Both the appraisee and the appraiser should spend some time preparing for theinterview. The Report on Activities should be given to the appraiser some daysbefore the interview and this should be read carefully and form the basis for thecompletion of the Appraiser's Checklist.Appraisers of research staff should discuss the context of the appraisees workwith the Project Supervisor before the interview. In this way it should be possiblefor the Action Plan and Training Needs Statements to be realistic given the timeand financial constraints of the project supporting the appraisees salary.The appraisee's Advance Preparation Form - like the Appraiser's Checklist - is apersonal document, but its completion will help focus attention on key issues.
 
 
SETTING TIME ASIDE 
Appraisees and appraisers must work together to set aside an adequate amountof uninterrupted time for the interview. Secretaries will need to be clearly briefedabout the importance of preventing interruptions. It is recommended thatappraisers should not undertake more than two appraisal interviews in a singleday. The time allocated for the interview should be not less than one hour. Insome cases it may be sensible to adjourn the interview - to allow the collection of further information or to confer with other staff - before arriving at the action plan.
 
DURING THE INTERVIEW 
The appraisal interview is a two-way process. Comments, positive and negative,will pass in both directions and considerable skill and sensitivity will be neededduring the interview if it is to be successful. The key objective is to produce aworkable action plan that will meet the objectives of both the appraisee and thedepartment. This will need serious and skilful negotiation. No long-term benefitwill ensue from a failure to confront differences.
 
 APPRAISER'S STATEMENT 
This should be written after discussion has taken place. It should be long enoughto comment usefully on each area of the appraisee's activity. Bland generalitiesare entirely inappropriate.
 
 APPRAISEE'S COMMENT 
The appraisee should be free to comment in any way that seems appropriate.
 
 ACTION PLAN 
This is a joint action plan; the appraisee will usually be the key figure, but actionby the appraiser is likely to be needed too. If the appraiser is not the Head of Department then this plan will be commented on by the Head of Department. Insome cases it may make sense to consult the Head of Department beforefinalising the plan.
 
TRAINING AND DEVELOPMENT NEEDS STATEMENT 
In tandem with the construction of the Action Plan training and developmentneeds may be identified. If there are likely to be costs associated with theseneeds the Head of Department should be consulted before finalising thestatement.
 
FOLLOW UP 

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